Encyclopedia of Historians and Historical Writing [2 vols., 1 ed.] 1884964338, 9781884964336

Citation preview

Encyclopedia of

Hist o r ia n s AND

Hist o r ic a l W r it in g Volume i

Encyclopedia of

Hist o r ia n s AND

H ist o r ic a l W r it in g Volume i A -L

Editor Kel l y Bo y d

First published 1999 by Fitzroy Dearborn Publishers Published 2019 by Routledge 2 Park Square, Milton Park, Abingdon, Oxon OX14 4RN 52 Vanderbilt Avenue, New York, NY 10017

Routledgeis an imprint of the Taylor& FrancisGroup,an informabusiness Copyright© 1999 by Taylor & Francis All rights reserved. No part of this book may be reprinted or reproduced or utilised in any form or by any electronic, mechanical, or other means, now known or hereafter invented, including photocopying and recording, or in any information storage or retrieval system, without permission in writing from the publishers. Notice: Product or corporate names may be trademarks or registered trademarks, and are used only for identification and explanation without intent to infringe.

British Library Cataloguing in Publication Data

Encyclopedia of historians and historical writing 1. Historians - Encyclopedias I. Boyd, Kelly 907.2'02

Library of Congress Cataloging in Publication Data is available.

Typeset by The Florence Group, Stoodleigh, Devon Cover design by Philip Lewis ISBN 13:978-1-884964-33-6(hbk) (vol I)

CONTENTS

Editor’s N ote Advisers and Contributors Alphabetical List of Entries Thematic List: Entries by Category Chronological List of Historians Introduction by Kelly Boyd

page

vii xi XV

xxiii XXXV

xli

E n cy clo p ed ia o f H isto ria n s and H isto rica l W ritin g, A - L

I

e d i t o r ’s n o t e

The Encyclopedia o f Historians and Historical Writing provides a guide to influential historians and historical debates since the w riting o f history began. It is distinctive because it goes beyond the Western historical canon to include w riters from other cultures and traditions. The selection o f historians and topics w as achieved w ith the help o f the distinguished group o f A dvisers (listed on page xi) w h o enabled me to construct a list o f entries. C ontributors were also generous w ith their suggestions. The volum e contains three types o f essays. First, essays on individual historians assess their scholarly achievements and place their w ritings in the context o f historiographical developm ents and debates. A ccom panying each essay is a brief biographical sketch, a list o f principal w ritings, and suggestions for further reading about the historian’s w o rk . These are not exhaustive lists, but are m eant to provide further opportunities for exp lo ration by the reader. The individuals chosen w ere, as a rule, born no later than 19 4 5 . This adm ittedly arbitrary date w as selected in order to focus the volum e on the w o rk o f scholars w h o, at the time the list w as constructed, had reached the age o f 50 and had produced a substantial body o f significant w o rk . M an y scholars born after 19 4 5 merit inclusion, but they w ill have to w ait for the next edition. A lso included are a num ber o f non - historians w hose w o rk has greatly influenced historical w riting, for exam ple C liffo rd Geertz and Jü rgen H aberm as. A second category o f essays focuses on nations or geographical regions. These arti cles provide a survey o f the debates around historiographical questions within national histories. Some nations - for exam ple Britain, France, Germ any, R u ssia, and the United States - receive multiple entries to reflect their extended historical traditions. Other areas o f the w orld are treated sometimes as regions (Southeast A sia, Latin A m erica, Central Europe, Pacific/O ceanic, Indian Ocean) and sometimes as distinct nations (Brazil, C u ba, A ustralia, Jap an ). C hina is represented by tw o types o f essay. One offers a considera tion o f the rich tradition o f historical w riting in China since ancient times, w hile the other exam ines the historiographical debates that have engaged later historians o f the Chinese past. There are also essays on the developm ent o f historical thinking in m edieval, Renaissance, and Enlightenm ent Europe. Each essay is accom panied by an extensive bibliography w hich, although accenting English - language contributions, also includes im portant w orks in other languages. The final category includes topical essays. These in turn take

three form s. One set

o f essays focuses on the various historical subdisciplines, such as social or agricultural history, and traces their emergence and distinctive features. A second set exam ines methods that shape historical w riting, such as prosopography, or, in a different vein, vii

viii

e d i t o r ’s n o t e

the use o f com puters. A third introduces the reader to some o f the m ost - studied historical debates, for exam ple on the Industrial Revolution or slavery. W here appropriate, contrib utors m ove beyond the boundaries o f individual nations and cultures. The accom panying bibliographies contain inform ation that helps to widen access to these topics. A ll entries include bibliographical m aterial. In the Principal W ritings list in each entry on an individual historian, titles are given in the language (and with the date) o f first publication, follow ed by the title and date o f first publication in English. Later trans lations are noted if there w as a m ajor revision, but the publishing history o f individual volum es is not the focus o f this encyclopedia. The Further Reading sections have a sim ilar form at, with fuller publication details. The Further R eading lists w ere, as a rule, provided by the contributor. In both sections, if there is no published English - language translation, a literal translation is given. The entries are arranged alphabetically. W here there are several entries sharing the same general heading (e.g., China), the suborder is chronological. For ease o f use there are several other reference aids. There is a Them atic List at the beginning o f both volum es to identify different categories, for exam ple, historians o f France. There is also a C hronological List o f historians to help indicate different generations o f w riters. There are tw o indexes. The Title Index (page 1 3 57) is m eant for use with entries on indi vidual historians, and allow s readers to find an author via a title. The Further Reading Index (page 1 4 1 1 ) is arranged by author and allow s the reader to identify the different entries that place in context a great num ber o f w o rk s by a great m any historians. This is especially useful for tracing the w o rk o f historians w ho do not have an individual entry. For exam ple, Lyndal R o p e r ’s w o rk is cited in the bibliographies o f both the entry on the R eform ation and that on Sexuality; consulting these entries show s the context in which she w orks. Finally, most entries have a See also list that points the reader to other entries in which a historian or topic is discussed. This project w as originally envisaged as a 1 - volum e encyclopedia, but the vibrancy o f historical w riting demanded more space. There is, o f course, more to say, but tw o volum es should keep readers occupied for some time. This w o rk is not designed for the specialist - though I hope specialists w ill find useful m aterial here - but for the inform ed reader w ho w ants to kn ow m ore about h ow to approach particular w riters or topics. From H erodotus to Simon Scham a, from A rch aeology to Technology, from the M arxist Interpretation to Postm odernism , the Encyclopedia o f Historians and Historical Writing is a guide to the discipline on the eve o f the third millennium.

Acknowledgments These volum es w ould not have been possible w ithout the help o f several individuals and institutions. First, there were the advisers, w h o engaged w ith my suggestions for entries, proposed im provem ents, recommended appropriate contributors, and sometimes took on entries themselves. In addition, there are alm ost 400 contributors, m any o f whom I feel I have com e to kn ow w ell, at least via e - mail. T h ey responded to my queries and criticism s w ith grace and alacrity and offered suggestions and support throughout the gestation o f the project. O f the contributors I w ould particularly like to thank Priscilla Roberts, w h o responded to m y requests for yet another essay too m any times to count. Second, I w ou ld like to thank my friends and colleagues at the Institute o f H istorical Research, University o f London and at M idd lesex University w h o, in the early stages, indulged me in endless conversations about w h o and w hat to include, and, in later

e d i t o r ’s n o t e

stages, allow ed me to persuade them to become contributors, or sim ply offered ongoing m oral support as the project drew to a close. They include M ichael A rm strong, M eg A rnot, R ichard B axell, Stuart C arro ll, Anna D avin , Anne Goldgar, Tim H itchcock, C aroline Jo h n s, Vivien M iller, M artine M o rris, Gareth Prosser, H eather Shore, Jo h n Styles, Keith Surridge, Cornelie U sborne, A m anda Vickery, Tim W ales, and Glen W ilkinson. I am particularly grateful to the staffs o f the Institute o f H istorical Research and the Senate H ouse Lib rary o f the U niversity o f London w h o provided me w ith the facilities for much o f the research for the biographical and bibliographical portions o f the book. The policy o f the Institute o f H istorical Research o f opening on Saturday and m ost holidays w as im m ensely helpful. T h ird, I w ou ld like to thank D aniel K irkpatrick at Fitzroy D earborn. H is continuing patience, good sense, and, most im portantly, his encouraging me to develop the ency clopedia beyond its initial remit kept me going. H e has m ade the editing o f this volum e an intellectually stim ulating and a genuinely enjoyable experience. I am particularly grateful for the space he gave me during much o f the project and the intense attention he lavished on it in the final stages. I must also acknow ledge the help I received from others at the press over the years, particularly M a rk H aw kins - D ady, Lesley H enderson, and C aro l Jon es, but also those w ho were dragooned into w orking on the m am m oth indexes. D elia G aze, Ja ck ie G riffin, Ja n e Sam son, and H eather Shore also w orked on the project as, variously, proofreaders, research assistants, and list constructors. Finally, I must thank m y husband, R oh an M cW illiam . The project excited him from the beginning and he never tired o f discussing the opportunities im plicit in it. W hen m y energy flagged, he rejuvenated it. W hen contributors dropped out, he graciously agreed to w rite one m ore essay, despite his ow n publishing com m itm ents. M o st im por tantly, he kept me intellectually engaged. I can never repay this debt. Kel

l y

Bo

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Middlesex University, 19 9 9

ix

ADVISERS Nicholas Jardine James M. McPherson P.J. Marshall Ali A. Mazrui Janet L. Nelson Richard Pipes Terence O. Ranger Anthony Reid F.W. Walbank

David Arnold T.H. Barrett Carl Berger Paul Buhle Richard W. Bulliet R.J. Crampton Geoff Eley J.H . Elliott Donna J. Guy John Hirst

CONTRIBUTORS Andrew J. Abalahin Phillip C. Adamo David Allan Michael Almond-Welton Edward A. Alpers David Arnold Margaret L. Arnot William Ashworth Brenda Assael Samira Ali Atallah Raphaela Averkorn

Robert P. Batchelor Gabor Bâtonyi Richard Baxell Jonathan Beecher Charlotte Behr Maxine Berg Christopher Berkeley Theodore Binnema Jeremy Black Lee Blackwood Vivian Blaxell Laurie Robyn Blumberg Stuart Blyth Lori Lyn Bogle Geoffrey Bolton Dain Borges Hugh Bowden Kelly Boyd James M. Boyden Clara Brakel-Papenhuyzen

Virginia R. Bainbridge Janos M. Bak Oscar Julian Bardeci John W. Barker Robert E. Barnett T.H. Barrett Jonathan Barry Paul Barton-Kriese xi

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A D V ISER S AND C O N TRIBU T O RS

Yuri Bregel Ernst Breisach Michael Brett Ralf Bróer Marilynne Bromley Kenneth D. Brown Daniel Brownstein Gary S. Bruce Jon L. Brudvig Gayle K. Brunelle Maurice P. Brungardt Glenn E. Bugos Paul Buhle Michael Burns David T. Burrell Annarita Buttafuoco I.A. Caldwell Jean Calmard Kenneth R. Calvert Marybeth Carlson Catherine Carmichael Gennaro Carotenuto Stuart Carroll Dipesh Chakrabarty Kathleen Egan Chamberlain Chun-shu Chang Stephen K. Chenault Yeong-han Cheong Yong-ho Choe John Chryssavgis Emily Clark Inga Clendinnen Cecil H. Clough Ken Coates Adam Cobb Alvin P. Cohen Roger Collins Kathleen Comerford Demetrios J. Constantelos Lauren Coodley Hera Cook Timothy P. Coon Douglas Cremer Brian Crim Geoff Cunfer Patrick Curry Ubiratan D ’ Ambrosio Belinda Davis Dennis A. Deslippe John A. Dickinson Gerald Diesener Frank Dikotter Roy Palmer Domenico Mark Richard Dorsett Richard Drake Lincoln A. Draper Erika Dreifus Seymour Drescher

John Dunne Eric R. Dursteler Carl Dyke Nancy Pippen Eckerman Anthony O. Edmonds Elizabeth B. Elliot-Meisel Linda Eikmeier Endersby Amy Louise Erickson Maria Elina Estebanez J.A.S. Evans Jennifer V. Evans Philip Evanson Nicholas Everett Toyin Falola Lee A. Farrow Susan Fast Silvia Figueiroa Annette Finley-Croswhite James Fisher Michael H. Fisher Brian H. Fletcher John F. Flynn Robert F. Forrest John Bellamy Foster Robert Wallace Foster Billy Frank James E. Franklin James Friguglietti Richard Frucht Patrick J. Furlong Nancy Gallagher Kathleen E. Garay Anna Geifman Gene George Daniel M. German Peter Ghosh Peter Gibbons Sheridan Gilley Stephen D. Girvin Thomas F. Glick Brian Gobbett Jacqueline Goggin Robert Goodrich Piotr Górecki Eliga H. Gould Dmitry A. Goutnov Jeanine Graham Jonathan A. Grant Christopher Gray Jay D. Green Ronald J. Grele Rita Gudermann Hugh L. Guilderson John Haag Bertil Häggman H. Hazel Hahn

ADVISERS AND CONTRIBUTORS Drew Philip Halevy Stephen Gilroy Hall Christine S. Hallas Rick Halpern G.M. Hamburg Milan Hauner Michael Haynes J.S.W. Helt A.C. Hepburn Arne Hessenbruch Martin Hewitt Tim Hitchcock Daniel L. Hoffman Sandie Holguin Peter C. Holloran Roger Hood John Hooper Fred Hoover Mark J. Hudson Pat Hudson Patrick H. Hutton Juliet Graver Istrabadi Louise Ainsley Jackson Margaret D. Jacobs Dominic Janes Kyle Jantzen Jennifer W. Jay M.A. Jazayery Madeleine Jeay Keith Jenkins Lionel Jensen William T. Johnson Robert D. Johnston Colin Jones Davis D. Joyce Thomas E. Kaiser Aristotle A. Kallis Simon Katzenellenbogen Nikki R. Keddie Sean Kelsey Helen King Dennis B. Klein Louis A. Knafla Franklin W. Knight Dorothy Ko Martin Kramer Robert A. LaFleur Andrew Lambert Peter A. Lambert Michelle A. Laughran Ross Laurie David D. Lee Gary P. Leupp Anthony Levi Ernest A. LeVos Gwynne Lewis

Li Tana Helen Liebel-Weckowicz Felice Lifshitz Craig A. Lockard Chris Lorenz Lucas J. Luchilo Erik A. Lund Ian McBride Lawrence W. McBride Joseph M. McCarthy Jennifer Davis McDaid Ken McPherson Rohan McWilliam Joseph Maiolo Iskandar Mansour P.J. Marshall Geoffrey H. Martin R.N.D. Martin Herbert W. Mason Saho Matsumoto Allan Megill David A. Meier Martin R. Menke Sharon D. Michalove Francine Michaud Dean Miller Joseph C. Miller James Millhorn Matthew A. Minichillo R. Scott Moore John Moorhead Sean Farrell Moran Gwenda Morgan Martine Bondois Morris William Morrison John A. Moses J. Todd Moye James M. Murray Caryn E. Neumann Helen J. Nicholson Myron C. Noonkester Michael L. Oberg Robert Olson David Ortiz, Jr. Donald R. Palm Bryan D. Palmer Rekha Pande Peter J. Parish Inderjeet Parmar Robert Pascoe Joseph F. Patrouch Frederik J.G . Pedersen Douglas Peers William A. Pelz Carlos Pérez John R. Perry

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A D V ISER S AND C O N TR IBU T O R S

Matt Perry Indira Viswanathan Peterson Gregory M. Pfitzer Christopher Phelps Daniel J. Philippon Keith H. Pickus Katherine Pinnock Dmitri Polikanov Joy Porter Gareth Prosser Karen Racine John Radzilowski Ruggero Ranieri David Reher John G. Reid Chad Reimer Thomas Reimer Thomas D. Reins David Reisman Timothy Reuter Lucy Riall Paul John Rich Eric Richards Peter G. Riddell Ronald T. Ridley Edward J. Rielly Andrew Rippin Harry Ritter Cristina Rivera -Garza Priscilla M. Roberts Kristen D. Robinson Adam W. Rome Tom I. Romero II W.D. Rubinstein Ronald Rudin Guido Ruggiero Peter Rushton Jennifer E. Salahub Janos Salamon Frank A. Salamone Gloria Ibrahim Saliba Joyce E. Salisbury Jane Samson Thomas Sanders Christopher Saunders Birgit Sawyer Thomas Schlich Frank Schuurmans Bill Schwarz Jutta Schwarzkopf Joanne Scott Tom Scott Christopher MacGregor Scribner John Seed Sara Ann Sewell Pamela Sharpe Kathleen Sheldon Todd David Shepard

Susan Shifrin Charles Shively Margaret Shkimba Mona L. Siegel Tom Sjoblom Russell C. Smandych John David Smith Alvin Y. So Richard J. Soderlund Robert Fairbairn Southard Daniela Spenser David B. Starr Amy Stevens Raymond G. Stokes Dennis Stoutenburg Carl Strikwerda K.J. Stringer Benedikt Stuchtey Gavin A. Sundwall Keith Surridge Guillaume de Syon Tamas Szmrecsanyi De-min Tao H. Micheál Tarver Elizabeth A. Ten Dyke Jack Ray Thomas Bruce Thompson Joel E. Tishken John Tonkin Francesca Trivellato Kathleen Troup Brett Troyan Cornelie Usborne Wray Vamplew Elizabeth T. Van Beek Jonathan F. Vance Ruud van Dijk Kevern J. Verney Angela Vietto William T. Walker Carl Watkins David Robin Watson Deirdre Chase Weaver Diana Webb Gregory Weeks Jessica Weiss John D. Windhausen Edward M.Wise Ronald G. Witt Don J. Wyatt Xiao -bin Ji Edwin M. Yamauchi Ying-shih Yu Matthias Zimmer

ALPHABETICAL LIST OF ENTRIES VOLUM E i

Hans Baron Salo Wittmayer Baron Geoffrey Barraclough Vasilii Vladimirovich Bartol’ d Jorge Basadre Walter Bauer John C. Beaglehole C.E.W. Bean Charles A. Beard and Mary Ritter Beard Carl L. Becker Bede Begriffsgeschichte Karl Julius Beloch Isaiah Berlin Martin Bernal Abu Rayhan al-Blrunl Geoffrey Blainey Marc Bloch Jerome Blum A. Adu Boahen Gisela Bock Jean Bodin The Body Jean Bolland Herbert E. Bolton Daniel J. Boorstin Woodrow Borah Pierre Bourdieu C.R. Boxer Karl Dietrich Bracher Randolph L. Braham Fernand Braudel Brazil James Henry Breasted Robert Brenner Asa Briggs Britain: Anglo-Saxon Britain: 10 6 6 - 14 8 5 Britain: 14 8 5 - 17 5 0 Britain: since 17 5 0 British Empire Martin Broszat

Lord Acton Henry Adams A.E. Afigbo Africa: Central Africa: Eastern and Southern Africa: North and the Horn Africa: West African American History African Diaspora Agrarian History Jacob F. Ade Ajayi Raja Ali Haji Louis Althusser Stephen E. Ambrose America: Pre-Columbian Ammianus Marcellinus Benedict Anderson Perry Anderson Charles McLean Andrews Anglo -Saxon Chronicle Annales regni Francorum Annales School Anthropology, Historical Arai Hakuseki Archaeology Argentina Philippe Aries Art History Astrology Australia Austro-Hungarian Empire James Axtell Emmanuel Ayankami Ayandele Babad Bernard Bailyn The Balkans Ban Gu George Bancroft Omer Liitfi Barkan xv

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A L P H A B E T IC A L LIST OF EN T R IES

Pierre Broué Peter Brown Edward G. Browne Otto Brunner Henry Thomas Buckle Bugis and Makasar (Sulawesi) Chronicles Rudolf Bultmann Jacob Burckhardt Peter Burke Robert Ignatius Burns J. B. Bury Business History Herbert Butterfield Byzantium Julius Caesar Claude Cahen Helen Cam Cambridge Group William Camden Averil Cameron Canada Delio Cantimori Fernando Henrique Cardoso Thomas Carlyle E.H. Carr Raymond Carr Cassiodorus Ernst Cassirer Cassius Dio Américo Castro Catholicism/Catholic Church Central America Central Asia: since 1850 Central Europe Federico Chabod Owen Chadwick Alfred D. Chandler, Jr. Roger Chartier K. N. Chaudhuri Chen Yinke C.R. Cheney François Chevalier Childhood China: Ancient (c. 15 0 0 - 2 2 1 BCE) China: Early and Middle Imperial ( 2 2 1 B C E -9 5 9

c e

)

China: Late Imperial (9 6 0 - 19 11) China: Modern (since 1 9 1 1 ) China: Historical Writing, Ancient

(c. 1 1 0 0 - 2 2 1

BCE)

China: Historical Writing, Early and Middle Imperial (221 B C E - 9 59 C E ) China: Historical Writing, Late Imperial (9 6 0 - 19 11) Christianity Carlo M. Cipolla J.H . Clapham Alice Clark Manning Clark

Richard Cobb Alfred Cobban G.D.H. Cole R.G. Collingwood Henry Steele Commager John R. Commons Comparative History Computers and Computing, History of Computing and History Auguste Comte Consumerism and Consumption Werner Conze Catherine Coquery-Vidrovitch Alain Corbin Daniel Cosío Villegas Nancy F. Cott Counter-Reformation Donald Grant Creighton Crime and Deviance Benedetto Croce Alfred W Crosby, Jr. Crusades Cuba Cultural History Merle Curti Philip D. Curtin Robert Darnton David Daube Leonore Davidoff Basil Davidson Norman Davies R.W. Davies David Brion Davis Natalie Zemon Davis Angie Debo Renzo De Felice Carl N. Degler Hans Delbriick Léopold Delisle Jean Delumeau Demography Greg Dening Francesco De Sanctis Design History Isaac Deutscher Jan de Vries Bernal Diaz del Castillo A.G. Dickens Wilhelm Dilthey Diodorus Siculus Dionysius of Halicarnassus Cheikh Anta Diop Diplomatic History/International Relations Documentary Film Antonio Dominguez Ortiz Alfons Dopsch Dress J.G . Droysen Simon Dubnov

A L P H A B E T IC A L LIST OF EN T R IES

W.E.B. Du Bois Georges Duby Pierre Duhem William A. Dunning R.C. Dutt H.J. Dyos East Central Europe Eastern Orthodoxy Richard Maxwell Eaton Wolfram Eberhard W.J. Eccles Ecclesiastical History Ecology Economic History Egypt: Ancient Egypt: since the 7th Century C E Einhard Stanley Elkins J.H . Elliott G.R. Elton Friedrich Engels Enlightenment Historical Writing Edith Ennen Environmental History Erik H. Erikson Ethnicity and “ Race ” Ethnohistory Europe: Modern European Expansion Eusebius of Caesarea John K. Fairbank The Family Lucien Febvre Steven Feierman Feminism Feudalism Film M.I. Finley Fritz Fischer Ludwig Fleck Robert William Fogel Eric Foner Philip S. Foner Michel Foucault John Foxe France: to 1000 France: 10 0 0 - 14 50 France: 14 50 - 178 9 France: French Revolution France: since the Revolution John Hope Franklin Guy Fregault Sigmund Freud Gilberto Freyre Jean Froissart Frontiers J.A . Froude Robert Fruin

Erik Fiigedi François Furet J.S. Furnivall Numa Fustel de Coulanges Lothar Gall John Gallagher RL. Ganshof Garcilaso de la Vega Samuel Rawson Gardiner Eugenio Garin Johann Christoph Gatterer Peter Gay Clifford Geertz Gender Eugene D. Genovese Gino Germani Germany: to 1450 Germany: 14 5 0 - 18 0 0 Germany: 18 0 0 - 19 4 5 Germany: since 1945 Pieter Geyl Pietro Giannone Edward Gibbon Charles Gibson Wilhelm von Giesebrecht Felix Gilbert Etienne Gilson Carlo Ginzburg Paolo Giovio Lawrence Henry Gipson Jacques Léon Godechot S.D. Goitein Eric Goldman E.H. Gombrich Mario Góngora Pablo González Casanova Sarvepalli Gopal Linda Gordon Heinrich Graetz Antonio Gramsci Greece: Ancient Greece: Modern Alice Stopford Green Jack P. Greene Gregory of Tours Patricia Grimshaw Lionel Groulx Stéphane Gsell Gu Jiegang Ranajit Guha Francesco Guicciardini Pierre Guichard François Guizot Gunki monogatari Aron Gurevich Herbert G. Gutman H.J. Habakkuk Jürgen Habermas

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ALPHABETICAL LIST OF ENTRIES Oskar Halecki Elie Halevy Johannes Haller Tulio Halperin-Donghi J.L. Hammond and Barbara Hammond Oscar Handlin Lewis Hanke John D. Hargreaves Fritz Hartung Louis Hartz Charles Homer Haskins Karin Hausen Hayashi School Eli F. Heckscher G.W.F. Hegel J.L. Heilbron Louis Henry J.G . Herder Herodotus J.H . Hexter Raul Hilberg Christopher Hill Andreas Hillgruber Rodney Hilton Darlene Clark Hine Otto Hintze Historical Geography Historical Maps and Atlases Historiology/Philosophy of Historical Writing History from Below History Workshop E.J. Hobsbawm Marshall G.S. Hodgson Richard Hofstadter S.B. de Holanda W.S. Holdsworth Raphael Holinshed Holocaust Holy Roman Empire Homosexuality Morton J. Horwitz Albert Hourani Michael Howard Olwen H. Hufton Kathleen Hughes Thomas P. Hughes Johan Huizinga David Hume Lynn Hunt ‘ Izz al-Din Ibn al-Athlr Ibn Khaldun Reynaldo Clemena Ileto John Iliffe Imperial History Halil Inalcik India: since 1750 Indian Ocean Region Indigenous Peoples Industrial Revolution

Harold A. Innis Intellectual History /History of Ideas Intelligence and Espionage Iran: since 1500 Ireland Islamic Nations and Cultures Charles P. Issawi Italy: Renaissance Italy: since the Renaissance C . L.R. James Johannes Janssen Japan Japanese Chronicles Barbara Jelavich and Charles Jelavich Merrill Jensen Jewish History James Joli A.H.M . Jones Gareth Stedman Jones Winthrop D. Jordan Josephus Charles-André Julien Ernst H. Kantorowicz N.M . Karamzin Ahmad Kasravi Jacob Katz A.P. Kazhdan Elie Kedourie John Keegan Eckart Kehr Joan Kelly -Gadol Paul M. Kennedy Linda K. Kerber Alice Kessler-Harris V.G. Kiernan Kitabatake Chikafusa V.O. Kliuchevskii David Knowles Jürgen Kocka Leszek Kolakowski Gabriel Kolko Anna Komnene Kong-zi [Confucius] Claudia Koonz M.F. Kôprülü Korea D.D. Kosambi Reinhart Koselleck Paul Oskar Kristeller Bruno Krusch Jürgen Kuczynski Thomas S. Kuhn Witold Kula Labor History Ernest Labrousse Walter LaFeber Marilyn Lake

ALPHABETICAL LIST OF ENTRIES Karl Lamprecht David S. Landes Abdallah Laroui Bartolomé de Las Casas Christopher Lasch Latin America: Colonial Latin America: National (since 18 10 ) Ernest Lavisse Asunción Lavrin Henry Charles Lea W.E.H. Lecky Georges Lefebvre Legal History Leisure Joachim Lelewel Miguel León-Portilla Le Quy Don Gerda Lerner Emmanuel Le Roy Ladurie William E. Leuchtenburg Ricardo Levene Lawrence W. Levine Evariste Lévi-Proven^al Wilhelm Levison Moshe Lewin Bernard Lewis David Levering Lewis Karl Leyser Liang Qichao Arthur S. Link Literature and History Leon F. Litwack Liu Zhiji Livy Local History Robert S. Lopez Arthur O. Lovejoy Paul E. Lovejoy Low Countries A.R.M . Lower Alf Liidtke F.S.L. Lyons VOLUM E 2 Ma Huan Jean Mabillon C.A. Macartney Thomas Babington Macaulay Ernst Mach Niccolò Machiavelli Denis Mack Smith Marshall McLuhan William H. McNeill Alfred Thayer Mahan F.W. Maitland Malay Annals James C. Malin Giovanni Domenico Mansi Alessandro Manzoni

José Antonio Maravall Henrik Marczali Maritime History Shula Marks Marriage Michael R. Marrus Lauro Martines Maruyama Masao Karl M arx Marxist Interpretation of History Masculinity Tim Mason Henri Maspero Louis Massignon Albert Mathiez Garrett Mattingly Arno J. Mayer Ali A. Mazrui Media Medicine, History of Medieval Chronicles Medieval Historical Writing Roy Medvedev August Meier Friedrich Meinecke Memory Ramón Menéndez Pidal Mentalities, History of Carolyn Merchant Robert K. Merton Metahistory Mexico Eduard Meyer Jules Michelet Middle East: Medieval Migration Military History Pavel Miliukov Perry Miller Susanne Miller S. F.C. Milsom Mito School Bartolomé Mitre Arnaldo Momigliano Hans Mommsen Theodor Mommsen Wolfgang J. Mommsen Mongol Empire Montesquieu David Montgomery T. W. Moody Barrington Moore, Jr. Manuel Moreno Fraginals Edmund S. Morgan Samuel Eliot Morison W.L. Morton George L. Mosse John Lothrop Motley Roland Mousnier Lewis Mumford

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A L P H A B E T IC A L LIST OF EN T R IES

L.A. Muratori Musicology Mustafa Naima Naitó Torajiró Lewis Namier Napoleonic Wars (18 0 0 - 18 15 ) Gary B. Nash Nationalism Native American History Natural Sciences, Historical Naval History Near East: Ancient Joseph Needham Allan Nevins New Zealand B.G. Niebuhr Lutz Niethammer Friedrich Nietzsche Niida Noboru Dimitri Obolensky Edmundo O ’ Gorman Bethwell A. Ogot Roland Oliver Oral History Orderic Vitalis Orientalism Margaret A. Ormsby Fernando Ortiz Herbert Levi Osgood George Ostrogorsky Otsuka Hisao Otto of Freising Ottoman Empire Fernand Ouellet Frank Lawrence Owsley Mona Ozouf Pacific/Oceanic History Elaine Pagels Nell Irvin Painter Frantisek Palacky Erwin Panofsky Matthew Paris Geoffrey Parker Francis Parkman Vernon Louis Parrington Josef Pekar Paul Pelliot Louis A. Pérez, Jr. Edward Pessen Nikolaus Pevsner Ulrich Bonnell Phillips Philosophy of History Piero Pieri Franca Pieroni Bortolotti Ivy Pinchbeck Richard Pipes Henri Pirenne

S. F. Platonov T. F.T. Plucknett J.H . Plumb Plutarch J.G .A . Pocock Poland: to the 18th Century Poland: since the 18th Century Karl Polanyi Léon Poliakov Political and Constitutional History Polybius Karl Popper Popular History Alessandro Portelli M .M . Postan Postcolonialism Postmodernism David M. Potter Eileen Power Caio Prado Junior Raul Prebisch Prehistory William H. Prescott Giuliano Procacci Procopius Prosopography Protestantism Francis Paul Prucha Michael Psellos Quantitative Method David B. Quinn Leon Radzinowicz Marc Raeff Terence O. Ranger Raden Ngabei Ranggawarsita Nur ud-Din ar-Raniri Leopold von Ranke Fazlallah Rashid al-Dln Guillaume-Thomas Raynal The Reformation Religion Relgion(s), Comparative History of Renaissance Historical Writing Pierre Renouvin Rhetoric and History Gerhard A. Ritter James Harvey Robinson David Rock Maxime Rodinson Walter Rodney José Honorio Rodrigues Roger of Wendover Roman Empire Rosario Romeo José Luis Romero Fritz Rôrig Arthur Rosenberg Charles E. Rosenberg

ALPHABETICAL LIST OF ENTRIES Hans Rosenberg M.I. Rostovtzeff W.W. Rostow Joseph Rothschild Sheila Rowbotham George Rudé Steven Runciman Conrad Russell Russia: Medieval Russia: Early Modern (1462 - 1689) Russia: Modern (since 1690) Russia: Russian Revolution Edward W. Said Sallust Gaetano Salvemini Raphael Samuel Claudio Sânchez-Albornoz Gaetano de Sanctis Paolo Sarpi George Sarton Carl O. Sauer Friedrich Karl von Savigny Saxo Grammaticus Simon Schama Theodor Schieder Arthur M. Schlesinger, Jr. August Ludwig von Schlozer Franz Schnabel Carl E. Schorske Percy Ernst Schramm Science, History of James R. Scobie Scotland Anne Firor Scott James C. Scott Joan Wallach Scott R.W. Scribner Scriptores Historiae Augustae J.R . Seeley Maurice Séguin Charles Seignobos John Selden Ellen Churchill Semple Hugh Seton-Watson R.W. Seton-Watson Sexuality Shigeno Yasutsugu Shiratori Kurakichi Henry E. Sigerist Sima Guang Sima Qian François Simiand A.W.B. Simpson Keith Sinclair Quentin Skinner Slavery: Ancient Slavery: Modern Henry Nash Smith Merritt Roe Smith

Carroll Smith-Rosenberg Snorri Sturluson Albert Soboul Social History Sociology and History S.M. Solov ’ ev South Africa Southeast Asia R.W. Southern Spain: Islamic Spain: to 1450 Spain: Imperial Spain: Modern (since 1808) Jonathan D. Spence Oswald Spengler Sport, History of Paolo Spriano Julia Cherry Spruill Heinrich von Srbik Kenneth M. Stampp The State Leften Stavros Stavrianos Stanley J. Stein F.M. Stenton Lawrence Stone William Stubbs Subaltern Studies Karl Sudhoff Suetonius Peter F. Sugar Sweden Switzerland Heinrich von Sybel Ronald Syme Gyula Szekfü Tacitus Ronald Takaki Frank Tannenbaum R.H. Tawney A.J.P. Taylor Technology Owsei Temkin Romila Thapar Theatre Augustin Thierry Thietmar, bishop of Merseburg Joan Thirsk Hugh Thomas Keith Thomas E. P. Thompson F. M .L. Thompson Leonard Thompson Samuel E. Thorne Thucydides Charles Tilly Louise A. Tilly Alexis de Tocqueville Tsvetan Todorov Arnold J. Toynbee

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ALPHABETICAL LIST OF ENTRIES Heinrich von Treitschke G.M. Trevelyan Hugh Trevor-Roper Bruce G. Trigger Ernst Troeltsch Frederick Jackson Turner Victor Turner Berthold L. Ullman Walter Ullmann Laurel Thatcher Ulrich United States: Colonial United States: American Revolution United States: 19th Century United States: 20th Century United States: Historical Writing, 20th Century Universal History Urban History Alfred Vagts Jan Vansina Francisco Adolfo de Varnhagen A.A. Vasiliev Velleius Paterculus Franco Venturi Polydore Vergil George Vernadsky Jean-Pierre Vernant Giambattista Vico Vietnam Vietnamese Chronicles Giovanni Villani Pasquale Villari Paul Vinogradoff Voltaire Michel Vovelle Georg Waitz Judith R. Walkowitz Immanuel Wallerstein Wang Fuzhi Alan Watson W. Montgomery Watt Beatrice Webb and Sidney Webb Eugen Weber Hermann Weber

M ax Weber C.V. Wedgwood Hans-Ulrich Wehler Julius Wellhausen William Whewell Whig Interpretation of History Hayden V. White Lynn White, Jr. Widukind of Corvey Robert H. Wiebe Ulrich von Wilamovitz -Mollendorff William of Malmesbury William of Tyre Eric Williams Raymond Williams William Appleman Williams Charles H. Wilson J.J. Winckelmann Women’s History: Africa Women’s History: African American Women’s History: Asia Women’s History: Australia and New Zealand Women’s History: Europe Women’s History: India Women’s History: Latin America Women’s History: North America G.A. Wood Gordon S. Wood Carter G. Woodson C. Vann Woodward World History World War I World War II Donald Worster E.A. Wrigley Xenophon Muhammad Yamin Frances A. Yates P.A. Zaionchkovskii Jurjl Zaydan Theodore Zeldin Zhang Xuecheng Howard Zinn

THEMATIC LIST Entries by Category Reg io n s a n d Per io d s 4) Eastern and Central 5) France 6) Germany 7) Ireland 8) Italy 9) Low Countries 10) Russia and Central Asia 1 1 ) Scandinavia 12) Spain and Portugal North and South America 1) Canada 2) Latin America 3) United States

Africa Ancient World Asia 1) China 2) India 3) Japan and Korea 4) Middle East 5) Southeast Asia and Australasia Byzantium Europe 1) Medieval 2) Early Modern and Modern 3) Britain

T o pic s Military History Periods, Themes, Branches of History Political History Religion Science, Medicine, Technology, and Ecology Social History Theories and Theorists Women’s and Gender History

Art History Cultural History Demographic History Diplomatic History Economic History Intellectual History Jewish History Legal History

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THEM ATIC LIST

Reg io n s a n d Per io d s Africa Afigbo, A.E. Africa entries African Diaspora Ajayi, Jacob F. Ade Ayandele, Emmanuel Ayankami Bernal, Martin Boahen, A. Adu Coquery-Vidrovitch, Catherine Davidson, Basil Diop, Cheikh Anta

Egypt: since the 7th Century Feierman, Steven Gallagher, John Gsell, Stéphane Hargreaves, John D. lliffe, John Julien, Charles-André Laroui, Abdallah Lovejoy, Paul E. Marks, Shula

CE

Mazrui, Ali A. Ogot, Bethwell A. Oliver, Roland Ranger, Terence O. Rodney, Walter South Africa Thompson, Leonard Vansina, Jan

Ancient World Ammianus Marcellinus Bauer, Walter Beloch, Karl Julius Bernal, Martin Breasted, James Henry Brown, Peter Caesar, Julius Cassiodorus Cassius Dio Daube, David Diodorus Siculus Dionysius of Halicarnassus Droysen, J.G . Egypt: Ancient Eusebius of Caesarea

Finley, M.I. Fustel de Coulanges, Numa Gibbon, Edward Greece: Ancient Herodotus Jones, A.H .M . Josephus Livy Meyer, Eduard Momigliano, Arnaldo Mommsen, Theodor Near East: Ancient Niebuhr, B.G. Plutarch Polybius

Roman Empire Rostovtzeff, M.I. Sallust Sanctis, Gaetano de Scriptores Historiae Augustae Suetonius Syme, Ronald Tacitus Thucydides Velleius Paterculus Vernant, Jean-Pierre Watson, Alan Wilamowitz-Mollendorff, Ulrich von Xenophon

Asia : 1) China Ban Gu Chen Yinke China entries China: Historical Writing entries Eberhard, Wolfram Fairbank, John K. Gu Jiegang

Kong-zi Liang Qichao Liu Zhiji M a Huan Maspero, Henri Mongol Empire Naitö Torajirö

Needham, Joseph Pelliot, Paul Sima Guang Sima Qian Spence, Jonathan D. Wang Fuzhi Zhang Xuecheng

Asia: 2) India Blrünl, Abü Rayhän alChaudhuri, K.N. Dutt, R.C.

Eaton, Richard Maxwell Gopal, Sarvepalli Guha, Ranajit

India: since 17 5 0 Kosambi, D.D. Thapar, Romila

Asia: 3) Japan and Korea Arai Hakuseki Boxer, C.R. Gunki monogatari Hayashi School Japan

Japanese Chronicles Kitabatake Chikafusa Korea Maruyama Masao Mito School

Niida Noboru Otsuka Hisao Shigeno Yasutsugu Shiratori Kurakichi

THEM ATIC LIST Asia: 4) Middle East Bartol’d, Vasilii Vladimirovich Browne, Edward G. Byzantium Cahen, Claude Eberhard, Wolfram Hodgson, Marshall G.S. Hourani, Albert Ibn al-Athlr, ‘ Izz al-Dln Ibn Khaldun

Inalale, Halil Iran:: since 150 0 Issawi, Charles P. Kasravi, Ahmad Kedourie, Elie Köprülü, M.F. Lewis, Bernard Massignon, Louis Middle East: Medieval

Naima, Mustafa Near East: Ancient Ottoman Empire Rashid al-Dln, Fazlallah Rodinson, Maxime Said, Edward Watt, W. Montgomery Zaydàn, Jurjl

Asia: 5) Southeast Asia and Australasia Ali Haji, Raja Anderson, Benedict Australia Babad Beaglehole, John C. Bean, C.E.W. Blainey, Geoffrey Bugis and Makasar Chronicles Clark, Manning

Dening, Greg Furnivall, J.S. Grimshaw, Patricia Ileto, Reynaldo Clemena Indian Ocean Region Lake, Marilyn Le Quy Don Malay Annals New Zealand

Pacific/Oceanic History Ranggawarsita, Raden Ngabei Raniri, Nur ud-Din arScott, James C. Southeast Asia Vietnam Vietnamese Chronicles Wood, G.A. Yamin, Muhammad

Byzantium Brown, Peter Bury, J.B. Byzantium Cameron, Averil

Kazhdan, A.P. Komnene, Anna Obolensky, Dimitri Ostrogorsky, George

Procopius Psellos, Michael Runciman, Steven Vasiliev, A.A.

Europe: 1) Medieval Anglo-Saxon Chronicle Annales regni Francorum Barraclough, Geoffrey Bede Bloch, Marc Bolland, Jean Burns, Robert Ignatius Byzantium Cam, Helen Camden, William Castro, Américo Cheney, C.R. Crusades Delisle, Léopold Duby, Georges Einhard Froissart, Jean Ganshof, F.L. Giesebrecht, Wilhelm von Gilson, Etienne Gregory of Tours Guichard, Pierre Gurevich, Aron

Haller, Johannes Haskins, Charles Homer Hilton, Rodney Holy Roman Empire Hughes, Kathleen Huizinga, Johan Janssen, Johannes Kantorowicz, Ernst H. Knowles, David Krusch, Bruno Lea, Henry Charles Levi-Proven^al, Evariste Levison, Wilhelm Leyser, Karl Lopez, Roberto S. Mabillon, Jean Maitland, F.W. Medieval Chronicles Medieval Historical Writing Muratori, L.A. Orderic Vitalis Otto of Freising Paris, Matthew

Pirenne, Henri Postan, M .M . Power, Eileen Roger of Wendover Rorig, Fritz Salvemini, Gaetano Savigny, Friedrich Karl von Saxo Grammaticus Schramm, Percy Ernst Snorri Sturluson Southern, R.W. Switzerland Thietmar Thorne, Samuel E. Ullmann, Walter Vernadsky, George Villani, Giovanni Waitz, Georg White, Lynn, Jr. Widukind of Corvey William of Malmesbury William of Tyre

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THEM ATIC LIST Europe: 2) Early Modem and

Blum, Jerome Boxer, C.R. Braudel, Fernand Brenner, Robert Broué, Pierre Burckhardt, Jacob Burke,* Peter Carr, E.H. Chartier, Roger Cipolla, Carlo M. Darnton, Robert Davies, Norman Davies, R.W. Davis, Natalie Zemon Delbrùck, Hans Delumeau, Jean Deutscher, Isaac de Vries, Jan Dickens, A .G. Elliott, J.H . Enlightenment Historical Writing Europe: Modern

European Expansion Froude, J.A . Fruin, Robert Gallagher, John Gay, Peter Geyl, Pieter Gilbert, Felix Ginzburg, Carlo Giovio, Paolo Greece: Modern Guicciardini, Francesco Hobsbawm, E.J. Howard, Michael Hufton, Olwen H. Hunt, Lynn Joll, James Kelly-Gadol, Joan Kennedy, Paul M. Kristeller, Paul Oskar Machiavelli, Niccolo McNeill, William H. Mahan, Alfred Thayer

Marrus, Michael R. Mattingly, Garrett Mayer, Arno J. Mosse, George L. Motley, John Lothrop Parker, Geoffrey Raynal, Guillaume-Thomas Renaissance Historical Writing Robinson, James Harvey Rostow, W .W Schama, Simon Schorske, Carl E. Scott, Joan Wallach Scribner, R.W. Switzerland Thorne, Samuel E. Ullman, Berthold L. Venturi, Franco Vergil, Polydore Wallerstein, Immanuel Wedgwood, C.V. Yates, Frances A.

Europe: 3) Britain Acton, Lord Anderson, Perry Anglo -Saxon Chronicle Bede Briggs, Asa Britain entries British Empire Buckle, Henry Thomas Butterfield, Herbert Cam, Helen Camden, William Carlyle, Thomas Carr, E.H. Chadwick, Owen Cheney, C.R. Clapham, J.H . Clark, Alice Cole, G.D.H. Davidoff, Leonore Dickens, A.G. Dyos, H.J. Elton, G.R. Engels, Friedrich Foxe, John Froude, J.A . Gallagher, John Gardiner, Samuel Rawson Habakkuk, H.J.

Halévy, Elie Hammond, J.L. and Barbara Hexter, J.H . Hill, Christopher Hilton, Rodney Hobsbawm, E.J. Holdsworth, W.S. Holinshed, Raphael Howard, Michael Hughes, Kathleen Hume, David Jones, Gareth Stedman Knowles, David Landes, David Macaulay, Thomas Babington Maitland, F.W. Milsom, S.F.C. Namier, Lewis Paris, Matthew Pinchbeck, Ivy Plucknett, T.F.T. Plumb, J.H . Pocock, J.G .A . Radzinowicz, Leon Roger of Wendover Rostow, W.W. Rowbotham, Sheila Russell, Conrad

Samuel, Raphael Scotland Seeley, J.R . Selden, John Skinner, Quentin Southern, R.W. Stenton, F.M. Stone, Lawrence Stubbs, William Tawney, R.H. Taylor, A.J.P. Thirsk, Joan Thomas, Keith Thompson, E.P. Thompson, F.M.L. Thorne, Samuel E. Trevelyan, G.M . Trevor-Roper, Hugh Vergil, Polydore Walkowitz, Judith R. Webb, Beatrice and Sidney Wedgwood, C.V. William of Malmesbury Williams, Raymond Wilson, Charles H. Wrigley, E.A.

THEM ATIC LIST Europe: 4) Eastern and Central Austro-Hungarian Empire The Balkans Barkan, Omer Liitfi Blum, Jerome Brunner, Otto Central Europe Davies, Norman East Central Europe Fiigedi, Erik

Halecki, Oskar Jelavich, Barbara and Charles Kolakowski, Leszek Kula, Witold Lelewel, Joachim Macartney, C.A. Marczali, Henrik Palacky, Frantisek Pekar, Josef

Poland entries Polanyi, Karl Rothschild, Joseph Seton-Watson, Hugh Seton-Watson, R.W. Srbik, Heinrich von Stavrianos, Leften Stavros Sugar, Peter F. Szekfu, Gyula

Europe: 5) France Annales regni Francorum Ariès, Philippe Bloch, Marc Bodin, Jean Chartier, Roger Cobb, Richard Cobban, Alfred Corbin, Alain Darnton, Robert Davis, Natalie Zemon Delisle, Léopold Delumeau, Jean Duby, Georges Einhard Febvre, Lucien Foucault, Michel France entries

Froissart, Jean Furet, Francois Fustel de Coulanges, Numa Gilson, Etienne Godechot, Jacques Léon Gregory of Tours Guizot, François Henry, Louis Hufton, Olwen H. Hunt, Lynn Labrousse, Ernest Lavisse, Ernest Lefebvre, Georges Le Roy Ladurie, Emmanuel Marrus, Michael R. Mathiez, Albert Michelet, Jules

Mousnier, Roland Ozouf, Mona Renouvin, Pierre Rudé, George Scott, Joan Wallach Seignobos, Charles Simiand, François Soboul, Albert Thierry, Augustin Tilly, Charles Tilly, Louise A. Tocqueville, Alexis de Voltaire Vovelle, Michel Weber, Eugen Zeldin, Théodore

Europe: 6) Germany Barraclough, Geoffrey Bock, Gisela Bracher, Karl Dietrich Broszat, Martin Conze, Werner Delbrück, Hans Dopsch, Alfons Droysen , J.G . Engels, Friedrich Ennen, Edith Fischer, Fritz Gail, Lothar Gatterer, Johann Christoph Germany entries Giesebrecht, Wilhelm von Haller, Johannes Hartung, Fritz Hausen, Karin Hillgruber, Andreas

Hintze, Otto Janssen, Johannes Joll, James Kehr, Eckart Kocka, Jürgen Koonz, Claudia Koselleck, Reinhart Krusch, Bruno Kuczynski, Jürgen Lamprecht, Karl Levison, Wilhelm Lüdtke, Alf Mason, Tim Meinecke, Friedrich Miller, Susanne Mommsen, Hans Mommsen, Wolfgang J. Mosse, George L. Niethammer, Lutz

Otto of Freising Ranke, Leopold von Ritter, Gerhard A. Ròrig, Fritz Rosenberg, Arthur Rosenberg, Hans Schieder, Theodor Schnabel, Franz Schramm, Percy Ernst Scribner, R.W. Sudhoff, Karl Sybel, Heinrich von Thietmar Treitschke, Heinrich von Vagts, Alfred Waitz, Georg Weber, Hermann Wehler, Hans-Ulrich Widukind of Corvey

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THEM ATIC LIST Europe: 7) Ireland

Froude, J.A. Green, Alice Stopford

Ireland Lecky, W.E.H.

Lyons, F.S.L. Moody, T.W.

Europe: 8) Italy Baron, Hans Cantimori, Delio Chabod, Federico Cipolla, Carlo M. Croce, Benedetto De Felice, Renzo De Sanctis, Francesco Garin, Eugenio Giannone, Pietro Gilbert, Felix Ginzburg, Carlo

Giovio, Paolo Gramsci, Antonio Guicciardini, Francesco Italy entries Kelly-Gadol, Joan Machiavelli, Niccolò Mack Smith, Denis Manzoni, Alessandro Martines, Lauro Momigliano, Arnaldo Pieri, Piero

Pieroni Bortolotti, Franca Portelli, Alessandro Procacci, Giuliano Renaissance Historical Writing Romeo, Rosario Salvemini, Gaetano Sarpi, Paolo Spriano, Paolo Ullman, Berthold L. Villani, Giovanni Villari, Pasquale

Europe: 9) Low Countries de Vries, Jan Fruin, Robert Geyl, Pieter

Low Countries Motley, John Lothrop Parker, Geoffrey

Pirenne, Henri Schama, Simon

Europe: 10) Russia and Central Asia Bartol’d, Vasilii Vladimirovich Blum, Jerome Carr, E.H. Central Asia Davies, R.W. Deutscher, Isaac Karamzin, N .M .

Kliuchevskii, V.O. Lewin, Moshe Medvedev, Roy Miliukov, Pavel Pipes, Richard Platonov, S.F. Poliakov, Léon

Raeff, Marc Russia entries Solov ’ ev, Sergei Vasiliev, A.A. Vernadsky, George Vinogradoff, Paul Zaionchkovskii, P.A.

Europe: 1 1 ) Scandinavia Gurevich, Aron Heckscher, Eli F.

Saxo Grammaticus Snorri Sturluson

Sweden

Europe: 12) Spain and Portugal Boxer, C.R. Braudel, Fernand Burns, Robert Ignatius Carr, Raymond Dominguez Ortiz, Antonio

Elliott, J.H . Guichard, Pierre Lea, Henry Charles Lévi-Provençal, Evariste Maravall, José Antonio

Menéndez Pidal, Ramôn Parker, Geoffrey Sânchez-Albornoz, Claudio Spain entries Thomas, Hugh

North and South America: 1) Canada Canada Creighton, Donald Grant Eccles, W.J. Frégault, Guy

Groulx, Lionel Innis, Harold A. Lower, A .R .M . Morton, W.L.

Ormsby, Margaret A. Ouellet, Fernand Séguin, Maurice Trigger, Bruce G.

THEMATIC LIST North and South America: 2) Latin America Argentina Basadre, Jorge Bolton, Herbert E. Borah, Woodrow Boxer, C.R. Brazil Castro, Américo Central America Chevalier, François Cosío Villegas, Daniel Cuba Diaz del Castillo, Bernal Freyre, Gilberto Garcilaso de la Vega Germani, Gino

Gibson, Charles Góngora, Mario González Casanova, Pablo Halperín-Donghi, Tulio Hanke, Lewis Holanda, S.B. de Las Casas, Bartolomé de Latin America entries Lavrin, Asunción León-Portilla, Miguel Levene, Ricardo México Mitre, Bartolomé Moreno Fraginals, Manuel O ’ Gorman, Edmundo

Ortiz, Fernando Pérez, Louis A., Jr. Prado Júnior, Caio Prebisch, Raúl Prescott, William H. Raynal, Guillaume-Thomas Rock, David Rodrigues, José Honorio Romero, José Luis Scobie, James R. Stein, Stanley J. Tannenbaum, Frank Varnhagen, Francisco Adolfo de Williams, Eric

North and South America: 3) United States Adams, Henry African American History African Diaspora Ambrose, Stephen E. Andrews, Charles McLean Axtell, James Bailyn, Bernard Bancroft, George Beard, Charles A. and Mary Ritter Beard Becker, Carl L. Boorstin, Daniel J. Chandler, Alfred D., Jr. Commager, Henry Steele Commons, John R. Cott, Nancy F. Crosby, Alfred W., Jr. Curti, Merle Curtin, Philip D. Davis, David Brion Debo, Angie Degler, Carl N. Du Bois, W.E.B. Dunning, William A. Elkins, Stanley Fogel, Robert William Foner, Eric Foner, Philip S. Franklin, John Hope Genovese, Eugene D. Goldman, Eric Gordon, Linda Greene, Jack P.

Gutman, Herbert G. Handlin, Oscar Hartz, Louis Hine, Darlene Clark Hofstadter, Richard Horwitz, Morton J. Hughes, Thomas P. Jensen, Merrill Jordan, Winthrop D. Kerber, Linda K. Kessler-Harris, Alice Kolko, Gabriel La Feber, Walter Lasch, Christopher Lerner, Gerda Leuchtenburg, William Levine, Lawrence W. Lewis, David Levering Link, Arthur S. Litwack, Leon F. Mahan, Alfred Thayer Malin, James C. Meier, August Merchant, Carolyn Miller, Perry Montgomery, David Morgan, Edmund S. Morison, Samuel Eliot Mumford, Louis Nash, Gary B. Nevins, Allan Osgood, Herbert Levi

Owsley, Frank Lawrence Painter, Nell Irvin Parkman, Francis Parrington, Vernon Louis Pessen, Edward Phillips, Ulrich Bonnell Potter, David M. Prucha, Francis Paul Quinn, David B. Schlesinger, Arthur M ., Jr. Scott, Anne Firor Semple, Ellen Churchill Smith, Henry Nash Smith, Merritt Roe Smith-Rosenberg, Carroll Spruill, Julia Cherry Stampp, Kenneth M. Takaki, Ron Tocqueville, Alexis de Turner, Frederic Jackson Ulrich, Laurel Thatcher United States entries United States: Historical Writing, 20th Century Wiebe, Robert H. Williams, William Appleman Wood, Gordon S. Woodson, Carter G. Woodward, C. Vann Worster, Donald Zinn, Howard

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T o pic s Art History Art History Burckhardt, Jacob Gombrich, E.H.

Huizinga, Johan Panofsky, Erwin Pevsner, Nikolaus

Schama, Simon Winckelmann, J.J.

Cultural History Anthropology, Historical Art History The Body Bourdieu, Pierre Braudel, Fernand Burckhardt, Jacob Burke, Peter Chartier, Roger Chevalier, François China: Modern Consumerism and Consumption Corbin, Alain Cultural History Darnton, Robert Davis, David Brion

Davis, Natalie Zemon Europe: Modern Freyre, Gilberto Garin, Eugenio Gay, Peter Ginzburg, Carlo Hanke, Lewis Herder, J.G . Huizinga, Johan Hunt, Lynn Intellectual History Kôprülü, M.F. Lamprecht, Karl Mentalities, History of Miliukov, Pavel

Mosse, George L. Mumford, Lewis Ozouf, Mona Ranger, Terence O. Schorske, Carl E. Soboul, Albert Theatre Thomas, Keith Thompson, E.P. Vico, Giambattista Vovelle, Michel Williams, Raymond Zeldin, Theodore

Demographic History Annales School Cambridge Group Cipolla, Carlo M.

Demography de Vries, Jan Henry, Louis

Migration Wrigley, E.A.

Diplomatic History Ambrose, Stephen E. Annales regni francorum Butterfield, Herbert Carr, E.H. Chabod, Federico Diplomatic History Droysen, J.G . Elliott, J.H . Europe: Modern

Fischer, Fritz Gilbert, Felix Intelligence and Espionage Jelavich, Barbara and Charles Kedourie, Elie Kennedy, Paul M. Kolko, Gabriel LaFeber, Walter Mattingly, Garrett

Mayer, Arno J. Motley, John Lothrop Ranke, Leopold von Renouvin, Pierre Rodrigues, José Honorio Taylor, A.J.P. Vagts, Alfred Williams, William Appleman

Economic History Beard, Charles A. and Mary Ritter Beard Business History Cardoso, Fernando Henrique Cipolla, Carlo M. Cole, G.D.H. Economic History

Hammond, J.L. and Barbara Hill, Christopher Hilton, Rodney Hobsbawm, E.J. Industrial Revolution Otsuka Hisao

Polanyi, Karl Postan, M .M . Power, Eileen Tawney, R.H. Thompson, E.P. Vinogradoff, Paul

THEMATIC LIST Intellectual History Berlin, Isaiah Dilthey, Wilhelm Foucault, Michel Intellectual History

Lovejoy, Arthur O. Meinecke, Friedrich Pocock, J.G .A . Skinner, Quentin

Weber, M ax White, Hayden V.

Jewish History Baron, Salo Wittmayer Braham, Randolph L. Dubnov, Simon Goitein, S.D.

Graetz, Heinrich Hilberg, Raul Holocaust Jewish History

Josephus Katz, Jacob Marrus, Michael R.

Legal History Bodin, Jean Daube, David Góngora, Mario Hargreaves, John D. Holdsworth, W.S. Horwitz, Morton J.

Legal History Maitland, F.W Milsom, S.F.C. Plucknett, T.F.T. Radzinowicz, Leon Savigny, Friedrich Karl von

Simpson, A.W.B. Sinclair, Keith Vinogradoff, Paul Watson, Alan

Military History Delbriick, Hans Howard, Michael Keegan, John Kennedy, Paul M. Mahan, Alfred Thayer

Mattingly, Garrett Military History Napoleonic Wars Naval History Pieri, Piero

Schramm, Percy Ernst Thorne, Samuel E. Vagts, Alfred

Periods, Themes, Branches of Hi: African American History African Diaspora Agrarian History America: Pre-Columbian Archaeology Art History Astrology The Body Business History Childhood Comparative History Computers and Computing, History of Computing and History Consumerism and Consumption Counter-Reformation Crime and Deviance Crusades Cultural History Demography Design History Diplomatic History Documentary Film Dress Eastern Orthodoxy Ecclesiastical History Ecology Economic History Environmental History Ethnicity Ethnohistory European Expansion The Family Feminism

Feudalism Film Frontiers Gender Historical Geography Historical Maps and Atlases Historiology History Workshop Holocaust Homosexuality Imperialism Indian Ocean Region Indigenous Peoples Industrial Revolution Intellectual History Intelligence and Espionage Islamic Nations and Cultures Labor History Legal History Leisure Literature and History Local History Maritime History Marriage Marxist Interpretation of History Masculinity Media Medicine, History of Memory Mentalities, History of Metahistory Migration Military History

Musicology Napoleonic Wars Nationalism Native American History Natural Sciences, Historical Naval History Oral History Orientalism Orthodoxy, Eastern Pacific/Oceanic History Philosophy of History Political and Constitutional History Popular History Prehistory Prosopography Protestantism Quantitative Method The Reformation Religion Religions, Comparative History of Rhetoric and History Science, History of Sexuality Slavery entries Social History Sociology and History Sport, History of The State Theatre Urban History World History World War I World War II

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THEM ATIC LIST Political History

Althusser, Louis Beard, Charles A. and Mary Ritter Beard Elton, G.R. Foner, Eric Furet, François Genovese, Eugene D. Guizot, François Jones, Gareth Stedman Hartz, Louis

Hofstadter, Richard Legal History Leuchtenburg, William Macaulay, Thomas Babington Maitland, F.W. Namier, Lewis Pocock, J.G .A . Political and Constitutional History Russell, Conrad

Schama, Simon Schlesinger, Arthur M ., Jr. Seeley, J.R . Skinner, Quentin The State Stubbs, William Trevelyan, G.M .

Religion Bauer, Walter Bolland, Jean Brown, Peter Bultmann, Rudolf Catholicism/Catholic Church Chadwick, Owen Cheney, C.R. Christianity Counter-Reformation

Delumeau, Jean Dickens, A.G. Eastern Orthodoxy Foxe, John Janssen, Johannes Lea, Henry Charles Mansi, Giovanni Domenico Pagels, Elaine Protestantism

Ranke, Leopold von The Reformation Religion Religions, Comparative Sarpi, Paolo Troeltsch, Ernst Ullmann, Walter Wellhausen, Julius

Science, Medicine, Technology, and Ecology Crosby, Alfred W , Jr. Dilthey, Wilhelm Duhem, Pierre Fleck, Ludwig Garin, Eugenio Heilbron, J.L. Hughes, Thomas P. Kuhn, Thomas S. Mach, Ernst Malin, James C.

Medicine, History of Merchant, Carolyn Merton, Robert K. Mumford, Lewis Needham, Joseph Rosenberg, Charles E. Sarton, George Sauer, Carl O. Science, History of Semple, Ellen Churchill

Sigerist, Henry E. Smith, Merritt Roe Sudhoff, Karl Technology Temkin, Owsei Trigger, Bruce G. Vico, Giambattista Whewell, William White, Lynn, Jr. Worster, Donald

Social History Althusser, Louis Annales School Bloch, Marc Braudel, Fernand Cobb, Richard Cole, G.D.H. Conze, Werner Corbin, Alain Gutman, Herbert G. Hammond, J.L. and Barbara Hill, Christopher Hilton, Rodney History Workshop

Hobsbawm, E.J. Hunt, Lynn Lamprecht, Karl Lefebvre, Georges M arx, Karl Marxist Interpretation of History Mathiez, Albert Montgomery, David Pinchbeck, Ivy Plumb, J.H. Power, Eileen Scott, Joan Wallach Seignobos, Charles

Simiand, François Soboul, Albert Social History Tawney, R.H. Thomas, Keith Thompson, E.P. Thompson, F.M.L. Tilly, Charles Trevelyan, G.M . Webb, Beatrice and Sidney Weber, M ax

THEMATIC LIST Theories and Theorists Althusser, Louis Anderson, Benedict Anderson, Perry Annales School Anthropology, Historical Ariès, Philippe Barraclough, Geoffrey Begriffsgeschichte Berlin, Isaiah Bernai, Martin Bloch, Marc Bodin, Jean Bourdieu, Pierre Braudel, Fernand Buckle, Henry Thomas Burckhardt, Jacob Butterfield, Herbert Cambridge Group Cardoso, Fernando Henrique Carlyle, Thomas Carr, E.H. Cassirer, Ernst Chandler, Alfred D., Jr. Chartier, Roger Cipolla, Carlo M. Collingwood, R.G.

Comte, Auguste Croce, Benedetto Dening, Greg Dilthey, Wilhelm Engels, Friedrich Erikson, Erik H. Foucault, Michel Freud, Sigmund Gatterer, Johann Christoph Gay, Peter Geertz, Clifford Gramsci, Antonio Habermas, Jurgen Hegel, G.W.F. Henry, Louis Herder, J.G History from Below James, C.L.R. Kiernan, V.G. Kong-zi Lovejoy, Arthur O. McLuhan, Marshall M arx, Karl Montesquieu Moore, Barrington, Jr. Nietzsche, Friedrich

Popper, Karl Postcolonialism Postmodernism Ranke, Leopold von Rhetoric and History Said, Edward W. Schlôzer, August Ludwig von Schorske, Carl E. Scott, James C. Simiand, François Spengler, Oswald Subaltern Studies Tilly, Charles Todorov, Tsvetan Toynbee, Arnold J. Turner, Victor Universal History Villari, Pasquale Voltaire Vovelle, Michel Weber, M ax Whig Interpretation of History White, Hayden V. Williams, Raymond

Women’s and Gender History Bock, Gisela Clark, Alice Cott, Nancy F. Davidoff, Leonore Davis, Natalie Zemon Gordon, Linda Grimshaw, Patricia Hausen, Karin Hine, Darlene Clark Hufton, Olwen H.

Kelly-Gadol, Joan Kerber, Linda K. Kessler-Harris, Alice Koonz, Claudia Lake, Marilyn Lavrin, Asuncion Lerner, Gerda Painter, Nell Irvin Pieroni Bortolotti, Franca Pinchbeck, Ivy

Rowbotham, Sheila Scott, Anne Firor Scott, Joan Wallach Smith-Rosenberg, Carroll Spruill, Julia Cherry Tilly, Louise A. Ulrich, Laurel Thatcher Walkowitz, Judith R. Women’s History entries

xxxiii

CHRONOLOGICAL LIST OF HISTORIANS 12 7 6 - 13 4 8 12 9 3 - 13 5 4 13 3 2 - 14 0 6 ^ 13 3 7 - a fte r 1404 ^ • 1 4 1 3 - 3 3

O

14 6 9 - 15 2 7 i 470 (?) - I 555 (?) 14 7 4 - 15 6 6

H

Kong-zi [Confucius] Herodotus Thucydides Xenophon Polybius Sima Qian Diodorus Siculus Julius Caesar Sallust Dionysius of Halicarnassus Livy Velleius Paterculus Ban Gu Josephus Plutarch Tacitus Suetonius Cassius Dio Eusebius of Caesarea Ammianus Marcellinus Cassiodorus Procopius Gregory of Tours Liu Zhiji Bede Einhard Widukind of Corvey Abü Rayhän al-Blrünl Thietmar, bishop of Merseburg Michael Psellos Sima Guang Orderic Vitalis Anna Komnene William of Malmesbury Otto of Freising William of Tyre Tzz al-Dln Ibn al-Athlr Snorri Sturluson Saxo Grammaticus Matthew Paris Roger of Wendover Fazlallah Rashid al-Dln

00 04 1 H

5 51 - 4 7 9 BCE c.484 - after 424 BCE C.460/455-C.399 BCE C.428 -C.354 BCE C.200 - C.II8 BCE C.145 - C.87 BCE C.IO4-C.20 BCE IOO-44 BCE 86 - 35 BCE c.6o -after 7 b c e 59 BCE - c.17 CE c. 20/19 BCE-after 30 CE c. 32 - 9 2 CE 37/8-C.94 CE before 50 - after 12 0 CE c.56 - after 1 1 8 CE cr.70-cr.140 CE C. 15 0 — 23 5 CE cr.265 - 3 3 9 CE C.330 -C.395 CE cr.487-c.585 c.500 - after 542 538/9 -594/5 6 6 1-7 2 1 c.672/3 - 735 c.770 - 840 c.925 - after 973 973 - C .1050 9 7 5 - 10 18 10 18 - after 10 8 1 10 19 - 10 8 6 10 7 5 - 114 0 / 3 10 8 3 - c .i 153/4 C.1090 - C.1143 c. 1 1 1 4 - 1 1 5 8 c .1 1 3 0 - 1 1 8 6 116 0 - 12 3 3 117 8 / 9 - 12 4 1 fl. 118 5 - 12 0 8 C.1200 - C.1259 d. 12 3 6 1 2 4 7 - 13 18

C .I486 - I552 c. 14 9 2 - 15 8 4 I 5 16 - I 5 8 7 I529/3O - I5 96 15 3 9 - 16 16 15 5 1-16 2 3 15 5 2 - 16 2 3 /Z.1560 - 80 15 8 4 - 16 5 4 15 9 6 - 16 6 5 16 19 - 16 9 2 16 32 - I7O 7 16 5 5 - 17 1 6 16 5 7 - 17 2 5 d. 1658 I6 6 8 - I744

I672-I75O I676-I748

1689 - 1755

I692-I769

1694 - 1778

I7 I I - I7 7 6

I 7 I 3 " I 79 ^ 17 1 7 - 17 6 8 C.1726 - C.1784 17Z 9 -179 9

735 - i 8°9 I 737 ” i 794 i

17 3 8 - 18 0 1 17 4 4 - 18 0 3 17 6 6 - 18 2 6 17 7 0 - 18 3 1 17 7 6 - 18 3 1 XXXV

Giovanni Villani Kitabatake Chikafusa Ibn Khaldun Jean Froissart Ma Huan Niccolò Machiavelli Polydore Vergil Bartolomé de Las Casas Francesco Guicciardini Paolo Giovio Bernal Diaz del Castillo John Foxe Jean Bodin Garcilaso de la Vega William Camden Paolo Sarpi Raphael Holinshed John Selden Jean Bolland Wang Fuzhi Jean Mabillon Mustafa Naima Arai Hakuseki Nur ud-Din ar-Raniri Giambattista Vico L.A. Muratori Pietro Giannone Montesquieu Giovanni Domenico Mansi Voltaire David Hume Guillaume-Thomas Raynal J.J. Winckelmann Le Quy Don Johann Christoph Gatterer August Ludwig von Schlòzer Edward Gibbon Zhang Xuecheng J.G . Herder N.M . Karamzin G.W.F. Hegel B.G. Niebuhr

x x xv i

CH RO NO L OG IC AL LIST OF HISTORIANS

17 7 9 - 18 6 1 17 8 5 - 18 7 3 17 8 6 - 18 6 1 17 8 7 - 18 7 4 17 9 4 - 18 6 6 I 795~I 881 i 795 - í 886 17 9 5 - 18 5 6 17 9 6 - 18 5 9 17 9 8 - 18 5 7 17 9 8 - 18 7 4 17 9 8 - 18 7 6 18 0 0 - 18 9 1 18 0 0 - 18 59 18 0 2 - 18 7 3 18 0 5 - 18 5 9 18 0 8 - 18 8 4 C.1809 - C.1870 18 13 - 18 8 6 18 14 - 18 8 9 18 1 4 - 18 7 7 18 16 - 18 7 8 18 17 - 18 8 3 18 17 -18 9 1 18 17 - 19 0 3 18 17 - 18 9 5 18 18 - 18 9 7 18 18 - 18 9 4 18 18 - 18 8 3 18 2 0 - 18 9 5 18 2 0 - 18 7 9 18 2 1 - 18 6 2 18 2 1 - 19 0 6 18 2 3 - 18 9 9 18 2 3 - 18 9 3 18 2 5 - 19 0 9 18 2 5 - 19 0 1 18 2 6 - 19 10 18 2 7 - 19 17 18 2 7 - 19 10 18 2 9 - 19 0 2 18 2 9 - 18 9 1 18 3 0 - 18 8 9 18 3 3 -19 11 18 3 4 - 19 0 2 18 3 4 - 18 9 5 18 3 4 - 18 9 6 18 3 8 - 19 18 18 3 8 - 19 0 3 18 3 8 - 19 16 18 4 0 - 19 14 18 4 1-19 11 18 4 2 - 19 2 2 18 4 4 - 19 0 0 18 4 4 - 19 18 18 4 7 - 19 2 9 18 4 8 - 19 29 184 8 - 19 0 9 18 4 8 - 19 3 1 18 5 0 - 19 0 6

Friedrich Karl von Savigny Alessandro Manzoni Joachim Lelewel François Guizot William Whewell Thomas Carlyle Leopold von Ranke Augustin Thierry William H. Prescott Auguste Comte Jules Michelet Frantisek Palackÿ George Bancroft Thomas Babington Macaulay Raden Ngabei Ranggawarsita Alexis de Tocqueville J.G . Droysen Raja Ali Haji Georg Waitz Wilhelm von Giesebrecht John Lothrop Motley Francisco Adolfo de Varnhagen Francesco De Sanctis Heinrich Graetz Theodor Mommsen Heinrich von Sybel Jacob Burckhardt J.A . Froude Karl M arx Friedrich Engels S.M. Solov ’ev Henry Thomas Buckle Bartolomé Mitre Robert Fruin Francis Parkman Henry Charles Lea William Stubbs Léopold Delisle Pasquale Villari Shigeno Yasutsugu Samuel Rawson Gardiner Johannes Janssen Numa Fustel de Coulanges Wilhelm Dilthey Lord Acton J.R . Seeley Heinrich von Treitschke Henry Adams W.E.H. Lecky Ernst Mach Alfred Thayer Mahan V.O. Kliuchevskii Ernest Lavisse Friedrich Nietzsche Julius Wellhausen Alice Stopford Green Hans Delbriick R.C. Dutt Ulrich von Wilamovitz -Mollendorff F.W. Maitland

18 5 3 - 19 3 8 18 5 4 - 19 2 9 18 5 4 - 19 4 2 18 5 4 - 19 2 5 18 5 5 - 19 3 0 1:8 5 5 - 19 18 18 5 6 - 19 3 9 18 5 6 - 19 15 18 5 6 - 19 4 0 18 5 7 - 19 2 2 18 5 7 - 19 4 0 18 5 8 - 19 4 3 18 5 9 - 19 4 3 18 5 9 - 19 4 7 18 6 0 - 19 4 1 18 6 0 - 19 3 3 18 6 1 - 19 2 7 18 6 1-19 16 18 6 1 - 19 4 0 18 6 1 - 19 3 2 18 6 1-19 14 18 6 2 - 19 2 6 18 6 2 - 19 4 5 18 6 2 - 19 5 4 18 6 2 - 19 3 5 18 6 3 - 19 4 3 18 6 3 - 19 3 6 18 6 3 - 19 3 2 18 6 4 - 19 3 2 18 6 4 - 19 20 18 6 5 - 19 3 5 18 6 5 - 19 4 7 18 6 5 - 19 4 2 18 6 5 - 19 2 3 18 6 5 - 19 2 8 18 6 6 - 19 5 2 18 6 6 - 19 34 18 6 7 - 19 5 3 18 6 8 - 19 5 3 18 6 8 - 19 6 3 18 6 9 - 19 3 0 18 6 9 - 196 8 18 7 0 - 19 5 3 18 7 0 - 19 3 7 18 7 0 - 19 3 7 18 7 0 - 19 3 7 18 7 0 - 19 5 2 18 7 0 - 19 5 7 18 7 1 - 19 4 4 18 7 1 - 19 2 9 18 7 2 - 19 4 9 18 7 2 - 19 4 5 18 7 3 - 19 4 5 18 7 3 - 19 4 6 18 7 3 - 19 6 1 18 7 3 - 19 2 9 18 7 3 - 19 6 2 18 7 3 - 19 5 7 18 7 3 - 19 3 5 18 7 4 - 19 4 8

Karl Sudhoff Karl Julius Beloch Charles Seignobos Paul Vinogradoff Eduard Meyer Herbert Levi Osgood Sigmund Freud Karl Lamprecht Henrik Marczali William A. Dunning Bruno Krusch Beatrice Webb Pavel Miliukov Sidney Webb Simon Dubnov S.E Platonov J.B. Bury Pierre Duhem Otto Hintze Frederick Jackson Turner Jurj! Zaydân Edward G. Browne John R. Commons Friedrich Meinecke Henri Pirenne Charles McLean Andrews James Harvey Robinson Ellen Churchill Semple Stéphane Gsell M ax Weber James Henry Breasted Johannes Haller Shiratori Kurakichi Ernst Troeltsch G.A. Wood Benedetto Croce Naitó Torajirô A.A. Vasiliev Alfons Dopsch W.E.B. Du Bois Vasilii Vladimirovich Bartol’ d Ramón Menéndez Pidal Herbert E. Bolton Elie Halévy Charles Homer Haskins Josef Pekar M.I. Rostovtzeff Gaetano de Sanctis W.S. Holdsworth Vernon Louis Parrington J.L . Hammond Johan Huizinga Carl L. Becker J.H . Clapham Barbara Hammond Liang Qichao Arthur O. Lovejoy Gaetano Salvemini François Simiand Charles A. Beard

CH RON OL OGI CA L LIST OF HISTORIANS 18 7 4 - 19 4 5 18 7 4 - 19 3 4 18 7 4 - 19 5 9 18 7 4 - 19 3 2 18 7 5 - 19 5 0 I8 76 - I9 58 18 7 6 - 19 4 7 I8 76 - I9 6 2 I877 - I96O 18 7 7 - 19 3 4 I8 7 8 - I9 5 6 1878 - I96O I 8 7 8 - I 967 18 7 8 - 19 4 5 I8 7 8 - I9 5 I 18 79 - I9 6 8 18 7 9 - 19 5 2 18 7 9 - 19 5 1 I88O - I97I I88O - I936 I88O - I967 I88O - I962 I8 8 I - I9 6 9 i 8 8 2 - I9 52 I8 8 2 - I9 6 5 I8 8 3 - I9 6 7 18 8 3 - 19 4 5 I8 8 3 - I9 6 2 18 8 3 - 19 5 5 18 8 4 - I9 76 I8 8 4 - I9 78 I8 8 4 - I9 56 18 8 5 - I9 6 8 I8 8 5 - I9 7 2 18 8 5 - 19 5 9 I886 - I9 44 I886 - I9 64 I8 8 7 - I9 6 6 18 8 7 - I9 7 6 I8 8 7 - I9 6 6 18 8 7 - 19 7 3 I888 - I96O I8 8 8 - I9 6 7 I889 - I9 59 I889 - I9 43 I889 - I988 I889 - I94O I889 - I9 43 18 8 9 - 19 7 5 18 8 9 - 19 7 5 I89O - I988 I89O - I946 I89O - I966 I89O - I97I I89O - I956 I89O - I969 18 9 1 - 19 3 7 18 9 1 - 19 7 3 I8 9 I - I9 8 9 18 9 1 - 19 5 7

Ernst Cassirer Alice Clark Georges Lefebvre Albert Mathiez Carter G. Woodson Mary Ritter Beard Wilhelm Levison G.M . Trevelyan Walter Bauer Ulrich Bonnell Phillips Lucien Febvre J.S. Furnivall Lionel Groulx Paul Pelliot Heinrich von Srbik C.E.W. Bean Eli F. Heckscher R.W. Seton-Watson Lawrence Henry Gipson Oswald Spengler F.M. Stenton R.H. Tawney Fernando Ortiz Fritz Rôrig Berthold L. Ullman Fritz Hartung Henri Maspero Louis Massignon Gyula Szekfu Rudolf Bultmann Etienne Gilson George Sarton Helen Cam Américo Castro Ricardo Levene Marc Bloch Karl Polanyi Pieter Geyl Samuel Eliot Morison Franz Schnabel George Vernadsky Lewis Namier Gerhard A. Ritter G.D.H. Cole R.G. Collingwood A.R.M . Lower Eileen Power Arthur Rosenberg Carl O. Sauer Arnold J. Toynbee Angie Debo Ahmad Kasravi M.F. Kôprülü Allan Nevins Frank Lawrence Owsley Chen Yinke Antonio Gramsci Oskar Halecki Charles-André Julien Henry E. Sigerist

18 9 2 - 19 8 2 18 9 2 - 19 6 8 18 9 2 - 19 8 6 18 9 3 - 19 8 0 18 9 3 - 19 7 9 ï 893 - ï 974 18 9 3 - 19 7 4 I8 9 3 - I9 8 4 I8 9 3 - I 969 18 9 4 - 19 5 2 I8 9 4 - I9 56 I894 - I97O I8 9 5 - I98 9 I895 - I98O 18 9 5 - 19 6 3 I89 5 - I98 8 18 9 5 - 19 7 8 I895 - I99O I8 9 6 - I9 6 I I89 6 - I9 74 I89 7 - I9 9 6 18 9 7 - 19 6 5 I8 9 8 - I9 8 2 I8 9 8 - I976 I8 9 8 - I9 8 2 I8 9 9 - I9 8 I I89 9 - I9 86 I8 9 9 - I9 8 I I9OO -I988

1900 - 1979

I9OO -I987 I9OO-I98O 19 0 0 - 19 6 2

1900 - 1995

I9 0 I-I9 7 I I9OI - I96O I9O I - I968 I9O I - I989 19 0 1 - 19 8 6 19 0 2 - 19 8 5 19 0 2 - 19 9 8 19 0 2 - 19 7 9 19 0 2 - 19 9 4 19 0 2 - 19 8 2 19 0 2 - 19 3 3 19 0 2 - 19 7 6 19 0 2 - 19 8 3 19 0 2 - 19 9 4 19 0 2 19 0 3 - 19 8 0 19 0 3 19 0 3 - 19 8 9 19 0 3 - 19 6 2 19 0 4 19 0 4 - 19 6 6 19 0 4 - 19 7 0 19 0 4 19 0 4 - 19 9 7 19 0 4 - 19 6 6 19 0 4 - 19 88

E.H. Carr Erwin Panofsky Alfred Vagts Gu Jiegang James C. Malin Piero Pieri Pierre Renouvin Claudio Sánchez-Albornoz Frank Tannenbaum Harold A. Innis Evariste Lévi-Proven$al Percy Ernst Schramm Salo Wittmayer Baron F.L. Ganshof Ernst H. Kantorowicz Ernest Labrousse C.A. Macartney Lewis Mumford Ludwig Fleck David Knowles Merle Curti T.F.T. Plucknett Otto Brunner Daniel Cosío Villegas Ivy Pinchbeck M .M . Postan Julia Cherry Spruill Frances A. Yates Hans Baron Herbert Butterfield Gilberto Freyre S.D. Goitein Garrett Mattingly Joseph Needham John C. Beaglehole Federico Chabod Alfred Cobban C.L.R. James Raúl Prebisch Fernand Braudel Henry Steele Commager Donald Grant Creighton Erik H. Erikson S.B. de Holanda Eckart Kehr George Ostrogorsky Nikolaus Pevsner Karl Popper Owsei Temkin Jorge Basadre Steven Runciman Ronald Syme Muhammad Yamin C.R. Boxer Delio Cantimori A.H.M . Jones Jacob Katz Jürgen Kuczynski Niida Noboru Hans Rosenberg

XXXVÜ

xxxviii

CHR ONO LO GIC AL LIST OF HISTORIANS

19 0 4 - 19 8 3 i 905 (? ) - i 979 19 0 5 - 19 9 1 19 0 5 - 19 9 3 19 0 5 - 19 8 0 19 0 5 19 0 5 - 19 6 3 19 0 6 - 19 8 7 19 0 6 - 19 9 5 19 0 6 19 0 6 - 19 8 6 19 0 6 - 19 9 0 19 0 7 - 19 6 7 19 0 7 19 0 7 - 19 9 1 19 0 7 - 19 8 9 19 0 7 - 19 6 6 19 0 7 - 19 8 4 19 0 7 - 19 9 3 19 0 7 - 19 9 6 19 0 7 - 19 9 0 19 0 7 19 0 7 - 19 8 7 19 0 8 - 19 8 4 19 0 8 19 0 8 - 19 8 7 19 0 8 - 19 8 0 19 0 8 - 19 8 4 19 0 8 19 0 9 - 19 9 7 19 0 9 - 19 9 1 19 0 9 19 0 9 19 0 9 - 19 89 19 0 9 19 0 9 19 0 9 - 19 9 6 19 0 9 19 0 9 - 19 7 7 19 0 9 19 10 - 19 8 6 19 10 19 10 - 19 9 4 19 10 - 19 9 6 19 10 - 19 8 6 19 10 19 10 - 19 9 7 19 10 -19 7 1 19 10 - 19 9 3 19 10 - 19 8 3 19 10 - 19 9 7 19 11-19 7 9 19 11-19 9 1 19 11-19 8 0 19 11-19 8 6 19 1119 11-19 8 1 19 12 19 12 - 19 8 6 19 12 -

P.A. Zaionchkovskii Ômer Liitfi Barkan Felix Gilbert Lewis Hanke Merrill Jensen Paul Oskar Kristeller Perry Miller C.R. Cheney Edmundo O ’ Gorman Leon Radzinowicz Henry Nash Smith A.J.P. Taylor Isaac Deutscher Edith Ennen John K. Fairbank Jacques Léon Godechot D.D. Kosambi T.W. Moody Roland Mousnier Otsuka Hisao Caio Prado Junior Samuel E. Thorne Lynn White, Jr. Geoffrey Barraclough Fritz Fischer Arnaldo Momigliano W.L. Morton Theodor Schieder C. Vann Woodward Isaiah Berlin Claude Cahen David Daube Antonio Dominguez Ortiz Wolfram Eberhard Eugenio Garin E.H. Gombrich Margaret A. Ormsby David B. Quinn José Luis Romero W. Montgomery Watt Werner Conze A.G. Dickens Philip S. Foner J.H . Hexter Robert S. Lopez Robert K. Merton Léon Poliakov David M. Potter George Rudé Walter Ullmann C.V. Wedgwood Gino Germani Louis Henry Marshall McLuhan José Antonio Maravall J.H . Plumb Eric Williams Woodrow Borah M.I. Finley Christopher Hill

19 12 19 12 19 13 - 19 9 3 19 13 19 13 19 13 - 19 8 7 19 13 19 14 - 19 8 4 19 14 19 14 19 14 19 14 - 19 9 6 19 14 - 19 8 2 19 14 19 14 19 1 4 19 14 - 19 9 1 19 15 -19 9 1 19 15 19 15 - 19 8 9 19 15 - 19 8 5 19 15 19 15 19 15 - 19 9 3 19 15 19 15 19 15 1 9 16 19 16 - 19 9 3 19 16 19 16 - 19 7 0 19 16 19 16 19 16 - 19 8 8 19 16 19 16 19 16 19 16 - 19 8 4 19 16 19 17 - 19 9 6 19 17 19 17 19 17 19 17 19 18 - 19 9 0 19 18 19 18 - 19 7 7 19 18 - 19 9 4 19 18 19 18 19 18 - 19 8 4 19 1 9 19 19 - 19 9 6 19 19 - 19 8 0 19 19 - 19 8 6 19 1 9 19 19 19 20 - 19 8 5 19 2 0 19 2 0 - 19 9 2

R.W. Southern Kenneth M. Stampp Jerome Blum V.G. Kiernan Barrington Moore, Jr. José Honório Rodrigues Leften Stavros Stavrianos Philippe Ariès Daniel J. Boorstin François Chevalier Basil Davidson Maruyama Masao Albert Soboul Hugh Trevor-Roper Franco Venturi Jean-Pierre Vernant Charles H. Wilson Manning Clark John Hope Franklin Eric Goldman Mario Góngora H.J. Habakkuk Oscar Handlin Albert Hourani Susanne Miller Maxime Rodinson Carl E. Schorske Owen Chadwick Erik Fiigedi Rodney Hilton Richard Hofstadter Halil Inalcik Charles P. Issawi Witold Kula Bernard Lewis Edmund S. Morgan W.W. Rostow Hugh Seton-Watson Leonard Thompson Richard Cobb W.J. Eccles E.J. Hobsbawm William H. McNeill Arthur M. Schlesinger, Jr. Louis Althusser Alfred D. Chandler, Jr. Guy Frégault James Joli George L. Mosse Dimitri Obolensky Maurice Séguin Raymond Carr Georges Duby John Gallagher Louis Hartz Lawrence Stone Peter F. Sugar Charles Gibson Gerda Lerner Karl Leyser

CH RON OL OGI CA L LIST OF HISTORIANS 19 2 0 19 2 0 19 2 0 19 2 0 - 19 9 2 19 2 0 19 2 0 - 19 8 3 19 2 119 2 119 2 119 2 1 - 19 7 8 I9 2 I - I9 9 4 19 2 119 2 119 2 1I9 2 I - I9 9 0 19 2 1 - 19 8 8 19 2 2 19 2 2 19 2 2 19 2 2 19 2 2 19 2 2 19 2 2 19 2 2 - 19 6 8 19 2 2 19 2 2 19 2 2 - 19 9 7 19 2 2 - 19 9 6 19 2 2 19 2 2 - 19 9 3 19 2 2 19 2 2 Ï 923 19 2 3 - 19 8 5 19 2 3 19 2 3 19 2 3 19 2 3 - 19 9 5 Í 923 19 2 3 - 19 8 3 19 2 3 19 2 3 Ï 923 Í 923 Ï 923 Ï 924 Ï 924 Ï 924 Ï 924 19 2 4 - 19 8 7 19 2 4 - 19 9 3 19 2 5 19 2 5 19 2 5 - 19 8 9 Ï 925 19 2 5 - 19 8 5 19 2 5 - 19 8 8 19 2 5 19 2 5 19 2 6 -

Arthur S. Link Denis Mack Smith Manuel Moreno Fraginals Edward Pessen Stanley J. Stein Victor Turner Asa Briggs Robert Ignatius Burns Carl N. Degler H.J. Dyos G.R. Elton Moshe Lewin Francis Paul Prucha Anne Firor Scott William Appleman Williams Raymond Williams Bernard Bailyn Karl Dietrich Bracher Randolph L. Braham Carlo M. Cipolla Philip D. Curtin Pablo González Casanova Ranajit Guha Marshall G.S. Hodgson Michael Howard Charles Jelavich A.P. Kazhdan Thomas S. Kuhn William E. Leuchtenburg Keith Sinclair Joan Thirsk Howard Zinn Jean Delumeau Cheikh Anta Diop Peter Gay Sarvepalli Gopal Thomas P. Hughes Barbara Jelavich Reinhart Koselleck F.S.L. Lyons August Meier S.F.C. Milsom Roland Oliver Richard Pipes Marc Raeff Aron Gurevich John D. Hargreaves David S. Landes J.G .A . Pocock Rosario Romeo E.P. Thompson R.W. Davies Stanley Elkins Andreas Hillgruber Roy Medvedev Franca Pieroni Bortolotti Paolo Spriano F.M.L. Thompson Eugen Weber Pierre Broué

19 26 - 19 8 9 19 2 6 19 26 - 19 8 4 19 2 6 19 2 6 19 2 6 19 2 6 - 19 7 7 19 2 6 - 19 9 2 19 2 6 19 2 6 19 2 6 19 2 6 19 2 7 19 2 7 - 19 9 7 19 2 7 19 2 7 19 2 7 19 2 8 19 2 8 - 19 8 5 19 2 8 - 19 8 2 19 2 8 19 2 8 19 2 9 19 29 - 19 9 6 19 2 9 19 2 9 19 2 9 19 2 9 19 2 9 19 2 9 - 19 8 1 19 2 9 Ï 929 -

I 93 ° I 93 ° ï 93 ° I 93 ° -

I 9 3 °~

I 93 ° I 93 ° I 93 ° I 93 ° C.1930S C.1930S I 9 3 I_ I 9 3 I_ I93II 9 3 IÏ93ÏI 9 3 IÏ931Í931-

I 9 3 IÏ931Ï931Ï 932 Í 932 Ï 932 Ï 932 - Ï 994 19 3 3 -

1933 ”

Martin Broszat Robert William Fogel Michel Foucault Clifford Geertz Tulio Halperin -Donghi Raul Hilberg Kathleen Hughes Elie Kedourie Miguel León-Portilla Arno J. Mayer Fernand Ouellet Giuliano Procacci David Brion Davis François Furet Leszek Kotakowski Lauro Martines David Montgomery Natalie Zemon Davis Herbert G. Gutman Joan Kelly -Gadol Hermann Weber Hayden V. White Jacob F. Ade Ajayi Renzo De Felice Jürgen Habermas Emmanuel Le Roy Ladurie Leon F. Litwack Bethwell A. Ogot Terence O. Ranger James R. Scobie Charles Tilly Jan Vansina Geoffrey Blainey Pierre Bourdieu J.H . Elliott Eugene D. Genovese Hans Mommsen Wolfgang J. Mommsen Louise A. Tilly Immanuel Wallerstein Robert H. Wiebe Asuncion Lavrin Mona Ozouf Fernando Henrique Cardoso Alfred W Crosby, Jr. Greg Dening Jack P. Greene Winthrop D. Jordan Joseph Rothschild A.W.B. Simpson Romila Thapar Hugh Thomas Hans-Ulrich Wehler E.A. Wrigley A. Adu Boahen Leonore Davidoff Gabriel Kolko Christopher Lasch Walter LaFeber Abdallah Laroui

xxxix

xl

CH RO NO LO GIC AL LIST OF HISTORIANS

1933 “

19 3 3 1933 “ 1933 “ 1933 “ 1933 “ 19 3 3 19 3 3 19 3 4 1934 “ 19 3 4 19 3 4 - 19 9 6 19 3 5 19 3 5 19 3 5 19 3 6 Ï 936 Ï 936 î 936 Ï 936 Î 936 Ï 936 Ï 936 Ï 936 Ï 936 Î 936 Ï 936 ! 937 “ Ï 937 I 937 ~ I 937 ~ T937 “ Ï 938 Ï 938 Ï 938 Ï 938 Î 938 Ï 938 Î 939 Ï 939 Ï 939 Ï 939 Ï 939 -

Lawrence W. Levine Ali A. Mazrui Gary B. Nash Keith Thomas Michel Vovelle Alan Watson Gordon S. Wood Theodore Zeldin K.N. Chaudhuri J.L. Heilbron John Keegan Raphael Samuel Peter Brown Catherine Coquery-Vidrovitch Edward W. Said Stephen E. Ambrose Benedict Anderson Emmanuel Ayankami Ayandele Alain Corbin Lothar Gall David Levering Lewis Shula Marks Carolyn Merchant Charles E. Rosenberg James C. Scott Carroll Smith-Rosenberg Jonathan D. Spence A.E. Afigbo Martin Bernal Peter Burke Conrad Russell Bruce G. Trigger Perry Anderson Patricia Grimshaw Karin Hausen Morton J. Horwitz Olwen H. Hufton Laurel Thatcher Ulrich Robert Darnton Norman Davies Carlo Ginzburg Pierre Guichard John Iliffe

19 3 9 19 3 9 19 3 9 19 4 0 19 4 0 19 4 0 19 4 0 19 4 0 19 4 0 - 19 9 0 19 4 0 19 4 0 C.1940S 19 4 1 19 4 1 19 4 1 19 4 119 4 1 19 4 1 - 19 9 8 19 4 1 19 4 2 19 4 2 19 4 2 19 4 2 19 4 2 - 19 8 0 19 4 3 19 4 3 19 4 3 19 4 3 19 4 3 19 4 3 19 4 3 19 4 3 19 4 3 19 4 5 19 4 5 19 4 5 19 4 5 19 4 5 19 4 5 19 4 5 19 4 6 19 4 7 19 4 9 -

Lutz Niethammer Ronald Takaki Tsvetan Todorov Averil Cameron Richard Maxwell Eaton Steven Feierman Linda Gordon Linda K. Kerber Tim Mason Quentin Skinner Merritt Roe Smith Claudia Koonz James Axtell Alice Kessler-Harris Jürgen Kocka Michael R. Marrus Joan Wallach Scott R.W. Scribner Donald Worster Gisela Bock Gareth Stedman Jones Nell Irvin Painter Alessandro Portelli Walter Rodney Robert Brenner Jan de Vries Eric Foner Paul E. Lovejoy Alf Lüdtke Elaine Pagels Geoffrey Parker Louis A. Pérez, Jr. Sheila Rowbotham Roger Chartier Nancy F. Cott Lynn Hunt Paul M. Kennedy David Rock Simon Schama Judith R. Walkowitz Reynaldo Clemena Ileto Darlene Clark Hine Marilyn Lake

INTRODUCTION

Rethinking History? The writing o f history has undergone a transformation in the past forty years. N e w historical methods, questions, sources, and topics have altered not only the public ’s perception o f history, but the w a y the profession examines itself. From a discipline m ainly concerned with affairs of state, it has moved to one where the com m on man and wom an are probed for their recollections o f how they lived their everyday lives. Historians no w touch on everything from the sacred to the mundane. The present book reflects this metamorphosis o f the subject. A volume published on historians and historical writing forty years ago w ould have had three notable features. First, it w ould have been dominated by the men w ho have recorded and analyzed the past. W hether they were chroniclers or interpreters o f the past, men dominated the ranks of historical writers. Second, with one or tw o excep tions these men w ould all have been part o f a tradition that focused on Western civi lization, initially centered on the classical w orld, but later shifting to the places where Europeans had made some inroads. A n entry or tw o might have been reserved for the great historians o f the Islamic w orld or China, but the ranks w ould have overflowed with Europeans and N orth Am ericans. Finally, most o f the writers w ould have been practitioners o f political or diplomatic history. H istory (and its sister art, biography) w as seen to be the story o f nations and nation building. The most prominent practi tioners wrote about kings and presidents, parliaments and political movements. Those w ho focused on other aspects had their w o rk qualified in its description as, for example, “ econom ic ” or “ intellectual” history.1 A n encyclopedia today that limited itself to m ostly male historians o f European or Am erican politics w ould be doing a disservice to the reader w h o wished to understand how history is now studied. Th at wom en have infiltrated the ranks o f historians in greater numbers is only the smallest part o f this story. M ore significant is the expan sion o f the historical imagination. N e w techniques and approaches have placed history at the center o f efforts to understand the complexities o f the modern w orld by delving more deeply into the global past. The expansion o f higher education around the w orld has encouraged this phenomenon by formalizing the study o f once “ exotic ” cultures that had been the preserve o f anthropologists and archaeologists. N e w w ays o f interrogating sources have allowed historians to recover the past in regions once thought to be lost forever to history because their cultures were preliterate. A ll o f these develop ments w e have tried to reflect in the Encyclopedia o f Historians and H istorical W riting.

xli

xlii

INT RODUCTION This Encyclopedia is a compendium of the practice of history. It seeks to acquaint readers with the varieties o f historical writing that have developed since the ancient w orld through a consideration of both individual historians and their subjects. This essay provides an overview o f some o f the trends that have emerged. It offers a brief and general account that traces the development o f historical writing and then an assess ment of how the discipline stands at the beginning of the third millennium in a w orld obsessed with the present moment.

* * * H istory has a history. The earliest historians whose individual w orks have survived, such as Herodotus (c.4 8 4 - a fte r 4 2 4 B C E) and Thucydides (460 /45 5 - c . 3 99 B C E ), focused on military exploits. Th ey wished to recount the military cam paigns o f their society, and were historians because they were concerned for the authenticity of their accounts. Herodotus tried to com pare different sources about a battle, and both he and Thucydides strove to place the w ars they discussed in their proper historical context. Th ey asked the basic historical question: w h y did events happen when they did? These men traced the answer to a variety o f causative factors, and their analysis o f both the antecedents and outcomes o f the w ars made them forerunners o f the modern historical discipline. In China, too, similar questions were asked. C h ina ’s ruling houses had a tradition o f recording important events under each emperor, but the rare individual w h o wished to offer a wider interpretation might, like Sima Q ian (C .14 5 - C .8 7 B C E ), be forced to become a eunuch in order to retain access to the sources he needed. Sima Q ian ’s Shiji (Historical Records) w as to be a comprehensive history o f China, but it also sought to draw out moral lessons for its readers. It is the template for most histories that followed in China and the surrounding areas. The dissatisfaction o f B an G u (c. 3 2 - 9 2

c e

) with Sima Q ian ’s

account drove him to write the first dynastic history o f China, which enlarged on the critical techniques his predecessor had developed. Clearly, historical writing w as devel oping simultaneously in East and West. During the M iddle A ges, historians faithfully recorded events and, as monks, often focused on the concerns o f the church. The Historia ecclesiastica gentis Anglorum (Ecclesiastical H istory o f the English People, 7 3 1 ) of Bede (c. 6 7 2 / 3 - 7 3 5) is a good example o f this. The biography o f Charlem agne by Einhard (c .7 7 0 - 8 4 0 ) broke new ground in dealing with a secular rather than a religious figure. Elsewhere, historians of

Byzantium

such

as

M ichael

Psellos

( 10 18 - a f t e r

10 8 1)

and

A nn a

Komnene

( 1 0 8 3 - c . i 15 3 / 4 ) offered dynastic histories that did not simply focus on theological expla nations, while the Islamic historian Ibn Khaldun ( 1 3 3 2 - 1 4 0 6 ) explored the possibilities o f universal history. It w as the Renaissance that fostered a new w a y o f looking at the past. Although still concerned m ostly with politics and kings, the analysis shifted more and more to the question o f historical causation. Biographies began to move beyond the hagiographic, seeking an understanding o f the complexities o f man (and I do mean man) as a histor ical actor. There w as also a small but grow ing public interested in w orks o f history. Renaissance

humanist writers

such

as M achiavelli

(14 6 9 -15 2 7 )

and Guicciardini

( 1 4 8 3 - 1 5 4 0 ) wished to make a break with the descriptive chronicles that had come to be accepted as historical writing during the medieval period. Instead, they harked back to ancient writers such as L iv y (59 B C E - c .17 CE) and to the explanation o f events. H istory w as then seen as something that should be written in service to the state, often commissioned by a noble patron. Thus the attempt by historians to interpret the past did not alw ays make them popular, and Guicciardini w as under constant surveillance by the civil authorities as he wrote his history o f Italy.

INT ROD UC TI ON The 18th - century Enlightenment equipped history with the values o f skepticism and empiricism and the need for a more rigorous analysis o f change over time. This w as true of D avid H um e’s H istory o f Englan d ( 1 7 5 4 - 6 2 ) and o f w hat must be the most influential o f histories written before the 19 th century: Ed w ard G ib bo n ’s The H istory o f the D ecline and Fall o f the R om an E m pire ( 1 7 7 6 - 8 8 ) . His multivolume masterpiece contained not only a strong narrative backbone, but an analytical fram ework that strove to explain the evolution o f the human condition. The com plex historical questions posed by Gibbon set the stage for a revolution in historical research during the 19 th century. If history had been prim arily a form o f literature up to this time, the modern disci pline o f history w as characterized by an emphasis on precision. The researches of Leopold von Ranke ( 1 7 9 5 - 1 8 8 6 ) ushered in a new period when scientific methods were increasingly imposed by historians on themselves. R anke’s innovation w as in his use of sources. H e traveled from archive to archive, then still controlled by the ruling houses, families, and religious bodies that had created them. He searched for tangible proof of w hat had happened in the past, trying to establish undisputed or at least rigorously tested facts. He and his fellow positivists dominated 19th - century historical writing, and scholars became used to sifting through European archives and employing a scientific approach. M o st were still concerned with high political history. R anke’s w ork ranged from a study o f the popes to a universal history placing all o f his broad - ranging research into perspective. His younger Am erican contem porary H enry Charles Lea ( 1 8 2 5 - 1 9 0 9 ) also benefited from the reorganization and opening o f archives, and spent his life w orking on the first authoritative account o f the Inquisition. Nineteenth - century historians for the most part belonged to a great narrative tradition enriched by a wide range o f new sources. N o longer reliant on official accounts, hazy memoirs, and earlier chronicles, they also became central interpreters o f the present by exam ining the past. Historical w orks inevitably mediated the politics and culture of their time. In the 19 th century, a period characterized by the spread o f nationalism, historians increas ingly found a role in m aking sense o f the nation and providing it with a past. The histories of the United States by George Bancroft ( 1 8 0 0 - 1 8 9 1 ) sought to give the new nation

a

stronger

identity.

François

Guizot

(17 8 7 -18 7 4 )

and

Augustin

Th ierry

( 1 7 9 5 - 1 8 5 6 ) in France and Lord A cton ( 1 8 3 4 - 1 9 0 2 ) in Britain wrote w orks arguing that ideas of liberty were crucial for historical development. The need to account for the grow th o f liberty and progress gave rise to the W h ig interpretation o f history. In the century o f Ranke, Th om as Babington M acau lay ( 1 8 0 0 - 1 8 5 9 ) , and Ja co b Burckhardt ( 1 8 1 8 - 1 8 9 7 ) , history w as established both as an academic discipline and as an essen tial com ponent o f the educated person. By the beginning o f the 20th century most modern states were firmly established and the desire to bolster them by creating cozy historical narratives about the nation no longer seemed quite so necessary. In keeping with the widespread critique o f modern society, historians began to look beyond the ideologies o f state - building to ask if they had considered all the reasons for historical change. Take for example the Am erican historian Charles A . Beard ( 1 8 7 4 - 1 9 4 8 ) . Rather than accepting that the foundation o f the United States had been a straightforward question o f the clash of political ideas, he asked w h at w as in it for the Founding Fathers o f the Am erican Constitution. He argued that these elites had a noticeable financial stake in independence from Britain. W hether or not he w as right in his analysis, Beard forced historians to construct new questions and analytical fram eworks for their investigations. Other historians raised questions about sectors o f society that had often been overlooked. W .E .B . D u Bois ( 1 8 6 8 - 1 9 6 3 ) offered an early study o f A frican Am ericans and their place in U S history. In the first few decades o f the 20th century historical orthodoxies were repeatedly chal lenged, but the older tradition o f empirical, narrative history steadfastly held its ground.

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INTRODU CTIO N Since W orld W ar II that situation has changed. Historians have increasingly engaged with theory - analytical fram eworks from other disciplines - as a w a y to enrich their explanations o f the past. Perhaps more importantly, the dominant emphasis on high politics has receded and today there is very little o f the past that does not serve as grist for some researcher’s mill.2 These postw ar changes have not been, however, just the result o f the satisfactory answering o f earlier questions and the belief that there w as nothing useful remaining to be said. Instead, new questions and methods emerged at a particular historical moment that might be loosely characterized as the creation o f a new global intellectual culture. It came at the culmination o f several centuries o f transcontinental and transoceanic migration, when cultures were com ing into contact more frequently and more people were being encouraged to increase their understanding of the past as well as the present. These factors combined to energize and transform historical writing as well as other scholarly disciplines. The spread o f higher education across the w orld in turn produced a larger number o f people entering the historical profession, although popular historians such as the Am ericans Barbara Tuchm an and Bruce Catton succeeded in researching and writing outside the academ y and reaching an audience that most academics could not begin to touch. Although in the late 20th century it is clear that global communications have never been so good, it is not in this sense that I speak o f the creation o f a global intellectual culture emerging in the w ake o f W orld W ar II. Rather it is that the turmoil o f the 19 2 0 s and 1 9 3 os caused the movement o f scores o f intellectuals around the globe. This, o f course, w as not unique to historical studies, but the discipline benefited from it. The migrants sometimes carried with them different notions o f historical study, and also a rich body o f knowledge about their home cultures. They did not alw ays have an imme diate effect on the groups o f scholars w h o took them in, but enriched the lives o f grad uate students and younger scholars eager to unravel the complexities o f both the modern w orld and the ancient. Sometimes dissidents in their own countries, but more often victims of state ideologies that excluded them, these men and wom en were anxious to continue their research, but also to educate a new audience, and, most importantly, to explain their betrayal by their home countries. Historians w h o fled from fascism, such as A m a ld o M om igliano ( 1 9 0 8 - 1 9 8 7 ) , gently led their new colleagues to an under standing o f the irrationality o f the system they had just rejected. This irrationality w as a major stimulus to the development o f new methods o f under standing the past. Although underlying prejudices were sometimes explored in political and diplomatic history, the emphasis on archival sources meant that some factors behind historical change had been little studied. It became necessary to understand the struc ture o f belief systems in the past. Perhaps most crucially, history had m ostly been about elites, great men and the w a y in which they shaped their societies. One o f the first significant changes to historical study w as the broadening o f the subjects covered. In other w ords, the period saw the emergence o f the most influential branch o f history in the 20th century: social history. Social history generated an approach known as history from below (also known as “ bottom - up ” history or the history of everyday life). The com m on man and w om an had been examined before, for example in the study o f English

workers

and

the

Industrial

Revolution

by J .L .

and

B arbara

H am m ond

( 1 8 7 2 - 1 9 4 9 ; 1 8 7 3 - 1 9 6 1 ) , but no w their struggles moved center stage, as in the w ork o f A lf Liidtke ( 1 9 4 3 - ) on Altagsgeschichte (the history of everyday life). The history o f society at first focused on the lives o f workers, but soon every aspect o f society came under its purview, from the study o f Brazilian slavery to the English middle - classes.3 Social history seeks to understand h ow groups find a voice and how structures shape people ’s lives. From a focus on class, it has more recently embraced questions o f race and gender to broaden readers ’ understanding o f a range o f cultures.

IN TRO DU CTI ON Underpinning the new social history w as the grow ing influence o f M arxist theory on the academy. It w as not necessary to be a M arxist in order to be a social historian but M arxism w as frequently responsible for setting the terms o f the debates. The ideas o f Karl M a r x ( 1 8 1 8 - 1 8 8 3 ) about modern capitalist society were anchored in historical study, and the 20th century witnessed the swelling ranks of scholars impatient to utilize his ideas to examine a broad range o f historical moments. Undoubtedly the most influ ential of the new historians w orking in the M arxist tradition w as E.P. Thom pson (19 2 4 -19 9 3 ),

whose

The M aking o f the English

W orking

Class ( 19 6 3 )

inspired

researchers around the w orld. Thom pson ’s left - wing politics drew him towards the history o f the com m on people w hom he successfully endowed with agency. W hereas proponents o f M a r x ’s theories often cast workers as the unwitting dupes o f the dom i nant class, Thom pson argued that by the early 19 th century in Britain these people lived, w orked, and struggled to challenge their subordinate role in society. Thom pson’s magisterial w o rk had its critics, but it had far more admirers w h o extracted from it a dignity for men and wom en often portrayed earlier as faceless and powerless. Scholars from many countries established the reality o f conflict where it had been denied before. Perhaps this is best seen in the development of subaltern studies, which specifically scru tinizes the relationships between colonizers and colonized. Subaltern studies arose in the wake o f the independence movements o f the postw ar period and examined often dispossessed, colonized groups after m any years o f Western depictions of them as either childlike or cunning. The M arxist interpretation w as one of m any approaches that helped to enrich histor ical debate. Other influences came from parallel academic disciplines, especially those that had emerged during the previous hundred years. Anthropology and sociology were major contributors to social history. Both offered new and rigorous systems for exam ining society.4 Sociology helped in the effort to understand social divisions, whether between classes in the modern w orld or orders in the medieval. It enabled historians to think about h ow different groups dealt with one another and how these dynamics affected other things in society. Anthropology, particularly cultural anthropology, assisted in the struggle to understand the sym bolic relationships of the past. W h at w as the meaning o f the gift in early modern Europe? H o w did protestors use symbolic objects in riots to make their hostility clear? R obert Darnton ( 1 9 3 9 - ) brilliantly knitted these disciplines together in his essay on the “ Great C at M assacre. ” 5 He employed the (to modern eyes) bizarre murder o f some cats by a group of disgruntled artisans in late 18th - century Paris as a w a y o f opening up a culture and exploring its otherness. Anthropology w as also employed in studies of the family, of ritual, and in a range o f other areas. The essay by Terence O . Ranger ( 1 9 2 9 - ) in The Invention o f Tradition ( 1 9 8 3 ) illustrated this for A frican as well as European culture.6 The theories of Freud ( 1 8 5 6 - 1 9 3 9 ) and other psychoanalysts were similarly employed by historians, although perhaps to less effect.7 M an y o f the historians and historical approaches discussed above and below owed a great deal to the most influential school o f historical thought to arise in the 20th century. The Annales school emerged in the first half o f the century in France and w as centered on the academic journal An nales. Social and economic history were knitted together in the first half o f the century in the writings o f the medievalist M a rc Bloch ( 1 8 8 6 - 1 9 4 4 ) on feudalism and the w ork o f Lucien Febvre ( 1 8 7 8 - 1 9 5 6 ) on mentalities. Both were founders o f the journal Annales and both broke with earlier analytical modes to focus on w h at might be characterized as broader questions o f historical interest. Bloch examined feudalism from the viewpoint o f the peasant as well as the lord, while Febvre’s w ork helped to establish the importance of the irrational as well as the rational as a historical force. This w o rk expanded in the second half o f the 20th century, and

xlv

INT RODUCTION might be said to have culminated in L a M éditerranée et le m onde méditerranéen à Vépoque de Philippe II ( 19 4 9 ; The M editerranean and the M editerranean W orld in the A g e o f Philip //, 1 9 7 2 - 7 3 ) by Fernand Braudel ( 1 9 0 2 - 1 9 8 5 ) . His w ork focused on la longue durée, that is, change over a long period o f time, but it also reached beyond conventional boundaries to examine the inter-relatedness o f regions. He demonstrated that historians must move beyond national borders in order to understand the past. Econom ic theories also had a great impact on historiography. In the postw ar period there were increasing numbers o f scholars w ho wanted to focus on the problem o f w h y some societies had thrived and others had not. Implicit w as a question about h ow actively rich nations had worked to impede the advance o f poorer ones. For exam ple, “ dependency theory ” offered an explanatory mode that pinned much o f the blame on the active efforts o f industrialized nations to maintain their dominance. Fernando Henrique C ardoso ( 1 9 3 1 - ) and Enzo Faletto’s D ependencia y desarrollo en Am érica Latina ( 19 6 9 ; D ependency and D evelopm ent in Latin A m erica, 19 7 9 ) explored this idea in the context o f Latin Am erica. Although dependency theory emerged as an explana tion for 20th - century phenomena, historians raided the idea to think about the past. M aurice P. Brungardt ’s essay in the E n cyclopedia, Latin Am erica: N ational, traces the use o f this theory in the historiography. He demonstrates that the historians did not alw ays agree with the theorists, but historians were crucial in testing economic theo ries outside the scene o f their creation. Econom ic and social history were entwined from early in the century, but they increas ingly went their ow n w ays. Very much a discipline in its ow n right, economic history has employed quantification and economic theory to explore specific questions about the past. Econom ic historians might deal with questions o f finance, trade cycles, entre preneurship, or the development o f systems o f accounting. In economic history are also found the roots of m odern - day business history. Econom ic historians also delve into larger questions, as in the w ork o f Immanuel Wallerstein ( 1 9 3 0 - ) on the “ modern w orld system . ” Financial systems, the movement o f money, and the inter-relatedness of different economies continue to spark debate among economic historians. The Cinderella discipline o f the profession has been cultural history, an area that w as originally part o f intellectual history.8 Cultural history seeks to explain the w ays in which different cultures w ork and evolve. This is a rather broad definition, so it can encompass historians o f religion, gender, leisure, entrepreneurship, or just about any subject as long as it explores the w a y cultural practices developed. A s Bill Sch w arz ’s essay in this volume suggests, cultural history had its roots in the study o f “ high culture, ” but it has now broadened its scope to the study o f mentalities or the w a y cultures formulate their beliefs. Thus, N atalie Zem on D avis ’ ( 1 9 2 8 - ) study o f the imposter M artin Guerre revealed the problems of religion, gender, and power in early modern France. Em m anuel Le R o y Ladurie ’s ( 1 9 2 9 - ) M ontaillou ( 1 9 7 5 ) combined theory and intensive archival research to create the w orld o f a medieval French village. Both are w orks o f social as well as cultural h isto ry.9 Intellectual history, on the other hand, can in some w ays be seen as a branch o f philosophy, as it initially focused on great thinkers and the evolution o f their ideas. M ore recently, it has been joined by the “ history o f ideas, ” which traces how an idea develops over time. Ideas in this sense are imbedded in a specific culture, and thus can be explored for their meaning. The separation between historians and philosophers comes in the form er’s intense interest in the context o f the idea and how the surrounding society contributed to an idea’s transformation. W h at is clear is that although historians have increasingly employed theories from a broad range o f disciplines they have also clung to the use o f evidence in their explo ration o f the past. But the areas that counted as evidence also expanded in these years.

INTRODU CTIO N W here before high politics had demanded a consideration o f the correspondence between ministers and ministries, now historians were eager to explore arrest reports, post mortems, and parish records. They mapped out localities by using earlier maps and utilized census records to trace small movements of population. Dem ographic history originated in France under Louis H enry ( 1 9 1 1 - 1 9 9 1 ) ; later the Cam bridge G roup form u lated new questions about fam ily size and personal space. The use o f Inquisition records by C arlo Ginzburg ( 1 9 3 9 - ) not only told us about religious belief in the 16 th century but about the universe o f the subject.10 O ral history also expanded beyond informal remembrances to a theorized m ethodology; it has been employed to explore the lives o f both elites and peasants. A frican Am erican history w as similarly transformed by the employment o f folk - tales and songs as well as plantation records. The use of sources once rejected as unworthy w as combined with those often lightly examined to produce a richer understanding of the “ peculiar institution ” o f slavery in the United States. This broadening o f the definition of evidence w as part o f the expansion o f study of m arginal groups that w as a characteristic o f the 19 6 0 s and 19 7 0 s . In Am erica, the civil rights movement sparked a new interest in w h at might best be characterized as non elite groups. Black history began to emerge, first focusing on the w orld o f the A frican Am erican slave in a range o f w orks (see the entry on Slavery: M odern), but eventually reaching out to a fuller treatment o f the A frican diaspora. M a n y w ould have initially argued that the sources were not available to study this topic, but they were proven w rong. Similarly, w om en ’s history emerged at the same time, with similar worries about a lack o f sources.11 For historians used to exploring archives for evidence, both groups presented challenges, and w om en’s history in particular has established that historical sources about the female sex can be found in a range of materials. A s empirical studies grew, race, class, and gender were postulated as historical forces that shaped both lived experience and state policy. Class had long been seen as an important factor in understanding the past. Race m oved from a focus on specific groups to a consideration o f h ow skin color and scientific categories were exploited to main tain white dominance. Orientalism ( 19 7 8 ) by Ed w ard W. Said ( 1 9 3 5 - ) elegantly demon strated this. M ore recent studies have begun to explore whiteness as a historical category.12 Gender history extends the investigations that feminist historians initiated by reminding us that men as well as wom en have had a gendered historical experience. Thus, gender history incorporates the insights provided by w om en ’s history and the history of m asculinity to explore the w a y attitudes tow ard gender have shaped lives. This goes beyond questions of w om en ’s political enfranchisement to histories of state form ation, such as Theda Skocpol’s w o rk on the welfare benefits provided for Am erican C ivil W ar veterans and the gendered assumptions implicit therein.13 If the types o f empirical evidence to be used and the range o f theories to be consulted expanded, there w as at the same time a constant debate about h ow sources should be interpreted. From Ranke onwards m any historians subscribed to a notion that reading a source w as a matter o f some skill, but that the sources themselves were relatively uncomplicated. Twentieth - century historians have questioned this in tw o w ays. First, there has been the emphasis on the historian and on how his or her concerns can affect the w a y evidence is read. C arl L . Becker ( 1 8 7 3 - 1 9 4 5 ) raised this issue most influen tially in his essay “ Everym an His O w n H istorian ” ( 1 9 3 1 ) , which argued that historians were not neutral readers o f texts. Instead they brought with them their ow n concerns and they interpreted the past through the lens o f the present. For Becker, most histo rians came to their subjects because o f some present - day concern. H istory therefore w as not necessarily an objective pursuit and w as caught up in the great 20th - century belief: relativism. Relativism provided an explanation for w h y different generations o f historians could examine the same events and documents and develop different

xlvii

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INTRODUCTION interpretations. History depended on the historian’s point o f view. This position w as most influentially expressed by E .H . C arr ( 1 8 9 2 - 1 9 8 2 ) in W hat Is H isto ry? ( 1 9 6 1 ) . Relativism places an emphasis on the problem o f the historian as interpreter, but the influence o f literary tools o f analysis has led to a theoretical debate that has been exer cising philosophers o f history for the past twenty years. This shifts the problem of analysis from the reader to the text that is being read. Postmodernism refers to a cluster o f ideas that reject the possibility that a text is a transparent piece o f evidence which historians can employ to elucidate the past. Instead texts become slippery objects.14 Postmodernism came into its ow n in the era o f the collapse o f the grand narratives that had previously underpinned the modern study o f history. The disintegration o f M arxist orthodoxies (which had already been in train before the fall o f the Berlin W all in 19 8 9 ) inspired discussion o f whether categories such as class had any usefulness any longer. Postmodernists, to put it simply, argue that we can never really recover the facts about an event; all that is available to us are a series o f discourses from the past. A s Keith Jenkins notes in his essay in this encyclopedia: “ This is not to deny the actuality o f the w orld (or o f worlds past) but is simply to say that it is human discourse that appro priates it and gives it all the meanings it can be said to h ave. ” The most important figure in postmodernist history is probably H ayden V. W hite ( 1 9 2 8 - ) whose w ork on texts led him to characterize historical analysis as metahistory. M etahistory implies that any representation o f historical reality needs severe questioning. Postmodernism is a difficult proposition for most conventional historians because at its most extreme it appears to deny that the past can ever be really known. W e do not possess the past, only a series o f discourses that have been left behind. For this reason, postmodernism w as one o f the most problematic theories to be reckoned with in the late 20th century.15 Historiography is the blanket term for thinking about methods of historical research, and all of the movements and methods discussed above have their advocates and detrac tors. In fact, the late 20th century has seen the historical profession turn far more reflexive about w hat it does and the w a y it does it. General readers are often unaware of the contentiousness o f the historical method employed by the historian they are reading. Perhaps this is unsurprising, as most general readers are often unconsciously conservative in their historical tastes. Th ey still like a good narrative and most w ould consider the debates over h ow a text can or cannot be read as self-indulgent. This is not to say that the general reader has not been exposed to m any o f the new trends o f history in this century. M ilitary history itself, one o f the most enduring o f genres, has been energized by new research into the experience o f the com m on soldier as well as fresh treatments o f the role o f technology in war, to name just tw o aspects.16 But these debates continue to rage within the historical profession around the w orld. A s the new millennium begins where does the writing of history stand? One o f the great merits o f history is that it remains accessible to the general reader. From 1 9 3 5 to 1 9 6 7 , m any Am erican homes bought W ill and Ariel D urant ’s Story o f Civilization series.17 Popular history continues in books (particularly biographies) but it also has found a niche on television. Jerem y Isaacs ’ The W orld at War ( 1 9 7 3 ) or Ken Burns ’ series The C ivil War (19 9 0 ) were triumphs o f the docum entary genre that found a popular audience. One o f the publishing surprises of 19 9 8 w as the rise in sales o f H o w ard Z in n ’s A People 's H istory o f the United States ( 19 8 0 ; revised 1 9 9 5 ) , after a brief mention by the character played by M att Dam on in the film G o o d W ill H unting. The film w as not about history, but Dam on made it seem a sexy topic to read about. History is clearly far from dead. The expansion o f topics o f interest confirms this, but so does the continuing interest o f the general public in interpretations o f the past. Sometimes these interpretations have a political edge; for exam ple, The Rise an d Fall o f the Great Pow ers: E con om ic Change and M ilitary Conflict from 1 5 0 0 to 20 0 0 ( 1 9 8 7 )

INTRODU CTIO N by Paul M . Kennedy (19 4 5 -- ) sparked a widely followed debate about the possible decline o f U S power. W here does this leave historical writing? Academ ic historians remain committed to their discipline even if they differ about w hat that discipline exactly is. They revel in the com plexity and the opportunity to seek out new areas for study. They persist in stressing that people in the past experienced material realities from day to day, and they valorize rigorous attempts to uncover the past and to try to understand it. They use theory to help them to understand the possibilities of interpretation rather than to substitute for the necessarily painstaking research required o f them. Th ey struggle to write for the general reader. Historical writing remains dynamic at the start of the third millennium. K

el l y

Bo

y d

Notes 1.

2.

3.

4.

5.

6.

7.

8. 9.

10 .

11.

For useful overviews of the history of history, see Ernst Breisach, Historiography: Ancient, Medieval and Modern (Chicago: University of Chicago Press, 19 83, 1994); Michael Bentley, ed., Companion to Historiography (London: Routledge, 1997). Bold in the text indicates

the Encyclopedia contains an entry on this person or topic. A list of recent research on unexpected topics might include David Yosifon and Peter N. Stearns, “ The Rise and Fall of American Posture,” American Historical Review 103 (1998), 1 057 - 95; Marybeth Hamilton, “ Sexual Politics and African-American Music; or, Placing Little Richard in Context,” History Workshop Journal 46 (1998), 16 1 - 7 6 ; Chris Wickham, “ Gossip and Resistance among the Medieval Peasantry,” Past and Present 160 (1998), 3 - 24. Gilberto Freyre, Casa-grande e senzala: formando da familia brasileira sob o regime de economia patriarcal (Rio de Janeiro: Maia & Schmidt, 19 33); in English as The Masters and the Slaves: A Study in the Development of Brazilian Civilization (New York: Knopf, 1946, London: Seeker and Warburg, 1947); Leonore Davidoff and Catherine Hall, Family Fortunes: Men and Women of the English Middle Class, 1780 - 1850 (London: Hutchinson, and Chicago: University of Chicago Press, 1987). Early discussions of their usefulness are found in Keith Thomas, “ History and Anthropology,” Past and Present 24 (1963), 3 - 24; Peter Burke, Sociology and History (London and Boston: Allen and Unwin, 1980); and Philip Abrams, Historical Sociology (Ithaca, NY: Cornell University Press, and Shepton Mallet, Somerset: Open University Press, 1982). Robert Darnton, “ Workers Revolt: The Great Cat Massacre of the rue Saint Séverin,” in his The Great Cat Massacre and Other Episodes in French Cultural History (New York: Basic Books, and London: Allen Lane, 1984), 74 - 10 4 . “ The Invention of Tradition in Colonial Africa,” in Eric J. Hobsbawm and Terence O. Ranger, eds., The Invention of Tradition (Cambridge and New York: Cambridge University Press, 1983). A good introduction to Freud is found in Peter Gay, Freud for Historians (New York: Oxford University Press, 1985). Graham Dawson, Soldier Heroes: British Adventure, Empire, and the Imaginings of Masculinities (London and New York: Routledge, 1994) uses Melanie Klein’s work to advantage. Lynn Hunt, ed., The New Cultural History (Berkeley: University of California Press, 1989). Natalie Zemon Davis, The Return of Martin Guerre (Cambridge, MA: Harvard University Press, 1983); Emmanuel Le Roy Ladurie, Montaillou: village occitan de 1294 à 1324 (Paris: Gallimard, 1975), in English as Montaillou: The Promised Land of Error (New York: Braziller, 1978) and as Montaillou: Cathars and Catholics in a French Village, 12 9 4 - 13 2 4 (London: Scolar Press, 1978). Carlo Ginzburg, Il formaggio e i vermi: il cosmo di un mugnaio del ’500 (Turin: Einaudi, 1976); in English as The Cheese and the Worms: The Cosmos of a Sixteenth-Century Miller (Baltimore: Johns Hopkins University Press, and London: Routledge, 1980). See, for example, Gerda Lerner, The Majority Finds Its Past: Placing Women in History (New York: Oxford University Press, 1979); Michelle Perrot, ed., Une Histoire des femmes

xlix

1

INTRODU CTION

12 .

13 . 14. 15 . 16.

17 .

est-elle possible? (Paris: Rivage, 1984); in English as Writing Women's History (Oxford and Cambridge, MA: Blackwell, 1992); and Joan Wallach Scott, Gender and the Politics of History (New York: Columbia University Press, 1988). David Roediger, Towards the Abolition of Whiteness: Essays on Race, Politics and Working Class History (London and New York: Verso, 1994); Catherine Hall, White, Male and Middle Class: Explorations in Feminism and History (Cambridge: Polity Press, 1992); Vron Ware, Beyond the Pale: White Women, Racism and History (London: Verso, 1992). Theda Skocpol, Protecting Soldiers and Mothers: The Political Origins of Social Policy in the United States (Cambridge, MA: Harvard University Press, 1992). See the debates in Keith Jenkins, ed., The Postmodern History Reader (London and New York: Routledge, 1997). See Richard J. Evans’ critique of postmodernism, In Defence of History (London: Granta Books, 1997). See, for example, John Keegan, The Face of Battle (London: Cape, and New York: Viking, 1976); and Joanna Bourke, Dismembering the Male: Men's Bodies, Britain and the Great War (Chicago: University of Chicago Press, and London: Reaktion, 1996) for some of these new developments. See Joan Shelley Rubin, The Making of Middle-brow Culture (Chapel Hill: University of North Carolina Press, 1992), chapter 5.

A Acton, Lord 1834-1902

Ironically, he is best known for the work he never wrote, a projected history of liberty, which occupied his thoughts but was never brought to fruition. He was a strong believer in the impact of ideas (and especially religious ideas) in different historical periods. Acton’s research in archives persuaded him of the importance of impartiality, which is why he has become known as a defender of scientific history. Yet he also believed that historians could pass judgment on events and people in the past once they had mastered the evidence. For Acton there were universal moral absolutes that could be discerned throughout history and which the historian had to express. As his editors Figgis and Laurence wrote in 1907: “ he was eminently a Victorian in his confidence that he was right.” It is not, however, correct to describe Acton as a Whig historian. He disliked the use of history to satisfy modern political purposes. Much of Acton ’s early work took the form of apologetics for Roman Catholicism; he was close to John Henry Newman at one point. Inspired by Dollinger, he attempted to construct a liberal Catholicism in Britain that recognized the importance of the individual right of conscience. He opposed the growing ultramontanism of the church in Europe and many of the temporal claims of the pope which culminated in the declaration of papal infallibility in 1870 and which Acton did his best to resist. He once claimed to belong to the soul rather than the body of the church. Many of his historical articles were pub lished in Catholic periodicals such as the Rambler and the Home and Foreign Review, which he variously owned and edited. By temperament, Acton was conservative, an admirer of Burke with an abhorrence of revolution. He feared the tyranny of the majority and disliked the secular nature of Victorian utilitarianism, including the ideas of liberal figures such as John Stuart Mill. Acton ’s liberalism (apparent in his writings) took the form of opposition to any form of absolutism. Thus he sympathized with the principle of states’ rights in the United States (a country he visited in 1853) and supported the Confederacy during the Civil War, even defending slavery. Acton’s liberalism was also evident in his support of Irish home rule in 1886. Yet his was a particular kind of liberalism. Although he supported the rights of the individual, he also believed that society had to move toward a greater spiritual unity. Acton helped to launch the English Historical Review in 1886, which became the flagship journal of the historical profession; and as Regius professor of history at Cambridge, he inspired the Cambridge Modern History. Although he wrote

British historian

Lord Acton has attracted many detailed studies of his life and scholarship, yet his reputation and legacy are curious. He is remembered today as an exponent of scientific methods in history and as a scholar, devoted to the study of liberty, whose best known epigram is “ power tends to corrupt and absolute power corrupts absolutely.” He is also notorious for having risen to the heights of the historical profession without actu ally writing a book; the only work published in book form during his lifetime was his inaugural lecture when he became Regius professor of history at Cambridge. In fact, Acton was a far more complex figure than his modern reputation suggests. Most of Acton’s life was spent outside the academy. He was born into the aristocracy and was able to become an independent scholar. The key to Acton’s life and work was his Roman Catholic faith. A precocious learner, he opted at the age of 16 to study in Munich under the tutelage of the scholar and priest Johann Ignaz von Dollinger, who became his mentor. It was Dollinger who introduced the young John Dalberg Acton (later Lord Acton) to church history, which would become one of the chief subjects of his scholarship. He also absorbed from his tutor the new German historical methods (the scientific focus on primary sources associated with Ranke) that he was to propagate in Britain. He made extensive trips to archives around Europe, where his ability to speak many languages was put to good use. He also began to collect books and manuscripts; his library eventually extended to some 60,000 volumes. Despite his reputation, Acton was in fact immensely productive as a historian. Rather than books, his output took the form of articles, reviews, and lectures (many of which were posthumously collected and published by his admirers). All his work was characterized by deep learning and exposure to the relevant archival materials. For the most part he concentrated on modern history, which he defined in 1895 as the history of the previous 400 years. His essays focused on topics in British and European history from the Reformation and Counter-Reformation to the French Revolution. He was particularly interested in the political role of the papacy. Acton was also a leading reviewer of other scholars and many of his essays were historiographical, such as his article on German schools of history that appeared in the first issue of the English Historical Review in 1886. 1

2

ACTON

nothing for it (he died while it was in progress), he established the structure of the project, which promised an impartial account of modern events. Setting “ ultimate history” as a goal to which historians should aspire even if it could not be achieved, he informed contributors that “ our Waterloo must be one that satisfies French and English, German and Dutch alike.” Thus Acton has come down to us as a defender of an objectivity in which the historian’s character should not interfere with the compilation of historical facts. Yet it is the para doxical attachment to impartiality and interpretation in Acton that has drawn modern historians such as Herbert Butterfield, Owen Chadwick, Gertude Himmelfarb, and Hugh Tulloch to investigate the complexities of this pillar of the historical world in Victorian Britain. Ro h a n M c W il l ia m Catholicism; Clapham; Europe: Modern; Halecki; Reformation; Sarpi; Universal

S e e a ls o

Biography John Emerich Edward Dalberg Acton, ist Baron Acton. Born Naples, Italy, io January 18 34 . Studied with Cardinal Wiseman at the Roman Catholic College at Oscott, 18 4 3 - 4 7 ; then briefly with Dr. Logan in Edinburgh, 18 4 7 - 4 8 ; and finally with Johann Ignaz von Dóllinger in Munich, 18 4 8 - 5 4 . Traveled extensively in Europe and the US, 18 5 5 - 5 9 , then settled in England. Member of Parliament for Carlow, 18 5 9 - 6 5 , and Bridgnorth, 18 6 5 - 6 6 . Regius professor, Cambridge University, 18 9 5 - 19 0 2 . Married Countess Marie Arco - Valley, 186 5 (1 son, 3 daughters). Created ist Baron Acton of Aldenham, 1869. Died Tegernsee, Bavaria, 19 June 1902.

Principal Writings A L ec tu re o n the S tu d y o f H isto ry , 18 95 L ectu re s o n M o d e rn H isto ry , edited by John Neville Figgis and

Reginald Vere Laurence, 1906 H isto rica l E ssa y s a n d Stud ies, edited by John Figgis and Reginald

Vere Laurence, 19 0 7 T h e H isto ry o f F ree d o m a n d O th e r E ssa y s, edited by John Neville

Figgis and Reginald Vere Laurence, 1907 L ectu re s on the F ren ch R e v o lu tio n , edited by John Neville Figgis

and Reginald Vere Laurence, 19 10 E ssa y s on F ree d o m a n d P o w e r , edited by Gertrude Himmelfarb,

1948 E ssa y s o n C h u rc h a n d State, edited by Douglas Woodruff, 19 5 2

Further Reading Butterfield, Herbert, L o r d A c t o n , London: Historical Association 1948 Butterfield, Herbert, M a n on H is Past: T h e S tu d y o f the H isto ry o f H isto rica l S ch o la rsh ip , Cambridge: Cambridge University Press, 19 5 5 ; Boston: Beacon Press, i960 Chadwick, Owen, A c t o n a n d H isto ry , Cambridge and New York: Cambridge University Press, 1998 Fasnacht, George Eugene, A c t o n s P o litica l P h ilo s o p h y : A n A n a ly s is, London: Hollis and Carter, 19 5 2 Himmelfarb, Gertrude, L o r d A c to n : A S tu d y in C o n scie n ce a n d P olitics, London: Routledge, 19 5 2 ; Chicago: University of Chicago Press, 19 53 Kochan, Lionel, A c t o n on H isto ry , London: Deutsch, 19 54 Mathew, David, L o r d A c to n a n d H is Tim es, London: Eyre and Spottiswoode, and Tuscaloosa: University of Alabama Press, 1968 Schuettinger, R.L., L o r d A c t o n , H istorian o f L ib e r ty , La Salle, IL: Open Court, 19 76 Tulloch, Hugh, A c to n , London: Weidenfeld and Nicolson, and New York: St. Martin’s Press, 1988

Watson, George, L o r d A c to n ' s H isto ry o f L ib e rty : A S tu d y o f H is L ib r a ry ; w ith an E d it e d T e x t o f H is H isto ry o f L ib e rty N o te s , London: Scolar Press, 1994

Adams, Henry 1838-1918 U S historian

Henry Adams is a singular presence in American history and historiography. His uniqueness stems from the lack of a clearly discernible boundary between Adams the historian and Adams the historical subject; both aspects have had lasting influences on American historiography. This confusion between author and subject becomes evident when we remember that Adams considered his “ autobiography,” The Education of Henry Adams (privately printed, 1907; 19 18 ) to be a sequel to his best-known work on medieval history, Mont-Saint-Michel and Chartres (privately printed 1904; 19 13 ). That Adams would write history was practically foreordained; that he would become a historian was unexpected, most of all to himself. For the Adams family, writing history was what one did after one made history. Adams’ ancestors had served alongside Jefferson and Franklin in the Continental Congress and in diplomatic corps at the great courts of Europe; no less was expected from Henry. That doing and writing history was a family inheritance was clear to him from childhood, when he helped proofread his grandfather’s papers which his father was editing for publication. Henry Adams never made history, at least not in the way he and his family expected. The time when the well-educated sons of the best families were presumed political timber had passed by the time Adams reached his maturity, and he did not have the temperament to engage in the jangling, jostling arena of Gilded Age politics. This failure to “ hitch” his career to “ the family go -cart” (in his words) had a profound effect both on Adams’ writing and his impact on subsequent historiography. Adams slipped into writing history haphazardly. After grad uation from Harvard College in 1858, he went to the University of Berlin to study law. That plan did not last long, as his know ledge of German was inadequate to the task. He tried his hand at freelance journalism, travelling around Europe and sending his reports back to American newspapers. By i860, he had returned to the United States to become his father’s private secretary. Charles Francis Adams had just been elected to Congress, and Henry therefore had a front-row view in Washington of the “ Great Secession Winter” (as he called it in one of his articles) of 18 6 0 - 6 1. When Lincoln appointed the elder Adams Ambassador to Great Britain, Henry accompanied him to London, continuing both his service as secretary and his journalistic career. By the time his father left the post in 1868, Henry had written a number of newspaper and journal articles, mainly on politics and finance, but he also published his first historical essays. Adams did not view these essays any differently from his other writing; he was seeking to establish his intellectual reputation, not to become an historian. Yet in 1868, Henry Adams found himself at 30 years old without any clear career path. While he had some modest success in journalism, it did not seem a

ADAMS distinguished enough career choice for an Adams. Nor was journalism a stepping stone to a political career, as he may have thought ten years earlier. The greed and corruption of Gilded Age America so repelled Adams that a life toadying to Robber Barons for money and hoi polloi for votes now seemed out of the question. With these options closed off Adams accepted an assistant professorship to teach medieval history at Harvard College, along with which he would become editor of the North American Review, a journal he hoped to turn into an organ for political reform. He had few formal qualifications to teach medieval history, but in the years before professionalization and the impact of German scholarship on American higher education, neither did anyone else. Harvard President Charles Eliot chose Adams, in part, because of his exposure to the German seminar system, meager as it was. Despite his lack of preparation to teach the Middle Ages - Adams claimed always to be just a lesson ahead of the students - he succeeded in establishing the first graduate seminars based on the German model and set high standards for scholarship. He demanded students base their work solidly on documentary evidence. In this, Adams was on the leading edge of the historical practice of the day. His approach was close to that of the much more professionalized Herbert Baxter Adams, who began teaching graduate seminars in history at Johns Hopkins University by the end of the decade. Like Herbert Baxter Adams, Henry Adams viewed history as past politics. His seminars and writings emphasized medieval secular and church politics, the law and constitutionalism. By the time Adams left Harvard for Washington in 18 7 7, he had already turned his attention to the history of the early American republic, which would become his main historical concern for the next decade and a half. He had already begun teaching American history during his last few semesters at Harvard, and edited Documents Relating to New England Federalism, 1800 - 1815 (1877), which defended his grandfather John Quincy Adams’ anti-federalist views. Given unrestricted access to the papers of Albert Gallatin, Jefferson’s treasury secretary, Adams produced an admiring biography in 1879. His appetite thus whetted, Adams threw himself entirely into his magnum opus, the nine-volume The History of the

United States during the Administrations of Jefferson and Madison (1889 - 9 1). It was a magisterial achievement, admired

both for its graceful and subtle literary style and its unparalleled historical research. Adams immersed himself in state documents, not only in the United States, but in London, Paris, and Madrid as well. While a number of Adams’ judgments have been challenged by subsequent historians (for example, modern historians have a higher opinion of Madison’s abilities than Adams did), the work remains a masterpiece. The significance of the History, however, goes beyond Adams’ interpretation of the early American republic. Adams’ goal was nothing less than the construction of history as a true science. “ Scientific history,” of course, was the siren call of an entire generation of scholars who were importing German scholarship and pedagogy to the new graduate schools of late 19th -century America. Influenced especially by Leopold von Ranke, however, their idea of scientific history was more limited than what Adams was striving for. Their method was scientific in that it emphasized empiricism; the historian’s

3

version of direct laboratory observation was intimate familiarity with all the relevant documents. Beyond that, scientific historians shared with the physicist and chemist faith that careful observation (or close reading of documents) would lead to true knowledge of nature (or wie es eigentlich gewesen ist). To understand Adams’ more expansive view of scientific history, consideration must be given to the two major works he wrote after 1900, Mont-Saint-Michel and The Education. Neither book is a history in any conventional sense; one is more likely to find them read today for their literary merit than the historical information they impart. Meditative and quasi-novelistic, the two taken together present a complex and subtle interpretation that weaves together the High Middle Ages, the changes wrought by industrial capitalism, and the philosophy of history. For Adams, to be truly scientific, historians had to reveal laws of social and political development, just as Darwin had revealed the laws of natural selection in biology. To be sure, Adams was not the only 19th -century intellectual to think along these lines, but his thinking developed eccentrically, rela tively unaffected by M arx (Adams could accept neither his materialism nor his socialist conclusions) or Comte (whose periodization of history Adams accepted as descriptive but insufficient as scientific explanation). Inspired by the new developments in electricity and radioactivity, Adams settled on energy, or “ force ” as the prime mover in history. The contrasting subtitles Adams applied to the two books points to the role force played in history: Mont-Saint-Michel was “ a study of 13th -century unity,” while The Education was “ a study of 20th-century multiplicity.” Adams argued that the historical forces of the 13 th century produced a unified world view, exemplified by Aquinas’ Summa Theologica, the glorious architecture of Mont-Saint-Michel Abbey and Chartres Cathedral, and most of all, the cult of the Virgin Mary. History since the rebuilding of Chartres, was, for Adams, the disintegration of this synthesis into the multiplicity and chaos of modern life. As the Virgin was the symbol of unity, so the electrical generator (known as a dynamo in Adams’ day) was the symbol of multiplicity. In the most moving passage in The Education, Adams wanders through a display of machines at the Paris Exhibition of 1900 with, in his words, “ his historical neck broken by the sudden irruption of forces totally new.” Today ’s social scientists, if they read Adams at all, would certainly find his modernization theory unsatisfactory. American historians and literary critics (as opposed to medievalists), how ever, find in Adams an intellectual odyssey of the first rank. For example, Henry Steele Commager argued that Adams is more significant as a symbol than for his historical writing: “ Adams illuminates . . . the course of American history.” What it is exactly that Adams illuminates is the source of some confusion. The traditional interpretation viewed him as a member of a misplaced elite - a dyspeptic Mugwump reformer, or a thoughtful intellect who sought to return republican virtues to governing, depending on whether or not the author liked Adams. A revisionist view places him in the forefront of antimodernism, railing against the dehumanization of modern society. Regardless whether Adams fits either of these wardrobes, he will continue to engage generations of readers with his omnivorous intellect and an incomparable literary style that raises irony to an art form. C h r i s t o p h e r Be r k e l e y

4

ADAMS

S e e a ls o Social; Williams, W.

Biography Henry Brooks Adams. Born 1 6 February 18 38 , grandson and greatgrandson of US presidents. Received BA, Harvard College, 18 58 ; attended seminars at University of Berlin, 18 58 . Served as private secretary to his father, Charles Francis Adams, while he served in Congress, 18 5 9 - 6 0 , and when he was appointed ambassador to the Court of St. James’s, 18 6 1 - 6 8 . Assistant professor of medieval history, Harvard University, and editor, N o r t h A m e rica n R e v ie w , 18 7 0 - 7 7 . Married Marian Hooper, 18 7 2 (she committed suicide, 1885). Moved to Washington, DC, 18 7 7 . President, American Historical Association, 1894. Died Washington, 27 March 19 18 .

Principal Writings With Charles Francis Adams, Jr., C h a p ters o f E rie a n d O th e r E s s a y s , 18 7 1 Editor, E ssa y s in A n g lo - S a x o n L a w , 18 76 Editor, D o cu m e n ts R ela tin g to N e w E n g la n d Fe d e ra lism , 1 8 0 0 - 1 8 1 5 , 18 7 7 T h e L ife o f A lb e r t G a lla tin , 18 79 J o h n R a n d o lp h , 18 8 2 T h e H isto ry o f the U n ited States d u rin g the A d m in istra tio n s o f Je ffe r s o n a n d M a d is o n , 9 vols., 18 8 9 - 9 1; abridged as T h e F o rm a tive Years: A H isto ry o f the U n ited States d u rin g the A d m in istra tio n s o f Je ffe rs o n a n d M a d is o n , 2 vols., 19 4 7 M o n t - S a in t - M ic h e l a n d C h a rtres , 1904 T h e E d u ca tio n o f H e n ry A d a m s , 19 0 7 T h e D eg ra d a tio n o f the D e m o c ra tic D o g m a , 19 19

Further Reading Burich, Keith R., “ Henry Adams, the Second Law of Thermodynamics, and the Course of History,” Jo u r n a l o f the H isto ry o f Ideas 48 (1987), 4 6 7 - 8 2 Burich, Keith R., “ ‘ Our power is always running ahead of our mind’ : Henry Adams’s Phases of History,” N e w E n g la n d Q u a rte rly 62 (1989), 16 3 - 8 6 Hall, Donald, “ Henry Adams’s History,” Sew a n e e R e v ie w 95 (1987), 5 1 8 - 2 5 Jordy, William H., H e n ry A d a m s, Scientific H isto ria n , New Haven: Yale University Press, 19 5 2 Lears, T.J. Jackson, “ In Defense of Henry Adams,” W ilson Q u a rte rly 7/4 (19 83), 8 2 - 9 3 Levenson, Jacob Clavner, T h e M in d a n d A r t o f H e n ry A d a m s Boston: Houghton Mifflin, 19 5 7 Levenson, Jacob Clavner et a l. , eds., T h e L etters o f H e n ry A d a m s , 6 vols., Cambridge, M A : Harvard University Press, 19 8 2 - 8 8 Samuels, Ernest, T h e L ife o f H e n ry A d a m s , 3 vols., Cambridge, M A: Harvard University Press, 19 4 8 - 6 4 ; abridged as H en ry A d a m s , 1989 Stevenson, Elizabeth, H en ry A d a m s : A B io g r a p h y , New York: Macmillan, 19 56

Afigbo, A.E. 1937Nigerian historian

A.E. Afigbo has written about the history of his own Igbo area of Nigeria. His major concern has been to establish the origins of its modern history through establishing its pre-European history, attempting to sort out its “ authentic” trajectory of development from European-imposed practices. His basic thesis has been that European colonialism distorted both authentic

African development and the manner in which African practices were presented to the world. His book The Warrant Chiefs (1972) clearly spelled out his perspective. In it Afigbo provided a carefully reasoned presentation of how British preconceptions regarding development forced a system of rule on the Igbo in conformity with those preconceptions. Indirect rule had been developed in India and transplanted to northern Nigeria by F.J.D. Lugard. It was an idea that fit the 19th century’s evolutionary schemes of unilineal cultural evolution, placing peoples and forms of government into a set hierarchical pattern. In The Making of Modern Africa (1986), Afigbo and others developed these themes on a broader canvas. They examined the consequences of colonial ideology and policy in light of their influence on more current developments. The goal of the work was to illuminate the African present through providing a historical depth that allowed a logical understanding of the situation. Thus, rather than seeing individual events as isolated, illogical outbursts, the student is able to note their historical antecedents and place them in context. Afigbo has also been concerned with the response Nigerian historians have made to colonial versions of history. In his article “ Of Origins and Colonial Order” (1994), he noted that various re-estimates of the hypotheses have led to advances in Nigerian historical thinking and methodology. Afigbo argued that responses to the “ Hamitic hypothesis ” (that everything of value found in Africa ultimately derived from the Hamites supposedly members of the Caucasian race) have had great influence in the development of Nigerian nationalism as well as rivalries between communities. It also had an impact on the development of Christian identities in Nigeria. Afigbo ’s interest in the development of Christianity in Nigeria and its relationship to the origins of Nigerian nationalism has been an abiding one during his career. His 1994 article on Dandeson Coates Crowther addressed the role that Crowther, a Sierra Leonian, played in that process. Crowther came to Nigeria as archdeacon of the Niger Delta pastorate. The pastorate was a force for self-government within the mission movement. It fought for the independence of Africans within the Christian movement and against the domination of European missionaries. Afigbo has become increasingly concerned with the oppression of African women, as his 1992 valedictory address, “ Of Men and War, Women and History,” demonstrated. In 1993 he developed his ideas further in his response to an article by Ali Mazrui. Afigbo agreed that Mazrui was correct in supporting the empowerment of women, but felt that he was incorrect in making distinctions among types of sexism because all sexism is wrong. Moreover, Afigbo held that Mazrui displayed a great ignorance of indigenous African cultures, which led him to serious misinterpretations of reality. In sum, Afigbo has been concerned with the issue of identity throughout his distinguished career. Specifically, he has been involved with the manner in which colonialism and its institutions have influenced the development of identity. The role of the Church in the process of independence and the emergence of national identity has figured prominently in his work. His recent writings have centered on the role of women in Nigerian history and the need for their empowerment in Nigerian public life. F r a n k A. S a l a m o n e

AFRICA: CENTRAL Biography Adiele Eberechukwu Afigbo. Born Ihube, Okigwe, Imo State, Nigeria, 22 November 19 3 7 . Educated at Methodist Central School, Ihube, 1 9 4 4 - 5 1 ; St. Augustine’s Grammar School, Nkwerre, Orlu, 1 9 5 2 - 5 6 ; University College, Ibadan, 1 9 5 8 - 6 1 ; University of Ibadan, 19 6 2 - 6 4 , BA, PhD. Lecturer, University of Ibadan, 19 6 4 - 6 5 ; taught at University of Nigeria, Nsukka (rising to professor), 19 6 6 - 9 2. Appointed commissioner for education, Imo State, 19 84. Married Ezihe Onukafo Nnochir, 1966 (2 sons, 2 daughters).

Principal Writings T h e W arrant C h iefs: In d irect R u le in Sou th eastern N ig e r ia ,

1 8 9 1 - 1 9 2 9 , 19 7 2 R o p e s o f S a n d : Stud ies in Ig b o H isto ry a n d C u ltu re , 19 8 1

With others, T h e M a k in g o f M o d e r n A fr ic a , 2 vols., 1986 T h e Ig b o a n d T h e ir N e ig h b o u r s : In ter - gro u p R ela tio n s in Sou th eastern N ig e ria to 1 9 5 3 , 19 8 7 “ Beyond Hearsay and Academic Journalism: The Black Woman and Ali Mazrui,” R esearch in A fric a n L itera tures 24 (19 93), 1 0 5 - 1 1 “ Dandeson Coates Crowther and the Niger Delta Pastorate: Blazing Torch or Flickering Flame?” In tern atio n al B u lletin o f M issio n a ry R esea rch 18 (1994), 16 6 - 7 0 “ Of Origins and Colonial Order: Southern Nigerian Historians and the ‘ Hamitic Hypothesis’ c. 1 8 7 0 - 1 9 7 0 , ” Jo u r n a l o f A fric a n

History

35 ( 1994 ),

4 * 7~55

Africa: Central

The historiography of Central Africa remains the most stunted of all the regions of Africa. This is due to a number of factors which vary from nation to nation, but some overall generalities can be made. First, with the exception of the Portuguese in the Kongo kingdom and European competition in the Gabon estuary, European interest, exploration, and conquest came relatively late to Central Africa with the result that the region was relegated to administrative and intellectual backwaters. Second, Central Africa endured the most paternalistic colonial powers of Africa, the Portuguese and Belgians. Whatever one’s ideological perspective regarding colonialism might be, it is difficult to deny that fewer attempts to reconstruct the past were made in the Belgian and Portuguese colonies, compared with the British, French, and German colonies. To this end, colonial documents are much shallower for parts of Central Africa than they are for elsewhere on the continent. Third, acidic soils, high humidity, and heavy rainfall hamper the preservation and excavation of archaeological evidence and interfere with the preservation of written or printed material. Finally, infrastructural problems with training, transportation, and health access of many contemporary Central African states dampen research efforts for both domestic and foreign scholars. Central African historiography is also heavily plagued by imbalance in regional representation, with works on the savanna and coastal regions vastly outnumbering those on the forest and inland areas. In addition, most major works have tended to be written by Western Europeans and North Americans and the development of a large group of indigenous Central African historians is still underway. Some places, such as Lovanium University in Kinshasa and the Université Libre du Congo in Lubumbashi, have developed strong history departments. The growth of Central African historiography shares many com monalities with West and East African historiography, but has

5

also made numerous independent contributions to African historiography generally, as evidenced below. The emergence of modern Central African historiography can be traced to the middle of the 20th century amid the rumblings of decolonization. While works of history were certainly written before the end of World War II, these writ ings were simply the story of Europeans in Africa, such as Henry M. Stanley’s Through the Dark Continent (1878) or Albert Schweitzer’s Zwischen wasser und Urtvald (19 23; On the Edge of the Primeval Forest, 1923). But, with the growth of anti-colonial sentiments throughout the region from 1945 to i960, demands for intellectual freedom accompanied the calls for political freedom. In order to counter the pre-existing Eurocentric works, the early Africanist historians focused on the accomplishments and achievements of great African kingdoms. By focusing on the great kingdoms, these early writers were attempting to validate the claim that African history was the same as any other history and equally worthy of study. Among these pioneering works was Jan Vansina’s Kingdoms of the Savanna (1966) which, despite its age, still stands up remarkably well. In it, Vansina described the precolonial history of the kingdoms of the southern savanna belt stretching from northern Angola to eastern Zambia. Little emphasis is given to non-centralized polities, the forest region, and social and cultural events. The last point is one which is a perennial issue in early Central African historiography - that is, an overemphasis on political history and organization. But the reverse was true of Zairian scholarship, which favored social history and has only recently produced political histories. Another work of this nature was Basil Davidson ’s A History of East and Central Africa to the Late 19th Century (1969); Davidson was well known for his radically-based scholarship. This work also advanced the greatness of Africa ’s precolonial past. This period of scholarship favored precolonial studies because they were uniquely African and could easily be used to assert Africa ’s place in world history, while minimizing the discussion of Europe. Yet, interest in political histories has not disappeared and can be found in studies such as Joseph Vogel’s Great Zimbabwe (1994). Once works like the above had made a place for African history in the historical discipline, scholars felt the need to counter many of the pre-existing Eurocentric histories. The primary target for demolition was the myth that Africans welcomed the colonialism of the “ superior” Europeans. Numerous studies appeared demonstrating the elaborate and creative ways in which Africans resisted foreign intrusion by the Europeans. The precursor in this subfield was Terence O. Ranger ’s study of resistance in Zimbabwe, entitled Revolt in Southern Rhodesia, 1896 -9 7 (1967). Ranger’s study was particularly interesting in that it dealt with religion as well as resistance. Ranger’s book sparked studies of resistance, not just concerning Central Africa, but pertaining to every region of the continent. While much of his argument has since been abandoned, the work still stands as a classic in African history. These studies, while still favoring coastal and savanna peoples, were less politically motivated and took account of social, cultural, and religious agency. By the 1970s, Central African history began to push itself in innovative directions. Religion became a fruitful means of investigation with studies such as Ranger’s edited work The

6

a f r ic a

: cent r al

Historical Study of African Religion (1972), which continued to stress the role of religion in resistance. Mention must also be made of Victor Turner’s classic studies of the Ndembu of Zambia, Forest of Symbols (1967) and The Ritual Process (1969). Both still stand as classics in religious studies regardless of one’s geographical focus. Another seminal work is Luc de Heusch’s Le roi ivre (The Ivory King, 1972), a mythical analysis of southern savanna states in a Levi-Straussian tradition. One could easily make the claim that religion may be the most valuable contribution scholars of Central Africa have made to African historiography generally. This trend continues with innovative works such as Hugo F. Hinfelaar’s BembaSpeaking Women of Zambia in a Century of Religious Change, 1892 - 1992 (1994) which investigated religion and gender

across social, economic, and political axes in explaining the decline of the house-cult and the religious subjugation of the Bemba-speaking women. Economics also became a preoccupation in Central African historiography with studies such as Phyllis Martin’s External Trade of the Loango Coast, 1576 - 1870 (1972), William J. Barber’s Economy of British Central Africa (19 6 1), and Samir Amin and Catherine Coquery-Vidrovitch’s Histoire économique du Congo, 1880 - 1968 (The Economic History of the Congo, 1969). Most economic histories, these being no exception, focus on the more recent past. This is largely due to the large amount of material relating to economic matters generated after European contact and the greater difficulty in reconstructing economic history from oral tradition. Most economic-based studies examined the changing nature of African life and economic structure with the injection of European trade and contact. The effects were often the most profound among coastal peoples, but as these scholars demonstrated, the introduction of European economic systems had wide and profound consequences. Recent works such as William J. Samarin’s The Black Mans Burden (1989) and Piet Konings’ Labour Resistance in Cameroon (1993) illustrate that economic history will continue to be a fruitful means of investigation for Central African history. Huge amounts of quantitative and statistical data can be found in colonial records, yet the documents have not spawned the number of studies that they warrant. An early study based on quantitative materials was Bruce Fetter’s The Creation of Elisabethville, 1910 - 1940 (1976), which dealt with the establishment of one of the largest cities of Central Africa. Fetter has also published two works of demography, Colonial Rule and Regional Imbalance in Central Africa (1983) and an edited work entitled Demography from Scanty Evidence (1990). Both dealt with the changing nature of demography, migration, and mortality during the colonial era. While Fetter’s method has been attacked, he provided a valuable pan-disciplinary lesson to Central African historians - that there are massive amounts of data waiting to be analyzed and traditional methods of historical analysis will not suffice in their investigation. Until they are exploited, our potential picture of Central African history will be incomplete. Central Africa was the last region of Africa to have its general history written. While A.J. Wills wrote An Introduction to the History of Central Africa in 1964, it was essentially the history of Europe in Africa, engrossed with conquest and occupation. The fairly recent 2-volume edited work from David

Birmingham and Phyllis Martin, History of Central Africa, first appeared in 1983 and has gone through three impressions, most recently in 1990. This is a full two decades after the publication of the Oxford History of East Africa in 1963. History of Central Africa is more fully geographically representative in that the forest zones and north-central savanna are discussed. Yet, the works are also heavily weighted in favor of political economy (especially vol. 2) at the expense of culture, society, and religion. To the editor’s credit, many of the essays concern Lusophone Africa, a region which has been difficult to study given the lateness of the independence of Angola and Mozambique and the volatility of their political systems until quite recently. While Birmingham and Martin ’s efforts were definitely steps in the right direction, we still await a genuinely comprehensive general history of Central Africa. The creativity of Central African historiography is far from over. Some recent works indicate that historical methodology is not stagnant for Central Africanists. For instance, Jan Vansina, ever the pioneer, published Paths in the Rainforest (1990) utilizing historical linguistics to trace the history of the millennia-old political tradition of Equatorial Africa. The region also finally has a reader of precolonial documents entitled Readings in Precolonial Central Africa (1995) from Théophile Obenga, a most useful addition to the teaching of Central African history. Phyllis Martin ’s Leisure and Society in Colonial Brazzaville (1995), was a social history of the highest order. So, while many aspects of Central African history remain neglected, such as environment, demography, urbanization, and medicine, the field is not undynamic. The newness of Central African historiography ensures that it will be some time before scholars of the region run out of fresh ideas. T o y i n F a l o l a and J o e l E. T i s h k e n

See also Coquery-Vidrovitch; Davidson; Ranger; Turner, V.;

Vansina

Further Reading Amin, Samir, and Catherine Coquery-Vidrovitch, H isto ire é co n o m iq u e d u C o n g o , 1 8 8 0 - 1 9 6 8 : d u C o n g o français à V u nion d o u a n ière et é co n o m iq u e d ’ A fr iq u e C en tra le (The Economie History of the

Congo, 18 8 0 - 19 6 8 : From the French Congo to the Economic and Customs Union of Central Africa), Dakar: IFAN, 1969 Barber, William J., E c o n o m y o f B ritish C e n tra l A fr ic a : A C a se S tu d y o f E c o n o m ic D e v e lo p m e n t in a D u a listic S o c ie ty , Stanford, CA: Stanford University Press, 19 6 1 Bawele, Mumbanza mwa, and Sabakinu Kivilu, “ Historical Research in Zaire: Present Status and Future Perspectives,” in Bogumil Jewsiewicki and David Newbury eds., A fric a n H isto rio g ra p h ies: W h a t H isto ry fo r W h ich A f r ic a ?, Beverly Hills, CA: Sage, 19 86 Bawele, Mumbanza mwa, “ L’ Evolution de l’historiographie en Afrique Centrale: le cas du Zaire ” (The Evolution of the Historiography of Central Africa: The Case of Zaire), Storia della Storiografia 19 (19 9 1), 8 9 - 1 1 0 Bayle des Hermens, R. de, “ The Prehistory of Central Africa, Part 1 , ” in U N E S C O G e n e ra l H isto ry o f A fr ic a , vol. 1, London: Heinemann, and Berkeley: University of California Press, 19 8 1 Birmingham, David, and Phyllis Martin, eds., H isto ry o f C e n tra l A fr ic a , 2 vols., London: Longman, 19 8 3 Davidson, Basil, E a s t a n d C e n tra l A fric a to the L a te N in eteen th C e n tu ry , London: Longman, 19 6 7; revised as A H isto ry o f E a st a n d C e n tra l A fr ic a to the L a te N in e tee n th C e n tu ry , Garden City, N Y: Anchor, 1969 Fetter, Bruce, T h e C rea tio n o f E lisa b e th v ille , 1 9 1 0 - 1 9 4 0 , Stanford,

AFRICA: EASTERN AND SOUTHERN CA : Hoover Institution Press, 19 76 Fetter, Bruce, C o lo n ia l R u le a n d R e g io n a l Im ba la n ce in C en tra l A fr ic a , Boulder, CO: Westview, 19 83 Fetter, Bruce, ed., D e m o g ra p h y fro m S ca n ty E v id e n c e : C en tra l A fr ic a in the C o lo n ia l E r a , Boulder, CO: Rienner, 1990 Heusch, Luc de, L e ro i ivre , ou, l ' o rig in e de l ' état: m yth es et rites b an tou s (The Ivory King; or, The Origin of the State), Paris: Gallimard, 19 7 2 Hinfelaar, Hugo E, B e m b a - S p e a k in g W o m en o f Z a m b ia in a C en tu ry o f R e lig io u s C h a n g e , 1 8 9 2 - 1 9 9 2 , Leiden and N ew York: Brill, 19 94 Konings, Piet, L a b o u r R esistan ce in C a m e ro o n : M a n a g e ria l Strategies a n d L a b o u r R esistance in the A g ro - In d u stria l P lantation s o f the C a m e ro o n D e v e lo p m e n t C o r p o ra tio n , London: Currey, 1993 McCracken, John, “ Central African History ” [review article], J o u r n a l o f A fric a n H isto ry 2 6 (19 85), 2 4 1 - 4 8 Martin, Phyllis, E x te rn a l T ra d e o f the L o a n g o C o a st , 1 5 7 6 - 1 8 7 0 : T h e E ffe c ts o f C h a n g in g C o m m e rc ia l R elatio n s in the Vili K in g d o m o f L o a n g o , Oxford: Oxford University Press, 19 7 2

Martin, Phyllis, L eisu re a n d S o ciety in C o lo n ia l B ra zza v ille , New York and Cambridge: Cambridge University Press, 19 95 Obenga, Théophile, ed., A fr iq u e C en tra le p ré - co lo n ia l: d o cu m en ts d ' h isto ire viva n te, Paris: Présence Africaine, 19 7 4 ; in English as R e a d in g s in P re c o lo n ia l C en tra l A fr ic a : T exts a n d D o cu m e n ts,

London: Karnak, 1995 Oliver, Roland et a l., eds., H isto ry o f E a s t A fric a , 3 vols., Oxford: Oxford University Press, 19 6 3 - 7 6 Ranger, Terence O., R e v o lt in Sou th ern R h o d es ia , 1 8 9 6 - 9 7 : A S tu d y o f A fric a n R esistan ce, London: Heinemann, and Evanston, IL: Northwestern University Press, 19 6 7 Ranger, Terence O., and Isaria N . Kimambo, eds., T h e H isto rica l S tu d y o f A fric a n R e lig io n : W ith S p ec ia l R efe re n ce to E a s t a n d C en tra l A fr ic a , London: Heinemann, and Berkeley: University of California Press, 19 7 2 Samarin, William J., T h e B la c k M a n ’s B u rd e n : A fric a n C o lo n ia l L a b o r o n the C o n g o a n d U b a n g i R iv e r s , 1 8 8 0 - 1 9 0 0 , Boulder, CO : Westview Press, 1989 Schweitzer, Albert, Z w is c h e n W asser u n d U r w a ld : E rle b n isse u n d B eo b a ch tu n g en eines A rzte s im U r w a ld e Ä q u a to ria l A frik a s , Bern: Haupt, 19 2 3 ; in English as O n the E d g e o f the P rim e v a l Fo rest: E x p e rie n c e s a n d O b serva tio n s o f a D o c t o r in E q u a to ria l A fric a ,

London: Black, 19 2 3 ; New York: Macmillan, 1 9 3 1 Stanley, Henry M ., T h ro u g h the D a r k C o n tin en t, 2 vols., New York: Harper, and London: Sampson Low, 18 78 Thornton, John, “ Pre-Colonial Central African History ” [review article], C a n a d ia n Jo u r n a l o f A fric a n Studies 16 (19 82), 6 3 1 - 3 3 Turner, Victor, T h e Fo rest o f S y m b o ls: A sp e c ts o f N d e m b u R itua l, Ithaca, N Y: Cornell University Press, 19 6 7 Turner, Victor, T h e R itu a l P ro cess: Structure a n d A n ti - S tru ctu re, Chicago: Aldine Press, and London: Routledge, 1969 Vansina, Jan, K in g d o m s o f the S a va n n a , Madison: University of Wisconsin Press, 1966 Vansina, Jan, Path s in the R a in fo rests: T o w a r d a H isto ry o f P o litica l Tra d itio n in E q u a to ria l A fric a , Madison: University of Wisconsin Press, 1990 Vogel, Joseph, G re a t Z im b a b w e : T h e Iro n A g e in So u th C en tra l A fric a , N ew York: Garland, 19 94 Wills, Alfred John, A n Intro d u ctio n to the H isto ry o f C en tra l A fr ic a , New York and London: Oxford University Press, 1964

Africa: Eastern and Southern In many ways, it is artificial to combine the historiographies of Eastern and Southern Africa. Yet, they also share a number of historiographical commonalities. Some of these commonalities are unique to these regions and others they share with the rest of the continent. Of relevance to both regions are the

7

themes of German colonialism, white settlers, resistance to imperialism, South Asian immigration, and decolonization/ independence movements. As the nation of South Africa already has an entry in this volume that closely examines the Apartheid state and Afrikaner scholarship, this entry will not discuss white South Africa in much detail. One could place the beginnings of the historiography of these regions in the late 19th and early 20th centuries with the emergence of a literate indigenous elite who recorded the history of their peoples and regions. The fact that they were not professionally trained historians has led many to refer to these early writers as chroniclers. In the interests of space, this article will adhere to traditional historiographical interpretations that trace the emergence of a historiography to the 1960s with the first professionally trained historians of African history. Discussion of these early chroniclers/historians can be found in John Rowe’s article “ Progress and a Sense of Identity: African ITistoriography in East Africa ” (1977). While Eastern and Southern Africa were not the only parts of Africa to experience German colonialism, Tanganyika and Namibia bore the brunt of the German policy of genocide. Large portions of Namibia and southwestern Tanzania remain sparsely populated to this day because of German methods of “ pacification.” Works such as John Iliffe’s Tanganyika under German Rule, 19 0 5 - 1912 (1969) and Kaire Mbuende’s Namibia, the Broken Shield (1986) are important for their discussion of German brutality. Mbuende examined the German seizure of African cattle and land, African resistance to such attempts, and the slaughter of large numbers of Herero and Nama as a result. Africans of Tanganyika also resisted German intrusion. This resistance gave birth to one of the most famous, as well as largest, resistance movements in African colonial history, the Maji Maji. G.C.K. Gwassa’s study Kumbukumbu za vita vya Maji Maji (Records of the Maji Maji Rising, 1967) examined the role of the prophet Kinjinkitile in mobilizing numerous Tanganyikan peoples against the Germans. The rebellion earned its name from the KiSwahili word for water (maji) as the movement formed around the distribution of medicines that would turn German bullets to water. While Germany by no means possessed a monopoly on colonial brutalities, scholars of East and Southern Africa have done well to remind us of the particularly fierce pattern of German colonialism. Large numbers of white settlers established themselves throughout Eastern and Southern Africa. South Africa is the most notable and well-known preserve of white settlement, but European settlers could also be found in Namibia, Zimbabwe, and Kenya and in smaller numbers throughout both regions. Africans were displaced, and their land, usually the most fertile land, was confiscated by Europeans. Some “ scholarship ” turned up which justified land appropriation. Even as recently as 19 53 works like Elspeth Huxley’s White Man's Country argued that because Africans had not transformed every acre and had possessed a different notion of land ownership, they were not fit to control the best land in Africa. To counter argu ments such as these, other scholarship began to appear in the late 1960s arguing that European claims to land were unfounded and unethically based. Africans hardly sat still while their ancestral lands were appropriated. The rest of the world had heard little of African resistance to land confiscation not

8

AFRICA: EASTERN AND SOUTHERN

because Africans did not attempt to halt European advancement, but because of the silencing of African voices. A noteworthy work in this regard was Le mouvement “Mau Mau” (The Mau Mau Movement, 19 7 1) from Robert Buijtenhuijs; it investigated the Mau Mau insurgency of 19 5 3 - 5 4 when displaced Kikuyu rose against the white government of Kenya. Much of this scholarship has, understandably, been quite politically charged. Much of the literature from the perspective of white settlers was nothing short of racist. The heyday of studies of white settlership was in the 1960s. Since that time most discussion of white settlership has been absorbed into discussions of decolonization. Allied with the issue of white settlership has been the notion of resistance in general. Like other regions of Africa, East and Southern Africa witnessed a tremendous growth of studies of African resistance to colonialism beginning in the 1960s. These scholars were attempting to illustrate the varied ways in which Africans tried to thwart European encroachment, rather than welcome it, which had been the colonial myth. George Shepperson and Thomas Price in Independent African (1958) investigated the complex religious and military resistance of John Chilembwe and his Providence Industrial Mission in southern Malawi. While the movement was rather short-lived, Chilembwe, like other resistance leaders, has remained an important cultural icon to contemporary Africans. Allen Isaacman discussed the many-faceted responses that occurred in the Zambesi valley in The Tradition of Resistance in Mozambique (1976). The sorts of works one may find in this genre of resistance are as varied as were the forms of resistance. Whether the responses were military, religious, social, diplomatic, or as was most often the case, a combination thereof, resistance has been a fruitful means of investigation. Some more recent scholarship has begun to indicate that resistance often came in much more subtle and complex forms. Jean Comaroff’s book Body of Power; Spirit of Resistance (1985) illustrated the ways in which the Tshidi of South Africa and Botswana used clothing, color, and symbols as a means of resistance. Other works dealt with resistance against racist regimes once colonialism was entrenched. Literature on the nation of South Africa has been especially productive in this regard. Cherryl Walker looked at the role of gender in resistance and political organizing in Women and Resistance in South Africa (1982). Much of this literature is also concerned with radical politics. I Write What I Like (1978), for instance, discussed the life and death of Steve Biko, the formation of the Black Consciousness movement, and student political activism against the Apartheid regime. As Lyn Graybill’s recent work Religion and Resistance Politics in South Africa (1995) indicated, resistance is not a theme that has exhausted its relevance for Eastern and Southern African history. These regions are unique for their large South Asian popu lations. As occurred in several other parts of the world, such as Trinidad and Fiji, South Asians were used as indentured laborers in Africa. J.S. Mangat’s pioneering work A History of Asians in East Africa c.1886 to 194J (1969) investigated the role of South Asian laborers in Kenya, Uganda, and Tanganyika, especially in railroad construction. Much of the scholarship on Asians in Africa has been concerned with economics, as the fairly recent work of Robert Gregory, South

Asians in East Africa (1993), demonstrated. Works on Asians

in Africa that looked at the Asian experience in Africa more holistically would be a welcome addition to the field. Perhaps no theme has spurred as many works as that of decolonization. This was due to a number of factors. The unwillingness of Portugal to relinquish its colonies led to long and bloody anti-colonial civil wars in Angola and Mozambique. The civil wars in both nations, even as recently as the 1990s, were residual effects of the decolonization process. David Birmingham’s Frontline Nationalism in Angola and Mozambique (1992) explored the civil wars in these two former Portuguese colonies. Second, the strong entrenchment of racist states like Southern Rhodesia and South Africa and the neo-colonial dominance of South Africa over Namibia created tense and bitter struggles of Africans against these regimes. Terence Ranger analyzed the decolonization process as manifested through Mau Mau, FRELIM O, and guerrilla war in Zimbabwe in Peasant Consciousness and Guerrilla War in Zimbabwe (1985). It was his contention that decolonization was aided by the support and civil disobedience of the general population and was not due just to the efforts of radical political and paramilitary groups. Lastly, East Africa also housed one of the most famous independence era leaders, Jomo Kenyatta. George Delf’s 19 6 1 biography of Kenyatta traced the political leader’s evolution from his traditional background to left-wing political activist to cam paigner for independence. The edited work of B.A. Ogot and W.R. Ochieng, Decolonization and Independence in Kenya, 1940 - 93 (1995), illustrated the importance that decolonization continues to have to Africans despite the unfulfilled promises of the independence era. South and East African historiography has made a number of important contributions to African studies in general, but mention must be made of two areas in which it has been especially productive. South African historiography has led the way in studies of labor history. Bill Freund’s The African Worker (1988) is often seen as the finest example of this genre of scholarship. Given the obvious connections labor had with trade unions, radical politics, and resistance, it should not be difficult to understand why labor was an important means of analysis in Southern African history. East African historiography has increased awareness of the importance of the environment in African history through its pioneering works in ecological history. The 1970s witnessed an outpouring of significant works like Helge Kjekshus’s Ecology Control and Economic Development in East African History (1977) and Ecology and History in East Africa (1979) edited by B.A. Ogot. Works on ecological history have not disappeared, but they have not reached the volume of the 1970s. A couple of shortcomings can be identified in the historiographies of these regions. First, South Africa the nation was too often equated with South Africa the region. The historiographies of nations like Namibia, Botswana, and Malawi are relatively shallow and in complete imbalance with that of South Africa. One can claim that population, economic power, and the like justified this, but the fact remains that we know little of the Namibian past. Second, East African historiography was also plagued by geographic imbalance. The Swahili Coast was heavily favored in research over the inland areas. The Great Lakes region was an important one in African history yet we know little about its history (human evolution aside) when

AFRICA: NORTH AND THE HORN compared with other areas. Lastly, due to the legacy of the settler colony and racist regime, political economy was the focus of a vast majority of studies. Hopefully, the historiographies of these regions will begin to address these imbalances in the coming decades. T o y i n F a l o l a a n d J o e l E. T i s h k e n S e e a ls o Iliffe; Ogot; Ranger

Further Reading Baumhögger, Goswin, “ Die Geschichte Ostafrikas im Spiegel der Neueren Literature” (The History of Africa as Depicted in Contemporary Literature), G esch ich te in W issen schaft u n d U n terrich t 22 (19 7 1), 6 78 - 70 4 ; 22 (19 7 1), 7 4 7 - 6 8 Beinart, William, “ Political and Collective Violence in Southern African Historiography,” Jo u r n a l o f Sou th ern A fric a n Studies 18:3 (1992), 4 5 6 - 8 6 Biko, Steve, I W rite W h a t L ik e : A Selectio n o f H is W ritin g , edited with a personal memoir by Aelred Stubbs, London: Bowerdean, 19 78 ; N ew York: Harper, 19 79 Birmingham, David, Fro n tlin e N a tio n a lism in A n g o la a n d M o z a m b iq u e , Trenton, N J, and London: Africa World Press, 19 9 2 Bozzoli, Belinda, and Peter Delius, “ Radical History and South African Society,” R a d ic a l H isto ry R e v ie w 46 (1990), 1 3 - 4 5 Buijtenhuijs, Robert, L e m o u ve m e n t ftM a u M a u ” : U n e révolte p a ysa n n e et an ti - co lo n ia le en A fr iq u e noire (The Mau Mau Movement: A Peasant and Anti-Colonial Revolt in Sub-Saharan Africa), The Hague: Mouton, 1 9 7 1 Chanaiwa, David, “ Historiographical Traditions of Southern Africa,” Jo u r n a l o f Sou th ern A fric a n A ffa ir s 3 (1978), 1 7 5 - 9 3 Comaroff, Jean, B o d y o f P o w e r ; S p irit o f R esistan ce: T h e C u ltu re a n d H isto ry o f a S o u th A fric a n P e o p le , Chicago: University of Chicago Press, 19 8 5 Delf, George, J o m o K en ya tta : T o w a r d Truth a b o u t “ T h e L ig h t o f K e n y a , ” London: Gollancz, and Garden City, N Y: Doubleday, 19 6 1 Freund, Bill, T h e A fric a n W o rk er , Cambridge and N ew York: Cambridge University Press, 1988 Gatheru Wanjohi, N ., “ Historical Scholarship in the East African Context,” In ternation al S o c ia l Scien ce Jo u r n a l 33 (19 8 1), 6 6 7 - 7 4 Graybill, Lyn S., R e lig io n a n d R esistan ce P olitics in So u th A fr ic a , Westport, CT: Praeger, 19 95 Gregory, Robert, So u th A sia n s in E a s t A fr ic a : A n E c o n o m ic a n d S o c ia l H istory, 1 8 9 0 - 1 9 8 0 , Boulder, CO: Westview Press, 19 93 Gwassa, G.C.K., K u m b u k u m b u za vita vy a M a ji M a ji , 19 6 7; edited by John Iliffe as R e c o rd s o f the M a ji M a ji R isin g , Nairobi: East African Publishing House, 19 67 Herzog, Jurgen, “ Ökologie als Thema der Geschichte? Kritisches und Nachdenkliches zur Afrika-Historiographie” (Ecology as a Historial Theme: Critical Thoughts and Reflections on African Historiography), A sie n , A frik a , L atein a m erica 16 (1988), 2 8 8 - 9 6 Huxley, Elspeth, W h ite M a n ' s C o u n try : L o r d D e la m e re a n d the M a k in g o f K en ya , 2 vols., London: Macmillan, 19 5 3 ; New York: Praeger, 1968 Iliffe, John, Ta n g a n yik a u n d er G e r m a n R u le, 1 9 0 5 - 1 9 1 2 , Cambridge: Cambridge University Press, 1969 Ingham, Kenneth, “ Some Reflections on East African Historiography,” H istoria 2 1:2 (1976), 3 8 - 4 2 Isaacman, Allen, and Barbara Isaacman, T h e Tra d itio n o f R esistan ce in M o z a m b iq u e : T h e Z a m b e s i Valley, 1 8 5 0 - 1 9 2 1 , Berkeley: University of California Press, and London: Heinemann, 19 76 Kjekshus, Helge, E c o lo g y C o n tro l a n d E c o n o m ic D e v e lo p m e n t in

1

E a s t A fric a n H isto ry : T h e C a se o f T a n gan yik a, 1 8 5 0 - 1 9 5 0 ,

Berkeley: University of California Press, 19 7 7 ; revised with new introduction, London: Currey, and Athens: Ohio University Press, 19 96 Mangat, J.S., A H isto ry o f A sia n s in E a st A fric a , c . 1 8 8 6 to 1 9 4 5 ,

9

Oxford: Oxford University Press, 1969 Mbuende, Kaire, N a m ib ia , the B ro k e n S h ield : A n a t o m y o f Im perialism a n d R e v o lu tio n , Malmo: Liber, 1986 Ogot, Bethwell A., ed., E c o lo g y a n d H isto ry in E a st A fric a : P ro ceed in g s o f the 1 9 7 5 C o n fe re n c e o f the H isto rica l A sso c ia tio n o f K en ya , Nairobi: Kenya Literature Bureau, 19 79 Ogot, Bethwell A., and W.R. Ochieng, eds., D e c o lo n iz a tio n a n d In d e p e n d e n c e in K en ya , 1 9 4 0 - 9 5 , London: Currey, and Athens: Ohio University Press, 1995 Peterson, Christian, “ The South African Agrarian Transformation, 18 8 0 - 19 2 0 : A Historiographical Overview,” U fa h a m u 2 1 (19 93), 110 -19 Ranger, Terence O., Peasant C on scio u sn ess a n d G u e rrilla W ar in Z im b a b w e : A C o m p a ra tiv e S tu d y, London: Currey, and Berkeley: University of California Press, 19 85 Rowe, John, “ Progress and a Sense of Identity: African Historiography in East Africa,” K en ya H isto rica l R e v ie w 5 (19 77), 2.3 - 34 Schoenbrun, David, “ A Past Whose Time has Come: Historical Context and East Africa ’s Great Lakes,” H isto ry a n d T h e o ry 32 (19 93), 3 2 - 5 6 Shepperson, George, and Thomas Price, In d e p e n d e n t A fric a n : J o h n C h ile m b w e a n d the O rig in s, Settin g a n d Sign ificance o f the N y a s a la n d N a t iv e R isin g o f 1 9 1 5 , Edinburgh: Edinburgh

University Press, 19 58 Smith, Iain R., “ The Revolution in South African Historiography,” H isto ry T o d a y 38 (February 1988), 8 - 10 Walker, Cherryl, W o m en a n d R esistan ce in So u th A fr ic a , London: Onyx, 19 8 2 ; New York: Monthly Review Press, 19 9 1

Africa: North and the Horn This region corresponds to the part of the continent known to the Greeks and Romans, either because, like Egypt and North Africa, it had long formed part of the Mediterranean world, or because, like Azania on the East African coast, it had been reached from the Mediterranean via the Nile and the Red Sea. The written records of antiquity begin with the ancient Egyptians, and end with the accounts of the region in Greek and Latin, including the references in the Bible. These are important because of the information they provide, the concepts they represent, and finally, because they were the starting point for modern European study of the continent. The interval was filled by the very different tradition of the Arabic and Islamic world. Arabic geography was based on Ptolemy, and extended the picture of the continent sketched by the Greeks and Romans, without advancing the frontier of knowledge further south than the Western and Central Sudan. Arabic writers, on the other hand, were cut off by language from the historical literature of Greece and Rome, and concentrated on their own history in Africa north of the Sahara from the 7th century onwards. Written from an Islamic point of view, this remained substantially unknown to post-classical Europe before the 17th and 18th centuries. The information it provided about a region of which Europeans had little direct knowledge from the end of antiquity to the Renaissance had then to be matched with the Greek and Latin material upon which European scholarship was primarily based. In the 19th century the combination became the starting point for the historical study of Africa as a whole. For more than two thousand years, the Pharaonic kingdom of Egypt recorded itself as the center of a world embracing the Sahara, the Nile as far as Khartoum, and the Red Sea. To

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AFRICA: NORTH AND THE HORN

this perception of the desert, the river, and the sea, Herodotus and his Greek and Roman successors added the mountains of the Atlas, encompassing the whole within a world centered upon the Mediterranean. Within that world, Egypt was recognized as the home of an incredibly ancient civilization, whose myth of Isis and Osiris spread throughout the Roman empire, but whose subjection to that empire doomed its civilization to the past. The Sahara, on the other hand, beyond which lived the Ethiopians or “ burnt faces,” was a desert land without a history of its own. The Mediterranean coast, and the mountains of Atlas, came alive only in so far as they were colonized by Greeks, Carthaginians, and Romans, and eventually civilized in the Roman manner. Beyond the Roman frontier in North Africa, from Sale on the Atlantic to Tripoli and Cyrenaica, the barbarian or “ Berber” tribal population existed largely as troublemakers. To the south of Aswan the kingdoms and peoples of Meroe on the Nile; Axum on the Red Sea; and Azania on the East African coast, were barbarians with whom to trade. The Roman frontier across northern Africa made a political distinction between civilization and barbarism. This distinction changed in the 5th century C E when the Roman empire broke up, but civilization was equated with Christianity, and spread to include the kingdoms of the Nilotic Sudan and Ethiopia. In the 7th century the political distinction reappeared with the Arab conquests, which reunited Egypt and North Africa in the Arab empire, where Islam took the place of Christianity as the dominant religion. Islam, however, like Christianity, spread far beyond its borders, thanks to the development of trade through the Red Sea with the Horn and East Africa, and for the first time by camel across the Sahara to the central and western Sudan. This trade with tropical Africa in slaves, gold, and ivory, integrated the northern and eastern regions of the continent into the Islamic world of the Mediterranean and Middle East. In the process, the ethnic pattern changed. With Mecca now the center of the world, the population of the region by the offspring of Noah included the Berbers of North Africa and the Sahara, “ barbarians” now classified as a race. Meanwhile the subject Christian population of Egypt was turned by its religion into another nation called the Qibt or Copts, that is, “ Egyptians.” To the south, the “ black ” peoples of antiquity became the Habash or “ Abyssinians” ; the Nuba or Nubians; and the Sudan or “ Blacks.” The picture, however, was progressively modified by the prestige of Arab ancestry and the immigration into Africa of Arab bedouin. As a result, a process of Arabization as well as Islamicization extended right across the region. By the 15th century the Copts had become a small minority in Muslim Arab Egypt, while the Christian Nubians had disappeared, leaving only the Christian Ethiopians in opposition to the Muslim Somalis of the Horn. To the west of the Nile, the Muslim Berbers succumbed from the n t h century onwards to the attraction of Arab ancestry and the spread of spoken Arabic, to the point at which Berber speakers are now a minority in North Africa and the Sahara. To the south of the desert, Islamicization meanwhile produced selfconsciously Islamic peoples like the Hausa. These changes were expressed in terms of fictitious genealogies and legendary migrations out of Arabia: see for example, Norris’s Saharan Myth and Saga (1972) and Brett and Fentress’

The Berbers (1996). The outstanding overview was that of Ibn Khaldun at the end of the 14th century, whose history of the world, revolved around the Berbers in the west and the Arabs in the east. As discussed in Ibn Khaldun’s Introduction or Muqaddimah, their deeds were made possible by the primitive virtues of nomadic peoples, an observation which so far as the Sahara and the Horn are concerned reflected the introduction of the camel from Arabia as a pastoral animal in the later centuries of the ancient world. Ibn Khaldun ’s views, discussed by Brett in “ The Way of the Nomad ” (1995), were taken up by European readers in the 19th century as a key to the history and society of the region. The development of relations between western Europe and these lands in the later Middle Ages had been cut short by war fare in the 1 6th century between the Habsburgs and Ottomans, which brought the Turks to the borders of Morocco. At a time when Europeans had found their way round the continent as a whole, they were left in ignorance of northern Africa, relying on the early 16th -century account by the Moroccan Leo Africanus, which was rapidly translated into Italian, French, and English. Leo ’s History and Description of Africa (written 15 26 , in English 1600) was a final version of the medieval account of Africa by Arab geographers and travellers, both informative and misleading, as the maps which Ortelius based upon it show. By the 18th century, however, European residents in Egypt and North Africa like Thomas Shaw, were making their own observations, comparing these with their own sources, the Bible on the one hand, the classical authors on the other. At the beginning of the 19th century, E.W. Bovill has noted, these observations expanded into an enormous new literature with the French Description de VEgypte, commissioned by Napoleon in 17 9 8 - 18 0 1, and the British and French explo ration of the Sahara. The discovery of ancient as well as Muslim Egypt was then matched by the discovery of Muslim states and peoples to the south of the Sahara, establishing a connection between the Mediterranean coast and that of West Africa. A similar connection was made with the Christian kingdom of Ethiopia, discovered by the Portuguese in the 16th century, and visited by James Bruce at the end of the 18th. The outcome in terms of historical perception was contradictory. The conquest of all but Ethiopia by Britain, France, Italy, and Spain between 18 30 and 19 12 , promoted a view of Islam as a backward religion and the Arabs as a backward race in need of European rule, which in the case of French North Africa was supposed to restore the country to the European civilization it had enjoyed under the Romans. On the other hand, as Seligman’s Races of Africa (1930) and MacGaffey’s “ Concepts of Race ” (1966) have shown, the view of black Africans as an inferior race, which the Atlantic slave trade had encouraged, was combined with the new knowledge of ancient Egypt and Muslim and Christian Africa to suggest that what civilization there was in “ the Dark Continent” was the result of successive invasions of Africa by “ white” peoples from Asia and Europe. In this so-called “ Hamitic hypothesis,” the north and northeastern part of the continent known to the Greeks and Romans and thus to western Europe, became the homeland of basically “ white ” peoples - ancient Egyptians, Berbers, Ethiopian Semites, Somalis, Arabs, Fulanis, and so on, who had given the whole of Africa its history prior to the arrival of the modern Europeans.

AFRICA: WEST In this postcolonial age, the Hamitic hypothesis has quite rightly been abandoned for the racial nonsense it is. It leaves its trace, however, in the notion of a White as distinct from a Black Africa, including the Sudan, Ethiopia, and the Horn, as in Julien’s Histoire de VAfrique blanche (History of White Africa, 1966). Meanwhile in Diop ’s The African Origin of Civilization (1974) and Martin Bernal’s Black Athena (1987), it has been inverted by the contention that the ancient Egyptians were not only black, but the creators of “ white ” Greek civilization. Race aside, the position is in fact reversed in the sense that the north and northeast is now studied from an African as well as a classical and Islamic point of view, as part of the common history of the continent and its native peoples. For this reason the region is best covered by general histories of Africa, culminating in the multivolume Cambridge History of Africa (edited by Fage and Oliver, 1975 - 86) and the UNESCO General History of Africa (19 8 1 - 9 3). These represent most of the authors at present at work on North Africa, the Nile valley, Ethiopia and the Horn, with appro priate bibliographies. M i c h a e l Br e t t S e e a ls o

Oliver

Bernal; Curtin; Diop; Ibn Khaldun; Iliffe; Julien; Laroui;

Further Reading Bernal, Martin, B la ck A th e n a : T h e A fro a sia tic R o o ts o f C lassical C iviliza tio n , 2 vols, to date, London: Free Association Press, and N ew Brunswick, N J: Rutgers University Press, 19 8 7 - 9 1 Bovill, E.W., T h e G o ld e n Tra d e o f the M o o r s , London and New York: Oxford University Press, 19 58 ; revised 1968 Brett, Michael, “ The Way of the Nomad,” B u lletin o f the S c h o o l o f O rie n ta l a n d A fric a n Stu d ies , 58 (1995), 2 5 1 - 6 9 Brett, Michael, and Elizabeth Fentress, T h e B e r b e rs , Oxford and Cambridge, M A: Blackwell, 1996 Bruce, James, T ravels to D is c o v e r the S o u rce o f the N ile , 5 vols., Edinburgh and London: Robinson, 179 0 ; enlarged and revised to 8 vols., 180 4 Curtin, Philip D. et a l., A fric a n H is to ry , Boston: Little Brown, 19 78 ; revised London and New York: Longman, 19 9 2 Diop, Cheikh Anta, A n té rio rité d es civilisa tio ns nègres: m yth e ou vérité h isto riq u e ?, Paris: Présence africaine, 19 6 7; in English as T h e A fric a n O rig in o f C iviliza tio n : M y th o r R e a lity , New York: Lawrence Hill, 19 74 Fage, John Donnelly, and Roland Oliver, eds., T h e C a m b rid g e H isto ry o f A fr ic a , 8 vols., Cambridge and New York: Cambridge University Press, 19 7 5 - 8 6 Fage, John Donnelly, A H isto ry o f A fr ic a , New York: Knopf, 19 78 ; 3rd edition, London and New York: Routledge, 19 95 Ibn Khaldün, M u q a d d im a , written 1 3 7 5 - 7 8 ; in English as T h e M u q a d d im a h : A n In tro d u ctio n to H isto ry , 2nd edition, Princeton: Princeton University Press, 19 6 7, London: Routledge / Seeker and Warburg, 19 78 Iliffe, John, A fric a n s : T h e H isto ry o f a C o n tin e n t , Cambridge and N ew York: Cambridge University Press, 1995 Julien, Charles-André, H isto ire d e V A friq u e bla n ch e , des origines à 1 945 (A History of White Africa from its Origins to 19 45), Paris: Presses Universitaires de France, 1966 Leo Africanus, H isto ry a n d D e scrip tio n o f A fric a , written 15 2 6 ; in English 1600; 3 vols., London: Hakluyt Society, 1896 MacGaffey, Wyatt, “ Concepts of Race in the Historiography of Northeast Africa,” J o u r n a l o f A fric a n H isto ry 7 (1966), 1 - 1 7 Norris, H.T., Sah aran M y th a n d Saga, Oxford: Clarendon Press, 19 7 2

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Oliver, Roland, and John Donnelly Fage, A S h o rt H isto ry o f A fric a , London and Baltimore: Penguin, 19 6 2 ; 6th edition 1986 Oliver, Roland, T h e A fric a n E x p e rie n c e , London: Weidenfeld and Nicolson, 19 9 1; New York: Icon, 19 92 Seligman, Charles Gabriel, R a ces o f A fric a , London: Butterworth, 19 30 ; 3rd edition, Oxford and New York: Oxford University Press, 19 5 7 Shaw, Thomas, T ravels o r O b serva tio n s R elatin g to S evera l Parts o f B a rb a ry a n d the L e v a n t, Oxford, 17 3 8 UN ESCO International Scientific Committee, G e n e ra l H isto ry o f A fric a , 8 vols., London: Heinemann, and Berkeley: University of California Press, 1 9 8 1 - 9 3

Africa: West The basic argument throughout much of pre-colonial African history is whether migrations from “ more developed” areas influenced indigenous African, including West African, developments. Often these arguments begin with discussions regarding the significance of climate and ecology on the course of West Africa ’s history. Those who argue against indigenous development of African civilization and of the agricultural innovation to support it point to its tropical climate. Of Africa’s 11,000,000 square miles 9,000,000 are in the tropics, including the entire region of West Africa. West Africa, in fact, is in the Inter Tropical Climate zone (ITC), an area marked by low pressure air and periods of regionally high rainfall. The rain fall, however, while heavy at times is erratic. The erratic nature of the rainfall not only leads to the leaching of soil, but also to limits on agriculture and, consequently, on population. There are variations in the climate and ecological zones of West Africa. The areas of Zaire and the Guinea Coast, for examples, are marked by tropical rain forests. The continental uplift of other areas is marked by regional basins, such as those found in the Niger River area. These basins favor navigable rivers, but precipitous falls hinder the penetration of the interior, having a great effect on the course of African history. Ajayi and Crowder’s Historical Atlas of Africa (1985) is excellent in addressing the role of geography in African history. Work on African agriculture has been extensive and the 1984 volume edited by Clark and Brandt outlines the major developments. Greenberg’s classic on linguistics, The Languages of Africa (1963), still remains the benchmark for such studies, for it addresses the dispute regarding the role of migrations in African history. Greenberg used linguistic evidence to trace the path of African migrations and argued strongly against the “ Hamitic hypothesis” that dominated so much colonial thought on Africa, stressing that all developments came from the “ Hamitic” peoples from the east. Current archaeological evidence argues strongly for the fact West Africa was one of the areas in which indigenous farming developed. It indicates a long period of development, rather than a revolutionary leap resulting from outside introduction of crops. Similar arguments regarding indigenous development versus outside influence have raged regarding the Savannah Empires and Forest Kingdoms. Certainly, climate changes affected the development of the Savannah Kingdoms and Empires and offer a clue regarding their development. Essential information on the early kingdoms and debates regarding their origins and

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AFRICA: WEST

development are found in the primary writings of Leo Africanus, Ibn Battuta and other Arab travellers. BovilPs Golden Trade of the Moors (1958), although somewhat dated, is still quite readable if corrected with later works such as Ajayi and Crowder’s History of West Africa (19 7 1 - 7 4 ), and the appropriate volumes of The Cambridge History of Africa. Ajayi and Crowder pro vided an important overview to the Islamic rule of West Africa. More detailed specialized work can be found in Last’s The Sokoto Caliphate (1967). Hodgkin ’s Nigerian Perspectives (i960) furnished an interesting introduction to the important travel writing that supplies so much insight into the Islamic jihads. Although geographical conditions generally provided protection and isolation for the peoples of the coastal area from the Senegambia region to Cameroon, there were exceptions. Certainly, the similarities in customs and language suggest a common origin and long isolation from outside influences. Benin, the Ashanti, Dahomey, the Wolof, and the Serer states supply exceptions to the theme of isolated and protected peoples. These centralized governments certainly had intense contact with their neighbors, resulting in warfare, trade, and religious borrowing. In addition, there were essential developments among the so-called stateless peoples, such as the Igbo and Tiv, exhibiting their own political and artistic genius. The history of the forest zone is marked by a constant search for a balance of power in the face of outside attacks from the savannah region, especially in the 19th -century period of jihads. Islam also provided stability and a means for adapting outside influences while regulating trade and developing governmental institutions. It provided a means for uniting related people into larger wholes. Nonetheless, it did not penetrate to the mass of people, and even today the Yoruba take care to hedge their bets by having various members of their families follow different religions. The Renaissance and Reformation in Europe unleashed a power that drove Europeans to the ends of the world in pursuit of money and adventure. As capitalism in its mercantilistic form emerged as the dominant economic and political para digm, the Atlantic nations began their trade expansion. That expansion made its first mark along the west coast of Africa. Once again the basic debate is between those who provide a Eurocentric African history and those scholars who seek either an Afrocentric or dialogic view of the interaction between European and African peoples, histories, cultures, and societies. Jan Vansina has long sought to present a dynamic image of African response and activism to the coming of European powers. Much of the debate has focused on the significance of the African slave trade and the works of Philip Curtin, Paul Lovejoy, J.E. Inikori, and David Henige have reflected and contributed to these debates. There has also been a discussion regarding the missionary influence in West Africa. These debates are complicated, but tend to focus on the degree of African response to European influence in religion, culture, politics, and society. There is an increasing understanding of the manner in which Africans helped to shape their own destinies. It is rather naive to picture Africans as passive observers in the major events that took place over five centuries of contact. The debate over the African responses to European power often revolves on the question of the merits of direct and

indirect rule. Crowder’s West Africa under Colonial Rule (1968) depicted the colonial period in general and Senegal’s experience in particular. Johnson’s The History of the Yorubas (19 2 1) also treated the situation in Senegal and the coming of Black power. Hollis Lynch contributed an example of a panAfrican leader in his work on Edward Wilmot Blyden. Studies of particular movements to independence include J.H . Kopytoff on Nigeria; Christopher Fyfe on Sierra Leone; David Kimble on the Gold Coast; and Samuel Johnson, S.O. Biobaku, Michael Crowder, and Elizabeth Isichei on various areas of Nigeria. Gifford and Louis’ The Transfer of Power in Africa (1982) and Decolonization and African Independence (1988) focused on the end of colonialism and the rise of nationalism in Africa. Hodgkin’s Nationalism in Colonial Africa (195 6) and African Political Parties (19 6 1) provide a general overview of the independence period. The literature on African one-party states and on Africa’s political parties in general is quite wide, including works from Gwendolyn Carter, James S. Coleman (alone and with Carl G. Rosberg), Dennis Austin, and Richard L. Sklar. Autobiographies serve to illustrate the interaction between individual leaders and great events. Most notable are those by Kwame Nkrumah, Obafemi Awolowo, and Ahmadu Bello. The spread of Islam was one way in which Africans responded to the spread of European influence in West Africa. In general these were countermovements by the Fulani against European hegemony. Usman dan Fodio, Seku Ahmadu, AlKanemi, and other Fulani began to purify their religion as a means for organizing the faithful against the infidel invaders. Again, arguments regarding the origin of the Fulani, the indigenous nature of West African Islam, and other aspects of the debate regarding the originality of West African peoples is found in discussions of West African Islam. Some have used post-independence movements as “ proof ” of African inferiority and dependence on the outside world. West Africa has had major setbacks in its economic and political developments. Nigeria, for example, has spent most of the period in its post-independence period engaged in civil war or under ever-more repressive military rule. Liberia ’s civil war has also proved increasingly bloody and convoluted. The economic consequences of West Africa ’s instability have proved significant. There has been a growing division between rich and poor over the years. There have, however, been some hopeful signs. The recovery of Ghana and the promise of democratic reform by Jerry Rawlings hold out some promise. The peaceful transition of power in Senghor’s Senegal and in other countries shows that democratic traditions are not dead. The overall issue in West African historical debates has centered on the issue of “ invention versus diffusion.” At every phase of its historical periodization there have been those who have stressed the dependent nature of West Africa and its borrowing of institutions from others, whether they are Hamites, Arabs, or Europeans. Fortunately, there have also been those who have stressed the interactive nature of cultural change and the originality of much of West African culture and history and the manner in which even borrowed elements are integrated within existing cultural institutions. The trend today is to examine the dialogic nature of West African history, stressing the active role that West Africans have played in their destiny. F r a n k A. S a l a m o n e

AFRICA: WEST See also Ajayi; Boahen; Curtin; Love joy; Rodney; Vansina Further Reading Ajayi, J. F. Ade, C h ristian M issio n s in N ig e ria , 1 8 4 1 - 1 8 9 1 , London: Longman, and Evanston, IL: Northwestern University Press, 19 65 Ajayi, J. F. Ade, and Michael Crowder, eds., A H isto ry o f W est A fr ic a , 2 vols., London: Longman, 1 9 7 1 - 7 4 ; N ew York: Columbia University Press, 19 7 2 - 7 4 Ajayi, J. F. Ade, and Michael Crowder, eds., H isto ric a l A tla s o f A fr ic a , Cambridge and New York: Cambridge University Press, 19 8 5 Akinjogbin, I.A., D a h o m e y a n d Its N e ig h b o r s , 1 7 0 8 - 1 8 i j , Cambridge: Cambridge University Press, 19 6 7 Alagoa, Ebiegberi Joe, T h e S m a ll B r a v e C ity State: A H isto ry o f N e m b e - B r a s s in the N ig e r D e lta , Ibadan: Ibadan University Press, 19 64 Anstey, Roger, T h e A tla n tic Sla ve T ra d e a n d B ritish A b o litio n , 1 7 6 0 - 1 8 1 0 , London: Macmillan, and Atlantic Highlands, N J: Humanities Press, 19 7 5 Asiwaju, A.I., W estern Y o ru b a la n d u n d e r E u ro p e a n R u le , 18 8 9 - 1 9 4 5 : A C o m p a ra tiv e A n a ly s is o f Fren ch a n d B ritish C o lo n ia lism , London: Longman, 19 76 Atanda, J. A., T h e N e w O y o E m p ir e : In d irect R u le a n d C h a n g e in W estern N ig e ria , 1 8 9 4 - 1 9 3 4 , London: Longman, 19 7 3 Austin, Dennis, P olitics in G h a n a , London and N ew York: Oxford University Press, 19 64 Awolowo, Obafemi, A w o : T h e A u to b io g r a p h y o f C h ie f O b a fe m i A w o lo w o , Cambridge and New York: Cambridge University Press, 19 6 2

Azarya, Victor,

A risto cra ts F a cin g C h a n g e : T h e F u lb e in G u in e a ,

N ig e ria , a n d C a m e ro o n ,

Chicago: University of Chicago Press,

19 78

Ba, Amadou Hampata, “ Out of the Land of Shadows,”

UN ESCO

C o u rie r (May 1990), 2 2 - 2 5

Bello, Ahmadu, My Life, Cambridge: Cambridge University Press,

19 6 2 Biobaku, Saburi Oladeni, T h e E g b a a n d T h e ir N e ig h b o rs , 1 8 4 2 - 1 8 7 2 , Oxford: Oxford University Press, 19 5 7 Bovill, E.W., T h e G o ld e n Tra d e o f the M o o r s , London and New York: Oxford University Press, 19 5 8 ; revised 1968 Brooks, George E., “ A Provisional Historical Schema for Western Africa Based on Seven Climate Periods {c. 9000 BC to the Nineteenth Century),” C ah iers d ’ E tu d e s A fric a in e s 26 (1986), 10 1-0 2 Brooks, George E., “ Ecological Perspectives on Mande Population Movements, Commercial Networks, and Settlement Patterns from the Atlantic Wet Phase (C.5500-2500BC to the Present),” H isto ry in A fr ic a 1 6

(1989), 23 - 40

Carter, Gwendolen, In d e p e n d e n c e fo r A fric a , New York: Praeger, i9 6 0 ; London: Thames and Hudson, 19 6 1 Carter, Gwendolen, ed., A fric a n O n e P a rty States, Ithaca, NY: Cornell University Press, 19 6 2 Carter, Gwendolen, ed., N a tio n a l U n ity a n d R eg io n a lism in E ig h t S o u th A fric a n States: N ig e ria , N iger, the C o n g o , G a b o n , C en tra l A fr ic a n R e p u b lic , C h a d , U g and a, E th io p ia , Ithaca, N Y: Cornell

University Press, and London: Oxford University Press, 1966 Clark, J. Desmond, ed., T h e C a m b rid g e H isto ry o f A fr ic a , vol. 1: F r o m E a rlie st T im es to c . y o o B C , Cambridge: Cambridge University Press, 19 8 2 Clark, J. Desmond, and Steven A. Brandt, eds., F r o m H u n ters to F a rm ers: T h e C a u ses a n d C o n se q u e n c es o f F o o d P ro d u c tio n in A fr ic a , Berkeley: University of California Press, 19 84

Coleman, James Smoot, N ig e ria : B a c k g r o u n d to N a tio n a lism , London: Cambridge University Press, and Berkeley: University of California Press, 19 58 Coleman, James Smoot, and Carl G. Rosberg, Jr., eds., P o litica l Parties a n d N a t io n a l Integration in T r o p ic a l A fr ic a , Berkeley: University of California Press, 19 64

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Crowder, Michael, Senega l: A S tu d y in Fren ch A ssim ila tio n P o licy , Oxford and New York: Oxford University Press, 19 62; revised London: Methuen, 19 6 7 Crowder, Michael, T h e S to ry o f N ig e ria , London: Faber, 19 6 2; revised 19 78 Crowder, Michael, W est A fric a u n d e r C o lo n ia l R u le , London: Hutchinson, and Evanston, IL: Northwestern University Press, 1968 Crowder, Michael, ed., W est A fric a n R esistan ce: T h e M ilita ry R e sp o n se to C o lo n ia l O cc u p a tio n , London: Hutchinson, 19 7 1 Crowder, Michael, ed., T h e C a m b rid g e H isto ry o f A fr ic a , vol. 8: F ro m c .1 9 4 0 to c . 1 9 7 5 , Cambridge: Cambridge University Press, 19 8 4 Curtin, Philip D., T h e A tla n tic Sla ve T ra d e: A C en su s, Madison: University of Wisconsin Press, 1969 Daaku, Kwame Yeboah, Tra d e a n d P olitics on the G o ld C oa st, 1 6 0 0 - 1 7 2 0 : A S tu d y o f the A fric a n R ea ctio n to E u ro p e a n T rade,

Oxford: Oxford University Press, 19 70 Dike, Kenneth Onwuka, Tra d e a n d P olitics in the N ig e r D elta, 1 8 3 0 - 1 8 8 5 : A n In tro d u ctio n to the E c o n o m ic a n d P o litica l H isto ry o f N ig e ria , Oxford: Oxford University Press, 19 56 Egharevba, Jacob R., A S h o rt H isto ry o f B en in , Lagos: Church Missionary Society Bookshop, 19 36 ; revised 19 5 3 Fage, John Donnelly, “ Slaves and Societies in West Africa, C .1445 - C .170 0 , ” Jo u r n a l o f A fric a n H isto ry 2 1 (1980), 2 8 9 - 3 10 Forde, Daryll, and Phyllis Kaberry, eds., W est A fric a n K in g d o m s in the N in eteen th C e n tu ry, Oxford: Oxford University Press, 19 6 7 Fyfe, Christopher, A H isto ry o f Sierra L e o n e , London: Oxford University Press, 19 6 2 Gailey, Harry, A H isto ry o f the G a m b ia , London: Routledge, 1964 Gifford, Prosser, and William Roger Louis, eds., Fra n ce a n d Britain in A fr ic a : Im p e ria l R iv a lr y a n d C o lo n ia l R u le , New Haven: Yale University Press, 19 7 1 Gifford, Prosser, and William Roger Louis, eds., T h e Tran sfer o f P o w e r in A fr ic a : D e co lo n iz a tio n , 1 9 4 0 - 1 9 6 0 , N ew Haven: Yale University Press, 19 8 2 Gifford, Prosser, and William Roger Louis, eds., D e c o lo n iz a tio n a n d A fric a n In d e p e n d e n c e: T h e Transfers o f P o w er, 1 9 6 0 - 1 9 8 0 , New Haven: Yale University Press, 1988 Greenberg, Joseph, T h e L a n g u a g es o f A fric a , Bloomington: Indiana University Press, 19 6 3; 3rd edition, 19 70 Henige, David, “ Measuring the Immeasurable: The Atlantic Slave Trade, West African Population, and the Pyrrhonion Critic,” Jo u r n a l o f A fric a n H isto ry 27 (1986), 1 9 5 - 3 1 3 Herskovits, Melville, D a h o m e y : A n A n c ie n t A fric a n K in g d o m , 2 vols., N ew York: Augustin, 19 3 8 ; reprinted 19 6 7 Hodgkin, Thomas, N a tio n a lism in C o lo n ia l A fr ic a , London: Muller, 19 56 ; New York: New York University Press, 19 5 7 Hodgkin, Thomas, N ig e ria n P ersp ectives, London: Oxford University Press, i960 Hodgkin, Thomas, A fric a n P o litica l P arties, Harmondsworth: Penguin, 19 6 1; Gloucester, M A : Peter Smith, 19 7 1 Ibn Battuta, T ravels o f Ib n Battuta, A D 1 3 2 5 - 1 3 5 4 , edited and translated by H .A.R. Gibb, 4 vols., Cambridge: Cambridge University Press for the Hakluyt Society, 1 9 5 8 - 7 1 Ikime, Obaro, N ig e r D elta R iv a lry : Its e k ir i - U rh o b o R elatio n s a n d the E u ro p e a n P resen ce, 1 8 8 4 - 1 9 3 6 , London: Longman, and New York: Humanities Press, 1969 Inikori, J.E., ed., F o r c e d M ig ra tio n : T h e Im p a ct o f the E x p o r t Sla ve T ra d e o n A fric a n Societies, London: Hutchinson, 19 8 2 Isichei, Elizabeth, H isto ry o f N ig e ria , London and N ew York: Longman, 19 83 Johnson, Samuel, T h e H isto ry o f the Y oru b as fro m the E arliest T im es to the B eg in n in g o f the P ro tectorate, Lagos: C.M .S, and London: Routledge, 1 9 2 1 ; Westport, CT: Negro University Press, 19 70 Jones, G.I., T h e T ra d in g States o f the O il R iv er s: A S tu d y o f P o litica l D e v e lo p m e n t in E a stern N ig e ria , London: Oxford University Press, 19 63

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July, Robert W., P re c o lo n ia l A fr ic a : A n E c o n o m ic a n d S o cia l H isto ry , New York: Scribner, 19 75 Kimble, David, A P o litica l H isto ry o f G h a n a , 1 8 5 0 - 1 9 2 8 : T h e R ise o f G o ld C o a st N a tio n a lism , Oxford: Oxford University Press, 1963 Kirk-Greene, Anthony Hamilton Millard, C risis a n d C o n flict in N ig e ria : A D o cu m e n ta ry S o u r c e b o o k , 2 vols., London: Oxford University Press, 19 7 1 Kopytoff, Jean Heskovits, A P refa ce to M o d e rn N ig e ria : T h e “ Sierra L e o n ia n s ” in Y oru ba, 1 8 5 0 - 1 8 9 0 , Madison: University of Wisconsin Press, 19 65 Last, Murray, T h e S o k o to C a lip h a te , New York: Humanities Press, and London: Longman, 19 6 7 Law, Robin, T h e O y o E m p ire , C.1600-C.1856: A W est A fric a n Im perialism in the E ra o f the A tla n tic Sla ve T r a d e , Oxford: Oxford University Press, 19 7 7 Louis, William Roger, “ The Berlin Conference,” in Prosser Gifford and William Roger Louis, eds., Fra n ce a n d B rita in in A fric a : Im p e ria l R iv a lry a n d C o lo n ia l R u le , New Haven: Yale University Press, 19 7 1 Louis, William Roger, ed., Im p eria lism : T h e R o b in s o n a n d G a lla g h er C o n tro v e rs y , New York: New Viewpoints, 19 76 Lovejoy, Paul E., C a ra va n s o f K o la : T h e H ausa K o la Trade, i y 0 0 - 1 9 0 0 , Zaria: Ahmadu Bello University Press, 1980 Lovejoy, Paul E., ed., T h e Id e o lo g y o f S la ve ry in A fr ic a , Beverly Hills, CA: Sage, 19 8 1 Lovejoy, Paul E., Tran sfo rm atio n s in S la ve ry : A H isto ry o f S la ve ry in A fr ic a , Cambridge and N ew York: Cambridge University Press, 19 83 Lovejoy, Paul E., ed., A fric a n s in B o n d a g e : Stud ies in S la ve ry a n d the Sla ve T ra d e: E ssa y s in H o n o r o f P h ilip D. C u rtin on the O cc a sio n o f the T w e n ty - F ifth A n n iv e rsa ry o f A fric a n Stud ies at the U n iversity o f W isco n sin , Madison: University of Wisconsin

Press, 1986 Lovejoy, Paul E., Salt o f the D e se rt S u n : A H isto ry o f Salt P ro d u c tio n a n d T ra d e in the C e n tra l S u d a n , Cambridge: Cambridge University Press, 1986 Lovejoy, Paul E., C o n cu b in a g e a n d the Status o f W o m en in E a r ly C o lo n ia l N o rth e rn N ig e r ia , Johannesburg: University of the Witwatersrand African Studies Institute, 1988 Lovejoy, Paul E., “ The Impact of the Atlantic Slave Trade on Africa: A Review of the Literature,” Jo u r n a l o f A fric a n H isto ry 30 (1989), 3 6 5 - 9 4 Lovejoy, Paul E., “ Revolutionary Mahdism and Resistance to Colonial Rule in the Sokoto Caliphate, 19 0 5 - 0 6 , ” Jo u r n a l o f A fric a n H isto ry 3 1 (1990), 2 1 7 - 4 4 Lovejoy, Paul E., and Jan S. Hogendorn, S lo w D ea th fo r S la ve ry : T h e C o u rse o f A b o litio n in N o r th e r n N ig eria , 1 8 9 J - 1 9 3 6 ,

Cambridge: Cambridge University Press, 19 93 Lovejoy, Paul E., and A.S. Kanya-Forstner, eds., S la ve ry a n d Its A b o litio n in F ren ch W est A fr ic a : T h e O ffic ia l P a p ers o f

G. P ou let, E . R o u m e , a n d G. D e h e r m e , Madison: University of Wisconsin Press, 19 94 Lovejoy, Paul E., “ British Abolition and Its Impact on Slave Prices along the Atlantic Coast of Africa, 1 7 8 3 - 1 8 5 0 , ” Jo u r n a l o f E c o n o m ic H isto ry 55 (1995), 9 8 - 1 1 9 Lynch, Hollis R., E d w a r d W ilm o t B ly d e n , London and N ew York: Oxford University Press, 19 6 7 Newbury, Colin Walter, T h e W estern Sla ve C o a st a n d Its R u le rs: E u ro p e a n T ra d e a n d A d m in istra tio n a m o n g the Y oru ba a n d A d ja S p e a k in g P e o p le o f S o u th - W e ste rn N ig e ria , S o u th ern D a h o m e y a n d T o g o , Oxford: Oxford University Press, 19 6 1 Nkrumah, Kwame, G h a n a , Edinburgh and New York: Nelson, 19 59 Oliver, Roland, S ir H a rry Jo h n s to n a n d the S c ra m b le fo r A fr ic a , London: Chatto and Windus, 19 5 7 ; New York: St. Martin ’s Press, 19 58 Rattray, Robert Sutherland, A sh a n ti , Oxford: Clarendon Press, 19 2 3 ; reprinted 1969 Rattray, Robert Sutherland, A sh a n ti L a w a n d C o n stitu tio n , London: Oxford University Press, 19 2 9 ; reprinted 1969

Rodney, Walter, A H isto ry o f the U p p e r G u in e a C oa st, 1 5 4 5 - 1 8 0 0 , Oxford: Oxford University Press, and New York: Monthly Review Press, 19 70 Rotberg, Robert I. and Ali A. Mazrui, eds., P ro test a n d P o w e r in B la ck A fr ic a , N ew York: Oxford University Press, 19 70 Ryder, Alan Frederick Charles, B en in a n d the E u ro p e a n s , I 4 8 5 ~ i 8 9 y , New York: Humanities Press, 1969 Sklar, Richard L., N ig e ria n P o litica l Parties: P o w e r in an E m erg e n t A fric a n N a tio n , Princeton: Princeton University Press, 19 63 Vansina, Jan, K in g d o m s o f the S a va n n a , Madison: University of Wisconsin Press, 1966 Wilks, Ivor, A sa n te in the N in e tee n th C e n tu ry: T h e Structure a n d E v o lu tio n o f a P olitica l O r d e r , Cambridge and New York: Cambridge University Press, 19 7 5 Wolfson, Freda, P a g ea nt o f G h a n a , London: Oxford University Press, 19 58

African American History Historical debate on colonial slavery has centered on explaining the origins and development of wholesale black servitude after the first black Africans arrived in North America at Jamestown, Virginia in 16 19 . Winthrop Jordan, in White over Black (1968), showed the evolution of negative racial attitudes towards blacks in 18th -century America, examining why black Africans, rather than white indentured servants or Native Americans, were condemned to bondage for life. David Brion Davis’s two works on the problem of slavery in western culture and in the age of revolution, have provided the most authoritative attempt to account for the entrenchment of black slavery in the southern colonies at a time when the philosophical justifications for slavery appeared to be dying out in western society, and were in striking contrast to the libertarian values of the American Revolution, 177 6 - 8 7. Research into African American history has always been a controversial area because of its often highly charged racial and political connotations. This is no more true than in the study of antebellum slavery. Abolitionist accounts like Harriet Beecher Stowe’s Uncle Tom's Cabin (18 5 1), sought to portray the physical brutality, immorality, and economic shortcomings of the “ Peculiar Institution.” Such proselytizing works often generated equally partisan writings by southern pro-slavery apologists. Two important early 20th-century works were Ulrich Bonnell Phillips’ American Negro Slavery (19 18 ) and Life and Labor in the Old South (1929). Phillips, himself descended from a southern slaveowning family, argued that slavery was economically unprofitable by the 1850s but was retained by antebellum planters as a means of social control and to provide a “ civilizing school” for black slaves. Autobiographies of runaway slaves constitute the most important written records by African Americans themselves. Foremost of these is Frederick Douglass’ Narrative (1845). More generally, slave illiteracy rates of 90 to 95 per cent have posed a major challenge to historians in unearthing black testimony. In the absence of written evidence, attention has been paid to the study of oral source material. Particularly important are the Works Progress Administration (WPA) narratives, comprised of interviews with former slaves under New Deal initiatives during the 1930s. Slave folk tales, such as the Brer

AFRIC AN AMERICAN HISTORY

Rabbit stories, first published by the southern white journalist Joel Chandler Harris as The Songs and Sayings of Uncle Remus (1880), have also received close attention. A detailed analysis of the sociological significance of slave folklore is Lawrence Levine’s Black Culture and Black Consciousness (1977). The starting point for modern debate on slave life was Stanley Elkins’ Slavery: A Problem in American Institutional and Intellectual Life (1959). Elkins focused less on the physical hardships of slavery than on its psychological impact. In a controversial thesis he compared antebellum slavery to the Nazi concentration camps of World War II, and suggested that African American slaves were mentally “ infantilized” by the severe, authoritarian regimes on southern plantations. This hypothesis was vigorously challenged in subsequent works such as John Blassingame’s The Slave Community (1972), George Rawick’s Prom Sundown to Sunup (1972), and Herbert Gutman ’s The Black Family in Slavery and Freedom (1976). Applying Gramsci’s concept of “ oppressive hegemony” to the institution of slavery, Eugene Genovese in Rolf Jordan, Roll (1974) viewed slave life as a blend of accommodationism and resistance. Slaves sought both to play on, and adapt to, the paternalistic feelings of planters in order to ameliorate the harshness of day to day slave life. Since the early 1970s research has centered on the means by which slaves resisted the process of infantilization through the perpetuation of a dynamic African American culture. The economics of antebellum slavery has had considerable analysis. Despite the claims of 19th -century abolitionists to the contrary, most present day historians accept that slavery was an economically viable institution down to the outbreak of the Civil War in 18 6 1. Recent debate has concentrated on the contentious claims made in Robert W. Fogel and Stanley Engerman’s Time on the Cross (1974). Using econometric analysis, Fogel and Engerman concluded that southern slave agricultural production, relying on a combination of positive incentives and gang labor techniques, was actually 3 5 per cent more efficient than northern free farm labor. Reckoning with Slavery (1976) by Paul David et al., showed the deep misgivings of many historians as to both the methodology and findings of Fogel and Engerman’s work. In a different vein Genovese’s The Political Economy of Slavery (1965), highlighted the political and labor problems that would have been implicit in any attempt to make widespread use of slave labor in non-agricultural occupations, in particular industry and manufacturing. Early academic research on the African American experience during the Civil War and Reconstruction was dominated by the turn of the century historian William A. Dunning. Reflecting the racial conservatism of his era, Dunning’s Reconstruction (1907), portrayed the period as one of national shame and humiliation. The south was placed under the domination and misrule of corrupt northern “ Carpetbagger” politicians, their southern white allies, the “ Scalawags,” and illiterate freed slaves. This view was reinforced by numerous state studies carried out by Dunning’s research students. With some notable exceptions, not least W.E.B. Du Bois ’ Black Reconstruction (1935), the Dunning school remained dominant until World War II. In the 1 9 50s, changing racial attitudes, marked by the awak ening of the civil rights movement, saw a new generation of historians, the “ Revisionists,” cast doubt on the Dunning

15

interpretation. John Hope Franklin ’s Reconstruction: After the Civil War (19 6 1), and Kenneth M. Stampp’s The Era of Reconstruction (1965), showed the positive achievements of the 18 60s and 1870s, for example the modernizing of state con stitutions and the introduction of public school systems in the South. The lurid images of political corruption and economic ruin evoked by Dunning were seen to be exaggerated. Since the 1970s Reconstruction historiography has been dominated by “ Post Revisionist” or “ Radical Revisionist” historians. Important “ Post Revisionist” works include Leon Litwack ’s Been in the Storm So Long (1979), and Eric Foner’s Reconstruction (1988). Their accounts dismissed the views of Dunning as dated and discredited. Instead, they stressed the extent to which the planter class, the “ Bourbon Aristocracy,” retained social, economic, and political power in the South after the Civil War. The system of sharecropping, and the failure of Republican state and congressional leaders to provide freed slaves with an effective means of achieving independent landownership, have been seen as condemning southern blacks to a position of extreme poverty and serfdom well into the 20th century. Among the lowest points in African American history since emancipation was the Supreme Court ’s “ separate but equal” ruling in Plessy v. Ferguson in 1896, which provided constitu tional approval for racial segregation. Discussion on the origins of segregation has focused on the work of C. Vann Woodward and Joel Williamson. Woodward’s The Strange Career of Jim Crow (1955), saw the Plessy decision as a major departure in the pattern of southern race relations. Williamson ’s The Crucible of Race (1984) viewed the ruling as rather providing de jure authority for the de facto segregation that he believed was already endemic in the South by the 1890s. From 1895 to I 9 I 5 the most important African American leader was the conservative accommodationist Booker T. Washington. Washington’s philosophy was most clearly outlined in his autobiography Up from Slavery (19 0 1), in which he urged southern blacks to concentrate first on economic and moral improvement, rather than the struggle for civil and political rights. He also championed the then fashionable idea of “ industrial education,” placing emphasis on the learning of trades and practical skills as opposed to traditional academic subjects. Dating back to the slave narratives of the 19th century there had been a tendency for the study of African American history to focus on biographical and autobiographical works on the major black civil rights spokesmen of their era. This has been the case both in respect to Washington and the black nationalist leader of the 1920s, Marcus Garvey. Easily the most significant research on Washington’s life has been two works by Louis Harlan, The Making of a Black Leader; 1856 - 1901 (1972) and The Wizard of Tuskegee, 19 0 1 - 19 15 (1983). Harlan also jointly edited a 14 -volume collection of Washington’s writings and correspondence, The Booker T. Washington Papers (1972 - 89). An important, and balanced, modern study of Garvey and Garveyism is Judith Stein’s The World of Marcus Garvey (1986). Robert Hill is the editor of a projected 10 volume collection of primary source material, The Marcus Garvey and Universal Negro Association Papers which has been in the process of publication since 1983. Eight volumes have thus far appeared in print.

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A leading opponent of both Washington and Garvey was the northern-born black spokesman W.E.B. Du Bois. The erudite Du Bois was the author of many major academic and autobiographical works that are central to the understanding of African American history. During his long life, 18 6 8 - 19 6 3, he variously took on the roles of civil rights campaigner, journalist, author, academic, and political activist, but failed to develop any mass following. However, since his death Du Bois has received widespread recognition from both historians and African Americans. He is seen as a major intellectual influence on black protest within the United States in the 1960s, and the successful challenges to European colonialism by black Africans since 1945. World War I ushered in a period of important social and economic change in African American life. Between 19 15 and 19 25 some 1,250,000 blacks migrated from the agricultural South to seek industrial employment in the cities of the North. This “ Great Migration ” has received much detailed investigation by historians such as James Grossman, Carole Marks, and Joe William Trotter, who have sought to understand its causes and impact upon African American society. Reflecting a trend in recent thought Marks, in Farewell, We’re Good and Gone (1989), concluded that the real beneficiaries of the migration were northern factory employers. For black migrants themselves the experience, at least in the short to medium term, was at best a zero sum game, trading one set of problems in the South for other, no less serious, difficulties in the North. Alex Haley ’s The Autobiography of Malcolm X (1965), and E.U. Essien Udom ’s Black Nationalism (1962), are key works in understanding the development of black nationalist thought during the 1950s and 1960s. In respect to Malcolm X himself there has been a tendency by historians to engage in a psychological analysis of their subject, most notably Eugene Wolfenstein’s The Victims of Democracy (19 8 1), and Bruce Perry’s Malcolm (19 9 1). Bobby Seale’s Seize the Time (1968), and Stokely Carmichael and Charles Hamilton’s Black Power (1967), are important first-hand accounts by the younger generation of Black Power radicals influenced by the legacy of Malcolm X ’s teachings in the late 1960s and early 1970s. Martin Luther King, Jr., and the mainstream civil rights movement during the 1950s and 1960s, have predictably been the focus of extensive research. Most significant of the many bio graphical studies on King is David Garrow ’s Bearing the Cross (1986). Garrow saw King’s religious faith, and the conviction that he was the instrument of divine will, as the main sources of inspiration in King ’s life and career. Clayborne Carson is at present editor of a major project to publish the personal papers and writings of King. Despite, or perhaps in part because of, the proliferation of works on King, a recent trend has been for academic researchers to turn to the study of the civil rights movement at local, grass roots level. This is reflected in Adam Fairclough’s Race and Democracy (1995), and Aldon Morris ’ The Origins of the Civil Rights Movement (1984). There is also a growing interest in earlier civil rights leadership, and the changes in African American society during the 19 3 os and 1940s, that facilitated the emergence of the civil rights movement during the mid - 1950s. In this vein, the life and career of one of the elder statesmen of civil rights protest

has been given greater prominence in Paula Pfeffer’s A. Philip Randolph (1990). The general experience of blacks during the New Deal and World War II has received sound coverage in John Kirby’s Black Americans in the Roosevelt Era (1980), Harvard Sitkoff ’s A New Deal for Blacks (1978), and Neil Wynn’s The Afro-American and the Second World War (1976). However, no reference to these years would be complete without mention of Gunnar Myrdal’s An American Dilemma (1944). A detailed sociological investigation of black life in the United States, Myrdal ’s work has exerted a profound influence on the research of 20th-century African American history. Until the 1940s African American history was in many respects regarded as a fringe area of academic research. Early postwar scholars in the field were often motivated more by idealism, and the desire to campaign for an end to segregation and racial discrimination, than career ambitions. Historians such as Eugene Genovese, Leon Litwack, and August Meier thus combined scholarly activity with grass roots participation in the civil rights protests of the 1950s and 1960s. By the 1980s and 1 990s African American history had achieved clear recognition as a mainstream area of academic study. Leading researchers in the subject now receive the scholarly acclaim that their work deserves. Paradoxically, growing pessimism over recent developments in US race relations, and greater appreciation of the limitations of the civil rights movement have resulted in a sense of disillusionment with the radical and liberal ideals that inspired this historiographical revolution. Present day historians, while highlighting with great clarity the many injustices in the past treatment of African Americans in US society, have, as yet, been unable to signpost a way forward to the future that might provide an effective solution to this unfortunate historical legacy. K e v e r n J. V e r n e y

See also Davis, D.; Du Bois; Dunning; Elkins; Fogel; Franklin; Genovese; Gutman; Hine; Levine; Lewis, D.; Litwack; Meier; Phillips; Stampp; Woodson; Woodward Further Reading Blassingame, John, T h e Sla ve C o m m u n ity : P lantation L ife in the A n te b ellu m S o u th , New York: Oxford University Press, 19 7 2 ; revised 19 79 Burson, George S., Jr., “ The Second Reconstruction: A Historiographical Essay on Recent Works,” Jo u r n a l o f N e g r o H isto ry 59 (1974)» 3 2' 2 “ 3 6 Carmichael, Stokely [Kwame Tore] and Charles V. Hamilton, B la c k P o w e r : T h e P olitics o f L ib e ra tio n in A m e r ic a , New York: Random House, 19 6 7; London: Cape, 1968 Carson, Clayborne, general editor, T h e M a rtin L u th e r K in g P a p ers, 2 vols. to date, Berkeley: University of California Press, 1 9 9 2 Cronon, E. David, B la ck M o se s: T h e S to ry o f M a rc u s G a r v e y a n d the U n iversa l N e g r o Im p ro v e m en t A sso c ia tio n , Madison: University of Wisconsin Press, 19 5 5 David, Paul, Herbert G. Gutman, Richard Sutch, Peter Temin, and Gavin Wright, R e c k o n in g w ith S la ve ry : A C ritica l S tu d y in the Q uan titative H isto ry o f A m e rica n N e g r o S la ve ry , New York: Oxford University Press, 19 76 Davis, David Brion, T h e P ro b le m o f S la ve ry in W estern C u ltu re, Ithaca, N Y: Cornell University Press, 1966; revised 1988 Davis, David Brion, T h e P ro b le m o f S la ve ry in the A g e o f R e v o lu tio n , 1 7 7 0 - 1 8 2 3 , Ithaca, N Y: Cornell University Press,

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Douglass, Frederick, N a rra tive o f the L ife o f Fred erick D o u g la ss, an A m e rica n S la v e , n.p.: Anti-Slavery Office, 18 45 Du Bois, W.E.B., Sou ls o f B la c k F o lk : E ssa y s a n d Sk e tch e s , Chicago: McClurg, 19 0 3; London: Constable, 1905 Du Bois, W.E.B., B la ck R e co n stru ctio n , New York: Harcourt Brace, 19 3 5 ; as B la c k R eco n stru ctio n in A m e r ic a , Cleveland: World, 1964, London: Cass, 1966, reprinted New York: Atheneum, 19 9 2 Dunning, William A., R e co n stru ctio n : P o litica l a n d E c o n o m ic , 1 8 6 5 - 1 8 7 7 , New York: Harper, 19 0 7 Elkins, Stanley, S la very: A P ro b le m in A m e rica n Institution al a n d Intellectual L ife , Chicago: University of Chicago Press, 19 59 ; 3rd edition 19 76 Ellison, Mary, T h e B la ck E x p e rie n c e : A m e rica n B la c k s sin ce 1 8 6 5 , New York: Barnes and Noble, and London: Batsford, 19 74 Fairclough, Adam, R a ce a n d D e m o c ra c y : T h e C iv il R ig h ts Struggle in L o u isia n a , 1 9 1 5 - 1 9 7 2 , Athens: University of Georgia Press, 1995

Fogel, Robert William, and Stanley Engerman, T im e on the C ro ss: T h e E c o n o m ic s o f A m e rica n N e g r o S la ve ry , 2 vols., Boston: Little Brown, and London: Wildwood, 19 7 4 Foner, Eric, R eco n stru ctio n : A m e r ic a ’s U n fin ish ed R e vo lu tio n , 1 8 6 5 - 1 8 7 7 , New York: Harper, 19 88; abridged as A S h o rt H isto ry o f R e co n stru ctio n , 1990 Franklin, John Hope, F ro m S la very to F r e e d o m : A H isto ry o f A m e rica n N e g ro e s, New York: Knopf, 19 4 7 ; revised, with Alfred A. Moss, Jr., as F ro m S la ve ry to F r e e d o m : A H isto ry o f A fric a n A m e rica n s, 7th edition, N ew York: M cGraw Hill, 1994 Franklin, John Hope, R eco n stru ctio n : A ft e r the C iv il W ar, Chicago: University of Chicago Press, 19 6 1; 2nd edition 19 94 Franklin, John Hope, and August Meier, eds., B la c k L e a d e rs o f the T w entieth C e n tu ry, Urbana: University of Illinois Press, 19 8 2 Franklin, John Hope, R a ce a n d H isto ry : S elected E ssa y s, 1 9 5 8 - 1 9 8 8 , Baton Rouge: Louisiana State University Press, 1989 Garrow, David, B ea rin g the C ro ss: M a rtin L u th e r K ing, Jr., a n d the So u th ern C h ristian L ea d e rsh ip C o n fe re n c e , New York: Morrow, 1986; London: Cape, 1988 Genovese, Eugene D., T h e P olitica l E c o n o m y o f S la ve ry : Studies in the E c o n o m y a n d So ciety o f the Sla ve Sou th , New York: Pantheon, 19 6 $; London: MacGibbon and Kee, 1968 Genovese, Eugene D., R o ll, Jo r d a n , R o ll: T h e W o rld the Slaves M a d e , N ew York: Pantheon, 19 74 ; London: Deutsch, 19 7 5 Gutman, Herbert G., S la ve ry a n d the N u m b e r s G a m e : A C ritiq u e o f T im e on the C ro ss, Urbana: University of Illinois Press, 19 75 Gutman, Herbert G., T h e B la ck F a m ily in S la ve ry a n d F ree d o m , 1 7 5 0 - 1 9 2 5 , New York: Pantheon, and Oxford: Blackwell, 19 76 Haley, Alex, T h e A u to b io g r a p h y o f M a lco lm X , New York: Grove, 19 6 5 ; London: Hutchinson, 1968 Harlan, Louis, B o o k e r T. W a shin gton: T h e M a k in g o f a B la ck Leader, 1 8 5 6 - 1 9 0 1 , Oxford and New York: Oxford University Press, 19 7 2 Harlan, Louis, ed., T h e B o o k e r T. W ashin gton P a p e rs, 14 vols., Urbana: University of Illinois Press, 19 7 2 - 8 9 Harlan, Louis, B o o k e r T. W ashin gton: T h e W iza rd o f Tuskegee, 1 9 0 1 - 1 9 1 5 , Oxford and New York: Oxford University Press, 19 83 Hill, Robert A., ed., T h e M a rcu s G a r v e y a n d U n iversa l N e g r o Im p ro v e m en t A sso cia tio n P a p ers, 8 vols. to date, Berkeley: University of California Press, 1 9 8 3 Hine, Darlene Clark, ed., T h e State o f A fr o - A m e r ic a n H isto ry : Past, P resent, a n d Fu ture, Baton Rouge: Louisiana State University Press, 1986 Jordan, Winthrop D., W h ite o v e r B la c k : A m e rica n A ttitu des to w a rd the N e g r o , 1 5 5 0 - 1 8 1 2 , Chapel Hill: University of North Carolina Press, 19 68 ; abridged as T h e W h ite M a n ’s B u rd e n : H isto rica l O rigin s o f R a cism in the U n ited States, New York: Oxford University Press, 19 74 Kirby, John B., “ An Uncertain Context: America and Black Americans in the Twentieth Century,” Jo u r n a l o f So u th ern H isto ry 4 6 (1980), 5 7 1 - 8 6

IJ

Kirby, John B., B la ck A m e rica n s in the R o o se v e lt E r a : L ib e ra lism a n d R a ce , Knoxville: University of Tennessee Press, 1980 Lane, Ann J., ed., T h e D e b a te o v e r S la ve ry : Stan ley E lk in s a n d H is C ritics, Urbana: University of Illinois Press, 19 7 1 Levine, Lawrence W., B la c k C u ltu re a n d B la c k C o n scio u sn ess: A fr o A m e rica n F o lk T h o u g h t fro m S la ve ry to F r e e d o m , Oxford and New York: Oxford University Press, 19 7 7 Lewis, David Levering, W .E .B . D u B o is : B io g ra p h y o f a R a ce, 1 8 6 8 - 1 9 1 9 , New York: Holt, 19 93 Litwack, Leon F., B ee n in the Sto rm So L o n g : T h e A fte rm a th o f Sla ve ry , New York: Knopf, 19 79 ; London: Athlone Press, 1980 Marable, Manning, R a ce, R e fo rm , a n d R e b e llio n : T h e S e co n d R eco n stru ctio n in B la c k A m e rica , 1 9 4 5 - 1 9 9 0 , Jackson: University Press of Mississippi, and London: Macmillan, 1984 Marable, Manning, W .E .B . D u B o is: B la ck R a d ic a l D e m o c ra t, Boston: Twayne, 1986 Marks, Carole, F a re w e ll, W e ’re G o o d a n d G o n e : T h e G re a t B la ck M ig ra tio n , Bloomington: Indiana University Press, 1989 Meier, August, N e g r o T h o u g h t in A m e rica , 1 8 8 0 - 1 9 1 5 : R a cia l Id eo lo g ies in the A g e o f B o o k e r T. W a shin gton, Ann Arbor: University of Michigan Press, 19 63 Meier, August, and Elliott M. Rudwick, B la c k H isto ry a n d the H isto rica l P ro fessio n , 1 9 1 5 - 1 9 8 0 , Urbana: University of Illinois Press, 1986 Morris, Aldon, T h e O rig in s o f the C iv il R ig h ts M o v e m e n t, New York: Free Press, and London: Collier Macmillan, 19 84 Myrdal, Gunnar, A n A m e rica n D ile m m a : T h e N e g r o P ro b le m a n d M o d e r n D e m o c ra c y , 2 vols., New York: Harper, 1944 Perry, Bruce, M a lco lm : T h e L ife o f a M a n W h o C h a n g e d A m e rica , Barrytown, NY: Station Hill, 19 9 1 Pfeffer, Paula, A . P h ilip R a n d o lp h : P io n e er o f the C iv il R ig hts M o v e m e n t, Baton Rouge: Louisiana State University Press, 1990 Phillips, Ulrich Bonnell, A m e rica n N e g r o S la v e ry : A S u r v e y o f the S u p p ly, E m p lo y m e n t, a n d C o n tro l o f N e g r o L a b o r as D e te rm in e d b y the Plantation R e g im e , New York: Appleton, 19 18 ; reprinted

Baton Rouge: Louisiana State University Press, 1966 Phillips, Ulrich Bonnell, L ife a n d L a b o r in the O ld S o u th , Boston: Little Brown, 19 29 Phillips, Ulrich Bonnell, T h e Sla ve E c o n o m y o f the O ld S o u th : Selected E ssa y s in E c o n o m ic a n d S o c ia l H isto ry , edited by Eugene D. Genovese, Baton Rouge: Louisiana State University Press, 1968 Pinkney, Alphonso, R e d , B la ck a n d G re e n : B la c k N a tio n a lism in the U n ited States, Cambridge and N ew York: Cambridge University Press, 19 76 Rawick, George, F r o m S u n d o w n to S u n u p : T h e M a k in g o f the B la c k C o m m u n ity , Westport, CT: Greenwood Press, 19 7 2 Seale, Bobby, Seize the T im e : T h e S to ry o f the B la c k P a n th er P arty a n d H u e y P. N e w t o n , N ew York: Random House, 1968; London: Hutchinson, 19 70 Sitkoff, Harvard, A N e w D e a l fo r B la c k s: T h e E m er g e n c e o f C iv il R ig h ts as a N a tio n a l Issue, Oxford and N ew York: Oxford University Press, 19 78 Stampp, Kenneth M ., T h e E ra o f R e co n stru ctio n , 1 8 6 5 - 1 8 7 7 , New York: Knopf, and London: Eyre and Spottiswoode, 19 65 Starobin, Robert, “ The Negro: A Central Theme in American History,” Jo u r n a l o f C o n te m p o ra ry H isto ry 3 (1968), 3 7 - 5 3 Stein, Judith, T h e W o rld o f M a rc u s G a r v e y : R a c e a n d C lass in M o d e r n S o ciety, Baton Rouge: Louisiana State University Press, 19 86 Trotter, Joe William, Jr., ed., T h e G re a t M ig ra tio n in H isto rica l P ersp ective: N e w D im e n sio n s o f R a ce, C lass, a n d G e n d e r,

Bloomington: Indiana University Press, 19 9 1 Udom, Essien Udosen Essien, B la c k N a tio n a lism : T h e R ise o f the B la c k M u s lim s, Chicago: University of Chicago Press, 19 62; Harmondsworth: Penguin, 1966 Washington, Booker T., U p fro m S la ve ry , New York: Doubleday Page, and London: Fisher Unwin, 19 0 1 White, John, B la ck L ea d e rsh ip in A m e rica , London and New York: Longman, 19 8 5; revised 1990

l8

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Williamson, Joel, T h e C ru cib le o f R a ce : B la c k - W h it e R elation s in the A m e rica n S o u th since E m a n c ip a tio n , New York: Oxford University Press, 1984; abridged as A R a g e fo r O r d e r , 1986 Wolfenstein, Eugene, T h e V ictim s o f D e m o c ra c y : M a lco lm X a n d the B la ck R e v o lu tio n , Berkeley: University of California Press, 19 8 1 ; London: Free Association Press, 1989 Woodward, C. Vann, T h e Stran ge C a re e r o f Ji m C r o w , New York: Oxford University Press, 19 5 5 ; 3 rd edition 19 74 Wynn, Neil, T h e A fr o - A m e r ic a n a n d the S e c o n d W o rld W ar, London: Elek, and New York: Holmes and Meier, 19 76 ; revised 1993

African Diaspora Melville Herskovits’ works can be taken as a starting point of academic studies of the African diaspora. Inspired by such works as Carter Woodson’s The African Background Outlined (1936) and W.E.B. Du Bois’ Black Folk, Then and Now (1939), he began studying African Americans in the United States and expanded his work to include Africa and the Caribbean. He was concerned, among other things, with the “ survivals” of African beliefs and practices among those peoples who had been removed from Africa and transplanted elsewhere. His debates with the African American sociologist E. Franklin Frazier provide the irony of a Jewish American arguing for the importance of African culture to the African American while an African American disputes the survival of any important elements in the African American population. Indeed, Frazier believed that stressing African ties was dangerous to the progress of his people. Certainly, the atmosphere has changed appreciably since Herskovits’ trail blazing writings. In fact, Herskovits himself noted these changes between his original publication of The Myth of the Negro Past in 19 4 1 and its paperback publication in 1958. Among others, Roger Bastide’s Les Amériques noires: les civilisations africaines dans le nouveau monde (1967; African Civilisations in the New World, 19 7 1) owes a great deal to Herskovits’ The Myth of the Negro Past. Nevertheless, Bastide is quick to note the dangers of Herskovits’ position, arguing that in his notion of “ reinterpretation” Herskovits sees the African American as unable to be assimilated into American culture, for the African American would always interpret the past in African terms. However, Bastide noted that Frazier’s position, while understandable, also ignored the African roots of African American culture through denying any survival of African culture. Moreover, as Bastide noted, seeking to have African Americans totally absorbed into the mainstream on Euro-American terms is a betrayal of that community. Despite its dangers, therefore, Herskovits’ position is the foundation of the modern movement termed négritude which began in Haiti and has been so influential on such causes as the Black Power movement and cultural diversity. Certainly, there have been a plethora of studies examining the connection between Africa and various areas where members of the diaspora have settled. Major emphasis, however, has been on the United States and the Caribbean. These studies have covered general overviews (Harris and Segal); the role of pan-Africanism in the diaspora (Walters); artistic connections

(Salamone and Weinstein); religion (Gray and Evans); women (Terborg-Penn, and James and Farmer); myth (Wilentz); and architectural similarities. In general, these studies have followed two broad paths. One set has focused on actual historical connections, painstakingly established through archaeological and other historical comparative methods. The other set of studies has concentrated on the symbolic meaning of Africa to African Americans and Afro-Caribbeans. Both studies have served important functions and have influenced each other. Moreover, Herskovits anticipated both of these paths in the preface and introduction to The Myth of the Negro Past. As he noted in the preface “ Problems in Negro research attacked with out an assessment of historic depth, and a willingness to regard the historical past of an entire people as the equivalent of its written history, can clearly be seen to have made for confusion and error in interpretation, and misdirected judgment in evaluating practical ends.” In the book ’s introduction, Herskovits argued that the result of believing that the African American has no past and that African culture is not worth much in any case had deeper implications: “ The myth of the Negro past is one of the principal supports of race prejudice in this country. Unrecognized in its efficacy, it rationalizes discrimination in every day contact between Negroes and whites, influences the shaping of policy where Negroes are concerned, and affects the trends of research by scholars whose theoretical approach, methods, and systems of thought presented to students are in harmony with it.” Therefore, for Herskovits and those who have come after him, studies concerning the African diaspora are not simply about historical connections. They are also about the way in which these affinities have an impact on the relationships between people; that is, they explore the meanings that are attached to these connections and the manner in which they alter and affect human social interactions. Herskovits, in fact, was quite aware of the political nature of his work and the manner in which it could and did in a few short years begin to affect American racial and ethnic relationships. It has led to a significant amount of additional research and certainly has affected the manner in which research, theory, methods, and teaching has evolved. F r a n k A. S a l a m o n e S e e a ls o

Du Bois; Woodson

Further Reading

Aguessy, Honorât, C ultures v o d o u n : M a n ifesta tio n s , m igra tio n s, m éta m o rp h o ses (A fr iq u e , C ara ïbes, A m é riq u e s) (Voodoo Cultures: Manifestations, Migrations, Metamorphoses in Africa, the Caribbean and the Americas), Benin: Institut de Développement et d’ Echange Endogènes, i992(?) “ Architecture from the Diaspora.” A m e rica n Visions 8 (19 93), n - 1 2 Azevedo, Mario, ed., A fric a n a Stud ies: A S u r v e y o f A fr ic a a n d the A fric a n D ia s p o r a , Durham, N C : Carolina Academie Press, 19 93 Bastide, Roger, L e s A m é riq u e s no ires: les civilisations africain es dans le no u vea u m o n d e , Paris: Payot, 19 6 7, 3rd edition Paris: L’ Harmattan, 1996; in English as A fric a n C ivilisa tio n s in the N e w W o rld , London: Hurst, and N ew York: Harper, 1 9 7 1 Conniff, Michael, and Thomas J. Davis, eds., A fric a n s in the A m e rica s: A H isto ry o f the B la c k D ia s p o r a , New York: St. Martin’s Press, 1994

AGRARIAN HISTORY

Du Bois, W.E.B., B la c k F o lk , T h en a n d N o w : A n E ssa y in the H isto ry a n d S o c io lo g y o f the N e g r o R a c e , New York: Holt, 19 39 Evans, Bernadette, “ Suffering and the African Diaspora,” Jo u r n a l o f W o m en a n d R e lig io n 9/10 (19 9 0 - 9 1), 6 3 - 7 1 Frazier, Edward Franklin, T h e N e g r o F a m ily in the U n ited States , Chicago: University of Chicago Press, 19 39 Frazier, Edward Franklin, T h e B la ck B o u rg eo isie , Glencoe, IL: Free Press, 19 5 7 Gray, John, A sh e , T ra d itio n a l R elig io n , a n d H ea lin g in S u b - S a h a ra n A fric a a n d the D ia s p o r a : A C lassified Internation al B ib lio g r a p h y , Westport, CT: Greenwood Press, 1989 Harris, Joseph E., G lo b a l D im e n sio n s o f the A fric a n D ia s p o r a , Washington, DC: Howard University Press, 19 82 Herskovits, Melville, T h e M y th o f the N e g r o P ast , New York: Harper, 1 9 4 1 ; reprinted Boston: Beacon Press, 19 58 James, Joy, and Ruth Farmer, eds., Sp irit, Sp ace, a n d S u rviva l: A fric a n A m e rica n W o m en in (W hite) A c a d e m e , New York: Routledge, 1993 Kilson, Martin L., and Robert I. Rotberg, eds., T h e A fric a n D ia s p o r a : In terpretive E s s a y s , Cambridge, M A: Harvard University Press, 19 76 Lemelle, Sidney J. and Robin D.G. Kelley, eds., Im a g in in g H o m e : C lass, C u ltu re, a n d N a tio n a lism in the A fric a n D ia s p o r a , London and N ew York: Verso, 19 94 Salamone, Frank A., ed., A r t a n d C u ltu re in N ig e ria a n d the D ia s p o r a , Williamsburg, VA: College of William and Mary, 19 9 1 Segal, Ronald, T h e B la c k D ia s p o r a , London: Faber, and New York: Farrar Straus, 1995 Terborg-Penn, Rosalyn, Sharon Harley, and A. B. Rushing, eds., W o m en in A fric a a n d the A fric a n D ia s p o r a , Washington, DC: Howard University Press, 19 8 7 Walters, Ronald W., P a n - A fric a n is m in the A fric a n D ia s p o r a : A n A n a lysis o f M o d e rn A fro c e n tric P o litica l M o v e m e n ts , Detroit: Wayne State University Press, 19 93 Weinstein, Norman, A N ig h t in T u nisia: Im aginin gs o f A fr ic a in Ja z z , Metuchen, N J: Scarecrow Press, 19 9 2 Wilentz, Gay, “ If You Surrender to the Air: Folk Legends of Flight and Resistance in African American Literature,” M e lu s 16 (1989), 2 1-3 2 Woodson, Carter G., T h e A fric a n B a c k g ro u n d O u tlin e d ; or, H a n d b o o k fo r the S tu d y o f the N e g r o , Washington, DC: Association for the Study of Negro Life and History, 19 36

Agrarian History Over the course of the past ten millennia, the human experience has primarily been a rural experience. Most people were peasants or farmers. Even those few who were not agriculturists have been deeply effected by rural life and its rhythms and ways. Most of the world ’s languages are thickly seeded with rural words, terms, phrases, maxims, and proverbs. English, for example, contains more than 75 words or terms to describe rural people. Despite this, historians have paid rela tively little attention to the rural world. Part of the reason has to do with the lack of status experienced by most rural dwellers in most historical periods. Indeed, many of the words used to describe peasants have negative connotations. In English, this includes words such as “ villain ” (from Old French), and words borrowed from other languages, including “ pariah ” (from Tamil) and “ peon ” (from Spanish). The first to become interested in the peasant masses were the people collecting folk songs and tales in the late 18th and early 19th centuries. This activity, first evident in western Europe but soon overspreading the whole continent, often had

19

a distinctly nationalistic character. Collectors like the brothers Grimm went out to discover the “ true Volk,” those uncorrupted country dwellers amongst whom the real values of a people lay. In his studies of poetry in the 1770s, German writer J.G . Herder (174 4 - 18 0 3), for example, put forward the belief that those whom the elites called savages “ are often more moral than we are.” In eastern Europe, among many largely peasant peoples, small groups of educated elites created grammars and dictionaries of languages long-ignored by the wealthy and powerful. Such books were often the first steps in the rise of a mass national consciousness. If the prehistory of rural studies drew heavily on the nostalgia of Romantics, it also owed much to the mania for scientific description so characteristic of the Enlightenment. Mapmakers, local archaeologists, and history buffs turned a discerning if sometimes amateur eye to the world around them. Educated rural gentry and gentleman farmers like America’s Thomas Jefferson (174 3 - 18 2 6 ) often provided the first descriptions of the countryside and its monuments and landmarks. By the mid -19th century, the more systematic science of agronomy, pioneered by the German Justus Liebig (180 3 - 73), had begun to offer detailed descriptions of farming practices. These descriptions emphasized geology and farming styles, but also included a fair amount of history. In the United States, by mid-century, many states had formed agricultural societies, often funded by wealthier farmers, which began to compile information on farming and husbandry. Yet another important influence in agrarian history was the discovery of ancient agriculture in the Middle East and the Neo lithic agricultural revolution. This stemmed in good measure from archaeological finds in Egypt, Mesopotamia, Palestine, and elsewhere in the late 19th and early 20th centuries. The development of a scientific history of European peasantry - focusing mainly on the pre-modern era - also dates to the late 19th and early 20th centuries. In France there was the pioneering work of Fustel de Coulanges (1830 - 89), and in Britain F.W. Maitland’s (1850 - 1906) work with the Domesday book was also important. Despite the influence of scientific methodology, the study of country people as possessors of unique and special values continued to be an important theme in late 19th-century agrarian histories. Nowhere was this more true than in the United States, whose deepest national myths revolved around the Jeffersonian ideal of the yeoman farmer. By the end of the 19th century, this ideal seemed under increasing threat due to industrialization, urbanization, and an influx of seemingly unassimilable foreign immigrants. Responding to this concern, historian Frederick Jackson Turner (18 6 1 - 19 3 2 ) put forward his famous “ frontier thesis” in 1892, which posited, among other things, that the American frontier was the true incubator of democracy, in contrast to the city with its emerging mass culture, its industry, and its new immigrant inhabitants. Although Turner’s ideas continue to be debated, their influence on succeeding generations of American historians has been of paramount importance. Turner’s work also stimulated scholarly interest in preserving and explaining America’s rural experience, an experience that seemed to be under siege. By 1920, over the half the nation’s population lived in urban areas, and farmers seemed to be an increasingly marginalized group, a feeling that has remained constant in the United States.

20

AGRARIAN HISTORY

By 19 27, a group of American scholars launched the journal

Agricultural History. Following on this development, a number

of comprehensive histories of American agriculture appeared, which were followed by John D. Hicks ’ The Populist Revolt (19 3 1), which examined the history of the nation’s most extensive agrarian protest movement. Hicks’ book, appearing as it did during the Great Depression, was sympathetic to the Populists, viewing them as a protest movement with legitimate grievances. Later scholars, however, portrayed the Populists as narrow and bigoted. The issues raised by Populism continued to generate a mass of literature in the decades following World War II. The other major focus of US agricultural historians since the 1920s has been slavery and the slave economy in the rural South, and the changes wrought on the South in the years following the US Civil War. Writing on slavery - so intertwined with America’s painful internal debate over racial equality has often generated heated debate. Meanwhile, in Europe, and especially in France, the emergence of a new history around the journal Annales: Economies, Sociétés, Civilisationsy founded by Lucien Febvre (1878 - 19 56 ) and Marc Bloch (1886 - 1944) in 1929, had a great impact on the study of the rural past. Bloch ’s work on medieval France and its peasantry had a most profound effect on rural studies and history as a discipline. Bloch was able to combine detailed local knowledge with methodological sophistication; he furthered his historical understanding with interdisciplinary studies in agronomy, cartography, archaeology, and folklore; and he mastered the art of comparative history. The Annales school opened up new territory for rural historians. Although Bloch did not survive World War II, his legacy and that of his colleagues can still be felt throughout the discipline, and is evident in the rich literature on rural France. In his classic, Les Paysans de Languedoc (1966; The Peasants of Languedoc, 1974), Emmanuel Le Roy Ladurie built on Bloch’s work by attempting a “ total history ” of a French rural province, from the late Middle Ages through the beginning of the 19th century. Using tax rolls as his major source, Ladurie illustrated the problems of an agrarian peasant society unable to overcome Malthus ’ law and maintain a long-term balance between population and food production. Chronolog ically, the first phase of his history explored the preconditions for growth that resulted from the demographic collapse of the late Middle Ages. The next phase was a period of growth, followed by a period of maturity after 1600, and finally a recession which set back the peasants once again. Although the basis of Le Roy Ladurie’s book was economic, he broad ened his scope to consider the social and psychological dimensions of his subject, paying special attention to the outbreaks of peasant unrest that accompanied what he described as the “ Great Agrarian Cycle.” Another notable work by Le Roy Ladurie was Montaillou (1975), in which he used detailed inquisition records to present an intimate portrait of the mentalité and lifestyle of peasants in a southern French village. The importance of the peasant had also been noted in more recent periods. As modern industrial states mobilized peasant conscripts for war, factory work, or food production, they also sought to assimilate peasants ’ diverse, local cultures, dialects, and attitudes into the mainstream of the nation-state. This phenomenon was the subject of Eugen Weber’s important Peasants into Frenchmen (1976).

The encounter of the peasant world with the world of industrial capitalism has been the starting point for many studies with a rural-history theme. This subject has been of great interest to historians as well as to social scientists, particularly sociologists. One study that has influenced both history and sociology is William Thomas and Florian Znaniecki’s The Polish Peasant in Europe and America (19 18 - 2 0 ). The authors’ study of Polish peasant letters seemed to indicate that under the impact of modern ways, peasants were becoming “ socially disorganized” - that is, their previous modes of social organization were crumbling and they were struggling to find new modes. This led to an increase in social deviance and a breakdown of the family, among other things. Thomas and Znaniecki’s work marked the ascendancy of modernization theory, which posited that peasants were absorbed into the modern, industrial world (very often becoming members of the industrial proletariat) by a linear, unidirectional process called modernization. This model of social change proved enormously influential among historians studying the peasantry, as well as among those who examined the migration of peasant laborers to the new industrial centers of Europe and North America. Modernization theory remained important for historians until the 1980s, but even after that its influence could still be detected among historians who tended to view the processes by which peasants and their descendants become workers and, adopt and maintain ethnic identities as an immutable, linear process. Since modernization theory did attempt to describe real and important changes, albeit in a simplified and imperfect fashion, its gradual demise has left many historians searching for new models. Perhaps the most coherent answer to modernization theory has come from Ewa Morawska, who adopted a threefold explanation of change in the world of the East Central European peasants. First, peasants become increasingly open to new experiences and aware of new options in the world beyond the village. Second, they begin to see the possibility of advancing their own goals - however limited those goals may seem - instead of being completely dominated by powerful external forces. Third, peasants begin to accept “ quantitative bases for acquiring and distributing rewards” which leads to the belief that the material world is expandable. One important aspect of this approach is that it allows historians to think of peasants as legitimate historical actors rather than as objects buffeted to and fro by large, impersonal forces. Since the 1970s the history of immigration has reflected an increasing interest in the peasant origin of immigrants. Some authors have attempted to follow immigrant communities from their villages of origin to their new homes on another continent away. For some immigrants, particularly those from Scandinavia, this migration was a rural-to-rural one. Robert CTstergren, for example, has written on how a Swedish rural community transplanted itself to the New World (1988). These immigrants quickly adopted American styles of farming, but preserved folkways, culture, religion, and even dialect intact. Jon Gjerde carried out a similar study on Norwegians. Even if immigrants’ destinations were cities rather than countrysides, rural history has proved useful in understanding their adaptation, and the ways in which they developed identities. In the 1 970s, researchers began to rediscover ethnic groups in major North American cities that seemed to have

AGRARIAN HISTORY

retained characteristics of their rural ancestry. The idea of “ peasant villages” in urban neighborhoods proved appealing and was an important step forward in understanding the urban experience (at least in North America) even though this notion has been modified by the realization that peasant immigrants were not simply preserving the old village intact, but consciously forming hybrid ethnic cultures composed of both new and old elements. Agricultural history has been enriched by interdisciplinary efforts. For example, anthropologist Sidney Mintz has written on the history of sugar. His work touches on the complex interactions of crops and market, producers and consumers, as well as on topics such as slavery, diet, and colonialism. Joseph A. Amato’s work on the Jerusalem artichoke examined the question of how plants become crops, and the hysteria that can attend new crop development. William Cronon’s Nature’s Metropolis (19 9 1) dealt with the rapid expansion of commercial farming and its relationship to the development of major market centers like Chicago. John Hudson combined geography and history to explore the role of railroads in the settlement of the North American Great Plains (1985). Since World War II, American agricultural history has largely been focused on the history of farm protest and radical movements, and the history of the southern farm economy before and after slavery. American agricultural historians have also worked on the nature of the frontier, in a continuing dialogue with Turner’s “ frontier thesis,” as well as on the changes in the economics of farming and the role of the government therein. Historians have continued to argue over the nature and origins of the American Populist movement. There has been much debate over whether Populists had legitimate grievances and viable solutions to rural problems or whether they were simply narrow-minded bumpkins upset by changes they little understood. These divergent positions probably said as much about historians’ attitudes toward the countryside as they did about who the Populists were. Recent studies on this subject have tended to focus on Populism at the state and local level, adding greater detail to the overall picture. Likewise, as studies of the slave economy in American South have long focused on the question of whether it was a viable system or not, recent, more specialized studies have appeared to add new levels of complexity to the question. Historians such as Joan Jensen have focused on the long-neglected role of women in America agriculture (1986). In the early 1980s, Robert Swierenga called for a “ new rural history ” that would prove to be the equal counterpart to urban history. His call has been partially realized by historians who have focused developed new lines of inquiry relating to the environment, ethnicity, and gender, while incorporating the best work from related natural and social sciences. Yet the traditional foci remain, and aside from sociology and agronomy, there is but one small history-oriented rural studies program in the US (at Southwest State University in Minnesota). For Europe, work on the peasantry, as begun by the Armales historians, has continued, although specialization has been some less pronounced. The issue of peasant migration to urban centers on several continents has attracted considerable attention from scholars throughout the world and will continue to do so in the years to come. Jo h n

R a d zil o w sk i

21

S e e a ls o Annales School; Bloch; Blum; Brenner; Davis, N .; Febvre;

Fogel; H obsbawm ; Le Roy Ladurie; M aitland; Rudé; Turner, E ; Weber, E.

Further Reading Aitken, Hugh G.H., ed., D id S la ve ry P a y ? R e a d in g s in the E c o n o m ic s o f B la c k S la ve ry in the U n ited States , Boston: Houghton Mifflin, 19 7 1 Amato, Joseph A., C o u n try sid e , A M ir r o r o f O u rse lve s: E ssa y s a b o u t C a llin g F a r m e r s ’ N a m e s, Peasants L iv in g in the City, a n d O th e r R u ra l G le a n in g s , Marshall, M N : Amati Venti, 19 8 2 Amato, Joseph A., T h e G re a t Je ru s a le m A rtic h o k e C irc u s: T h e B u y in g a n d S ellin g o f the R u r a l A m e rica n D r e a m , Minneapolis: University of Minnesota Press, 19 93 Arensberg, Conrad, T h e Irish C o u n try m a n : A n A n th r o p o lo g ic a l S tu d y , New York: Macmillan, 19 3 7 Billington, Ray Allen, F red erick Ja c k s o n T u rn er: H istorian , Scholar, T ea ch er , New York: Oxford University Press, 19 7 3 Bloch, Marc, L ’ Ile d e Fran ce: les p a ys a u to u r d e P a ris , Paris: Cerf, 1 9 1 3 ; in English as T h e Ile - d e - F ra n c e: T h e C o u n try a ro u n d P a ris , Ithaca, N Y: Cornell University Press, and London: Routledge, 19 71 Bloch, Marc, L e s C aractères o rig in a u x d e l ’h isto ire rurale fra n ça ise , Cambridge, M A : Harvard University Press, 1 9 3 1 ; in English as F ren ch R u ra l H isto ry : A n E s s a y on Its B a sic C h aracteristics , Berkeley: University of California Press, 1966 Bloch, Marc, L a S o ciété fe o d a le , 2 vols., Paris: Michel, 19 3 9 - 4 0 ; in English as F e u d a l S o c ie ty , 2 vols., Chicago: University of Chicago Press, and London: Routledge, 19 6 1 Blum, Jerome, T h e E u ro p e a n P easa ntry fro m the Fifteen th to the N in e tee n th C e n tu ry , Washington, DC: Service Center for Teachers of History, 1960 Burke, Peter, P o p u la r C u ltu re in E a r ly M o d e rn E u r o p e , London: Temple Smith, and N ew York: N ew York University Press, 19 78 Byrnes, Robert E , ed., C o m m u n a l Fam ilies in the B a lk a n s: T h e Z a d r u g a : E ssa y s b y P h ilip E . M o s e ly a n d E ssa y s in H is H o n o r , Notre Dame, IN: University of Notre Dame Press, 19 76 Cochrane, Willard W , T h e D e v e lo p m e n t o f A m e rica n A g ricu ltu re : A H isto ric a l A n a ly s is , Minneapolis: University of Minnesota Press, 19 79 Conzen, Kathleen Neils, M a k in g T h e ir O w n A m e ric a : A ssim ila tio n T h e o r y a n d the G e r m a n Peasant P io n e er , New York: Berg, 1990 Coulton, George Gordon, T h e M e d ie v a l Village , Cambridge: Cambridge University Press, 19 2 5 ; reprinted as M e d ie v a l Village, M an or, a n d M o n a ste ry , New York: Harper, 19 6 2 Critchfield, Richard, Villages , Garden City, N Y: Anchor Press, 19 8 1 Cronon, William, “ Revisiting the Vanishing Frontier: The Legacy of Frederick Jackson Turner,” W estern H isto rica l Q u a rte rly 18 (1987), 1 5 7 - 7 6 Cronon, William, N a t u r e ’s M e tro p o lis: C h ica g o a n d the G re a t W est , N ew York: Norton, 19 9 1 Danbom, David B., B o r n in the C o u n try : A H isto ry o f R u ra l A m e r ic a , Baltimore: Johns Hopkins University Press, 1995 Davis, James C , R ise fro m W ant: A P easant F a m ily in the M a c h in e A g e , Philadelphia: University of Pennsylvania Press, 1986 Davis, Natalie Zemon, T h e R e tu rn o f M a rtin G u e r r e , Cambridge, M A : Harvard University Press, 19 8 3 Eklof, Ben and Stephen P. Frank, ed., T h e W o rld o f the R u ssian P easa n t: P o s t - E m a n cip a tio n C u ltu re a n d S o c ie ty , Boston: Unwin Hyman, 1990 Evans, Richard J. and W R. Lee, eds., T h e G e r m a n P easa ntry: C o n flic t a n d C o m m u n ity in R u ra l S o ciety fro m the E ig h teen th to the T w entieth C e n tu rie s , New York: St. Martin ’s Press, and

London: Croom Helm, 1986 Fite, Gilbert C., T h e F a rm e rs ’ Frontier, 1 8 6 5 - 1 9 0 0 , New York: Holt Rinehart, 1966 Fite, Gilbert C., A m e rica n F a rm ers: T h e N e w M in o r ity , Bloomington: Indiana University Press, 19 8 1

22

AGRARIAN HISTORY

Fogel, Robert William, and Stanley L. Engerman, T im e on the C r o s s : T h e E c o n o m ic s o f A m e rica n N e g r o S la v e ry , 2 vols., Boston: Little Brown, and London: Wildwood, 19 74 Fukutake, Tadashi, N ih o n n o so n sh a k a iro n , Tokyo: Shuppankai, 19 64; in English as Ja p a n e se R u ra l S o c ie ty , Ithaca, N Y: Cornell University Press, 19 6 7 Gjerde, Jon, F r o m Peasants to F a rm ers: T h e M ig ra tio n fro m B a lestra n d , N o r w a y , to the U p p e r M id d le W est , Cambridge and New York: Cambridge University Press, 19 8 5 Gross, Feliks, II P aese: Values a n d S o c ia l C h a n g e in an Italian V illage , New York: New York University Press, 19 7 3 Guillaumin, Emile, L a Vie d ’un sim p le (m ém oires d ' u n m étayer), Paris: Stock, 1904; in English as T h e L ife o f a S im p le M a n , London: Selwyn and Blount, 1 9 19 ; revised Hanover, N H : University Presses of New England, and London: Sinclair Brown, 19 83 Hahn, Steven, and Jonathan Prude, eds., T h e C o u n try sid e in the A g e o f C a p italist T ra n sfo rm a tio n : E ssa y s in the S o c ia l H isto ry o f R u ra l A m e rica , Chapel Hill: University of North Carolina Press,

19 85 Hicks, John D., T h e P o p u list R e v o lt, Minneapolis: University of Minnesota Press, 1 9 3 1 Hobsbawm, Eric J., and George Rudé, C ap tain S w in g : A S o c ia l H isto ry o f the G re a t E n g lish A g ric u ltu ra l U p risin g o f 1 8 3 0 , New York: Pantheon, 19 68 ; London: Lawrence and Wishart, 1969 Homans, George C , E n g lish Villagers o f the T h irteen th C e n tu ry, Cambridge, M A : Harvard University Press, 19 4 1 Hudson, John C., P lains C o u n try T o w n s , Minneapolis: University of Minnesota Press, 19 85 Jensen, Joan M ., L o o se n in g the B o n d s : M id - A tla n tic Fa rm W o m en , 1 7 3 0 - 1 8 3 0 , New Haven: Yale University Press, 1986 Le Roy Ladurie, Emmanuel, L e s P aysan s d e L a n g u e d o c , 2 vols., Paris: Mouton, 1966; in English as T h e Peasants o f L a n g u e d o c, Urbana: University of Illinois Press, 19 74 Le Roy Ladurie, Emmanuel, M o n ta illo u , village occitan de 1 2 9 4 à 1 3 2 4 , Paris: Gallimard, 19 7 5 ; in English as M o n ta illo u : T h e P ro m is e d L a n d o f E r r o r , New York: Braziller, 19 7 8 , and as M o n ta illo u : C ath ars a n d C a th o lics in a Fren ch Village, 1 2 9 4 - 1 3 2 4 , London: Scolar Press, 19 78 Luebke, Frederick C., ed., E th n ic ity on the G re a t P lain s, Lincoln: University of Nebraska Press, 1980 Maitland, F.W., D o m e s d a y B o o k a n d B e y o n d : T h re e E ssa y s in the E a r ly H isto ry o f E n g la n d , Cambridge: Cambridge University Press, 18 9 7 Mintz, Sidney W , S w eetn ess a n d P o w e r : T h e P lace o f S u g ar in M o d e r n H isto ry , New York: Viking, and London: Sifton, 19 85 Mintz, Sidney W , C r o p s a n d H u m a n C u ltu re, Marshall, M N : Southwest State University, 1994 Morawska, Ewa, F o r B re a d w ith B utter: T h e L ife W o rld s o f E a st C e n tra l E u ro p e a n s in Jo h n s t o w n , P en n sylva n ia , 1 8 9 0 - 1 9 4 0 ,

Cambridge and New York: Cambridge University Press, 19 8 5 Ostergren, Robert C., A C o m m u n ity Tra n sp la n ted : T h e Trans A tla n tic E x p e r ie n c e o f a S w e d ish Im m ig ran t Settlem ent in the U p p e r M id d le W est, 1 8 3 3 - 1 9 1 3 , Madison: University of Wisconsin Press, 1988 Rothstein, Morton, W riting A m e rica n A g ric u ltu ra l H isto ry , Marshall, M N : Southwest State University, 1996 Saloutos, Theodore, T h e A m e rica n Fa rm e r a n d the N e w D e a l, Ames: Iowa State University Press, 19 8 2 Struever, Stuart, ed., P reh istoric A g ricu ltu re , Garden City, NY: Natural History Press, 19 7 1 Swierenga, Robert P., “ The Dutch Transplanting in the Upper Middle West,” Marshall, M N : Southwest State University, 19 9 1 Thomas, William I., and Florian Znaniecki, T h e P o lish P easa nt in E u r o p e a n d A m e ric a , 5 vols., Boston: Badger, 19 18 - 2 0 , London: Constable, 19 5 8 ; edited and abridged by Eli Zaretsky, Urbana: University of Illinois Press, 19 8 4 Toch, Michael, “ Lords and Peasants: A Reappraisal of Medieval Economic Relationships,” J o u r n a l o f E u ro p e a n E c o n o m ic H isto ry 15 (1986), 1 6 3 - 8 2

Vucinich, Wayne S., ed., T h e P easa nt in N in e te e n th - C e n tu ry R u ssia, Stanford, CA : Stanford University Press, 1968 Weber, Eugen, Peasants into F ren ch m e n : T h e M o d e rn iz a tio n o f R u ra l Fran ce, 1 8 7 0 - 1 9 1 4 , Stanford, CA : Stanford University Press, and London: Chatto and Windus, 19 76 Winner, Irene, A S lo ve n ia n V illage: Z e r o v n ic a . Providence, RI: Brown University Press, 19 7 1 Wrightson, Keith and David Levine, P o v e r ty a n d P iety in an E n g lish Village: Terling, 1 3 2 3 - 1 7 0 0 , New York: Academic Press, 19 79 ; revised Oxford and New York: Oxford University Press, 19 95

Ajayi, Jacob F. Ade 1929N igerian historian

Combining exemplary scholarship and teaching with an equally outstanding record of university and professional service, Jacob Ade Ajayi has made a pioneering contribution to the progress and success of African history worldwide. Ajayi was a founda tion student at the University College of Ibadan in 1948, and his academic career encompasses the entire postwar era and the dramatic transformations that have marked what is now almost half a century. He completed his academic training at the University of London, receiving his PhD and returning home to join the staff of the Department of History at Ibadan in 1958, just two years before Nigerian independence. His research and writing focused then, as it has ever since, on the nature and forces of change in 19th - and 20th-century Africa, with special attention to aspects of continuity in the African experience and the dialectic between external and internal elements in that dynamic process. In particular, Ajayi ’s work is characterized by attention to African agency and his keen sense of the dura bility of African values, however they might accommodate external influences, during these two centuries of extremely rapid and profound transformation. In Ajayi ’s hands, Africans are presented as real, living human beings who are faced with difficult choices and must draw upon their individual and cultural resources to survive. His scholarship makes the reader keenly aware of both the adaptability of African society and its very resilience. He first sounded these themes in “ The Continuity of African Institutions under Colonialism,” a paper given at the International Congress of African Historians held at University College, Dar es Salaam, in October 1965, in which he especially focused on what he termed “ the politics of survival.” Emphasizing what one scholar calls Ajayi’s recognition of “ the ambiguities of historical change,” his scholarship has been marked by its excellence and its durability. Apart from his many scholarly articles and his pathbreaking Christian Missions in Nigeria, 18 4 1 - 18 9 1, which inaugurated the Ibadan History series in 1965, it is noteworthy that Ajayi’s major scholarly contributions have been collaborative. To some extent this judicious deployment of his energies reflects the administrative demands that began to occupy an increasing proportion of his time at Ibadan, not to mention his many important international professional commitments. No less significantly, however, it also reflects his abiding commitment to the creation and nurturing of a community of scholars based at Ibadan, which has remained his home university throughout his career. One, but only one, aspect of this community is what we have come to know as the Ibadan School of history and the Ibadan history series of which Ajayi has been general editor since 1970.

ALI HAJI

More broadly conceived, as in his teaching and mentoring, Ajayi should be regarded as a leader among senior historians of Africa in collaborative, critical scholarship on Africa.

Here we should let his students speak for themselves: According to one, “ Ajayi stimulates his students to question stereotypes and to be original in interpretation. He welcomes criticisms of his own ideas and responds to such criticisms in the best traditions of historical scholarship.” Another notes that “ Ajayi consciously taught his students to be courageously critical. For this particular element of training he gladly allowed his students to use him as their punching bag. He made his students feel comfortable to criticize his own works right in front of him and to argue and disagree with him in his tutorials.” A third attributes his lasting impact on the Nigerian academic community to “ his incomparable ability as a teacher and a guide.” Not only does Ajayi belong “ to the pioneer generation of dedicated scholars who effected a kind of academic revolution that has resulted in winning acceptability and respectability for African History in the academic world,” as one of these former students writes, but, “ as a scholar with a mission to make academic African history relevant to the lives of the mass of African peoples,” to quote another, he also contributed mightily to achieving that goal. No wonder, then, that “ The Ibadan department of history has produced more good history than any other department in Africa,” observes a North American colleague, and that, in the words of a British historian of West Africa, “ within Africa, Nigeria occupies a special place in the field of Africanist scholarship, as one of the earliest countries to develop a tradition of indigenous academic scholarship; and also as a place where, despite the adverse financial and other conditions faced by University scholars in recent years, the study of Africa has continued to flourish, so that, whatever may be the case with other countries, the history of Nigeria continues to be written principally by Nigerian scholars.” Perhaps, as one of his former students writes, for these collective achievements “ no single individual would be given, or lay claim to, sole credit,” but there is no other scholar whose leadership and practice so uniquely exemplifies their enduring qualities. In recognition of his singular scholarly achievement, in 1993 the African Studies Association of the United States recognized Ajayi with its Distinguished Africanist Award, the first African scholar so honored. Ed w a r d

A.

A l per s

See also Africa: West Biography

Jacob Festus Ade Ajayi. Born Ikole-Ekiti, Ondo State, Nigeria, 26 M ay 19 29. Educated locally at St. Paul’s School, 1 9 3 4 - 3 9 ; Christ’s School, 1940; Igbobi College, Lagos, 1 9 4 1 - 4 8 ; Hughes College, Yaba, 19 4 7; University College, Ibadan, 1 9 4 9 - 5 1 ; University of Leicester, England, 1 9 5 2 - 5 5 , BA; University College, London, 1 9 5 5 - 5 8 , PhD. Taught at University College, Ibadan, 1 9 5 8 - 7 2 (rising to professor), and 19 7 8 - 8 9 . Vice-chancellor, University of Lagos, 19 7 2 - 7 8 . Married Christiana Aduke Martins, 19 56 (4 daughters, 1 son).

Principal Writings

With Robert S. Smith, Y o ru ba W arfare in the N in e tee n th C e n tu ry , 1964

23

Editor with Ian Espie, A T h o u s a n d Years o f W est A fric a n H is to ry , 19 65 C h ristian M issio n s in N ig e ria , 1 8 4 1 - 1 8 9 1 : T h e M a k in g o f a N e w E lite , 19 65 “ The Continuity of African Institutions under Colonialism,” in Terence O. Ranger, ed., E m er g in g T h e m e s o f A fric a n H isto ry : P ro ceed in g s o f the Internation al C o n g ress o f A fric a n H isto ria n s,

1968 Editor with Michael Crowder, A H isto ry o f W est A fr ic a , 19 7 1-7 4 Editor with Michael Crowder, H isto rica l A tla s o f A fr ic a , Editor, A fric a in the N in eteen th C e n tu ry until the 1 8 8 0 s , [UN ESCO General History of Africa, vol. 6] Editor, P e o p le a n d E m p ire s in A fric a n H isto ry : E ssa y s in M ic h a e l C r o w d e r , 19 9 2 T h e A fric a n E x p e rie n c e w ith H ig h e r E d u c a tio n , 1996

2 vols., 19 8 5 19 89 M em o ry o f

Further Reading Falola, Toyin, ed., A fric a n H isto rio g ra p h y: E ssa y s in H o n o u r o f J a c o b A d e A ja y i, London: Longman, 1993

Ali Haji, Raja

C .18 09 - C .187O

M ala y/B u gis writer

Raja Ali Haji was one of the greatest Malay writers of the 19th century. He belonged to the Malay -Bugis royal house of Riau and underwent a broad education, which was to equip him to make a significant contribution to various areas of learning. His fame as a scholar spread throughout the region, and by the age of 32 he had assumed significant responsibilities in acting as joint regent and ruling Lingga for the young sultan Mahmud. However he is remembered not as an admin istrator, but rather as a writer and thinker. Raja Ali Haji is best known for his historical writings, which center upon the works Tubfat al-Nafis (The Precious Gift, completed late 1860s) and Silsilah Melayu dan Bugis (The History of the Malay and Buginese People, completed 1865). The former of these is his greatest work and represents a synthesis of various sources. Raja Ali Haji completed the Tuhfat al-Nafis during a period when the Malay world was in great flux. Rivalries and conflicts were evident between the Bugis, their Malay hosts, and the Dutch colonial authorities. Raja Ali Haji’s purposes in drawing up the Tuhfat al-Nafis were several; he was concerned not only to record the history of the Johor empire’s relationship with the Bugis, the other Malay states, and the Dutch, but he also wrote for a didactic purpose, to enable contemporary readers to learn lessons from the past. His approach to historiography represented a revolutionary new stage for the Malay world. He was not satisfied merely to glorify past rulers, as had been the case with the earlier Malay historical classics such as the Sejarah Melayu (Malay Annals), but he demonstrated a sensitivity to new worldviews and the issues raised by changing times. He diverged from early Malay historians in other ways, such as his concern for chronology and the relationship between an event and the time that it occurred, which he showed by regularly providing the dates of the events in question. Moreover, he acknowledged an acceptance of modern historical methods by clearly identifying his sources throughout his historical works.

24

ALI HAJI

In his historical writing Raja Ali Haji was no longer preoccupied with propounding the view of Malay rulers’ divine right to rule, as had been the case with earlier historical writing; rather his was the more critical worldview necessary to support his quest for historical objectivity. Though he consciously presented his historical accounts through the lenses of his own Bugis identity, his works were much more than mere products of Bugis historical apologetics. Another unique aspect of the Tuhfat al-Nafis was that in recording over zoo years of history and covering the entire Malay world in its scope, it added a new dimension to Malay historiography. The diverse skills of Raja Ali Haji are reflected in the scope of his writings, which cover fields as varied as theology, law, history, grammar, poetry, and statecraft. In addition to the two historical works mentioned above, his principal writings include two works on grammar - the Bustan al-Katibin (Garden of Writers, 1857) and the uncompleted Kitab Pengetahuan Babasa (Book of Malay Language) - two works on statecraft - Intizam Waza’if al-Malik (Systematic Arrangement of the Duties of Ruler, 1857) and Thamarat al-Mahammah (Benefits of Religious Duties, 1857) - as well as a range of poetic works written separately or embedded within his other writings. Raja Ali Haji was an arch-conservative in his views. In his writings he called on individuals to follow the ways of their ancestors in order to arrest social decay, and portrayed the society of the prophet Muhammad as an ideal to which individuals should strive. He called for adherence to God ’s laws, serious study of religious literature, and obedience to established scholarship. He called for the conduct of the state to be based on social harmony in the name of God, and attributed the decline of Riau to the failure of people - both rulers and subjects - to follow the teachings of the Prophet. P e t e r G. R i d d e l l S e e a ls o

Malay Annals

Biography Raja Ali al-Haji Riau. Born Selangor, c.1809. Widely traveled as a young man; completed his father’s history of the Buginese people of the Malay world. Also served as ruler of Riau, and joint regent of Lingga, c. 1 8 3 7 - 5 7 . Two daughters and a son were also historians. Died c.1870 .

Principal Writings Silsilah M e la y u d an B u g is (The History of the Malay and Buginese

People), completed 18 6 5; reprinted 1984 Tu h fa t a l - N a fis , completed late 1860s; in English as T h e P recio u s G if t {T u hfa t a l - N a fis ), 19 82

Further Reading Andaya, Barbara Watson, and Virginia Matheson, “ Islamic Thought and Malay Tradition: The Writings of Raja Ali Haji of Riau (C.1809 - C.1870), ” in Anthony Reid and David G. Marr, eds., P ercep tio n s o f the P ast in Sou th east A s ia , Singapore: Heinemann,

1979

Beardow, T., “ Sources Used in the Compilation of the Silsilah Melayu dan Bugis,” R e v ie w o f In d o n esia n a n d M a la ya n A ffa ir s 20 (1986), 1 1 8 - 3 5 Iskandar, Teuku, “ Raja Ali Haji, Tokoh dari Pusat Kebudayaan Johor-Riau,” D e w a n B a h a sa , December 1964 Matheson, Virginia, “ The Tuhfat al-Nafis: Structure and Sources,” B ijd ra g e n tot Taal - , L a n d - en V o lk en k u n d e 128 (19 7 1), 379 - 9 0

Matheson, Virginia, “ Question Arising from a Nineteenth Century Riau Syair,” R e v ie w o f In d o n esia n a n d M a la ya n A ffa ir s 17 (19 83), 1 - 6 1 Maxwell, W.E., “ Raja Haji,” Jo u r n a l o f the Straits B ra n c h o f the R o y a l A sia tic S o cie ty 22 (1890), 1 7 3 - 2 2 4 Noorduyn, J., “ The Bugis Genealogy of the Raja Muda Family of Riau -Johor,” Jo u r n a l o f the M a la y B ra n c h o f the R o y a l A sia tic S o cie ty 61/2 (1988), 6 3 - 9 2 Osman, M.T. “ Raja Ali Haji of Riau: A Figure of Transition or the Last of the Classical Pujanggas?” in S.M .N . Al-Attas ed., B ahasa K esustraan D a n K eb u d a y a a n M e la y u : E sse i - e sse i p en g h o rm a ta n k ep a d a P end ita Z a ’b a , Kuala Lumpur: Kementerian Kebudayaan,

Belia dan Sukan Malaysia, 19 76 Sham, A. H., P u is i - P u isi R a ja A li H a ji , Kuala Lumpur: Dewan Bahasa dan Pustaka, 1993 Winstedt, Richard O., “ A History of Johor ( 1 3 6 5 - 1 8 9 5 ) , ” Jo u r n a l o f the M a la y B ra n c h o f the R o y a l A sia tic S o c ie ty 10/3 (19 32) Winstedt, Richard O., A H isto ry o f C la ssica l M a la y L itera tu re , Kuala Lumpur: Oxford University Press, 19 39 ; revised by Y.A. Talib, 19 9 1

Althusser, Louis I918-I99O

French (Algerian - born) philosopher

Louis Althusser shot to prominence in France in 1965 with two difficult but innovatory books of Marxist theory: Pour Marx (For Marx, 1969), and Lire le Capital (Reading “Capital,” 1970). His work was introduced to an Englishspeaking readership in 1966 in a lengthy review by Eric J. Hobsbawm in the Times Literary Supplement. In the following year “ Contradiction and Overdetermination” (from For Marx) appeared, with a commendatory preface, in the pages of New Left Review. The two books had an international impact. During the late 1960s and the first half of the 1970s various forms of Althusserian structuralist Marxism inspired new work and sparked off debates across the whole field of the human sciences. In anthropology, literary studies, feminist theory, art history, film studies, and especially cultural studies, a stream of publications, conferences, and debates testified to the potential of some of Althusser’s conceptual innovations. Whatever his intentions as a Communist, his influence was not in the direction of reaffirming tired Leninist orthodoxies. Quite the contrary: he stimulated a radical questioning of a whole series of central assumptions of the intellectual left in France and elsewhere. In the 1960s Althusser elaborated a highly sophisticated and complex philosophy - a theory of theoretical practice. Positing a radical break between ideology and science, an “ epistemological break ” that could be pinpointed in the development of M arx ’s own writing in 18 4 4 - 4 5, Althusser directed attention to the concepts of the later works, above all, Capital. The early writings of M arx, he argued, were no more than an inversion of the idealism of Hegel and were thus incapable of grasping the complexity of the historical process. But the later works of M arx constituted a quite distinct problematic and a set of concepts - social formation, forces and relations of production, determination in the last instance, relative autonomy of the superstructures, and so on - which for the first time constituted the basis for a science of history. Preoccupied with developing this positive science and polemicizing against opponents,

ALTHUSSER

M arx never found the time to think about his innovations in a systematic philosophical form. Althusser’s self-appointed task was to elucidate the Marxist philosophy implicit within this emergent science and filter out some of the ideological pollu tants that still lingered. Althusser’s attempt to think through the philosophical implications of M arx’s conceptual innovations from The German Ideology to Capital was ambitious and often suggestive. The de-centering of totality and the concept of differential temporality were particularly important for his critical project. Historical time, Althusser argued, is always multilinear. There is no evolutionary movement of all the elements of the totality - say, for instance, the economic, the social, the political, and the ideological - such that they are all aligned in what he termed an “ essential section.” The totality does not constitute an “ expressive totality ” in which the whole can be read in each of its parts. These arguments in Reading Capital pose some significant questions for historical work, as Pierre Vilar conceded in what is perhaps the most searching critical account of Althusser by a historian. Althusser’s careful periodization of M arx’s work, whatever questions it might raise about the devaluation of the early writings, did draw attention to the need to place specific texts within a precise intellectual history. Following on from this, he emphasized the need to read M arx closely and critically. In Western Marxism there was a tendency to appropriate elements of M arx arbitrarily and superficially. Althusser in this way played a valuable pedagogic role. His wholesale assault on Western Marxism was, however, excessive and in places disingenuous. Sartre’s Search for a Method (i960, translated 1963), for instance, had already made some of the criticisms of a reductionist Marxism which Althusser was to announce a few years later as his own. The attack on those who corrupted Marxism with alien imports from Hegel, phenomenology, exis tentialism, or whatever, is somewhat weakened by Althusser’s own extensive borrowings from such non -Marxist theorists as Baruch Spinoza, Gaston Bachelard, Jacques Lacan, and Sigmund Freud. And yet the essential point remained, that the implications for concrete historical research of the works of the mature M arx had not been very thoroughly pursued. Althusser’s work was a part of a shift in this direction in the later 1960s and contributed significantly to work in, for instance, French anthropology (see Kahn and Llobera) and in the history of precapitalist societies (Hindess and Hirst). Althusser’s influence, as Perry Anderson noted in Arguments within English Marxism (1980), “ has proved remarkably productive - generating an impressively wide range of works dealing with the real world, both past and present.” In “ Contradiction and Overdetermination” and “ Ideology and Ideological State Apparatuses” (from Lenin and Philosophy) Althusser himself produced two important essays which did productively combine theoretical argument and at least the beginnings of concrete analysis of concrete situations. Concepts elaborated in these essays - overdetermination, ideological state apparatus, interpellation - were eagerly appropriated. His brilliant formulation of ideology as “ the imaginary relationship of individuals to their real conditions of existence” has been especially influential. However, despite immense claims for the refurbished historical materialism that was to emerge from Althusser’s project, it seemed to fizzle out in his own work.

25

His attempts to meet some of his critics’ points - and especially the simplifications of the science-ideology distinction - led in the late 1960s to a redefinition of philosophy as a theoretical intervention within politics and a political intervention within theory. This formulation of an imaginary space led to nowhere very much, and his writing became increasingly fragmentary and sporadic. Althusser’s influence faded rapidly from the mid1970s: the political collapse of the left intelligentsia in Paris and the personal tragedy of the Althussers were contributory. So too was the way in which Althusser’s critical readings of M arx served, for many, as a bridge not into concrete political and historical analysis but out of Marxism altogether and into the increasingly ascendant work of Lacan, Jacques Derrida, and Michel Foucault. By the time of his death in 1990 his most important writing was already 20 or more years behind him. Having said that, the recent publication in France of two substantial volumes of Althusser’s Ecrits philosophiques et politiques (1994; The Spectre of Hegel, 1997), and the future publication of manuscript material, promise to provide new and unexpected critical perspectives on his thought. As the polemics and enthusiasms of the late 1960s and 1970s fade irretrievably into the past, Althusser is taking his place alongside Sartre, Merleau-Ponty, Foucault, and Derrida as one of the major figures in the remarkable explosion of French critical theory after 1945. Jo h n

Se e d

Anderson, P.; Foucault; Garin; Hegel; History from Below; History Workshop; Hobsbawm; Marks; Marxist Interpretation; Montesquieu; Political; Social; South Africa; Thompson, E.

S e e a ls o

Biography Born Birmandreis, near Algiers, 16 October 19 18 , son of a bank manager. Passed entrance examination, Ecole Normale Supérieure, July 19 39 , but was called up for army service two months later; captured in Brittany, June 1940, and held in German prisoner-ofwar camp, 19 4 0 - 4 5 . Returned to the Ecole Normal Supérieure, received degree, 1948, and taught there, 19 48 - 8 0 . Joined French Communist party, 1948. From 19 4 7 suffered increasing periods of mental illness and spells of hospitalization, culminating (November 1980) in his killing of Hélène Rytmann Legotier, his wife (married 19 76 ; had lived with her since 1940s). Released from psychiatric confinement, 19 8 3; withdrew from political and intellectual activity. Died Paris, 22 October 1990.

Principal Writings

M o n te sq u ie u : la p o litiq u e et l ' h isto ire, 19 59 ; in English in P olitics

a n d H isto ry , 19 7 2 With Etienne Balibar et a l., L ire le C a p ita l , 2 vols., 19 65; abridged edition (by Althusser and Balibar only) in English as R e a d in g “ C a p ita l , ” 19 70 P o u r M a r x , 19 65; in English as F o r M a r x , 1969 L é n in e et la p h ilo so p h ie , 1969, revised edition, 19 7 2 ; in English as L e n in a n d P h ilo s o p h y , 19 7 1 P o litics a n d H isto ry : M o n tesq u ieu , R o u ssea u , H eg e l a n d M a r x ,

Ï972

E ssa y s in S e lf - C riticism , 19 76 P h ilo s o p h y a n d the S p o n ta n eo u s P h ilo so p h y o f the Scientists a n d O th e r E ssa y s, 1990 L ' A v e n ir du re lo ngtem p s, su iv i de L es Faits, 19 9 2; in English as T h e Fu ture L asts a L o n g T im e, a n d T h e Facts, 19 93 E crits p h ilo so p h iq u e s et p o litiq u e s , 2 vols., 1994; in English as T h e S p ectre o f H eg el: E a r ly W ritings, 19 97

26

ALTHUSSER

Further Reading Anderson, Perry, A rg u m en ts w ith in E n g lish M a rx ism , London: Verso, 1980 Benton, Ted, T h e R ise a n d F a ll o f S tructura l M a rx is m : A lth u sse r a n d H is Influence, London: Macmillan, and New York: St. Martin ’s Press, 1984 Clarke, Simon et a i , O n e - D im e n s io n a l M a rx is m : A lth u sse r a n d the P olitics o f C u ltu re , London: Allison and Busby, and New York: Schocken, 1980 Elliott, Gregory, A lth u sse r: T h e D e to u r o f T h e o ry , London: Verso, 19 8 7 Elliott, Gregory, ed., A lth u sse r: A C ritica l R e a d e r, Oxford and Cambridge, M A: Blackwell, 19 94 Hindess, Barry, and Paul Q. Hirst, P re - C a p ita list M o d e s o f P ro d u c tio n , London: Routledge, 19 7 5 Hobsbawm, Eric J., “ The Structure of C a p ita l ” (1966) in Gregory Elliott, ed., A lth u sse r: A C ritica l R e a d e r, Oxford and Cambridge, M A: Blackwell, 1994 Kahn, Joel S., and Josep Llobera, T h e A n th r o p o lo g y o f P re C ap italist Societies, London: Macmillan 19 8 1 Kaplan, E. Ann, and Michael Sprinker, eds., T h e A lth u sserian L e g a c y , London: Verso, 1993 Lezra, Jacques, ed., D e p o sitio n s : A lth u sser ; B alibar, M acherey, a n d the L a b o r o f R e a d in g , New Haven: Yale University Press, 19 95 Thompson, E.P., T h e P o v e r ty o f T h e o r y a n d O th e r E ssa y s, London: Merlin Press, and New York: Monthly Review Press, 19 78 Vilar, Pierre, “ Marxist History, a History in the Making: Dialogue with Althusser,” N e w L e ft R e v ie w 80 (July/August 19 73), 6 1 - 1 0 6 ; also in Gregory Elliott, ed., A lth u sse r: A C ritica l R ea d er, Oxford and Cambridge, M A: Blackwell, 1994

Ambrose, Stephen E.

19 3 6 -

US biographer and m ilitary/diplom atic historian

One of the most prolific historians in the United States today, Ambrose has written or edited 24 books and more than 100 articles. His area of expertise is difficult to describe since he writes at the intersection of military history, historical biography, and the history of international relations, with a special interest in biography. Nor does his work examine a particular period, as he publishes on topics ranging from the Jeffersonian era in the United States to Richard Nixon. Moreover, his work does not fit easily into the usual historiographical categories informing the history of foreign relations - realist, revisionist, or postrevisionist. For the past two decades, however, there has been one consistent pattern in his work: by and large he has tried to appeal to a general audience rather than simply write for his fellow historians. Ambrose is the historian as public intellectual. Ambrose began his career as a military historian/biographer of the Civil War period, with his first three books dealing with a Union soldier in the South; Lincoln ’s Chief of Staff, Henry W. Halleck; and the Civil War military theorist Emory Upton. In the mid -1960s, Ambrose developed a powerful scholarly fascination with President Dwight Eisenhower, serving as an assistant editor of volumes 1 - 5 of the Eisenhower papers. Three years later he published a substantial biographical study of Eisenhower and World War II. His interest in Eisenhower culminated with the publication of perhaps his most important work, a massive 2-volume biography. These works put Ambrose in the forefront of Eisenhower revisionism - an attempt by scholars such as Robert Divine, Fred Greenstein, and Ambrose

to paint Eisenhower, especially as president, in a positive light. For Ambrose, Eisenhower was “ firm, fair, objective, dignified.” In fact, “ he was everything most Americans wanted in a President.” Ambrose is considerably more critical of Richard Nixon in his 3-volume biography of Eisenhower’s vice president. Although he admits to having “ a grudging respect and then a genuine admiration ” for Nixon, he nonetheless concluded that Nixon “ had broken the law [during Watergate] . . . and . . . deserved to be repudiated by the American people.” Nixon simply was not the man or president that Eisenhower was. Although these multivolume biographies sold well, Ambrose’s most widespread impact, at least on undergraduate students, has come in his interpretive textbook, Rise to Globalism (19 71), which is currently in its 7th edition and 29th printing. Ambrose wrote a masterful narrative synthesis of foreign policy during World War II and the Cold War. According to historian Ronald Steel, the work is “ a splendid example of the impact of revisionist analysis on the reinterpretation of American wartime and postwar diplomacy.” Like revisionists, Ambrose suggested that United States policy was at least partly responsible for the beginning and continuation of the Cold War, although he certainly did not see the Soviets as benign innocents. With the collapse of communism, Ambrose has become increasingly uncritical of Truman’s containment policy, however. In a 1991/92 article in Foreign Affairs, for example, he argued that “ the Truman Doctrine won its great victory [with] the retreat of communism.” In a sense, he seems to be moving into the postrevisionist camp. Ambrose’s most recent works further illustrate his wideranging interests. His 1994 book on D -Day was a lovingly and painstakingly detailed account of the landing and battle, based on 1,200 interviews with participants. His latest study, Undaunted Courage (1996), dealt with Lewis and Clark’s expedition, an event almost a century and a half before D-Day. In it Ambrose maintained his fierce commitment to telling an exciting tale. Both works are celebratory narratives aimed at the educated general public. Stephen Ambrose is, ultimately, a teller of stories. This is not to say that he eschews analysis and avoids theory. But in the final reckoning he wants to make history live for the public through the people of the past - the “ great” and powerful ones like Eisenhower and Nixon and the ordinary ones like a Wisconsin boy in Dixie or a young soldier on Omaha Beach. A n t h o n y

S e e a ls o

O.

Ed mo n d s

United States: 20th Century

Biography Born Decatur, Illinois, 10 January 19 36. Received BA, University of Wisconsin, 19 5 7 , PhD 19 6 3; M A , Louisiana State University, 19 58 . Taught at Louisiana State University, 19 6 0 - 6 4; Johns Hopkins University, 19 6 4 - 6 9 ; Naval War College, 19 6 9 - 7 0 ; and Kansas State University, 1 9 7 0 - 7 1 ; professor, University of New Orleans, from 19 7 1.

Principal Writings Editor, W iscon sin B o y in D ix ie , 19 6 1 H a lle ck : L in c o ln ' s C h ie f o f S ta ff, 19 6 2 U p to n a n d the A r m y , 1964 Assistant editor, T h e P ap ers o f D w ig h t D a v id E is e n h o w e r , vols. 1 - 5 , 19 67

AMERICA: PRE-COLUMBIAN

T h e Su p re m e C o m m a n d e r : T h e 'War Years o f G e n e ra l D w ig h t D . E is e n h o w e r , 19 70 R ise to G lo b a lism : A m e rica n F o reig n P o lic y sin ce 1 9 3 8 , 19 7 1 E is e n h o w e r , z vols., 19 8 3 - 8 4 N i x o n , 3 vols., 19 8 7 - 9 1

“ The Presidency and Foreign Policy,” Fo reign A ffa ir s 70 (Winter 19 91/92), 1 2 0 - 3 7 D - D a y , Ju n e 6, 1 9 4 4 : T h e C lim a ctic B attle o f W o rld W ar II, 1994 U n d a u n te d C o u ra g e : M e riw eth e r L e w is , T h o m a s Je ffe rs o n , a n d the O p e n in g o f the A m e rica n W est , 1996 T h e V ictors: E is e n h o w e r a n d H is B o y s , 1998

America: Pre-Columbian The European landfall in the Americas coincided with the Renaissance fascination with antiquities and the emergence of archaeology. Europeans endlessly speculated about native origins and functions of New World antiquities. By the end of the 20th century, the study of pre-Columbian America had grown increasingly interdisciplinary and was claiming scientific status. Willey and Sabloff in A History of American Archaeology (1974) call the years to 1840 the Speculative period. Explorers, soldiers, priests, traders, travelers, and colonial administrators described ancient monuments and linked the remains (and sometimes the native inhabitants) to imagined peoples, like the survivors of Atlantis, a lost white race, or some biblical group. Thomas Jefferson’s 1780 excavation of a Virginia mound is well known as the first controlled excavation in the Americas, but his conclusion that the Indians had built them would not become accepted for another century. The first scientific work appeared in the Classificatory Descriptive period, spanning 18 4 0 - 19 14 . Systematic artifact typologies and attempts at explaining mound functions emerged in the 1840s with Stephens’ Incidents of Travel series (18 4 1; 1843), which mapped state-satellite relationships, suggesting early complex societies in Central America. Squier and Davis’ Ancient Monuments of the Mississippi Valley (1848) surveyed, excavated, and cataloged mound types, but doubted that North American natives had built them. These men were private individuals driven by curiosity. Until the emergence of universities and endowed institutions around 1900, such types dominated American archaeology. After its founding in 1846, the Smithsonian Institution provided the only consistent public support for archaeology. Cyrus Thomas of the Institution’s Bureau of Ethnology and Frederic Putnam of Harvard University’s Peabody Museum were the leaders in excavation, creating typologies, professionalizing archaeology, and proving the antiquity of man in the Americas. Thomas ’ Report on the Mound Explorations of the Bureau of Ethnology (1894) demolished the moundbuilder race myth. Putnam led excavations in the Ohio Valley and helped establish anthropology departments and museums in the United States. Archaeology did not begin to abandon scientific racism until after World War I. Daniel Wilson’s suggestion in Prehistoric Man (1862) that classical Meso-American civilizations were comparable to ancient Egypt and Mesopotamia was unpopular in an age of American manifest destiny. The period’s central weakness was a conviction in the primitiveness of American

ZJ

natives, which denied significant culture change and chrono logical depth. As a result, scholars of American prehistory studied static culture areas, like those outlined by W. H. Holmes in “ Areas of American Culture Characterization . . . ” (19 14). If culture change was identified, it was attributed to migration. Archaeologists between 19 14 and i960, called the Classificatory-Historical period, used cultural categories to develop regional sequences, rejecting cultural stasis. Manuel Gamio produced the first controlled stratigraphic work from his 1 9 1 1 - 1 3 excavations in the Valley of Mexico. His La Población del Valle de Teotihuacan (The Population of the Valley of Teotihuacan, 1922) provided the first regional chronology for the Americas. McKern’s “ Midwestern Taxonomic Method ” (1939) synthesized eastern North American prehistory, attributing cultural change to local development, rather than migration. Occasionally, regional studies revolved around specific issues. Gordon Willey initiated settlement archaeology with Prehistoric Settlement Patterns in the Viru Valley (1953), which studied settlement as a reflection of ecological-technological interactions and sociopolitical organization. Dissenters, however, argued for more attention to chron ology. W.W. Taylor’s A Study of Archaeology (1948) criticized identifying cultures by cataloging traits at the expense of chronology, regional comparisons, and culture change. Meanwhile, scientific advances were being applied to archaeology, facilitating the search for chronology. Able to identify native cultures in time, archaeologists could then identify how they changed. Radiocarbon dating, widespread by the 1950s, was one of several new dating techniques, including dendrochronology and obsidian hydration. Many older archaeologists warily accepted the marriage of science and archaeology, but not graduate students educated in the 1 950s. The most prolific was Lewis Binford, whose “ Archaeology as Anthropology ” (1962), became the manifesto of the “ New Archaeology,” inaugurating the modern Explana tory period. Influenced by the neo-evolutionary theories of social anthropologists and enthusiastically interdisciplinary, New Archaeologists were convinced that every interaction left some material trace. J.J.F. Deetz found that The Dynamics of Stylistic Change in Arikara Ceramics (1965) revealed a shift from matrilocality to patrilocality based on patterned distrib ution of pot shards. This philosophy of archaeology, based on a positivist view of science, seeks laws of cultural dynamics (or processes), usually attributing social change to environment and technology. Wedding science to archaeology has produced several subdisciplines, such as paleoethnoarchaeology and zooarchaeology, and numerous studies on the natural environment, diet, disease, technology, and village organization. Robert Adams, in The Evolution of Urban Society (1966), argued that a series of interrelated environmental-technological adaptations resulted in historical watersheds producing urban states. Attempts to find laws of cultural processes evolved into widespread interest in theory by the 1970s. Lewis Binford initiated “ middle range theory,” explained in For Theory Building in Archaeology (1977) as correlating material culture to group behavior by studying how static traits relate to a dynamic cultural system expressed in physical remains in observable simple societies, thereby explaining conditions shaping a site’s distribution of artifacts. Much theorizing assessed the impact

28

AMERICA: PRE-COLUMBIAN

of population change. According to Kent Flannery in “ The Cultural Evolution of Civilizations” (1972), population growth created social and environmental pressures, forcing societies to a historical threshold and providing the impetus for complex societies. M .N. Cohen, refuting the traditional view that plant domestication permitted larger populations with evidence from Peru, adopted “ population-growth determinism” in “ Population Presence and the Origins of Agriculture” (1977) to argue that greater demands on resources force societies to find new means of production. The New Archaeologists have not gone unchallenged. By the mid -1980s, postprocessualists questioned positivism and the belief that human populations were materially oriented. Ian Hodder’s Reading the Past (1986) accepted processualism only as it explains human populations as biological entities. Ideology leaves no material trace, and processualists regarded ideas as tangential to cultural evolution. Processualists also ignored gender, but Christine Hastorf shows in “ Gender, Space, and Food in Prehistory” (19 9 1) that diet differentiation indicates the sexual division of labor in pre-Inca Peru. Most recent work reveals a balance between processualism and postprocessualism. Bruce Trigger (19 9 1) suggested that recovering prehistoric mentalities requires fusing historical and archaeological sources by considering “ internal constraints” (ideology, ethnicity, religion) and “ external constraints” (ecology and technology). Ja mes S e e a ls o

Fish er

Archaeology; Prehistory; Trigger

Griffin, James B., “ Eastern North American Archaeology: A Summary,” S cien ce, 15 6 (1967), 1 7 5 - 9 1 Hammond, Norman, “ Lords of the Jungle: A Prosopography of Maya Archaeology,” in Richard M. Leventhal and Alan L. Kolata, eds., C iviliza tio n in the A n c ie n t A m e rica s: E ssa y s in H o n o r o f G o r d o n R . W illey, Cambridge, M A: Peabody Museum of Archaeology and Ethnology, 19 83 Hastorf, Christine A., “ Gender, Space, and Food in Prehistory,” in J.M . Gero and M.W. Conkey, eds., E n g e n d e rin g A rc h a e o lo g y : W o m en a n d P reh isto ry, Oxford and Cambridge, M A: Blackwell, 19 9 1 Hinsley, Curtis M ., Jr., Savages a n d Scientists: T h e S m ithso nian Institution a n d the D e v e lo p m e n t o f A m e rica n A n th ro p o lo g y, 1 8 4 6 - 1 9 1 0 , Washington, DC: Smithsonian Institution Press, 19 8 1 Hodder, Ian, R e a d in g the Past: C u rre n t A p p ro a c h e s to Interpretation in A r c h a e o lo g y , Cambridge and New York: Cambridge University Press, 1986 Holmes, W.H., “ Areas of American Culture Characterization Tentatively Outlined as an Aid in the Study of Antiquities,” A m e rica n A n th r o p o lo g ist 16 (19 14 ), 4 1 3 - 4 6 Kennedy, Roger G., H id d e n C ities: T h e D isc o v e r y a n d L o ss o f A n c ie n t N o r t h A m e rica n C iviliz a tio n , New York: Free Press, 1994 Kidder, Alfred V., In tro d u ctio n to the S tu d y o f S o u th w estern A rch a e o lo g y , w ith a P relim in a ry A c c o u n t o f the E x c a v a tio n o f the P eco s, New Haven: Yale University Press, 19 24 Leone, Mark P., “ Some Opinions about Recovering Mind,” A m e rica n A n tiq u ity 47 (1982), 74 2 - 6 0 Lightfoot, Kent G., “ Culture Contact Studies: Redefining the Relationship Between Prehistoric and Historical Archaeology,” A m e rica n A n tiq u ity 60 (1995), 19 9 - 2 .17 McKern, W.C., “ The Midwestern Taxonomic Method as an Aid to Archaeological Culture Study,” A m e rica n A n tiq u ity 4 (1939), 30 1-13 Meltzer, David J., Don D. Fowler, and Jeremy A. Sabloff, eds., A m e rica n A rch a e o lo g y , Past a n d Fu ture: A C eleb ra tio n o f the

Further Reading Adams, Robert McCormick, T h e E v o lu tio n o f U rba n S o cie ty : E a rly M e so p o ta m ia a n d P reh isp a n ic M e x ic o , Chicago: Aldine, and London: Weidenfeld and Nicolson, 1966 Bacus, Elisabeth A. et a i , A G e n d e r e d Past: A C ritica l B ib lio g ra p h y o f G e n d e r in A r c h a e o lo g y , Ann Arbor: University of Michigan Museum of Anthropology, Technical Report 25, 19 93 Binford, Lewis R., A n A rc h a e o lo g ic a l P e rsp e ctive , New York: Seminar Press, 19 7 2 (includes a reprint of “ Archaeology as Anthropology ” ) Binford, Lewis R., ed., F o r T h e o ry B u ild in g in A rc h a e o lo g y : E ssa y s on F o u n d R e m a in s, A q u a tic R e so u rces, Sp atial A n a lysis, a n d System ic M o d e llin g , N ew York: Academic Press, 19 7 7

Binford, Lewis R., and Jeremy Sabloff, “ Paradigms, Systematics, and Archaeology,” Jo u r n a l o f A n th r o p o lo g ic a l R esea rch 38 (1982), 137 - 53

Cohen, M .N ., “ Population Presence and the Origins of Agriculture: An Archaeological Example from the Coast of Peru,” in Charles A. Reed, ed., O rig in s o f A g ricu ltu re , The Hague: Mouton, 19 7 7 Deetz, James J.F., T h e D y n a m ic s o f Stylistic C h a n g e in A n k a r a C e ra m ic s , Urbana: University of Illinois Press, 19 65 Flannery, Kent V., “ The Cultural Evolution of Civilizations,” A n n u a l R e v ie w o f E c o lo g y a n d System atics 3 (19 72), 39 9 - 4 2 6 Gamio, Manuel, L a P o b la ció n d e l Valle d e T eo tih uacan (The Population of the Valley of the Teotihuacan), 3 vols., Mexico City: Secretaria de Fomento, 19 2 2 Gladwin, Winifred and Harold S. Gladwin, A M e th o d fo r the D esig n ation o f C u ltu res a n d T h e ir V ariations , Globe, A Z : Medallion Papers, no. 15 , 19 30 Griffin, James B., T h e F o rt A n c ie n t A sp e c t: Its C u ltu ra l a n d C h ro n o lo g ica l P o sitio n in M ississip p i V alley A r c h a e o lo g y , Ann Arbor: University of Michigan Press, 1943 Griffin, James B., “ The Pursuit of Archaeology in the United States,” A m e rica n A n th r o p o lo g ist 61 (1959), 37 9 - 8 8

S o ciety fo r A m e rica n A rch a e o lo g y , 1 9 3 5 - 1 9 8 5 , Washington, DC:

Smithsonian Institution Press, 1986 Plog, Fred, T h e S tu d y o f P reh istoric C h a n g e , New York: Academic Press, 19 74 Silverberg, Robert, M o u n d B u ild e rs o f A n c ie n t A m e rica : T h e A rc h a e o lo g y o f a M y t h , Greenwich, CT: New York Graphic Society, 1968 Spielmann, Katherine A. (guest editor, special issue) “ The Archaeology of Gender in the American Southwest,” Jo u r n a l o f A n th r o p o lo g ic a l R esearch 51 (1995) Squier, Ephraim G., and Edwin Hamilton Davis, A n c ie n t M o n u m e n ts o f the M ississip p i Valley, Washington, DC: Smithsonian Institution, 1848 Stephens, John L., Incidents o f T ra ve l in C en tra l A m e rica , C h ia p a s, a n d Yucatan, 2 vols., New York: Harper, and London: Murray, 18 4 1 Stephens, John L., Incidents o f T ra vel in Yucatan, 2 vols., New York: Harper, and London: Murray, 1843 Taylor, Walter Willard, A S tu d y o f A r c h a e o lo g y , Menasha, WI: American Anthropological Association, 1948 Thomas, Cyrus, R e p o rt on the M o u n d E x c a v a tio n s o f the B ureau o f E th n o lo g y , 12th Annual Report of the Bureau of American Ethnology, Washington, DC: Smithsonian Institution, 1894; reprinted 19 85 Trigger, Bruce G., T im e a n d T ra d itio n s: E ssa y s in A rc h a e o lo g ic a l Interpretation , New York: Columbia University Press, and Edinburgh: Edinburgh University Press, 19 78 Trigger, Bruce G., “ Archaeology and the Image of the American Indian,” A m e rica n A n tiq u ity 45 (1980), 6 6 2 - 76 Trigger, Bruce G., A H isto ry o f A rc h a e o lo g ic a l T h o u g h t, Cambridge and New York: Cambridge University Press, 1989 Trigger, Bruce G., “ Constraint and Freedom: A New Synthesis for Archaeological Explanation,” A m e rica n A n th r o p o lo g ist 93 (19 9 1), 5 5 1-6 9

AMMIA NUS MARCELLINUS

Willey, Gordon Valley ; P e ru , Bulletin 1 5 5 , Willey, Gordon

R., P reh isto ric Settlem ent Patterns in the Vint Washington, DC: Bureau of American Ethnology, 19 5 3 R., and Philip Phillips, M e th o d a n d T h e o r y in A m e ric a n A r c h a e o lo g y , Chicago: University of Chicago Press, 19 58 Willey, Gordon R., A n In tro d u ctio n to A m e rica n A r c h a e o lo g y , 2 vols., Englewood Cliffs, N J: Prentice Hall, 1 9 6 7 - 7 1 Willey, Gordon R., and Jeremy A. Sabloff, A H isto ry o f A m e rica n A r c h a e o lo g y , San Francisco: W.H. Freeman, and London: Thames and Hudson, 19 7 4 Wilson, Daniel, P reh isto ric M a n : R esearch es into the O rig in s o f C iviliza tio n in the O ld a n d N e w W o rld , London: Macmillan, 18 6 2

Ammianus Marcellinus

C .3 3 O - C .3 9 5 C E

R om an historian

Ammianus Marcellinus wrote his Res gestae (Accomplished Deeds or History) in Rome c.390. In 3 1 books, it was the most significant historiographical work written in Latin since the writings of Tacitus. The books that came down to us (books 14 - 3 1) covered contemporary history from 353 till the battle at Adrianopolis in 378. The lost books (books 1 - 1 3 ) recorded the 250 years from the principate of the emperor Nerva (96-98) onwards. The History forms the most important narra tive source for the political, military and administrative history of these 25 years. It also provides valuable information on social conditions in the Roman empire, in the Near East, the Balkans and among the Germanic peoples. It is a work composed in the tradition of ancient historiography, with numerous digressions on geography, ethnography or natural phenomena. The character studies for which Ammianus is famous added a human dimension to his writing. Ammianus used his work for autobiographical remarks which are almost the only source for our knowledge about him. We gain a broad outline of his life, especially his years as an officer in the Roman army, when he participated in some of the campaigns he later recorded in his work. Neither the date of his birth nor of his death is known. He came from a well-to-do Greek family, as he mentioned himself (19.8.6 and 3 1.16 .9 ) and could have been born around 330. It is commonly assumed that his home town was Antioch in Syria, but despite frequent references to this town he does not indicate that he came from here. The assumption is based on the identification of the recipient of a letter (no.1063) from the orator Libanios to a man called Marcellinus with the historian but this interpretation has been challenged by Bowersock. Ammianus served in the elite corps of the protectores domestici and in 353 he belonged to the staff of Ursicinus, commander of the Oriental army in Mesopotamia. Because of his active military career Ammianus was one of the few ancient historians with a deep understanding of military operations and the ability to describe battles, weapons, and strategies precisely. He accompanied Ursicinus to Gaul when he was sent there to quell a provin cial rebellion. The stay in Gaul allowed Ammianus to study the people and geography, information he used for a long digression on Gaul (15. 9 - 11) , but also to meet Julian, the later emperor, whom he admired. He then followed Ursicinus to Mesopotamia and took part in the Persian offensive in 359,

29

in which the Persians besieged Amida and captured it. Ammianus’ account of details of the campaign (18 .4 - 19 , and 8) and his personal involvement in the events is partly written like a novel. Four years later he joined in the Persian campaign of the emperor Julian and gave a lively eyewitness account of the successful advance into Persia, the retreat and the death of Julian and the difficult return of the army under heavy losses. Ammianus felt that the peace treaty which emperor Jovian concluded with the Persians was shameful and this seemed to have been the reason why he retired from the army. Because he was no longer actively involved in the major events of his time, we are less well informed about his life from his narrative. He lived for some time in Antioch and travelled in Greece and Egypt. The country, the Nile, the pyramids and the crocodile are described in a digression (2 2 .15 - 16 ). Sometime after 378 he settled in Rome. He liked the city but he disliked the inhabitants intensely and in two famous digressions (14.6 and 28.4) he painted a scathing picture of the customs of the Roman upper and lower classes. The latest contemporary allusion in his work was to the consulship of Neoterius in the year 390. He praised the Serapeum in Alexandria but made no mention of its destruction, suggesting that he completed his work before this event in 392. Ammianus endeavored to write with as much truth, accuracy and impartiality as he could (introduction to book 15). The second introduction at the beginning of book 26 does not necessarily mean that Ammianus had published the earlier books already and decided to restart. There was no obvious break in his narrative and it could be that he wanted to explain his concerns about writing contemporary history and to emphasize the necessity to concentrate only on the events which really mattered (Matthews 1989). Likewise he alerted his readers to a change in his approach (26.5.15). Whereas he recorded the history until Julian ’s death in an annalistic fashion according to the emperors, he described later events in their geographical context. For the lost books Ammianus must have relied on literary sources, such as Herodian. For his contemporary history he used primarily his own experiences, interviews with eyewitnesses, and official documents. His acquaintance with leading personalities at the court, in the provinces and in Rome proved to be useful too. Ammianus’ religious ideas were deistic; he frequently referred to a supreme power and believed in divination and astrology. He had a liberal attitude to other religions and treated the Christian religion respectfully. Despite the cata strophes he witnessed in his lifetime, the loss of the eastern provinces, barbarian attacks, and the disaster at Adrianopolis which led to permanent Gothic settlement on imperial soil, he believed in the everlasting greatness of Rome ( 3 1.5 .11) . The Greek Ammianus wrote in Latin, the language of Rome, the empire with which he identified himself. His language was somewhat artificial and cluttered and he demonstrated continuously his broad literary education. He wrote in a rhetorical and dramatic style fashionable at his time. If the letter of Libanios mentioned above was in fact written to Ammianus Marcellinus his work must have been quite successful in the literary circles of Rome, because the recipient was congratulated on the success of his public readings. There is no further evidence that his History was popular because very few contemporary or later authors seemed to have known

30

A M M I A N U S M A R C E L LI N U S

it or quoted from it. Ammianus was not read in the Middle Ages either and the work survived in two manuscripts from the monasteries of Fulda (9th century, Vaticanus lat. 1873) and Hersfeld (only fragments Kassel Philol. 2027). It was first published in 1474 by Angelus Sabinus and since Gibbon ’s Decline and Fall of the Roman Empire, the History was grad ually rediscovered. In the last 30 years an increasing number of studies have been dedicated to many different aspects of Ammianus’ work. C h a r l o t t e S e e a ls o

Beh r

Roman; Scriptores; Syme

Biography Born Antioch, Syria, c.330. Served in elite military corps of p ro tecto res d om estici, as personal aide to general Ursicinus, in the

Asia campaigns, 3 5 4 - 6 0 ; took part in emperor Julian’s campaign in Persia, 36 3; after Julian’s death, left army to travel before settling in Rome. Died Rome, c . 395.

Principal Writings

R es gestae , c . 390; in English as T h e L a te r R o m a n E m p ir e ,

35 4- 37$ » translated by Walter Hamilton,

ad

1986 Works (Loeb edition), translated by J.C . Rolfe, 3 vols., 1 9 3 5 - 3 9

Further Reading Austin, N .J.E., A m m ia n u s on W arfare: A n In vestigatio n into A m m ia n u s ’ M ilita ry K n o w le d g e , Brussels: Latomus, 19 79 Blockley, Roger C., A m m ia n u s M arcellin u s. A S tu d y o f H is H isto rio g ra p h y a n d P olitica l T h o u g h t , Brussels: Latomus, 19 7 5 Bowersock, Glen Warren, “ Review of John F. Matthews, T h e R o m a n E m p ir e o f A m m ia n u s , ” J o u r n a l o f R o m a n Studies 80 (1990), 2 4 4 - 5 0 Camus, Pierre-Marie, A m m ie n M a rc e llin : T é m o in d es courants culturels et relig ieux à la fin d u IV e siècle (Ammianus Marcellinus: Witness of Cultural and Religious Trends at the End of the 4th Century), Paris: Belles Lettres, 19 6 7 Crump, Gary A., A m m ia n u s M a rce llin u s as a M ilita ry H isto ria n , Wiesbaden: Steiner, 19 7 5 Demandt, Alexander, Z e itk ritik u n d G e s ch ich ts b ild im Werk A m m ia n s (Comments on Contemporary Issues and the Conception of History in the Writings of Ammianus), Bonn: Habelt, 1965 Elliott, Thomas G., A m m ia n u s M a rce llin u s in F o u rth - C e n tu ry H is to ry , Sarasota, FL: Stevens, 19 83 Jonge, Pieter de, P h ilo lo g ic a l a n d H isto rica l C o m m e n ta ry on A m m ia n u s M a rc e llin u s , vols. 1 4 - 1 9 , Groningen: Wolters, 19 3 5 - 8 2 ; continued by J. den Boeft, Daniél van Hengst, H. C. Teitler and J. W. Drijvers, Groningen: Egbert Forsten, vols. 2 0 - 2 2 , 19 8 7 - 9 5 Matthews, John E , “ Ammianus Marcellinus,” in T. James Luce, ed., A n c ie n t W riters: G re e c e a n d R o m e , 2 vols., New York: Scribner, 19 8 2 Matthews, John E , T h e R o m a n E m p ir e o f A m m ia n u s, London: Duckworth, and Baltimore: Johns Hopkins University Press, 1989 Rike, R.L., A p e x O m n iu m : R e lig io n in the R e s G esta e o f A m m ia n u s , Berkeley: University of California Press, 19 8 7 Sabbah, Guy, L a m é th o d e d ’A m m ie n M a rc e llin : R ech e rch e s su r la constru ction d u d isco u rs histo riqu e dans les R e s G esta e (The Method of Ammianus Marcellinus: Research into the Construction of Historical Discourse in the Res Gestae), Paris: Belles Lettres, 19 78 Syme, Ronald, A m m ia n u s a n d the H istoria A u g u sta , Oxford: Oxford University Press, 1968 Thompson, E.A., T h e H isto rica l W o rk o f A m m ia n u s M a rc e llin u s , Cambridge: Cambridge University Press, 19 4 7

Anderson, Benedict 1936British historian of Southeast Asia

Benedict Anderson has distinguished himself in the study of Southeast Asia and has also become well known to a broader audience as a theorist of nationalism. From his detailed study of the Javanese revolution in 1944 - 46 to his comparative, global examination of the history of nationalism, Anderson has always been engaged with the idea of “ nation-ness,” although his attitude toward nationalism has clearly evolved. His work has traced both the history and the structure of nationalism, providing a theoretical framework that cannot be ignored by anyone wishing to understand this phenomena or to study it further. A student at Cornell under the mentorship of George Kahin, founder of the Cornell Modern Indonesia Project, Anderson lived in Indonesia during the early 1960s while conducting his doctoral research. His dissertation was published as Java in a Time of Revolution {1972), a highly detailed study of the move toward independence in 1944 - 46 and the role of youth in that movement. Another product of Anderson ’s work on Indonesia was the Cornell paper he co-authored on the 1965 coup, which questioned the military government’s legitimacy. As a result of this work, Anderson was eventually banned from Indonesia, and turned his attention to Thailand. In reflecting on the course of his career in the introduction to Language and Power (1990), Anderson attributed his sympathy with nationalist movements in Southeast Asia to “ an inverted Orientalism.” His exile and subsequent study of Siam forced him to begin to think comparatively, “ against the friendly Orientalist grain.” His exile also led him to a new concentration on documents, especially Indonesian literature. Combined with the influence of his brother Perry Anderson and others in the circle of the New Left Review, these changes led Anderson to write his much-read and often-cited Imagined Communities (1983). Imagined Communities begins with the premise that nationality and nationalism are “ cultural artifacts” and goes on to analyze the origins, growth, and structure of these ideas. The nation is defined by four key attributes: It is an imagined political community that is both inherently limited and sovereign. The nation is imagined because it is not a face-to-face society; since most members of a nation will never know each other, they can only constitute a community by imagining their connection. It is limited because it has boundaries beyond which lie other nations, and sovereign because the concept developed as the Enlightenment was challenging the legitimacy of the sovereign monarch. And finally, the nation is a community because, despite real inequalities, the nation is imagined as a “ horizontal comradeship.” The nation thus defined developed in the 18th century; its roots lay in religious communities and dynastic realms, which it displaced. A key reason for this change is the modern shift in apprehension of time. The shift was from the medieval analogical mind, which perceived the present as foreordained, and the past and the future as simultaneous, to the new, more secular conception of time that perceived history as an endless chain of cause and effect. While this shift has been amply docu mented elsewhere, Anderson masterfully draws the connection

ANDERSON

between this shift in perception and the rise of print culture, especially the novel and the newspaper, which he argued represented the type of community that is the nation. Perhaps the most important contribution of Imagined Communities was Anderson’s argument that the origins of nationalism were in the New World, not the European nationalist movements after 1820, which he called “ second wave.” It was the creole communities of the Americas, he argued, that developed conceptions of their “ nation-ness” first. The admin istrative structures developed through the imperialist system actually helped to create the perception of a “ fatherland” in those colonial areas. Struggles for independence in the Americas then served as models for the European movements, but the “ last wave ” of nationalism in the late 19th and 20th centuries has become official nationalism, which is harnessed to serve the interest of the state. In more recent works, Anderson has returned to a focus on Indonesia and Siam, often with an interpretive or literary approach to cultural issues. It remains to be seen to what extent he may yet return to the comparative theorizing of Imagined Communities, but it is clear that he has already established a formidable theoretic explication of nationalism that has left a permanent mark on thinking on this subject, and with which future theorists will have to contend. A n g el a

V iet t o

Ethnicity; Media; Memory; Nationalism; Postcolonialism; Southeast Asia; World

S e e a ls o

Biography Benedict Richard O ’ Gorman Anderson. Born Kunming, Yunnan, China, 2 6 August 19 3 6 , of English parents. Received BA in classics, Cambridge University, 19 5 7 ; PhD in political science, Cornell University, 19 67. Taught (rising to professor) at Cornell University from 19 6 7.

Principal Writings

S o m e A sp e c ts o f In d o n esia n P olitics u n d e r the Ja p a n e s e O cc u p a tio n ,

1944-45 , 1961

M y th o lo g y a n d the T o leran ce o f the Ja v a n e s e , 19 6 5 Ja v a in a T im e o f R e v o lu tio n : O cc u p a tio n a n d Resistan ce, 1 9 4 4 - 1 9 4 6 , 19 7 2 Editor, R e lig io n a n d S o c ia l E th o s in In d o n esia , 19 7 7 Editor with Audrey Kahin, Interpretin g In d o n esia n P olitics: T h irteen C o n tribu tio n s to the D eb a te, 19 8 2 Im a g in e d C o m m u n itie s: R eflection s on the O rig in a n d S p re a d o f N a tio n a lism , 19 83 L a n g u a g e a n d P o w e r : E x p lo r in g P o litica l C ultures in In d o n esia ,

1990

Further Reading Hadiz, Vedi R., P o litik , b u d a ya , d an p eru b a h a n sosial: B en A n d e rso n d alam stu d i p olitik In d o n esia , Jakarta: Penerbit PT Gramedia, 19 9 2

Anderson, Perry

19 38 -

British historian and social theorist

Perry Anderson’s sizeable and wide-ranging oeuvre does not fit comfortably into any academic specialism. He is the author

31

of books on the social and political history of the classical world, on absolutism in early modern Europe, on the intellectual history of 20th-century Marxism, and on the work of E.P. Thompson. His numerous essays have intervened in almost every area of the human sciences and have engaged critically with a series of post-194 5 intellectual figures, ranging from Fernand Braudel to Isaiah Berlin, from Carlo Ginzburg to Ernest Gellner. Anderson has been variously historian, historical sociologist, political theorist, leading English Marxist of his generation, and, for more than two decades from 1962, editor of New Left Review. His work has always been characterized by its cold elegance of style and its unusual fusion of the high theory of European Marxist provenance (notably Jean -Paul Sartre, Antonio Gramsci, and Louis Althusser) and an idiom of logical argument, historical specificity, and empirical evidence. “ Origins of the Present Crisis ” (1964) was his first essay to make a significant impact. Challenging orthodoxies of both right and left, it was a vigorous indictment of British traditionalism. The stultifying conservatism of Britain at the end of 13 years of Tory government was traced back to a premature and incomplete bourgeois revolution in the 17th century and the subsequent incorporation of a supine industrial bourgeoisie in the 19th. Provoking the ire of E.P. Thompson, who replied in “ The Peculiarities of the English,” “ Origins ” initiated a seminal debate for a number of younger historians in the 1970s and has continued to feed into debate on the historical causes of Britain ’s long-term economic decline (see especially Geoff Ingham’s Capitalism Divided?, 1984). Some of the themes of “ Origins” were followed up by Anderson five years later in another remarkable essay, again demonstrating the influence of Gramsci, “ Components of the National Culture ” (1968). This anatomized the parochial conservatism of British intellectual life and provided a series of brilliant and acerbic short surveys of the major disciplines within the humanities and social sciences. These two essays and some later reworkings of the same issues are included in English Questions (1992). At the end of the 1960s Anderson turned to larger questions, though still within a Gramscian framework. Seeking to explain differences of state formation across Europe, both East and West, his project was nothing less than a comparative history of the complex and uneven development of state forms from the classical world to the present. The first volume, Passages from Antiquity to Feudalism (1974), stressed the unique origins of Western European capitalism. It was a particular synthesis of classical antiquity and the institutions of the Germanic peoples who had overthrown Roman hegemony that formed European feudalism. And this unique formation, in turn, provided the basis for the transition to capitalism. The much larger second volume, Lineages of the Absolutist State (1974), is concerned with the character of the early modern state in the transition from feudalism to capitalism and in particular the contrast between Eastern and Western types of absolutism. Out of this temporally-elongated conjuncture there emerged the distinctive characteristics of modern European states and some of the continent’s central divisions, which subsequent developments in the 19th and 20th centuries simply ratified. Two further volumes have been promised: the first dealing with “ the chain of the great bourgeois revolutions, from the Revolt of the Netherlands to the Unification of Germany ” ; and

32

ANDERSON

a second examining the states of contemporary Europe. Some important work arising out of this continuing project has been published in the intervening years (see especially “ The Antin omies of Antonio Gramsci” and “ The Notion of Bourgeois Revolution ” in English Questions). However the crisis of Marxism in Western Europe (and especially in Paris) from the mid - 1970s diverted Anderson’s focus for a number of years. Considerations on Western Marxism (1976) provided a lucid overview of the evolution of Western Marxism over the preceding fifty years, optimistically tracing out a shift in the 1970s away from a concentration on philosophy and high culture and toward questions of political power and socioeconomic transformation. Arguments Within English Marxism (1980) attempted to moderate the rage of E.P. Thompson ’s The Poverty of Theory (1978) - an unmeasured assault on Marxist theory in its Althusserian form. Here Anderson was generous in his concessions to Thompson, but uncompromising in his defence of theory and the value of European Marxisms. He made a number of incisive criticisms of Thompson’s historical writing. He also judiciously corrected several errors and distortions in The Poverty of Theory. Three years later Anderson’s Wellek Library lectures - In the Tracks of Historical Materialism (1983) - contrasted the rapid growth of Marxian influence in the Anglo-American academy during the 1970s with its sudden collapse in Italy and France and offered some incisive criticisms of poststructuralism. These three interventions provide crisp and coherent surveys of sometimes bewilderingly complex debates. Anderson’s work over three decades has been consistent in its commitment to a critical appropriation of European Marxist theories, and in its precise purpose: to develop historical and political explanations. This has not been confined to his own writings. Under his direction New Left Review and New Left Books (now Verso) have been of decisive importance in diffusing within the English-speaking world the otherwise unavailable work of a whole series of European theorists of Marxist provenance - Sartre, Althusser, Bloch, Poulantzas, Adorno, Benjamin, among many others. J o h n

Se e d

See also Althusser; Brenner; Gramsci; Jones, G.; Marxist Interpretation; Mayer; State; Thompson, E.; Tilly, C.; Whig

Biography Born London, 19 38 . Educated at Eton College and Oxford University. Editor, N e w L e ft R e v ie w , 19 6 2 - 8 2 . Taught at Cornell University; New School of Social Research, New York; University of California, Los Angeles; and London School of Economics.

Principal Writings “ Origins of the Present Crisis,” N e w L e ft R e v ie w 23 (1964), 2 6 -54 T o w a r d s So cia lism , 19 65 “ Components of the National Culture,” N e w L e ft R e v ie w 50 (1968), 3 - 5 8 L in ea g es o f the A b so lu tist State, 19 74 Passages fro m A n tiq u ity to F eu d a lism , 19 74 C o n sid era tio n s o n W estern M a rx is m , 19 76 “ The Antinomies of Antonio Gramsci,” N e w L e ft R e v ie w 100 (November 1976 - January 19 77), 5 - 8 0 A rg u m en ts w ith in E n g lish M a rx ism , 1980

In the T ra ck s o f H isto rica l M aterialism : T h e W ellek L ib r a ry L ec tu re s, 1983 E n g lish Q u estio n s, 19 9 2 A Z o n e o f E n g a g em en t, 19 9 2

Further Reading

Fulbrook, Mary, and Theda Skocpol, “ Destined Pathways: The Historical Sociology of Perry Anderson,” in Theda Skocpol, ed., V ision a n d M e t h o d in H isto rica l S o c io lo g y , Cambridge and New York: Cambridge University Press, 1984 Ingham, Geoffrey, C ap italism D iv id e d ? T h e C ity a n d In d u stry in B ritish S o c ia l D e v e lo p m e n t, London: Macmillan, and New York: Schocken, 19 84 Johnson, Richard, “ Barrington Moore, Perry Anderson and English Social Development,” W o rk in g P a p ers in C u ltu ra l Studies 9 (1976), 7 - 2 8 Porter, R., and C.R. Whittaker, “ States and Estates,” S o c ia l H isto ry 3 (1976), 3 6 7 - 7 6 Runciman, W.G., “ Comparative Sociology or Narrative History: A Note on the Methodology of Perry Anderson,” E u ro p e a n Jo u r n a l o f S o c io lo g y 2 1 (1980), 16 2 - 7 8 Thomas, Keith, “ Jumbo History,” N e w Y ork R e v ie w o f B o o k s (17 April 19 75), 2 6 - 28 Thompson, E.P., T h e P o v er ty o f T h e o r y a n d O th e r E ssa y s, London: Merlin Press, and N ew York: Monthly Review Press, 19 78

Andrews, Charles McLean

18 6 3 -19 4 3

U S historian o f colonial Am erica

The irony of Charles McLean Andrews, the man who at the least reoriented or at the most invented the study of colonial America, was that he wrote little on the period which he demanded that scholars take greater interest: the years 1690 to 1750 . Andrews had two crusading goals. First, he strove to rescue the colonial period from patriotic and filiopietistic amateur historians who favored rhetorical flourish over documentable fact. Historians such as George Bancroft wrote nationalistic histories scantly touching on the colonial period. As a result, American history, to judge by their works, began with the American Revolution, the formative event of the nation. Second, Andrews rebuked the exceptionalism and related geographical parochialism that pervaded American historiography. Historians, he maintained, must view early America as part of the British empire, and set that within its European con text. Here Andrews lived up to his own demands. He researched indefatigably in British archives, wrote on medieval and early modern England and the West Indies, and declared that the American Revolution “ is a colonial and not an American prob lem.” As he wrote in The Colonial Background of the American Revolution (1924; revised 19 3 1), his most often reprinted work, the United States emerged as a product of a long-term British expansion, “ after one hundred and seventy-five years of membership in the British family; and it is in light of such associa tion, therefore, that the colonial period of our history must be approached and, in the first instance, judged.” Andrews was part of the second generation of scientific historians emerging in America at the end of the 19th century. They aimed to study the past “ as it was, ” keeping contemporaneous sentiments to the fore, while suppressing contemporary

ANDREWS

ones. Likewise, Andrews demanded an objective view, an historical vision that required colonialists to stand astride the Atlantic, one eye on Britain, the other on the colonies. The colo nial relationship had always been two-sided, and Andrews’ aim was to place the colonies within the empire. In Andrews’ view, the colonists were Englishmen transplanted, not Americans in the making. Because he was preoccupied with the British empire, Andrews has been misleadingly labeled the founder of the “ imperial school” of early American historiography. His province, however, was not biographies of administrators or the history of administrative policies. Andrews focused on “ the development and interrelation of ideas and institutions,” which he believed to be at the center of proper historical research. Royal charters, proprietorships, colonial land policy, and commerce drew most of his attention. Of his 4-volume The Colonial Period of American History (1934 - 38), the first three covered the creation of British colonial charters and development of colonial assemblies. Only the final volume covered his cherished dark ages of early America, the years 1690 to 1750 . Few present-day historians of early America would disagree with Andrews’ insistence on treating British North America as part of a large empire that was affected by events in England as well as in the Caribbean. Few would still consider the years 1690 to 17 50 as a historiographical desert. Nonetheless, even fewer follow Andrews’ institutionally-oriented vision. He can be criticized for ignoring all but political institutions. He neglected ecclesiastical organizations, slavery as a legal institution, women’s legal position, and local social institutions, such as militias and educational establishments. Most ironically, the historian who tried to free early America from its provincialism never overcame his own nationalistic assumptions. Andrews’ colonial America was British, and while he chided his predecessors for ignoring the West Indies, he ignored New Spain, New France, and non-English immigrants. For his conviction that ideas were important, they play a negligible role in his histories. Puritanism is an outmoded system of thought; revolutionary ideologies are marginalized. Even the revolution becomes nearly a non-event, brought about by a centralizing imperial system unaware of colonial conditions and by colonists used to self-government. In his time, Andrews came under attack from social historians who saw every event in terms of class conflict, especially the revolution. Even in a book on 18th -century folkways, he had slighted patterns of social interaction and thought in favor of minutiae and oddities, giving little attention to broader themes. These new historians, however, usually affected by the Progressive movement and relativism, abandoned Andrews’ objective approach and embraced writing histories that were relevant to contemporaries. Other historians turned their research to ideas, such as Puritanism, the frontier, nature, liberalism, and democracy, or looked to the unique environment in hopes of finding a quintessential Americanness. Whereas Andrews found colonial America across the ocean in British archives, the next two generations of colonial historians would confine themselves to mainland American sources. By publishing little or nothing, even most of his graduate students failed to propagate his views. By i960, it seemed as though Andrews’ research agenda and institutional paradigm was all but abandoned.

33

Historians rarely prove to be prophets, but Andrews may be the exception. He once predicted: “ if my name lives, it is because I was the author of [the] Guides.” The guides to which he referred were the Guide to the Manuscript Materials for

the History of the United States to 1783, in the British Museum, in Minor London Archives, and in the Libraries of Oxford and Cambridge (1908) and Guide to the Materials for American History, to 1787,, in the Public Record Office of Great Britain ( 19 12 - 14 ) . These invaluable research guides,

undertaken to direct researchers to the evolution of the British administrative system, have provided the basis for the renewed interest since the early 1960s in British imperial policy, the island colonies, and transatlantic political, religious, and trade networks. This recent work, hardly coherent enough to be considered a school itself, but often owing to Andrews’ outlining of essential British sources, has helped restore an Atlantic perspective to the study of colonial America. Ja mes

Fish er

See also Gipson; United States: Colonial Biography Born Wethersfield, Connecticut, 22 February 18 6 3. Received BA, Trinity College, Hartford, Connecticut, 18 8 4; high school principal, West Hartford, Connecticut, 18 8 4 - 8 6 ; studied with Herbert Baxter Adams, Johns Hopkins University, PhD 1889. Taught at Bryn Mawr College, 18 8 9 - 19 0 7 ; Johns Hopkins University, 19 0 7 - 1 0 ; and Yale University, 1 9 1 0 - 3 3 . Married Evangeline Holcombe Walker, 18 9 5 (1 son, 1 daughter). Died East Dover, Connecticut, 9 September 1943-

Principal Writings

“ American Colonial History, 1 6 9 0 - 1 7 5 0 , ” A m e rica n H isto rica l A sso c ia tio n A n n u a l R e p o rt , 1898 C o lo n ia l S e lf - G o v e rn m e n t, 1 6 5 2 - 1 6 8 9 , 1904

G u id e to the M a n u sc rip t M aterials fo r the H isto ry o f the U n ited States to 1 7 8 5 , in the B ritish M u seu m , in M in o r L o n d o n A rc h iv e s, a n d in the L ib ra rie s o f O x fo r d a n d C a m b rid g e , 1908 G u id e to the M aterials fo r A m e rica n H istory, to 1 7 8 5 , in the P u b lic R e c o r d O ffice o f G re a t B rita in , 2 vols., 1 9 1 2 - 1 4 C o lo n ia l F o lk w a y s : A C h ro n ic le o f A m e rica n L ife in the R eig n o f the G e o rg e s, 19 19 T h e C o lo n ia l B a c k g ro u n d o f the A m e rica n R e v o lu tio n : F o u r E ssa y s in A m e rica n C o lo n ia l H isto ry , 19 2 4 ; revised 1 9 3 1 “ These Forty Years,” A m e rica n H isto rica l R e v ie w 30 (19 25), 2 2 5 -5 0 “ American Revolution: An Interpretation,” A m e rica n H isto rica l R e v ie w 31 (1926), 2 1 9 - 3 2 T h e C o lo n ia l P e rio d o f A m e rica n H isto ry , 4 vols., 19 3 4 - 3 8 “ On the Writing of Colonial History,” W illiam a n d M a r y Q u a rte rly 3rd series, 1 (1944), 2 7 - 4 8

Further Reading Eisenstadt, Abraham Seldin, C h a rles M c L e a n A n d r e w s : A S tu d y in A m e rica n H isto rica l W riting, N ew York: Columbia University Press, 19 56 Gipson, Lawrence Henry, “ Charles McLean Andrews and the Reorientation of the Study of American Colonial History,” P en n sylva n ia M a g a zin e o f H isto ry a n d B io g ra p h y 59 (19 35), 2 0 9 -2 2 Johnson, Richard R., “ Charles McLean Andrews and the Invention of American Colonial History,” W illiam a n d M a r y Q u a rte rly 3rd series, 43 (1986), 5 1 9 - 4 1

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ANDREWS

Kross, Jessica, “ Charles McLean Andrews,” in Clyde N. Wilson, ed., T w e n tie th - C e n tu ry A m e rica n H isto ria n s , Detroit: Gale, 19 83 [D ic tio n a ry o f L ite ra ry B io g r a p h y , vol. 17] Labaree, Leonard W , “ Charles McLean Andrews: Historian, 1 8 6 3 - 1 9 4 3 , ” W illiam a n d M a ry Q u a rte rly 3rd series, 1 (1944), 3-14 Pierson, G.W. et a l. , “ Charles McLean Andrews: A Bibliography,” W illiam a n d M a r y Q u a rte rly 3rd series, 1 (1944), 1 5 - 2 6 Riggs, John, “ Charles McLean Andrews and the British Archives,” M A thesis, Yale University, 1949 Savelle, M ax, “ The Imperial School of American Colonial Historians,” In dia n a M a g a zin e o f H isto ry 45 (1949), 1 2 3 - 4 4

Anglo-Saxon Chronicle The Anglo-Saxon Chronicle, as it is usually called, consists of seven surviving chronicles from the Middle Ages that record events from year to year, in most of the manuscripts from the beginning of the Christian era to about the time of the Norman invasion. Although one must be cautious regarding the historical reliability of the recorded events, especially for earlier entries, the importance of the Chronicle can hardly be overstated. The Anglo-Saxon Chronicle, written in English, is not only the earliest continuous history in English (or in any western vernacular) but also a treasure trove of information about England from the beginning of the Anglo -Saxon period through the middle of the 1 2th century. The disruptions attendant upon William the Conqueror’s invasion of England in 1066 brought to an end those chronicles that were still being written. Monks at Peterborough, however, worked from 1 1 2 1 until 1 1 5 4 to reconstruct and extend their chronicle from a borrowed Canterbury manuscript, apparently to substantiate ownership claims after a fire destroyed much of their monastery in 1 1 1 6 . How the Chronicle came about has been the subject of much speculation, especially regarding the possible role of Alfred the Great (849 -99). No evidence exists to prove that Alfred ordered its creation, but the educational and historical climate that he fostered may have inspired the Chronicle even if he had no direct involvement. The Chronicle certainly began shortly after 890 during Alfred’s reign when earlier chronicles, sometimes written on Easter tables, were synthesized at Winchester, the Wessex capital, into a prototype that was circulated to a variety of monasteries throughout the kingdom. This original was copied and supplemented with subsequent notices from Wessex as well as with items of local significance. Despite the common origin, some of the chronicles possess distinguishing characteristics that make them especially interesting to later students of the Middle Ages. The Peterborough manuscript, for example, runs longer than any of the others (until 115 3 ) , while the Parker Chronicle and one of the two Abingdon Chronicles begin earlier, with entries dating back to 60 B C E rather than to Christ’s birth in A D i . The Parker Chronicle is unique in that it demonstrates the writing of at least 13 scribes who were recording history as it occurred, in contrast to the other manuscripts, which are copies made no earlier than the 10th century and therefore lack the diversity of handwriting and the sense of immediacy conveyed by the Parker Chronicle.

At a time when historical writings usually were in Latin, the choice of English for the Chronicle demonstrates the widespread unfamiliarity with Latin, even in the monasteries, that Alfred laments in his preface to St. Gregory ’s Pastoral Care. While the choice of English may have sprung from necessity, it helped to establish English as a written language suitable for recording the history of the nation. Alfred’s effort to establish schools for the sons of the important men of his kingdom seems not to have taken firm root, for his death was soon followed by another collapse of learning that lasted until Edgar’s reign approximately sixty years later. Nonetheless, Alfred’s establishment of English, ironically made possible by the decline of classical learning, was permanent, and the AngloSaxon Chronicle played a major role in the rise of English as a language for historical, literary, and scholarly writing. The Chronicle, however, should not be viewed as a history in the modern sense of that term. The chroniclers and copy ists had little interest in synthesizing and interpreting. As Charles Plummer, perhaps the scholar most responsible for helping the modern world to understand and appreciate the importance of The Anglo-Saxon Chronicle, pointed out in the second volume of Two of the Saxon Chronicles Parallel (1892 - 99), the purpose of the Chronicles “ was to characterize the receding series of years, each by a mark and sign of its own, so that the years might not be confused in the retrospect of those who had lived and acted in them.” Plummer added that the brief annual references “ present merely a name or two, as of a battlefield and a victor, but to the men of the day they suggested a thousand particulars, which they in their comrade-life were in the habit of recollecting and putting together. That which to us seems a lean and barren sentence, was to them the text for a winter evening’s entertainment.” As an individual living near the end of the 20th century might recall a myriad of events by a simple reference to the Tet Offensive in 1968 - memories of both the Vietnam War and other events of that year, such as the assassinations of Martin Luther King and Robert Kennedy - so a statement, however brief, after a particular year in the 10th century would summon memories of that event and, through association, recollections of other events from the same year. One sentence is allotted to the slaying of Bryhtnoth at Maldon in 9 9 1, an encounter described in detail in one of the greatest poems of the Anglo-Saxon period, but that one sentence would be sufficient to bring the context and effects of the battle back into view - and to stimulate a long evening’s conversation. Modern readers can locate a wide range of topics in the Chronicle, among them the arrival of the Angles, Saxons, and Jutes in 449; the precarious state of Christianity immediately following the death of jEthelberht in 6 16 ; fire-breathing dragons in the sky over Northumbria in 793, followed by a famine and the arrival of church-destroying marauders; Alfred’s nine battles against the Danes in 871 and his peace accord with Guthrum in 878; Cnut’s accession to the kingdom of all of England in 10 17 ; and William’s invasion in 1066. The historian, sociologist, literary scholar, or linguist can revel in the wealth that constitutes The Anglo-Saxon Chronicle; but so can the general reader who simply opens the Chronicle in translation and reads and imagines. Ed w a r d

J.

R ie l l y

ANNALES REGNI FRANCORUM

Further Reading Asser, John, D e R e b u s gestis A e lfr e d i, completed 893; in English as A s se t ' s L ife o f K in g A lfr e d , Boston: Ginn, 1906 Bately, Janet, ed., T h e A n g lo - S a x o n C h ro n ic le : Texts a n d T extu a l R ela tio n sh ip s, Reading, Berkshire: University of Reading, 19 9 1 Borgmann, Ulrike, Von L in d isfa rn e his H astings: K a m p f u n d K riegsku n st in d er an gelsä ch sischen C h ro n ik (From Lindisfarne to Hastings: Battle and Warfare in the Art of the Anglo-Saxon Chronicle), Trier: Wissenschaftlicher Verlag Trier, 1993 Clark, Cecily, ed., T h e P e terb o ro u g h C h ro n ic le , 1 0 7 0 - 1 1 3 4 , London: Oxford University Press, 19 58 Dumville, David, and Simon Keynes, eds., T h e A n g lo - S a x o n C h ro n ic le : A C o lla b o ra tive E d itio n , Cambridge: Brewer, 1 9 8 3 Garmonsway, George Norman, trans., T h e A n g lo - S a x o n C h ro n ic le , London: Dent, and New York: Dutton, 19 53 Hocutt, Gregory D., N a rra tive S tyle in the P e te rb o ro u g h C h ro n icles fo r 7 3 3 a n d 1 1 3 7 , 19 85 Lutz, Angelika, D ie Version G d er A n g elsä ch sisch en C h ro n ik : R e k o n stru k tio n u n d E d itio n (Version G of the Anglo-Saxon Chronicle: Reconstruction and Editing), Munich: Fink, 19 8 1 Plummer, Charles, ed., T w o o f the S a x o n C h ro n ic le s P arallel ( 7 8 7 - 1 0 0 1 a d ), 2 vols., Oxford: Clarendon Press, 18 9 2 - 9 9 Rositzke, Harry August, trans., T h e P e terb o ro u g h C h ro n ic le , New York: Columbia University Press, 19 5 1 Shannon, Ann, A D e sc rip tiv e S y n ta x o f the P a rk er M a n u sc rip t o f the A n g lo - S a x o n C h ro n ic le fro m 7 3 4 to 8 9 1 , The Hague: Mouton, 1964 Shores, David L., A D e sc rip tiv e S y n ta x o f the P e terb o ro u g h C h ro n ic le fro m 1 1 2 2 to 1 1 3 4 , The Hague: Mouton, 19 7 1 Smith, Albert Hugh, ed., T h e P a rk er C h ro n ic le , London: Methuen,

1935

Whitelock, Dorothy, with David C. Douglas and Susie I. Tucker, eds., T h e A n g lo - S a x o n C h ro n ic le : A R e v is e d Translation, London: Eyre and Spottiswoode, and N ew Brunswick, N J: Rutgers University Press, 19 6 1

Annales regni Francorum

The Annales regni Francorum (ARF; Royal Frankish Annals) are the most important source for the political and military history of the Frankish kingdom from the death of Charles Martel in 74 1 until 829. It is most likely that the earliest part of the ARF was compiled and edited between 787 and 793, but it is still debated how and by whom. After 793 there were annual entries but no names of the writer or writers are known. The annual texts became longer and more detailed. The entries were extremely well informed, the language showed good inside knowledge and diplomatic and legal terminology was used. This has led to the assumption that the ARF were produced at, or close to, the royal court, possibly even instigated by Charlemagne himself. The official character of the text is further supported by significant omissions and the bias of some reports. For instance, the death of Louis the Pious’ nephew, Bernard, was not mentioned in the entry of 818, the year he was punished by blinding for his participation in a revolt. In the last part of the ARF (years 808 - 829) a change of writers is obvious at the end of the year 820. The annals end abruptly in 829 without any explicit reason, suggesting that Hilduin, abbot of St. Denis could have been the author of the entries from 821 onwards. He was archchaplain at the royal court from 818 and was forced to leave the court in 830 because of his resistance to the empress Judith. Despite the fact that annals were a form of historiography known in antiquity, the origins of the early medieval annals

35

were distinct. It is hypothetical but very probable, as Ganshof has shown in his 1970 article, that year-by-year entries were first made into Easter Tables. In Easter Tables the calculated dates of Easter were given for many years. They were first compiled in Anglo-Saxon England. In Northumbrian monasteries and in Canterbury monks started to note events about the monastery which were considered worth remembering and later entered also general political occurrences into the margins each year. It is likely that Easter Tables with this kind of annotation were used by Anglo-Saxon missionaries on the Continent in the 8th century, and that they were exchanged between Frankish monasteries, becoming successful as a kind of aidememoire more than historical works. The marginal entries gradually became longer until they were no longer written in the margins but on an additional page, forming the so-called minor annals. These were used to compile the major annals like the ARF which developed in a new environment fulfilling different purposes. The ARF were an instrument of the Carolingian court used to publicize military and diplomatic successes. This is shown in the extensive reporting of successful campaigns, of foreign delegations received by the king expressing their submission under Carolingian power, and of the diplomatic exchanging of gifts. There is, however, no evidence that Charlemagne or Louis the Pious supervised or influenced the writing of the ARF directly. The ARF have come down to us in numerous manuscripts. The oldest manuscript is from the monastery of Lorsch, which is why these annals were known originally as Annales Laurissenses maiores. Only when Leopold von Ranke argued in 1854 that they were part of the official Carolingian historiography did they become commonly known as ARF. Friedrich Kurze who edited the ARF for the Monumenta Germaniae Histórica series in 1895 distinguished five groups of manuscripts. The manuscripts of group E are citing a substantially revised version of the Annals up to the entry of the year 8 12 . This revision included not only polished language, demonstrating the effects of the Carolingian Renaissance, but also further information from other sources, sometimes with a contradicting or differing viewpoint of the events. For instance, the extent of the military and political crisis in the year 778, when not only the Saxons rebelled under Widukind, but also the Frankish army was defeated in the Pyrenees, was only mentioned in the later version. Similarly the problems of the year 793, when the Saxons rebelled again and the Saracens crossed the Pyrenees and defeated a Frankish contingent in southern France, were only referred to in the later version. This revision was done in the years after Charles ’ death in 814. The assumption that Einhart was the editor of this revision (which was based on stylistic similarities between the revised ARF and the Vita Caroli) has now been rejected. It is likely, however, that Einhart knew this later version of the ARF when he wrote the Vita Caroli (The Life of Charlemagne). The ARF were continued in the Annales Bertiniani, which recorded from 843 onwards the history of the west Frankish kingdom until the late 9th century; the Annales Fuldenses recorded the history of the east Frankish kingdom from 838 till 901. The Annales Xantenses had a more regional character and focused on the middle kingdom. C h a r l o t t e

Beh r

36

ANNALES REGNI FRANCORUM

Editions A n n a le s regni F r a n c o ru m , edited by Friedrich Kurze, Hannover:

Hahn, 18 9 5, reprinted 1909, 19 50 ; revised as A n n a le s q ui d icu n tu r E in h a rd i , edited by Friedrich Kurze, Hannover:

Weidmann, 18 9 5; m English as C a ro lin g ia n C h ro n ic le s, edited by Bernhard Walter Scholz, Ann Arbor: University of Michigan Press, 19 70

Further Reading Fichtenau, Heinrich, “ Karl der Grosse und das Kaisertum” (Charlemagne and the Empire), M itteilun gen des Instituts fü r Ö sterreich isch e G esch ich tsfo rsc h u n g 6 1 (19 53), 2 5 7 - 3 3 4 Ganshof, F.L., “ L’ Historiographie dans la monarchie franque sous les Mérovingiens et les Carolingiens” (The Historiography of the Frankish Monarchy under the Merovingians and Carolingians), L a storiografia a lto m ed ieva le (Settimane di studio del Centro italiano di studi sull’alto medioevo) 17 , vol. 2, Spoleto 1970 Hoffmann, Hartmut, U n tersuchu ngen zu r k a ro lin gisch en A nn a listik (Research on the Writing of Carolingian Annals), Bonn: Röhrscheid, 19 58 Innés, Matthew, and Rosamond McKitterick, “ The Writing of History,” in Rosamond McKitterick, ed., C a ro lin g ia n C ultu re: E m u la tio n a n d In n o v a tio n , Cambridge: Cambridge University Press, 1994 Levinson, Wilhelm, and Heinz Löwe, eds., D eu tsch lan ds G esch ich tsq u elle n im M ittelalter: V orzeit u n d K a ro lin ger

(Germany’s Historical Sources of the Middle Ages: Antiquity and the Carolingians), Weimar, 1 9 5 2 - 7 3 [revision of Wilhelm Wattenbach’s edition] McCormick, Michael, L e s A n n a le s d u haut M o y e n A g e (Annals of the Early Middle Ages), Turnhout: Brepols, 19 7 5 McKitterick, Rosamond, T h e Fra n k ish K in g d o m s u n d e r the C aro lin gian s, 7 5 1 - 9 8 7 , London: Longman, 1983 Poole, Reginald Lane, C h ro n icle s a n d A n n a ls: A B r ie f O u tlin e o f T h e ir O rig in a n d G r o w t h , Oxford: Oxford University Press, 19 26

Annales School According to historian Traian Stoianovich, “ No other group of twentieth-century scholars in any country has made a more valuable contribution to historiography and the historical method than the Annales School.” For H. Stuart Hughes the Annales represented “ The single most important forum for the revitalization of historical studies in the Western World.” Such fulsome praise has been contested, particularly by Anglo -Saxon empiricist and many marxisant historians, but there can surely be no doubt that, since the first appearance of its journal in 1929 (the Annales d'histoire économique et sociale as it was first called), Annalisme has played a decisive role in dictating the agenda of 20th-century historical writing. The founders of the school - Lucien Febvre and Marc Bloch - were neopositivists, influenced by Auguste Comte and the more influential sociologist Emile Durkheim, as well as by the socioeconomic historians François Simiand and Ernest Labrousse. They laid the early foundations and methodological parameters of the school. Febvre, in particular, left the Anglo -Saxon, archivally-based territory of the historian, with its emphasis on the politics and diplomacy of Great Men and Great Powers, for the more exotic, and human, fields of Love, Sex, and Death. In Le Problème de l'incroyance au XVIe siècle (1942; The Problem of Unbelief in the Sixteenth Century, 1982), Febvre marched boldly into the fields of literature and

psychology in order to establish the mentalité of the age. Henceforward, l'histoire des mentalités and Annaliste history would be coterminous. However, for the Annales school, the “ science of M an ” would be, above all, a human science. As Febvre explained in his inaugural lecture in the Collège de France: “ We seek history as a human science, and therefore constituted on facts, yes, but, human facts. Written sources, yes, but we deal in human written sources.” Marc Bloch preferred the social interpretation of history: his classic 2volume work, La Société féodale (1939 - 40; Feudal Society, 19 6 1) dealt less with the juridical than with the social relations which bound feudal society together, although part 2 of the first volume, with its emphasis on the environment and “ mental climate,” bore witness to the influence of Febvre while heralding Braudel’s great works. It has been argued (by Georges Duby, for example) that Febvre and Bloch’s 20th-century historical reworking of the Enlightenment project only assumed international status with the arrival of Fernand Braudel and the intellectual Cold War between the West and the Soviet Union after 1945. Not that Annalisme under Braudel should be dismissed simply as the most effective intellectual riposte to the hegemony of the marxist historical method. For one thing, its insistence on long time-spans, “ material” history, structures and conjonctures, seemed to many like historical materialism without the class struggle; for another, its disciples were too ideologically diverse to be described, collectively, as “ anti-Marxist” (Bloch ’s great hero was the socialist Jean Jaurès, while the Marxist historian E.P. Thompson was a contributor to the Annales: Economies, Sociétés, Civilisations as it was renamed after 1946). Immanuel Wallerstein, influenced both by M arx ’s historical materialism and by Fernand Braudel, is close to the mark when he wrote that “ the Annales had an intellectual world -view that seemed to express resistance to both Anglo -Saxon intellectual hegemony and sclerotic official Marxism simultaneously.” And Fernand Braudel was a “ world historian,” both in his approach to the writing of history and the recognition his history received. With the prestige of the journal behind him, and supported by the institutions of the Collège de France and the Ecole des Hautes Etudes en Sciences Sociales, Braudel - with a little financial help from his American friends - set about the task of extending the influence of the Annales school worldwide. From 1963 to his death in 1985, he directed its activities from the Maison des Sciences de l ’ Homme, a pretentious, but revealing name. The original Maison which Febvre, Bloch, and Braudel had inhabitated, and to which other leading historians like François Furet, Emmanuel Le Roy Ladurie, and Jacques Revel have since built extensions, was constructed upon four main pillars geography, demography, sociology, and economics. If Febvre and Bloch drew primarily upon sociology, economic history, literature, and psychology, Braudeliens tapped into another rich vein of the French historical tradition - geography. In his insistence that mountains, as much as money, maketh Man, as well as in his relativism, Braudel placed the Annales school firmly in the tradition which extends from Montesquieu in the mid18th century to Vidal de la Blache at the end of the 19th. In addition to a proper concern for geography, a rapid survey of articles published in the Annales: E.S.C. will immediately establish the importance of demographic studies to the annaliste

ANTHROPOLOGY

historian. Here again, he/she could draw upon the pioneering work of French demographers like Louis Henry and his followers, work which inspired Peter Laslett and the creation of the Cambridge Population Group. In recent years, “ culture,” even political history, and the study of elites, have found a place between the covers of the house journal, thus placating, in some measure, early critics such as Tony Judt. In addition, there was a move in the 1980s to shift the chronological focus from pre - 1789 to post - 1789 topics. Given the fall of communism, vieux-style, and the not unrelated rise of “ post-modernism,” is annalisme on the wane? Peter Burke, an early British disciple, thinks that it might be. However, news of its death would be premature. The founders and leading disciples of the school were both too variegated and too steeped in the French historical and intellectual tradition for contemporary political events to dictate its demise. There is also the fact that, as this contribution has noted, whatever the annaliste historian has done in particular fields of research, other historians have done as well, or even better. Nonetheless, it would be difficult to argue against Burke’s general conclusion that “ the outstanding achievement of the Annales group, over all three generations, has been the reclaiming of vast areas for the historian. The group has extended the territory of the historian to unexpected areas of human behaviour and to social groups neglected by traditional historians . . . The discipline will never be the same again.” G w yn n e

L ew is

a ls o Agrarian; Anthropology; Barkan; Bloch; Boorstin; Braudel; Burke; Cahen; Canada; Chabod; Chartier; Chevalier; Consumerism; Cultural; Demography; Diplomatic; Duby; Economic; Environmental; Europe: Modern; Febvre; France: to 1000; France: 1000 - 1450; France: 1450 - 1789; Frontiers; Fügedi; Furet; Ganshof; Góngora; Halperin-Donghi; Hilton; History from Below; Historical Geography; History Workshop; Holanda; Hunt; Inalcik; Kedourie; Kula; Labrousse; Lefebvre; Legal; Le Roy Ladurie; Lewis, B.; Local; McNeill; Mentalities; Needham; Parker; Pirenne; Poland: to the 18th Century; Poland: since the 18th Century; Poliakov; Renouvin; Sanchéz-Albornoz; Soboul; Social; Spain: to 1450; Spain: Imperial; Spain: Modern; Wallerstein; Weber, E.; World; Zeldin See

Further Reading Aymard, M ., “ The A n n a le s and French Historiography ( 1 9 2 9 - 1 9 7 2 ) , ” Jo u r n a l o f E u ro p e a n E c o n o m ic H isto ry 1 (19 72), 4 9 1-5 11 Bloch, Marc, A p o lo g ie p o u r l ’histoire, ou, m étier d ’ h isto rien, Paris: Colin, 19 49; in English as T h e H isto ria n ’s C ra ft , New York: Knopf, 19 5 3 , Manchester: Manchester University Press, 1954

Bloch, Marc, L a So ciété fé o d a le , 2 vols., Paris: Michel, 19 3 9 - 4 0 ; in English as F e u d a l S o c ie ty , 2 vols., Chicago: University of Chicago Press, and London: Routledge, 19 6 1 Braudel, Fernand, “ Lucien Febvre, 1 8 7 8 - 1 9 5 6 , ” A n n a le s: E S C n (19 56 ), 2 8 9 - 9 1 Burguière, André, “ Histoire d ’ une histoire: la naissance des A n n a le s , ” A n n a le s: E S C 34 (1979), 13 4 4 - 5 9 Burguière, André, “ The Fate of the History of M entalités in the A n n a le s , ” C o m p a ra tiv e Studies in S o cie ty a n d H isto ry 24 (1982), 4 * 4 - 37

37

Burke, Peter T h e F ren ch H isto rica l R e vo lu tio n : T h e A n n a le s Sch o o l, 1 9 2 9 - 8 9 , Cambridge: Polity Press, and Stanford, CA: Stanford University Press, 1990 Carrard, Philippe, P oetics o f the N e w H isto ry : F ren ch H isto rica l D isc o u rse fro m B ra u d e l to C h a rtie r, Baltimore: John Hopkins University Press, 19 9 2 Clark, Stuart, “ The Annales Historians,” in Quentin Skinner, ed., T h e R e tu rn o f G r a n d T h e o ry in the H u m a n S cien ces , Cambridge and New York: Cambridge University Press, 19 85 Duby, Georges, L ’H isto ire co n tin u e , Paris: Jacob, 19 9 1; in English as H isto ry C o n tin u e s , Chicago: University of Chicago Press, 1994 Febvre, Lucien, L e P ro b lè m e d e l ’in cro ya n ce au X V le siècle: la relig ion de R a b e la is , Paris: Michel, 19 42; in English as T h e P ro b le m o f U n b e lie f in the Sixteenth C e n tu ry: T h e R e lig io n o f R a b e la is , Cambridge, M A: Harvard University Press, 19 8 2 Febvre, Lucien, “ De la R e v u e d e synthèse histo riqu e aux A n n a le s ” (From the R e v u e de synthèse h isto riqu e to the A n n a le s ), A n n a le s: E S C 7 (195*)» * 8 9 - 9 2 Fink, Carole, M a r c B lo c h : A L ife in H is to ry , Cambridge and New York: Cambridge University Press, 1989 Fox-Genovese, Elizabeth, “ The Political Crisis of Social History,” J o u r n a l o f S o c ia l H isto ry 10 (1976), 2 0 5 - 2 0 Furet, François, “ Beyond the Annales,” Jo u r n a l o f M o d e m H isto ry 55 (1983), 3 8 9 - 4 1 0 Hughes, H. Stuart, T h e O b s tru cte d P ath : F ren ch S o c ia l T h o u g h t in the Years o f D esp era tio n , 1 9 3 0 - 1 9 6 0 , N ew York: Harper, 1968 Iggers, George G., “ The Annales Tradition,” in his N e w D irectio n s in E u ro p e a n H isto rio g ra p h y, Middletown, CT: Wesleyan University Press, 19 7 5 , revised 19 8 5 ; London: Methuen, 19 85 Judt, Tony, “ A Clown in Regal Purple: Social History and the Historian,” H isto ry W o rk sh o p Jo u r n a l 7 (1979), 66 - 94 Keylor, William R., A c a d e m y a n d C o m m u n ity : T h e F o u n d a tio n o f the Fren ch H isto ric a l P ro fe ssio n , Cambridge, M A: Harvard University Press, 19 7 5 Le Roy Ladurie, Emmanuel, L e Territo ire d e l ’h isto rien, 2 vols., Paris: Gallimard, 1 9 7 3 - 7 8 ; selections in English as T h e T errito ry o f the H istorian , Brighton: Harvester Press, and Chicago: University of Chicago Press, 19 79 , and as T h e M in d a n d M e th o d o f the H isto ria n , 19 8 1 Revel, Jacques, “ Histoire et sciences sociales: Les paradigmes des A n n a le s , ” A n n a le s: E S C 34 (1979), 13 6 0 - 7 6 Sewell, William H., Jr., “ Marc Bloch and the Logic of Comparative History,” H isto ry a n d T h e o ry 6 (1967), 2 0 8 - 18 Stoianovich, Traian, Fren ch H isto rica l M e th o d : T h e A n n a le s P a ra d ig m , Ithaca, N Y: Cornell University Press, 19 76 Stone, Lawrence, “ The Revival of Narrative: Reflections on a New Old History,” P ast a n d P resen t 85 (1979), 3 - 2 4 Wallerstein, Immanuel, “ Beyond A n n a le s } ” , R a d ic a l H isto ry R e v ie w 49 (19 9 1), 7 - i 6

Anthropology, Historical Historical anthropology is one of the most fruitful areas of interdisciplinary collaboration in the social sciences. In recent decades many historians, dissatisfied with the paradigms governing their research, have turned to anthropology for new topics for investigation, methods of inquiry, and interpretive strategies. Anthropology has appealed to historians in part because it appears to be primarily concerned with the ethnographic study of “ simple” societies whose structures turn on relations of kinship, and which are culturally homogeneous. However, since the end of World War II anthropologists have become highly critical of research following this model, which was often

38

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inspired by the structural-functionalism of A.R. RadcliffeBrown and Bronislaw Malinowski. As Bernard Cohn and John and Jean Comaroff have observed, studies in which societies were represented in this way were often partial, biased, and unwitting handmaidens to the domination of non-Western peoples by Europeans and Americans. New theoretical perspectives in anthropology are reflected in the exemplary work of Sidney Mintz, Jay O ’ Brien and William Roseberry, Marshall Sahlins, Jane and Peter Schneider, and Eric Wolf, who have situated culture in historical contexts and undertaken longitudinal studies. They have examined complex societies, cultural consequences of the expansion of global capitalism, and struggles implicating class, ethnicity, gender, and race. Thus, just as historians began to incorporate anthropology into their work, anthropologists have turned to history. Despite this irony, in The Historical Anthropology of Early Modern Italy (1987) Peter Burke contrasted historical anthropology with social history, emphasizing the fact that the former tends to be qualitative rather than quantitative. Its units of analysis are often small communities rather than large populations; its goal is to interpret the past rather than to provide narrative explanations of change, and it often focuses on symbolic dimensions of culture. Certain trends stand out in the turn to anthropology by historians. These include a shift away from political and heroic history initiated by members of the Annales school in France after 1929. In the 1960s E.P. Thompson led a challenge to orthodox Marxist theory by making the concept of culture central to his work. In the following decade research on popular behavior, including witchcraft and uprisings, and family and kinship, similarly brought anthropology to history. In the 1980s symbolism and language received considerable attention while, at the same time, historians who were seeking to overcome the theoretical dichotomies of structure and agency, or objectivity and subjectivity, gained inspiration from anthropology. More recently, historical aspects of social memory have been the focus of numerous studies. The balance of this essay will offer a brief discussion of these trends. The Annales school, so-called after the journal of the same name founded in 1929 by Marc Bloch and Lucien Febvre, is often credited with inspiring the initial interchange between historians and anthropologists. While the Annales school is characterized by considerable diversity, it did encourage generations of historians, including the prominent Fernand Braudel, Jacques Le Goff, Emmanuel Le Roy Ladurie, and Pierre Nora, to shift their attention from political events and heroic individuals to long-term trends, regional and community studies, and the daily lives of ordinary people. In seeking to understand these, historians often referred to the work of Emile Durkheim on social organization, Clifford Geertz on interpretation, Arnold van Gennep on rites of passage, Lucien Lévy-Bruhl on mentalités, Marcel Mauss on exchange, and Victor Turner on ritual. Research on mentalités, or unconsciously held, socially shared, cognitive frameworks that predispose members of a given community to interpret and act in the world in culturally patterned ways, emerged from the Annales school. Historians of mentalités sought to capture and analyze what they viewed as durable sets of beliefs characteristic of partic ular social formations, for example, feudalism.

In “ Mentalities: A History of Ambiguities,” Jacques Le Goff observed that the concept of mentalités was important to history as it raised the problem of the “ power of human consciousness and understanding to influence the course of history.” As collective phenomena, mentalités can simultaneously resist change and play a crucial role in social transformation. Le Goff also pointed out that just as mentalités can unify a society, they can also coincide with social divisions. Carlo Ginzburg made a similar point in II formaggio e il vermi (1976; The Cheese and the Worms, 1980) when he noted that the idea of mentalités is a basis for the premise that not only elites, but also “ common people,” possess coherent worldviews, and that their beliefs are worthy of investigation. Ginzburg’s study explored the ideas of an ordinary man, a miller, who was prosecuted by the 16th-century Italian Counter-Reformation Inquisition. In this way Ginzburg expanded the study of mentalités to include the exercise of power and domination in society. The desire to study the culture of daily life required that historians do more than rely on traditional documentary sources for their contents. They attempted to decode the social and ideological significance of documents as well, and made use of evidence previously overlooked by their colleagues. Parish registers, records of wages and food prices, trial testimony, diaries, pamphlets, personal correspondence, material culture, contemporary descriptions of body language and the social use of space, sermons, medical records, folk customs, and oral narrative (when researching the recent past) all have become rich sources for historical anthropology. In the 1960s Marxist historians turned to new kinds of source materials for their work. Yet their research was motivated by concerns quite different from those of the Annales school. E.P. Thompson challenged the orthodox Marxist approach to human behavior in which actors are seen as motivated in the first instance by economics, and only secondarily by culture or ideology. In The Making of the English Working Class (1963) he saw the formation of class consciousness and, therefore, class identity, as necessarily mediated by elements of culture including traditions and value systems, and as influenced by technological and social change. Inspired by feminist theory, Anna Clark, author of The Struggle for the Breeches (1995), reappraised Thompson and included consideration of the social construction of gender in her analysis of late 18th and early 19th -century British working-class politics. The publication of Peter Laslett’s The World We Have Lost (1965, 1984) heralded the desire of historians to describe patterns of kinship, often in peasant society, and understand their significance with respect to other social structures, rela tionships, and processes including production and exchange, and the emergence of regional variation. The work of anthropologist Jack Goody has been a significant influence on these projects. Interest and Emotion (1984), edited by Hans Medick and David Sabean, benefited from a sophisticated exchange between historians and anthropologists in which kinship was viewed as revealing not only social structure but also culturally constituted subjective states. Connections between objective and subjective elements of culture, often with an explicit focus on the production and manipulation of symbolic codes, including language, have received attention in the work of Leora Ausländer, Roger Chartier, Natalie Zemon Davis, Lynn Hunt, Alan Macfarlane,

ANTHROPOLOGY

and Ulinka Rublack. The scope of research undertaken in these studies has been vast and has included analyses of style and social class in modern France; the behavior of crowds in 16th century France; politics and culture in the French Revolution; capitalism, identity, and culture in 16th - to 18th -century Britain; and gender, the body, and normative behavior in early modern Germany. Historians have also applied anthropological strategies to the study of non-European cultures. In Clio in Oceania (19 9 1), edited by Aletta Biersack, historians and anthropologists collaborated in the study of concepts and practices of history in the Pacific. Phillip C.C. Huang and Robert Marks have explored peasant society and revolution in China. Memory is an object of historical interest in the work of Mary Carruthers, John R. Gillis, Eric Hobsbawm and Terence Ranger, Jacques Le Goff, Pierre Nora, Luisa Passerini, and Henry Rousso. These authors have written on mnemonic technology in medieval Europe; the uses of tradition and commemorative ritual; the relationship between historical change and the growth of institutions of memory (museums and archives) in the 20th century; and the recollection and repression of memories of fascism in Italy and the Vichy regime in France. Studies in anthropological history have been criticized for being anecdotal and too specific to contribute to general historical knowledge. The contingency of interpretive perspectives has raised questions about the validity of conclusions that might be drawn from such studies, and questions have been raised about the applicability of modern categories (such as “ society ” ) to premodern times. The German historian Alf Liidtke, a proponent of Alltagsgeschichte, or the history of everyday life, has had to defend his work against such charges. Specifically, in the introduction to The History of Everyday Life (1995), he noted that Alltagsgeschichte has been accused of being concerned solely with historical “ tinsel and trivia ” and producing little more than a “ sentimental celebration” of ordinary people. The German case is exceptional as Liidtke and others have been accused of exculpating Germans for their acquiescence to Nazism by failing to focus on historical data that could be used to ask hard questions about the responsibility individuals bore for the state’s crimes. Nonetheless, Liidtke ’s response bears on criticisms of historical anthropology in general. Specifically, Liidtke argued that the history of everyday life provides concrete evidence of the connections between life circumstances and subjectivity through which patterns of domination and hegemony intercede. Thus, this approach to the past enhances our understanding of the reasons why, and the practices through which, people acquiesce in - or resist certain political, economic, and cultural orders. While not all anthropological historians take a political approach in their work, Liidtke’s defense of Alltagsgeschichte does point to important reasons for undertaking historicál anthropology. Other reasons include giving voice to previously mute historical subjects, exploring particular expressions of general trends and, ultimately, through the study of historical others, better understanding ourselves. E l iza be t h

A. T e n

Dyk e

a ls o Axtell; Bloch; Bolton; Burke; Castro; Consumerism; Corbin; Crime; Cultural; Darnton; Davis, N., Dening; Design;

See

39

Ethnicity; Finley; Geertz; Guichard; Gurevich; Ileto; Legal; Le Roy Ladurie; Liidtke; M exico; Native American; Scribner; Trigger; Turner, V.; World

Further Reading Ausländer, Leora, Taste a n d P o w e r : Fu rn ish in g M o d e rn F ra n c e , Berkeley: University of California Press, 1996 Biersack, Aletta, ed., C lio in O ce a n ia : T o w a r d a H isto rica l A n t h r o p o lo g y , Washington, DC: Smithsonian Institution Press, 19 9 1 Bloch, Marc, L a Société fé o d a le , 2 vols., Paris: Michel, 19 3 9 - 4 0 ; in English as F e u d a l S o c ie ty , Chicago: University of Chicago Press, and London: Routledge, 19 6 1 Braudel, Fernand, L a M éditerra n ée et le m o n d e m éditerranéen à V é p o q u e de P h ilip p e I I , 2 vols., Paris: Colin, 19 49, revised 1966; in English as T h e M editerra n ean a n d the M ed iterra n ea n W o rld in the A g e o f P h ilip II, 2 vols., London: Collins, and New York: Harper, 1 9 7 2 - 7 3 Burke, Peter, T h e H isto rica l A n th r o p o lo g y o f E a r ly M o d e rn Ita ly : E ssa y s on P ercep tio n a n d C o m m u n ic a tio n , Cambridge and New York: Cambridge University Press, 19 8 7 Carruthers, Mary, T h e B o o k o f M e m o r y : A S tu d y o f M e m o r y in M e d ie v a l C ultu re, Cambridge and New York: Cambridge University Press, 1990 Chartier, Roger, C u ltu ra l H isto ry : B etw e e n P ractices a n d R ep resen tation s, Cambridge: Polity Press, and Ithaca, NY: Cornell University Press, 1988 Clark, Anna, T h e Struggle fo r the B reech es: G e n d e r a n d the M a k in g o f the British W o rk in g C lass, Berkeley: University of California Press, and London: Rivers Oram, 1995 Cohn, Bernard, A n A n th r o p o lo g ist a m o n g the H istorian s a n d O th e r E ssa y s, Delhi and New York: Oxford University Press, 1988 Comaroff, John, and Jean Comaroff, E th n o g ra p h y a n d the H isto rica l Im agin a tio n , Boulder, CO: Westview Press, 19 9 2 Darnton, Robert, T h e G re a t C a t M assacre a n d O th e r E p iso d e s in Fren ch C u ltu ra l H isto ry , New York: Basic Books, and London: Allen Lane, 19 84 Davis, Natalie Zemon, S o ciety a n d C u ltu re in E a r ly M o d e rn Fran ce: E ig h t E ssa y s, Stanford, CA: Stanford University Press, and London: Duckworth, 19 75 Davis, Natalie Zemon, “ Anthropology and History in the 1980s: The Possibilities of the Past,” Jo u r n a l o f In terd iscip lin a ry H isto ry 12 (19 8 1), 2 6 7 - 7 5 Durkheim, Emile, R ea d in g s fro m E m ile D u rk h e im , edited by Kenneth Thompson, London: Tavistock, 19 85 Geertz, Clifford, T h e Interpretation o f C u ltu res: Selected E ssa y s, New York: Basic Books, 19 7 3 ; London: Hutchinson, 19 7 5 Gennep, Arnold van, L e s R ites de p assage, Paris: Nourry, 1909; in English as T h e R ites o f P assage, Chicago: University of Chicago Press, and London: Routledge, i960 Gillis, John R., ed., C o m m e m o ra tio n s: T h e P o litics o f N a tio n a l Id en tity, Princeton: Princeton University Press, 1994 Ginzburg, Carlo, Il fo rm a g g io e i verm i: il co sm o d i un m u g n aio d el jo o , Turin: Einaudi, 19 76; in English as T h e C h eese a n d the W o rm s: T h e C o sm o s o f a S ix te e n th - C e n tu ry M ille r, Baltimore: Johns Hopkins University Press, and London: Routledge, 1980 Goody, Jack, Joan Thirsk, and E.P. Thompson, eds., F a m ily a n d Inheritan ce: R u ra l So ciety in W estern E u r o p e , 1 2 0 0 - 1 8 0 0 ,

Cambridge: Cambridge University Press, 19 76 Goody, Jack, T h e O rien tal, the A n c ie n t a n d the P rim itive: System s o f M arria g e a n d the F a m ily in the P re - In d u stria l Societies o f E u ra sia , Cambridge and New York: Cambridge University Press,

1990 Hobsbawm, Eric J., and Terence O. Ranger, eds., T h e In ven tio n o f Tra d itio n , Cambridge and New York: Cambridge University Press, 19 83 Huang, Philip C .C ., T h e Peasant E c o n o m y a n d S o c ia l C h a n g e in N o r t h C h in a , Stanford, CA: Stanford University Press, 19 85

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Hunt, Lynn, Politics, C u ltu re , a n d C lass in the Fren ch R e v o lu tio n , Berkeley: University of California Press, 1984; London: Methuen, 1986 Laslett, Peter, T h e W o rld W e H a ve L o s t , London: Methuen, 19 6 5, New York: Scribner, 1966; revised 1984 Le Goff, Jacques, “ Mentalities: A History of Ambiguities,” in Jacques Le Goff and Pierre Nora, eds., C o n stru ctin g the Past: E ssa y s in H isto rica l M e t h o d o lo g y , Cambridge and New York: Cambridge University Press, 19 85 Le Goff, Jacques, Storia e m e m o ria , Turin: Einaudi, 1986; in English as H isto ry a n d M e m o r y , New York: Columbia University Press, 19 92 Le Roy Ladurie, Emmanuel, L e C a rn a v a l d e R o m a n s: de la C h a n d e le u r au m ercred i des C en d res, 1 5 - 7 9 - 1 5 8 0 , Paris: Gallimard, 19 79; in English as C a rn iv a l in R o m a n s, New York: Braziller, 19 79, London: Scolar Press, 1980 Le Roy Ladurie, Emmanuel, M o n ta illo u , village occitan de 1 2 9 4 à 1 3 2 4 , Paris: Gallimard, 19 7 5 ; in English as M o n ta illo u : T h e P ro m is e d L a n d o f E r r o r , New York: Braziller, 19 78 , and as M o n ta illo u : C ath ars a n d C a th o lics in a Fren ch Village, 1 2 9 4 - 1 3 2 4 , London: Scolar Press, 1978

Lévy-Bruhl, Lucien, L a M en talité p rim itiv e : le m o n d e m yth iq u e des A u stra lien s et des P a p o u s, Paris: Alcan, 19 2 2 ; in English as P rim itive M en tality, New York: Macmillan, and London: Allen and Unwin, 19 2 3 Lüdtke, Alf, “ Introduction: What Is the History of Everyday Life and Who Are Its Practitioners,” in Alf Lüdtke, ed., T h e H isto ry o f E v e r y d a y L ife : R eco n stru ctin g H isto rica l E x p e rie n ce s a n d W ays

Fran ce sin ce 1 9 4 4 , Cambridge, M A: Harvard University Press,

19 9 1 Rublack, Ulinka, “ Pregnancy, Childbirth and the Female Body in Early Modern Germany,” P ast a n d P resent 15 0 (1996), 8 4 - 1 1 0 Sabean, David Warren, P o w e r in the B lo o d : P o p u la r C u ltu re a n d Village D isco u rse in E a r ly M o d e r n G e r m a n y , Cambridge and New York: Cambridge University Press, 1984 Sabean, David Warren, P roperty, P ro d u ctio n a n d F a m ily in N ec k a rh a u se n , 1 7 0 0 - 1 8 7 0 , Cambridge and New York: Cambridge University Press, 1990 Sahlins, Marshall, Islan ds o f H isto ry , Chicago: University of Chicago Press, and London: Tavistock, 1995 Schneider, Jane C., and Peter T. Schneider, Festiva l o f the P o o r: Fertility D e c lin e a n d the Id e o lo g y o f C lass in Sicily, 1 8 6 0 - 1 9 8 0 ,

Tucson: University of Arizona Press, 1996 Segalen, Martine, S o cio lo g ie d e la fa m ille, Paris: Colin, 19 8 1 ; in English as H isto rica l A n th r o p o lo g y o f the F a m ily , Cambridge and New York: Cambridge University Press, 1986 Thomas, Keith, R e lig io n a n d the D eclin e o f M a g ic : Studies in P o p u la r B eliefs in Sixteen th - a n d S e ve n te e n th - C e n tu ry E n g la n d ,

London: Weidenfeld and Nicolson, and New York: Scribner, 19 7 1 Thompson, E.P., T h e M a k in g o f the E n g lish W o rk in g C lass, London: Gollancz, 19 6 3; New York: Pantheon, 1964 Turner, Victor, T h e R itu a l P ro cess: Structure a n d A n ti - S tru ctu re, Chicago: Aldine Press, and London: Routledge, 1969 Wolf, Eric R., Peasants, Englewood Cliffs, N J: Prentice Hall, 1966 Wolf, Eric R., E u r o p e a n d the P e o p le W ith out H isto ry , Berkeley: University of California Press, 19 8 2

o f L ife , Princeton: Princeton University Press, 1995

Macfarlane, Alan, T h e O rig in s o f E n g lish In d iv id u a lism : T h e Fam ily, P ro p e rty a n d S o c ia l Tran sm ission , Oxford: Blackwell, 19 78 ; New York: Cambridge University Press, 19 79 Macfarlane, Alan, T h e C u ltu re o f C ap ita lism , Oxford and New York: Blackwell, 19 8 7 Malinowski, Bronislaw, T h e E a rly W ritings o f B ro n isla w M a lin o w sk i, Cambridge and New York: Cambridge University Press, 1993 Marks, Robert, R u ra l R e v o lu tio n in Sou th C h in a : Peasants a n d the M a k in g o f H isto ry in H a ife n g C ou nty, 1 5 7 0 - 1 9 3 0 , Madison: University of Wisconsin Press, 1984 Mauss, Marcel, E ssa i su r le d o n : fo rm e et raison d e Véchange dans les sociétés a rch a ïq u es, Paris: Alcan, 19 2 5; in English as T h e G ift: F o rm s a n d Fu n ctio n s o f E x c h a n g e in A rc h a ic Societies, Glencoe, IL: Free Press, and London: Cohen and West, 19 54 ; revised as T h e G ift : T h e F o rm a n d R ea so n fo r E x c h a n g e in A rc h a ic Societies, New York: Norton, and London: Routledge, 1990

Medick, Hans, and David Warren Sabean, eds., Interest a n d E m o tio n : E ssa y s on the S tu d y o f F a m ily a n d K in sh ip , Cambridge and New York: Cambridge University Press, 19 84 Medick, Hans, “ ‘ Missionaries in a Row Boat’ : Ethnological Ways of Knowing as a Challenge to Social History,” C o m p a ra tiv e Studies in S o cie ty a n d H isto ry 29 (1987), 76 - 9 8 Mintz, Sidney W , Sw eetn ess a n d P o w e r : T h e P lace o f Sug ar in M o d e rn H isto ry , New York: Viking, and London: Sifton, 19 85 Nora, Pierre, ed., L e s L ie u x d e m ém o ire, 3 vols., Paris: Gallimard, 19 8 4 - 9 2 ; abridged in English as R ea lm s o f M e m o r y : R e th in k in g the F ren ch Past, 2 vols., New York: Columbia University Press, 19 9 6 - 9 7 O ’ Brien, Jay, and William Roseberry, G o ld e n A g e s, D a rk A g e s: Im agin in g the Past in A n th r o p o lo g y a n d H isto ry , Berkeley: University of California Press, 19 9 1 Passerini, Luisa, T o rin o o p eraia e fa scism o : una storia orale, Rome: Laterza, 1984; in English as Fa scism in P o p u la r M e m o r y : T h e C u ltu ra l E x p e rie n c e o f the Turin W o rk in g C lass, Cambridge and New York: Cambridge University Press, 19 87 Radeliffe-Brown, Alfred Reginald, Structure a n d Fu n ctio n in P rim itive S o cie ty : E ssa y s a n d A d d re sse s, Glencoe, IL: Free Press, and London: Cohen and West, 19 5 2 Rousso, Henry, L e S y n d ro m e d e Vichy, 1 9 4 4 - 1 9 8 0 , Paris: Seuil, 19 8 7 ; in English as T h e V ich y S y n d ro m e : H isto ry a n d M e m o r y in

Arai Hakuseki 1657-1725

Japanese Confucian scholar, poet, and historian

Arai Hakuseki was retained as a tutor by Ienobu from 1693, when the future Tokugawa shogun ruled as daimyo of Kofu (modern Yamanashi Prefecture). After Ienobu’s succession as national ruler, Hakuseki influenced shogunal policy in such areas as foreign relations, foreign trade, and currency reform. He sought to recast the role of shogun as “ national king ” (kokuo), equal in status to the sovereign of Korea, the only country with which Japan had formal diplomatic relations. He attempted to limit the outflow of silver by further curbing the already limited trade contacts with the outside world, and to improve shogunate finances by withdrawing debased coins from circulation. He left official service with the death of Ietsugu in 17 16 . Arai ’s historical writings include Fiankanpu (Genealogies of the Shogunate’s Protectors, 1702), Tokushi yoron (1724; Lessons from History, 1982), Koshitsu (Survey of Ancient History, 17 16 ), and a lost work, Shigi (Historical Doubts). The first of these, commissioned by Ineobu and constituting 13 volumes, established the historical relationship between 337 daimyo families and the Tokugawa ruling family from 1600 to 1680. While fulfilling this political purpose, it is considered to be a work of objective scholarship, replete with genealogical tables and individual biographies. Tokushi yoron, Hakuseki’s masterpiece, is a general political history of Japan, written for the edification of Ienobu and future Tokugawa shoguns. Modelled upon the Zizhi tongjian (Comprehensive Mirror for Aid in Government) of the Chinese scholar Sima Guang (1019 - 86 ), it combined factual narrative with commentary. It also drew upon the 14th -century Japanese

ARCHAEOLOGY

work Jinnô Shôtôki (written c. 13 39 ; A Chronicle of Divine Sovereigns, 1980) by Kitabatake Chikafusa, for factual information, reflecting this work’s thematic organization. Hakuseki also shares Kitabatake’s concern with periodization. However while the 14th -century scholar’s periodization scheme highlights changes in the conduct of imperial succession, Hakuseki’s work pioneered in emphasizing major changes in the locus of actual political power. In this it reflected his own involvement in practical administration. In Tokushi yoron, Hakuseki divided the history of Japan from 858 to 1709 into nine civil, and five military periods. These overlap from 11 9 2 to 13 9 2 , when, in Hakuseki’s view, the hereditary military class (bushi or samurai) was still struggling to gain the upper hand over the court aristocracy (huge) and attain national hegemony. In most cases the periods begin with a genuine change in the nature of power. Thus, for example, where Kitabatake divided the ancient and medieval periods at 884, when for the first time someone other than a member of the imperial family decided the issue of imperial succession, Hakuseki ended the period of direct imperial rule at 858, when for the first time a person of non-imperial blood, the noble Fujiwara Yoshifusa, became regent and wielded real administrative power. The eight subsequent periods of civil rule in Hakuseki’s scheme began with the first instance of a Fujiwara regent deposing a reigning emperor (884); the establishment of a permanent hereditary Fujiwara regency (967); reestablishment of direct imperial rule (1068); the emergence of rule by In or Abdicated Emperors (1086); the founding of the first (Kamakura) shogunate (119 2 ); the assertion of full shogunal control over the Kyoto court (12 19 ); imperial restoration (1333); and the destruction of the court’s power (1336). Overlapping these periods, Hakuseki posited the following periods in the history of military administration: the foundation of the Kamakura shogunate (119 2 ); the shogunate’s partial loss of power to military vassals (12 19 ); the second (Muromachi or Ashikaga) shogunate (1338); the period of warlord rule (1573); and the third (Edo or Tokugawa) shogunate (1603). This periodization system resembles that applied to Japanese history by modern scholars. Hakuseki wrote that, “ History is to narrate events in accordance with the facts and show men the lessons thereof.” Throughout his writings, he manifested a rationalistic concern with questions of causality. In discussing the origins of the hereditary military class, for example, he broke with earlier mystical or moralistic explanations, emphasizing instead the rebellion of Fujiwara Masakado in 939. The significance of this first large-scale samurai rebellion against the court had been largely ignored by earlier writers. The rationalism of Hakuseki’s Koshitsù is also striking; in surveying the ancient period, he broke with the mythological accounts still credited and repeated by the Hayashi and Mito schools. “ The gods” in the chronicles, he categorically asserted, “ were men.” To get at the truth of ancient history, he averred, one must study Korean and other accounts, critically com paring them with Japan’s own records. As a Confucian scholar, however, Hakuseki accepted certain fundamental assumptions about the nature of historical change which may have limited his rationalistic approach. Tokushi yoron began as a series of lectures for Ienobu, designed to

41

influence his administration; in the Chinese tradition, Hakuseki used the historical record to adduce moral and practical lessons for the present. He also used that record to legitimize the regime which employed him, and may have indulged in a selective discussion of the actions of past Tokugawa rulers. Like earlier writers, Hakuseki applied a modified version of the Mandate of Heaven theory to Japanese history, which recognizes the ongoing legitimacy of a single imperial line, but attributed shifts in actual power to the moral failings of those who wield it. Thus real power passed to Fujiwara regents from emperors due to the latters’ inability to cope with social change; thereafter, the incompetence of the regency, then In, produces a power vacuum inevitably leading to military rule. This succession of administrations was, in Hakuseki’s view, engineered by Heaven, and legitimized by the fact that the Minamoto, Ashikaga, and Tokugawa shoguns were all descended from the line of an emperor (Seiwa, reigned 859 - 76). G a r y P. L e u p p S e e a ls o

Japan

Biography Born Edo (now Tokyo), 24 March 16 5 7 , son of a masterless samurai. Served a minor feudal lord, 16 8 3 - 8 5 ; joined school of Confucian scholar Kinoshita Jun ’ an; in 16 93 became tutor to Tokugawa Tsunatoyo, lord of Kofu and nephew of the childless shogun, who succeeded as sixth Tokugawa shogun, Ienobu; policy adviser to Ienobu, 1 7 0 9 - 1 3 , and Ietsugu, 1 7 1 3 - 1 6 . Retired to write, 1 7 1 6 - 2 5 . Died Edo, 29 June 17 2 5 .

Principal Writings H a n k a n p u (Genealogies of the Shogunate’s Protectors), 13 vols., 17 0 2 S e iy o k ib u n (Notes on What I Heard about the West [Europe] - his

account of the interrogation of the captured Italian Catholic missionary Giovanni Sidotti), 1709 K o sh itsu (Survey of Ancient History), 1 7 1 6 O rita k u sh iba no k i , c. 1 7 1 6 ; in English as T o ld R o u n d a B r u s h w o o d F ire: T h e A u to b io g r a p h y o f A r a i H a k u s e k i , 1980 [autobiography] T o k u sh i y o r o n , 17 2 4 ; in English as L esso n s fro m H isto ry , 19 8 2

Further Reading Blacker, Carmen, “ Japanese Historical Writing in the Tokugawa Period,” in William G. Beasley and Edwin G. Pulleyblank, eds., H istorian s o f C h in a a n d Ja p a n , London: Oxford University Press, 19 6 1 Kemper, Ulrich, A r a i H a k u se k i u n d seine G esch ich tsa u ffa ssu n g (Arai Hakuseki and his Interpretation of History), Wiesbaden: Harrassowitz, 19 6 7 Nakai, Kate Wildman, S h o g u n a l P o litics: A r a i H a k u s e k i a n d the P rem ises o f T o k u g a w a R u le , Cambridge, M A: Harvard University, Council on East Asian Studies, 1988 Nakai, Kate Wildman, “ Tokugawa Confucian Historiography: The Hayashi, the Early Mito School, and Arai Hakuseki,” in Peter Nosco, ed., C o n fu c ia n ism a n d T o k u g a w a C u ltu re, Princeton: Princeton University Press, 19 84

Archaeology

As Andrew L. Christenson explained in Tracing Archaeology’s Past (1989), “ Writing the history of archaeology is not possible unless evidence remains for historians to interpret.” While the

42

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history of archaeology popularly begins with the record of an ancient king’s gift to his daughter, it presently involves a highly technical and cooperative effort. Today’s archaeologist must integrate proposition formulation with proposition testing. Technically speaking, until the Italian merchant, Cyriacus of Ancona, also known as Ciriaco de’ Pizzicolli, systematically studied antiquity’s evidences in the early 15th century, historical archaeology did not exist. Much earlier, Nabonidus, the last Babylonian king (5 5 5 - 5 3 8 b c e ), had excavated the city of Ur in search of the 2500-year-old Sumerian civilization. According to literary sources, his daughter Belshalti-Nanner, sister of Belshazzar, displayed these artifacts in a special room. Thus began the non-historical, non-comfirmable testimony of archaeology. At this early stage of prehistory, looters, grave robbers, and mercenaries sought hidden treasures and destroyed contextual evidence in the process, rendering impossible the scientific validation of data which could reconstruct past human behavior. In classical antiquity, Herodotus’ ethnographical descrip tions bordered anthropological observances but the Greeks failed to approach a historical recording of archaeology. As E.D. Phillips observed in “ The Greek Vision of Prehistory,” (1964), “ [while] they did occasionally make discoveries of archaeological interest and even drew correct conclusions . . . such discoveries were accidental and never made in deliberate search for knowledge of former ages.” Other Greek travellers, from Hecataeus of Miletus to Posidonius, chronicled the lifestyles of barbarians they encountered, rationally considering their primitive forerunners albeit in a disorganized and inconsistent manner. Roman “ investigations” of antiquity amounted to a systematic looting of the riches of the past. All speculations of the past were devoid of modern archaeological concerns. In search of relics medieval Europeans plundered ancient sites of which tumuli and megaliths were the most popular. Only the Bible was thought to contain accurate knowledge of the past. For this reason, interpretation of archaeological data was unfairly biased if exercised at all. As northern Italy emerged from waning feudalism, it sought justification for its development by calling on historical precedents from antiquity. The glorious past was emulated by Renaissance scholars. Material as well as literary evidences of the past became increasingly important. Petrarch (1304 - 74), identified by many as the “ father of humanism,” considered the study, understanding, and imitation of the past as an essential prerequisite for modelling the ideal of perfection. Influence on his peers led to the first codification of archaeological monuments based on human observation. Ciriaco de’ Pizzicolli (139 1 - C .1450 ) studied public inscriptions of ancient monuments across the eastern Mediterranean for a quarter of a century. His systematic gathering and recording of coins, books, and art pieces as well as his draw ings of monuments and collection of inscriptions inaugurated the modern era of historical archaeology. The Florentine Cosimo I de’ Medici first collected statuary, gems, and specie. From the close of the 15th century, popes like Pius II subventioned entrepreneurs to restore buildings of antiquity situated in the papal states, or like Sixtus IV prohibited exportation of antiquities, while others, like Alexander II, displayed their collections publicly.

Europeans made historical inquiry about the identity of the inhabitants of North and South America, inaugurating attention to potential genealogical connection between these peoples and Tartars, Israelites, Iberians, Carthaginians, and others. This New World archaeology flourished between the 16th and 18th centuries. However, the center of archaeological investigation remained in Europe proper. In Wales and England, John Leland (150 3 - 52), serving as the King ’s Antiquary from age thirty, emphasized on-site, topographical investigation of extant prehistory as well as accumulation of lists of present-day genealo gies and place-names. He also salvaged books from monastic libraries on the verge of dissolution. In Italy, especially at Palestrina and Tivoli, Andrea Palladio, and Pirro Ligorio surveyed Roman prehistory. William Camden ( 15 5 1 - 16 2 3 ) produced the first publication of British antiquities in 1586, entitled Britannia, which survived as a classical reference tool well into the 19th century. This work provided for the history of archaeology the introduction of the study of what is now termed “ crop marks ” long before aerial photography was developed. Following this, the investigation of megaliths was advanced by the excavation of Carnac by de Robien (16 9 8 - 1750 ). In the 18th and 19th centuries, the term antiquarian, which originally applied to anyone who undertook the task of collecting antiquities from speculating sites, came to identify those who sought to immortalize the past rather than merely to realize economic gain. The field archaeology of William Stukeley (16 8 7 - 176 5 ) and William Borlase (16 9 5 - 17 7 2 ) advanced interpretation of the past beyond reconstruction of antiquity via inaccurate interpretation of the accounts available in classical literature, bringing to a close the era of protoarchaeology based on written sources while ushering in the era of archaeology which gathered description and analysis through firsthand study of the monuments. Christian Jiirgensen Thomsen (178 8 - 18 6 5) refined classification of collections of antiquities according to materials used to make tools and weapons, based on Lucretius’ Three Age model, establishing the Stone, Bronze, and Iron ages. In the mid - i850S, Jacques Boucher de Perthes and Hugh Falconer shifted the interest to paleoarchaeology with their interpretation of flint implements discovered in gravel pits with the bones of extinct animals to prove the existence of ancient human life. Charles Darwin (1809 - 82) and Sir Charles Lyell (17 9 7 - 18 7 5 ) produced the first measurable rule for doing modern archaeology in the domain of the natural sciences, a direction that was further developed by the unilinear evolutionary archaeological approaches of Lewis Henry Morgan in his study of the Iroquois, Edward Tylor in his studies on the superiority of European civilization, and Herbert Spencer in his apology for colonialism. Ethnologists Friedrich Ratzel (18 4 4 - 19 4 1) and Franz Boas (1858 - 19 42)) displaced cultural evolutionism with liberal relativism. Neo-evolutionism was advanced by Leslie White (1900 - 72) and Julian Steward (1902 - 75) through the discipline of cultural ecology. White’s “ basic law of evolution ” (Culture = Energy x Technology; C = E x T) championed his concept of General Evolution. Steward applied the notion of “ settlement archaeology ” which understood household residence to be a product of interactions between the environment and culture. Technological advancements increasingly altered the direction of archaeology through

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the use of aerial photography, heavy machinery, metal detectors, computer electronics, radiocarbon dating, and more recent developments. In what is now considered a classic article, “ The Revolution in Archaeology,” (19 7 1), Paul S. Martin likened the changes in the history of archaeology that followed to a religious conversion. “ New Archaeology,” the processual movement of the mid1960s and 1970s, led by Lewis R. Binford and David L. Clarke, promised a revolution that, in reaction, led to historical analyses of the component parts of archaeological studies. Ian Hodder’s idea of a “ Contextual Archaeology,” which is postprocessual, admitted that group relation studies in Binford’s new archaeology could disguise social relations as easily as reflect them. Modern archaeological movements have applied differing methodologies and approaches to the discipline including Textaided Archaeology (Classical, Egyptology, Assyriology) and Prehistoric Archaeology (Antiquarian, Scandinavian-style, Paleolithic-Evolutionary, Culture-Historical, Functional, Pro cessual, and Postprocessual). Although archaeology will always be limited because the human behavior of antiquity cannot be observed firsthand, the marriage of evolutionism to historicism has ensured that archaeological conclusions will not be diminished, at least in the near future, by external beliefs and societal codes. Instead, it will continue to trace scientifically the development of human behavior from the past, contributing to a balanced understanding of the present. D en n is S e e a ls o

St o u t e n b u r g

America: Pre-Columbian; Prehistory

Further Reading Aubrey, John, M o n u m e n ta B rita n n ica , 16 6 5 - 9 3 Binford, Lewis R., B o n e s: A n c ie n t M e n a n d M o d e r n M y th s , London and N ew York: Academic Press, 19 8 1 Binford, Sally R., and Lewis R. Binford, eds., N e w P ersp ectives in A r c h a e o lo g y , Chicago: Aldine, 1968 Borlase, William, A n tiq u ities o f C o r n w a ll , London, 1 7 5 4 Botta, Paul-Emile, M o n u m e n t du N e n iv e (Nineveh ’s Monuments), 5 vols., Paris: Imprimerie Nationale, 18 4 9 - 5 0 Brunhouse, Robert Levere, In Search o f the M a y a : T h e First A rc h a e o lo g ists , Albuquerque: University of New Mexico Press, 1973

Camden, William, B rita n n ia , London: Newbury, 158 6 ; in English 16 10 Carter, Howard, T h e T o m b o f T u ta n k h a m e n , 3 vols., London and N ew York: Cassell, 1 9 2 3 - 3 3 ; reprinted 19 7 2 Ceram, C.W. [pseudonym of K.W. Marek], D e r erste A m e rik a n e r: D a s R ä tsel des vo r - k o lu m b isc h e n In d ia n ers , Hamburg: Rowohlt, 19 7 2 ; in English as T h e First A m e rica n : A S to ry o f N o r th A m e rica n A r c h e o lo g y , New York: Harcourt Brace, 19 7 1 Chang, Kwang-chih, T h e A rc h a e o lo g y o f A n c ie n t C h in a , New Haven: Yale University Press, 19 6 3; revised 19 7 7 Chaplin, Raymond Edwin, T h e S tu d y o f A n im a l B o n e s fro m A rc h a e o lo g ic a l Sites , London and New York: Seminar Press, 19 7 1 Childe, Vere Gordon, D a w n o f E u ro p e a n C iviliza tio n , London: Kegan Paul Trench Triibner, and New York: Knopf, 19 2 5 ; revised 1 9 3 9 , 1 9 4 7 , 19 50 , 1957 Childe, Vere Gordon, D a n u b e in P re h isto ry , Oxford: Oxford University Press, 19 29 ; reprinted New York: A M S Press, 19 76 Childe, Vere Gordon, S o c ia l E v o lu t io n , New York: Schuman, 1 9 5 1 ; London: Watts, 19 5 2 Christenson, Andrew L., ed., T ra cin g A rc h a e o lo g y ' s P ast: T h e H isto rio g ra p h y o f A r c h a e o lo g y , Carbondale: Southern Illinois University Press, 1989

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Clarke, David L., A n a ly tic a l A r c h a e o lo g y , London: Methuen, 1968; revised London: Methuen, and New York: Columbia University Press, 19 78 Daniel, Glyn, ed., T o w a r d s a H isto ry o f A r c h a e o lo g y , London: Thames and Hudson, 19 8 1 Darwin, Charles, Jo u r n a l o f R esearch es into the G e o lo g y a n d N a tu ra l H isto ry o f the V arious C o u n tries V isited b y H M S B ea g le, u n d e r the C o m m a n d o f C a p ta in Fitzro y, R N , fro m 1 8 3 2 to 1 8 3 6 ,

London: Colboum, 18 39 ; revised 18 39 ; reprinted as T h e V oyage o f the B ea g le , 1905

Darwin, Charles, O n the O rig in o f Sp ecies b y M e a n s o f N a tu ra l S electio n ; or, T h e P reservation o f F a v o u re d R a ces in the Struggle fo r L ife , London: Murray, 18 59 , New York: Appleton, i860; 6

revisions, 18 6 0 - 7 6 Darwin, Charles, T h e D escen t o f M a n , a n d Selectio n in R ela tio n to S e x , 2 vois., London: Murray, and New York: Appleton, 18 7 1 Davis, Joseph B., and John Thurman, C ran ia B rita nn ica: D elin eation s a n d D escrip tio n s o f the Sk u lls o f the A b o r ig in a l a n d E a r ly Inhabitan ts o f the B ritish Isles , 2 vois., London: privately printed, 1865 Dymond, D.P., A rc h a e o lo g y a n d H isto ry : A Plea fo r R e c o n c ilia tio n , London: Thames and Hudson, 19 74 Gould, Richard A., L iv in g A r c h a e o lo g y , Cambridge and New York: Cambridge University Press, 1980 Hodder, Ian, R e a d in g the Past: C u rre n t A p p ro a c h e s to Interpretation in A r c h a e o lo g y , Cambridge and New York: Cambridge University Press, 1986 Hudson, Kenneth, A S o cia l H isto ry o f A r c h a e o lo g y : T h e B ritish E x p e r ie n c e , London: Macmillan, 19 8 1 Klindt-Jensen, Ole, A H isto ry o f Sca n d in a via n A r c h a e o lo g y , London: Thames and Hudson, 19 75 Laming-Emperaire, Annette, O rig in es d e l ' a rc h é o lo g ie p réh isto riq u e en France, des su perstitions m édiéva les à la d éco u verte de l ' h o m m e fo ssile (Origins of Prehistoric Archaeology in France:

Medieval Beliefs and the Discovery of Human Fossils), Paris: Picard, 1964 Lartet, Edouard, and Henry Christy, R eliq u ia e A q u ita n ica e, B ein g C o n trib u tio n s to the A rc h a e o lo g y a n d P a le o n to lo g y o f P é rig o rd a n d A d jo in in g P ro vin c e s o f Sou th ern F ra n c e , London: Williams

and Norgate, 18 6 5 - 7 5 Layard, Austen Henry, N in e v e h a n d Its R e m a in s , 2 vois., London: Murray, 1849; New York: Putnam, 18 50 Leakey, Mary, D isc lo sin g the Past: A n A u to b io g r a p h y , Garden City, N Y: Doubleday, and London: Weidenfeld and Nicolson, 19 84 Leone, Mark P., ed., C o n te m p o ra ry A r c h a e o lo g y : A G u id e to T h e o r y a n d C o n trib u tio n s , Carbondale, IL: Southern Illinois University Press, 19 7 2 Levine, Philippa, T h e A m a te u r a n d the P ro fessio n a l: A n tiq u a ria n s, H istorian s, a n d A rch a e o lo g ists in V ictorian E n g la n d , 1 8 3 8 - 1 8 8 6 ,

Cambridge and New York: Cambridge University Press, 1986 Lloyd, Seton H., F o u n d a tio n s in the D u st: A S to ry o f M e so p o ta m ia n E x p lo r a tio n , Oxford and New York: Oxford University Press, 19 4 7; revised London: Thames and Hudson, 1980 Lubbock, John, P re - h isto ric T im es, as Illu strated b y A n c ie n t R em a in s, a n d the M a n n ers a n d C u sto m s o f M o d e r n S a va g es,

London: Williams and Norgate, 18 6 5; New York: Appleton, 18 7 2 Lubbock, John, T h e O rig in o f C ivilisa tio n a n d the P rim itive C o n d itio n o f M a n : M e n ta l a n d S o c ia l C o n d itio n s o f S a va g es,

London: Longman, 1870 ; New York: Appleton, 1 8 7 1 MacNeish, Richard S., T h e Scien ce o f A r c h a e o lo g y f, North Scituate, M A: Duxbury Press, 19 78 Martin, Paul S., “ The Revolution in Archaeology,” A m e rica n A n tiq u ity 36 (19 7 1), 1 - 8 Meltzer, David J., Don D. Fowler, and Jeremy A. Sahloff, eds., A m e rica n A rc h a e o lo g y , Past a n d Fu ture: A C eleb ra tio n o f the S o cie ty fo r A m e rica n A rc h a e o lo g y 1 9 3 3 - 1 9 8 3 , Washington, DC:

Smithsonian Institution Press, 1986 Michels, Joseph W , D a tin g M e th o d s in A rc h a e o lo g y , New York: Seminar Press, 19 7 3

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Montfaucon, Bernard de, L ' A n tiq u ité e x p liq u é e et représentée en figures, 5 vols, in io, Paris: Delaulne, 1 7 1 9 - 2 4 ; in English as A n tiq u ity E x p la in e d , a n d R ep re se n te d in S cu lp tu re, London: Tonson and Watts, 1 7 2 1 - 2 2 ; reprinted in 2 vols., New York: Garland, 19 76 Nilsson, Sven, S k a n d in a visk a N o r d e n s U r - in va n are, 2 vols., Lund: Berlingska, 18 3 8 - 4 3 Petrie, William Matthews Flinders, M e th o d s a n d A im s in A rc h a e o lo g y , London and New York: Macmillan, 1904; reprinted 19 7 2 Phillips, E.D., “ The Greek Vision of Prehistory,” A n tiq u ity 38 (1964), 1 7 1 - 7 8 Redman, Charles L., ed., R esearch a n d T h e o ry in C u rren t A n th r o p o lo g y , New York: Wiley, 19 73 Renfrew, Colin, B e fo re C iviliza tio n : T h e R a d io c a rb o n R e vo lu tio n a n d P reh istoric E u r o p e , London: Cape, and New York: Knopf,

1973

Schliemann, Heinrich, Ilio s: Stad t u n d L a n d d er Tro ja n er, Leipzig: Brookhaus, 18 8 1; in English as Ilios: T h e C ity a n d C o u n try o f the Troja ns, London: Murray, 1880, New York: Harper, 18 8 1; reprinted 19 81 Semenov, Sergei Aristarkhovich, P ervo h ytn a ia tekn ika: O p y t izuchen iia d re vn e ish ik h oru d sii i izdelii p o sled am ro h o ty,

Moscow: Izd-vo Akademii nauk SSR, 19 5 7 ; in English as P reh isto ric T e c h n o lo g y: A n E x p e rim e n ta l S tu d y o f the O ld est T o o ls a n d A rtefa cts fro m T im es o f M a n u fa ctu re a n d W ear,

London: Cory Adams and Mackay, and New York: Barnes and Noble, 1964 Service, Elman R., P rim itive S o c ia l O rg a n iza tio n : A n E v o lu tio n a ry P ersp ective, New York: Random House, 19 62 South, Stanley A., M e t h o d a n d T h e o r y in H isto rica l A r c h a e o lo g y , New York: Academic Press, 19 7 7 Stukeley, William, Itin erariu m c u rio su m ; or, A n A c c o u n t o f the A n tiq u ity s a n d R e m a r k a b le C u rio sitys in N a tu re o r A rt, O b s e r v ' d in T ravels T h r o ' G re a t B rita in , London, 17 2 4 ; revised 17 7 6 Thomsen, Christian Jiirgensen, L e d e tra a d til N o r disk O ld k y n d ig h e d (A Guide to Northern Antiquities), Copenhagen: Möllers, 18 36 Trigger, Bruce G., B e y o n d H isto ry : T h e M e th o d s o f P reh isto ry, New York: Holt Rinehart, 1968 Tylor, Edward, A n th r o p o lo g y : A n In tro d u ctio n to the S tu d y o f M a n a n d C iviliza tio n , London: Macmillan, and New York: Appleton, 18 8 1 Watson, Patty Jo, Steven A. LeBlanc, and Charles L. Redman, E x p la n a tio n in A rc h a e o lo g y : A n E x p lic itly Scientific A p p r o a c h ,

New York: Columbia University Press, 19 7 1 Winckelmann, J.J., G esch ich te d e r K u n st des A ltertu m s, Dresden: Walterischen, 176 4 ; in English as T h e H isto ry o f A n c ie n t A r t , 4 vols., Boston: Osgood, 18 4 9 - 7 3 Worsaae, Jens Jakob Asmussen, D a n m a rk s O ld tid (Ancient Denmark), Copenhagen: Klein, 18 4 2

Argentina Argentina, one of the strongest Latin American countries in terms of economic development, has been shaped by its colonial past in innumerable ways. Once a backwater of the Spanish empire, it flourished in the late 17th and 18th centuries. A leading proponent of independence during the early 19th century, it suffered economic stagnation and political turmoil until the export sector contributed to its entry into world economy and to unparalleled economic growth and prosperity. The liberal dream of unending economic progress soon shattered with the depression of the 1930s and the emergence of authoritarian regimes. Subsequently, the military regimes of the 1960s, 1970s, and early 1980s tarnished Argentina’s image abroad with its

desaparecidos (disappeared ones), economic decline, debt, and the foolhardy military adventure of the Falklands War. After that humiliation, authoritarianism gave way to greater democracy and economic liberalization during the remainder of the 1980s and 1 990s. How have historians approached the com plex texture of Argentina’s history? Investigating the lost opportunities of a country with so much potential for economic growth and democracy, scholars have written extensively on the various questions surrounding that nation’s ideological, political, social, and economic developments. The roots of Argentina’s political and economic problems stem from the colonial inheritance of Spanish rule, which it shared with the other Spanish American nations. Argentina’s early colonial history has not been adequately studied because of its frontier status. On the frontier, the mission played an important role as the first stage of capitalist penetration into the territories of precapitalist peoples and cultures, and their subsequent incorporation into an emerging world market. Magnus Morner’s pioneering monograph The Political and Economic Activities of the Jesuits in the La Plata Region (1953) examined the role of the Jesuits in establishing a mission system during the early phase of colonization, up to 1700. Nicholas P. Cushner, expanding on this earlier work, studied the Jesuits’ mission economy in Jesuit Ranches and the Agrarian Development of Colonial Argentina, 1650 - 1767 (1983). His investigation provided a detailed analysis of the workings of the mission commercial enterprise before the establishment by the Spanish Bourbons of the viceroyalty of the Rio de la Plata in 1776. The creation of the viceroyalty signified the growing importance of this peripheral region to the Spanish imperial system. Contraband trade and Portuguese incursions into the Rio de La Plata influenced Bourbon policy in creating a more substantial Spanish presence for defensive purposes. Modeled on French administrative organization, the Bourbons established the intendant system in their new viceroyalty as a means to centralize authority. John Lynch’s fundamental work Spanish Colonial Administration, 1782 - 1810 (1958) supplied a critical understanding of this reform’s impact on the political and economic structures of the region. The Bourbon reforms stimulated economic development during the 18th century, contributing to the emerging status of Buenos Aires as an entrepot for imports and exports. James R. Scobie emphasized the importance of the rise of Buenos Aires as an explanatory tool for an understanding of Argentine history in Argentina: A City and a Nation (1964). The city became the center of government and commerce during the 18th century. Susan Migden Socolow, an astute historian of the colonial merchant and government elites of Buenos Aires, explored the impact of Bourbon bureaucratic modernization in The Bureaucrats of Buenos Aires, 1769 - 1810 (1987). An earlier study by Socolow, The Merchants of Buenos Aires, 1778 - 1810 (1978), focused on the important and influential group of merchants that benefited from Bourbon commercial policy. Most research has been on the large import merchants of the capital, although Jay Kinsbruner’s compara tive study, Petty Capitalism in Spanish America (1987), remains unique in its concentration on a lesser known group of retail grocers in Buenos Aires and other Spanish colonial cities from 175 0 to 1850.

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As a result of this tremendous economic growth, Buenos Aires would be one of the first cities to struggle for independence from Spain and its odious monopolistic commercial policies. The commercial disruption caused by Spain’s embroilment in the European wars of the Napoleonic era influenced the merchant elite’s desire for independence. Most works have concentrated on Buenos Aires, but the pre-eminent scholar of Argentine history, Tulio Halperin-Donghi, in his masterful work Politics, Economics, and Society in Argentina in the Revolutionary Period (1975), provided a detailed social and political history that analyzed not only the events in the capital but also in the provinces. A consummate historian, HalperinDonghi demonstrated a superb command of provincial history as he elucidated this critical period of transition from colony to nation. During the first half of the 19th century, caudillo politics dominated the life of the new republic as the interior provinces struggled against the encroaching hegemony of Buenos Aires. The breakdown of the colonial state caused divisions between the interior provinces and capital as Buenos Aires sought to implement liberal political and economic reforms that were supported by creole merchants and professionals in the wake of independence. The interior provinces and conservative governments reacted against these innovations, as attested by David Bushnell’s examination of the period’s liberal legislation in Reform and Reaction in the Platine Provinces, 18 10 - 18 y2 (1983). The author surveyed not only the resistance of a sector of Buenos Aires society against this modernization by law but also the reaction of the traditional caudillos and their followers in the interior. The provinces put their hope in the quintessential caudillo of 19th -century Argentina, Juan Manuel de Rosas, who dominated Argentina’s political, social, and economic life from 18 35 to 18 52. In the first English-language treatment of Rosas, John Lynch analyzed the career of one of the most polemical figures in Argentine historiography in Argentine Dictator: Juan Manuel de Rosas, 18 2 9 - 18 5 2 (19 81). Earlier biographers concentrated on the dominant liberal figures of the period, Domingo Faustino Sarmiento and Bartolomé Mitre, both future presidents who were opposed to Rosas. Allison Williams Bunkley’s The Life of Sarmiento (1952) and William Jeffrey’s Mitre and Argentina (1952) were sympathetic treatments of these liberal statesmen and nationbuilders. Intellectual historians have investigated the traditional and liberal ideas that contributed to the century’s political strife. An early work by José Luis Romero, Las ideas políticas en Argentina (1946; A History of Argentine Political Thought, 1963), was a general survey of the history of political ideas from the colonial period to the 1940s written from a 20thcentury liberal perspective. On the other hand, Nicolas Shumway’s The Invention of Argentina (19 9 1) concentrated exclusively on the period from 1808 to 1880 and the guiding national myths that contributed to the creation of an Argentine nationality based on exclusion. Economic historians have also fastened on the finances and economic growth of the early 19th century and their relationship to political instability. An early attempt to bring some economic understanding to the seeming political chaos of the early republic was Miron Burgin ’s The Economic Aspects of Argentine Federalism, 1820 - 1852 (1946), which analyzed not only Rosas ’ economic policies, but the constraints and

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possibilities open to him. Focusing on Argentina’s phenomenal economic growth from 1880 to 19 30, economic historians have largely ignored the history of exports prior to this golden age. Hilda Sabato ’s Agrarian Capitalism and the World Market (1990) examined the early phase of Argentina’s economic growth based on wool exports. Another work on early economic development is Jonathan C. Brown ’s A Socioeconomic History of Argentina, 1776 - 1860 (1979), which carried a deceptive title since it is, in actuality, an investigation of the relationship between the growth of trade in Buenos Aires and the development of agribusiness in the surrounding province. Douglas Friedman also studied this early period in The State and Underdevelopment in Spanish America (1984), a perceptive comparative study that argued against dependency theory by exploring the internal factors that contributed to the growth of the export sector and, subsequently, “ dependence.” He concluded that it was the need to achieve internal political stability through access to economic resources that led to the decision to concentrate on exports, the only source of revenues. No examination of Argentine economic history can ignore the important role of Britain and the British merchant in the 19th century. Henry S. Ferns, utilizing the archives of the British Foreign Office, appraised the political, economic, and financial relationship between the two nations in Britain and Argentina in the Nineteenth Century (i960). More recently, Vera Blinn Reber, through exhaustive research in British and Argentine archives, investigated 19th -century Argentina’s integration into the world market by looking at British commercial houses in British Mercantile Houses in Buenos Aires, 1810 - 1880 (1979). Besides studying these institutions, she also provided a portrait of the British community in Buenos Aires. During the latter half of the 19th century, Argentina’s export economy contributed to some degree of political stability. The nation’s world market integration depended on the development of a viable infrastructure that would link the provinces and their agricultural exports to the ports of Buenos Aires. British capital invested heavily during the 19th century in the creation of Argentina’s railroads, which many scholars have seen as symbolic of the nation’s economic dependence. Two studies, Colin M. Lewis’ British Railways in Argentina, 1857 - 19 14 (1983) and Winthrop R. Wright’s British-Owned Railways in Argentina (1974), explored the impact of British investments on Argentina’s economic development. Based on British archival research, Lewis’ study counteracted arguments made by Argentina’s economic nationalists who condemned the railroads as a guise for British imperialism. He appeared to be responding to Wright’s earlier investigation that analyzed the rise of economic nationalism and Peronismo as a response to the undue influence of British interests on Argentina’s economy. Overall, Lewis, apparently influenced by the economic historian D.C.M . Platt, concluded that these investments were beneficial to Argentina. The railroads contributed to the development of the provinces and the production of agricultural exports on the pampas. Scobie’s Revolution on the Pampas (1964) examined the crucial period of world market integration at the end of the 19th century. Other scholars have followed Scobie’s lead by concentrating on Argentina’s agricultural history. The Agricultural Development of Argentina (1969), by Darrell F. Fienup, Russell H. Brannon, and Frank A. Fender, was a general review of that

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history with policy recommendations. Using a social science methodology, Peter H. Smith scrutinized how the beef industry interests affected the nation’s political life up to 1946 in Politics and Beef in Argentina (1969). Carl E. Solberg provided a comparative framework to answer why Canadian wheat became more productive than Argentina’s in The Prairies and the Pampas (1987). His approach contemplated the role of state intervention, or the lack of it, in the divergent outcomes of these two nations. A few historians have focused at the regional level on late 19th - and early 20th-century Argentina’s phenomenal economic growth. Many of these projects were also works of social and urban history. To complement his work on the pampas, Scobie concentrated on Buenos Aires during this period in Buenos Aires (1974), in which he argued that the commercial-bureaucratic nature of the city contributed to its development as a hub for the nation. Scobie also worked on an analysis of the export era’s effect on three provincial capitals: Corrientes, Salta, and Mendoza. His Secondary Cities of Argentina (1988), a work of regional and urban history, investigated how demographic and social factors could account for differential economic growth. Donna J. Guy’s research on the domestic market for sugar during the export era, Argentine Sugar Politics (1980), focused on the divisions among the elites associated with exports and those involved with domestic production. During this period, the arrival of thousands of European immigrants contributed to economic development in Buenos Aires and the interior. By exploring one of the most important interior cities, Córdoba, Mark D. Szuchman revealed this population ’s social mobility in Mobility and Integration in Urban Argentina (1980), an urban and social history. Social historians of 19th -century Argentina have contributed to our understanding of various facets of the social life of neglected groups. One group that has not received sufficient attention from historians is the black population, which comprised approximately a third of Buenos Aires ’ population by the end of the colonial period. George Reid Andrews’ The Afro-Argentines of Buenos Aires, 1800 -1900 (1980) filled in this lacuna in our historical knowledge by examining the “ disappearance” of the city’s black community. He demonstrated that blacks played a significant role in the War of Independence and the subsequent caudillo politics of the 19th century. Although officially “ extinct” by the end of the century, the black community continued to maintain a vibrant urban life into the 1880s and 1890s. Also suffering official misinterpretation is the figure of the gaucho, who, with the onslaught of modernization on the pampas, was soon relegated to the status of vagrant and social outcast. The export era transformed the life of the gaucho who became a peon on the large estancias (ranches) of the nation’s landed elite. Richard W. Slatta studied this transformation of the gaucho from free man to hired hand and literary myth in Gauchos and the Vanishing Frontier (1983). The influx of European immigrants to the pampas also circumscribed the gaucho’s life. Immigrant history is well represented in numerous studies of the various European groups that came searching for work in the pampas and Buenos Aires. Ezequiel Gallo examined the participation of Swiss and German immigrants in the agrarian unrest that swept Santa Fe province during Argentina’s golden age in Farmers in Revolt

(1976). Ronald C. Newton’s German Buenos Aires (1977) was a close analysis of how the city ’s German community began the 20th century with ethnic solidarity, but later became riven with class and political divisions. Jewish immigrants also received the attention of scholars during the last two decades. Robert Weisbrot researched the internal organization of Argentina’s Jewish community in The Jews of Argentina (1979). Another work on the Jewish diaspora to Argentina is From Pale to Pampa (1982), by Eugene F. Sofer, which looked exclusively at the Eastern European Jews who settled in Buenos Aires. The reception of these foreign immigrants and the rise of nationalism was examined by Carl E. Solberg in Immigration and Nationalism (1970), a comparative analysis based on the writings of Argentine and Chilean intellectuals as well as newspapers and journals of the period. One lasting legacy of the immigrant experience on world popular culture has been the tango. Simon Collier’s The Life, Music, and Times of Carlos Gardel (1986), about the famous tango dancer and Argentine national icon, is much more than a biography; it is also a cultural history about the role of the tango in the lives of immigrants. Historians of the family and gender have investigated other aspects of Argentina’s 19th -century social history. Mark D. Szuchman studied the relationship between the family, education, and the state during the period of caudillo politics under Rosas in Order; Family; and Community in Buenos Aires, 1810 - 1860 (1988). He concluded that Rosas brought relative stability to Buenos Aires for the lower classes. Public education, reflecting authoritarian values, played an important role in undermining former attachments to family and neighborhood, while emphasizing loyalty to the state. The role of prostitution in defining work, family, class, and citizenship in late 19th - and early 20th-century Buenos Aires was treated in Donna J. Guy ’s Sex and Danger in Buenos Aires (19 9 1). She argued that the upper and middle classes feared the underworld that the prostitutes inhabited. Some of this fear sprang from the large number of immigrants involved in prostitution. The call for social control was intertwined with the idea that prostitution was subverting the traditional norms of the family, society, and nation. Peronismo dominated the political landscape of the latter half of the 20th century in Argentina. In order to gain an understanding of the roots of this phenomena, political historians have researched the period prior to the rise of the movement. Early 20th-century Argentina saw the rise of numerous political parties supported by the new interest groups called into existence by export-led growth, the emerging middle classes, and working-class and immigrant groups. One of the most important political parties of this period was the Radical party, which ruled Argentina from 19 14 to 1930. David Rock’s Politics in Argentina, 1890 - 1930 (1975) was a perceptive analysis of this party’s triumph and defeat. This study investigated how the export sector, based on landed interests, founded a socioeconomic structure that could not accommodate the divergent class interests created by economic growth. The Radical party, supported by the urban middle class, soon lost this constituency when it could not fulfill its promises of reform. The rising working-class movement proved another challenge to Radical party politics. Richard J. Walter provided a narrative history of Argentina’s Socialist party in The Socialist

ARGENTINA Party of Argentina, 1890 -1930 (1977), which explored the role of the party on a national level. These challenges to the traditional political, social, and economic structures, especially the Semana Trágica (Tragic Week) of January 19 19 , caused a reaction by Argentina’s conservative forces, embodied in the Argentine Patriotic League. Sandra McGee Deutsch’s Counterrevolution in Argentina, 1900 - 1932 (1986) concentrated on the league’s role in Argentina’s politics from 19 19 to 19 23. Richard J. Walter examined this turbulent period on a regional level in The Province of Buenos Aires and Argentine Politics, 1912 - 19 43 (1985), which surveyed the conflict between the province and the federal government as well as that of the Conservative and Radical parties for control of the province. Using a comparative methodology, Karen L. Remmer probed the competitive party systems of Argentina and Chile and the subsequent implementation of social legislation in Party Competition in Argentina and Chile (1984). She concluded that Chile’s elitist political system hindered viable social legislation while Argentina’s political elites had to respond to the nation ’s divergent interests by passing significant social legislation. Peter H. Smith applied a statistical methodology to gain an understanding of the early and mid-20th-century political history of Argentina in Argentina and the Failure of Democracy (1974), which concentrated on a computer analysis of the Chamber of Deputies during the years under review. He also examined the various political parties of the early 20th century and the rise of Peronismo from its populist roots in the 1 940s to its nominal demise in the 1950s when it became bureaucratic and authoritarian in nature. There have been numerous interpretations of Peronismo by historians in a variety of fields since the emergence of the movement in the 1 940s. This fascination persisted as the influence of Peronismo continued to resonate in the political life of the country. Seeking to understand Argentina by understanding Juan Domingo Perón, one of the many populist leaders that emerged in Latin America in the 1930s and 1940s, historians have focused on biography for a glimpse of this controversial figure who led the destiny of his nation along with his wife, Evita. Three representative biographies were Robert J. Alexander’s Juan Domingo Perón (1979), Joseph A. Page’s Perón: A Biography (1983), and Robert D. Crassweller’s Perón and the Enigma of Argentina (1987). Alexander’s work strove for objectivity in the face of conflicting interpretations of this populist leader’s life and influence on Argentina’s political and economic life. On the other hand, some have characterized Page’s biogra phy as revisionist in nature. This comprehensive work, which covers Perón’s life from birth to death, scrutinized the varying interpretations surrounding his major decisions. Crassweller’s book was a much more ambitious study that focused on cultural and psychological factors for an explanation of Perón and Peronismo. The subject of musicals and movies, Perón’s wife, Evita, has also received her share of attention by historians. Eva Perón (1980), by Nicholas Fraser and Marysa Navarro, was a standard biography that related Evita’s life in a straightforward, objective manner. Julie M. Taylor’s Eva Perón: The Myths of a Woman (1979) was a unique exploration of the three myths about Evita as the Lady of Hope, the Black Myth, and Revolutionary Eva. She used an anthropological methodology to understand the symbol of Evita and its perception by various sectors of Argentine society.

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Historians captivated by Peronismo have also produced general histories from a variety of perspectives. Early works on Argentina under Perón are George I. Blanksten’s Perón’s Argentina (1953), which focused on Perón’s first administration, and Arthur P. Whitaker’s Argentine Upheaval (1956), an account of the 1955 and 1956 events that led to the collapse of Perón’s regime. In search of its foundations, scholars have focused their attention on one of the pillars of Peronismo, labor. This labor history situated the movement’s rise with the rapid industrial growth of the early 20th century and the emergence of a strong working class that challenged the nation’s traditional structures. David Tamarin analyzed the unionization of the working class during the Depression and its transformation into an organized political force in The Argentine Labor Movement, 1930 - 194j (1985). The author also explored labor’s relationship to the military government of 1943 to 1945. Joel Horowitz’s empirical study, Argentine Unions, the State, and the Rise of Perón, 1930 - 1943 (1990) investigated similar terrain, but concentrated on the period of the Concordancia from 19 3 2 to 1943. By studying the period’s union periodicals and other important sources, such as interviews with union leaders, he surveyed not only the links between the unions and the state, but also how Perón mobilized labor for his ultimate victory in 1945. Daniel James ’ research observed the effect of the legacy of Peronismo on the working class during the period from 19 55 to 1973 in Resistance and Integration (1988). This legacy is one of ambivalence and contradictory aims as Peronismo could accommodate the visions of a left utopia or an authoritarian present. Perón’s fall did not diminish his influence or that of his movement on the political, social, and economic struggles of 20thcentury Argentina. The traditional political elites had to respond to Peronismo’s attraction to the nation’s masses. Lars Schoultz’s The Populist Challenge (1983) investigated the political hangover of Peronismo on Argentina’s body politic and concluded that its legacy, as well as the liberal response, will continue to haunt the nation into the future. Others have also studied the question of the legacy of Peronismo on events of the 1960s and 1970s. One group that had an abiding impact on the Argentina of these decades was the Montoneros, a leftist urban guerrilla group. Richard Gillespie ’s Soldiers of Perón (1983) was a definitive study of this group, which made use of many interviews with leaders of the movement as well as internal documents for an understanding of their ideology and basis for actions. Donald C. Hodges also studied the Montoneros, as well as other revolutionary groups, in Argentina, 1943 - 198 7: The National Revolution and Resistance (revised 1988), an analysis of how revolutionary groups have had an impact on Argentine politics since World War II. Both Gillespie and Hodges are sympathetic to the Montoneros and the social revolution promised under the inspiration of the leftist ideas implicit in Peronismo. The military, Peronismo’s other pillar, has received some attention from historians as they have sought to understand that institution’s role in the political life of the country. Robert A. Potash has written an excellent 3-volume study of the army since 1928 which examined the role of the army and the motivation of individual officers in the major political events of the period. Potash concluded that it was not lust for power that led to the military’s intervention, but the civil sector’s failure to

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unite to defend constitutional government. Another treatment of the military is Marvin Goldwert’s Democracy, Militarism, and Nationalism in Argentina, 19 3 0 - 19 6 6 (1972), which, instead of exploring personal motivations and ties between officers as Potash had, dissected the ideology of the officers. He divided the ideology of nationalism into two distinct currents, a liberal nationalism and an integral nationalism, and situated the origins of liberal nationalism with Sarmiento and Mitre, while associating integral nationalism with Rosas. For Goldwert, these two contradictory currents influenced the decisions and actions of Argentina’s military officers. Economic historians have also tackled the thorny history of 20th-century Argentina. An early general overview of Argentina’s economy is La economía argentina (1963; The Argentine Economy, 1967), written by the former cabinet minister Aldo Ferrer. An introduction to the nation’s 20thcentury economic history is Laura Randall’s An Economic History of Argentina in the Twentieth Century (1978), which countered the dependency analysis of Argentine history by relying on an econometric methodology. William C. Smith provided an overview of the late 20th century in Authoritari-

anism and the Crisis of the Argentine Political Economy

(1989), which investigated the political economy of Argentina during the period of authoritarian rule in the 1960s, 1970s, and early 1980s. A specialized study of a particular industry is Carl E. Solberg’s Oil and Nationalism in Argentina (1979), which examined the relationship between the oil industry and the rise of economic nationalism. During the 20th century the United States supplanted Britain as the dominant force in Latin America. The decline of Britain’s influence over Argentina’s export sector was traced by Roger Gravil, The Anglo-Argentine Connection, 19 0 0 - 19 3 9 (1985), which explored the issues surrounding the impact of this relationship by focusing on trade. Some have argued that the British exploited the Argentine economy and contributed to the nation’s underdevelopment. Others have explained Argentina’s economic decline as a result of Perón’s policies regarding British investment in the economy. The relationship between the United States and Argentina has always been a stormy one. An initial diplomatic history of relations between the two nations was Harold F. Peterson’s Argentina and the United States, 1810 - 1960 (1964), which examined the emergence of the conflict between the two nations. Joseph S. Tulchin surveyed the development of this antagonism in Argentina and the United States (1990), which concluded that it was the similarities of moralism, messianism, and exceptionalism that have kept the US and Argentina apart. The fragile ties between the two nations were sorely tested during World War II as a result of the German influence on the nation’s military leaders. Ronald C. Newton explored the supposed threat in The “ Nazi Menace” in Argentina, 19 3 1 - 19 4 7 (1992); he lambasted US reaction and contrasted it with British diplomacy during this crucial period. Newton also studied the Nazi agents and their influence on Argentina’s German community. Taking a comparative approach, Michael J. Francis’ The Limits of Hegemony (1977) examined Argentina and Chile and how the relationship of the elite of each nation to the US determined its foreign policy. More specifically, Randall Bennett Woods investigated the emergence of US policy toward Argentina during the war as it took shape in the corridors of the US State Department

in The Roosevelt Foreign Press Policy Establishment and the “ Good Neighbor” (1979). In 1982, the British defeated Argentina in the Falklands War, which led to the subsequent discredit of the military regimes of the 1960s, 1970s, and early 1980s. Humiliated, the military stepped down from power and allowed democracy to return to the country. David Rock’s excellent study of Argentina history provided a sweeping analysis of how the tributary colonial institutions shaped contemporary Argentina’s political, social, and economic life. His interpretation ended with the arrival of democracy under the administration of the Radical party candidate Raul Alfonsin. Since 1989, Carlos Sadi Menem, a Perónist, has ruled the destiny of his country by instituting a neoliberal economic program in order to create a free-market economy. His policies have created havoc within the Perónist party as pro- and anti-Menem wings developed. Argentina’s future is uncertain as it attempts to modernize its political, social, and economic structures in the late 20th century. Ca r l o s Pé r e z a ls o Germani; Halperin-Donghi; Latin America: National; Lavrin; Levene; Mitre; Prebisch; Rock; Romero; Scobie; Women’s History: Latin America

See

Further Reading Alexander, Robert Jackson, Ju a n D o m in g o P e ró n , Boulder, CO: Westview Press, 19 79 Andrews, George Reid, T h e A fro - A r g e n tin e s o f B u e n o s A ire s, 1 8 0 0 - 1 9 0 0 , Madison: University of Wisconsin Press, 1980 Baily, Samuel L., L ab o r, N a tio n a lism , a n d P o litics in A rg e n tin a , New Brunswick, N J: Rutgers University Press, 19 6 7 Barager, Joseph R., “ The Historiography of the Rio de la Plata Area since 18 3 0 , ” H isp a n ic A m e rica n H isto rica l R e v ie w 39 (1959), 5 8 8 -6 4 2 Blanksten, George I., P eró n s A rg e n tin a , Chicago: University of Chicago Press, 19 53 Bouvard, Marguerite Guzman, R evo lu tio n iz in g M o th e r h o o d : T h e M o th ers o f the Plaza de M a y o , Wilmington, DE: Scholarly Resources, 1994 Brown, Jonathan C., A S o c io e co n o m ic H isto ry o f A rg en tin a , 1 7 7 6 - 1 8 6 0 , Cambridge and New York: Cambridge University Press, 1979 Brown, Jonathan C , “ The Bondage of Old Habits in NineteenthCentury Argentina,” L a tin A m e rica n R esearch R e v ie w 2 1 (1986),

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Bunkley, Allison Williams, T h e L ife o f S a rm ien to , Princeton: Princeton University Press, 19 5 2 ; reprinted New York: Greenwood Press, 1969 Burgin, Miron, T h e E c o n o m ic A sp e c ts o f A rg e n tin e F ed eralism , 1 8 2 0 - 1 8 5 2 , Cambridge, M A: Harvard University Press, 1946; reprinted New York: Russell, 19 7 1 Bushnell, David, R e fo rm a n d R ea ctio n in the P latin e P ro vin ce s, 1 8 1 0 - 1 8 5 2 , Gainesville: University Presses of Florida, 1983 Calvert, Susan, and Peter Calvert, A rg e n tin a : P o litica l C u ltu re a n d Instab ility, Pittsburgh: University of Pittsburgh Press, and Basingstoke: Macmillan, 1989 Ciria, Alberto, P a rtid o s y p o d e r en la A rg en tin a m o d e rn a , Buenos Aires: Alvarez, 1964; in English as Parties a n d P o w e r in M o d e r n A rg en tin a , 1 9 5 0 - 1 9 4 6 , Albany: State University of New York Press, 19 74 Collier, Simon, T h e L ife , M u sic , a n d T im es o f C a rlo s G a r d e l, Pittsburgh: University of Pittsburgh Press, 1986 Crassweller, Robert D., P e ró n a n d the E n ig m a o f A rg e n tin a , New York: Norton, 19 8 7

ARGENTINA Jesuit Ranches and the Agrarian Development of Colonial Argentina, 1 6 5 0 - 1 7 6 7 , Albany: State University of

Cushner, Nicholas P.,

N ew York Press, 19 83 Denis, Pierre, L a R é p u b liq u e arg entine: la m ise en va leu r du p a y s , Paris: Colin, 19 20 ; in English as T h e A rg e n tin e R e p u b lic : Its D e v e lo p m e n t a n d P ro g re ss , London: Unwin, and N ew York: Scribner, 19 2 2

Deutsch, Sandra McGee,

C o u n te rre vo lu tio n in A rg e n tin a ,

1 9 0 0 - 1 9 3 2 : T h e A rg e n tin e P atrio tic L e a g u e , Lincoln: University of Nebraska Press, 1986 Ferns, Henry Stanley, B rita in a n d A rg e n tin a in the N in eteen th C e n tu ry , Oxford: Clarendon Press, 1960; New York: Arno, 19 7 7 Ferrer, Aldo, L a eco n o m ía argentina: las etapas d e su d esa rro llo y p ro b le m a s actuales , Mexico City: Fondo de Cultura Económica, 19 6 3 ; in English as T h e A rg e n tin e E c o n o m y , Berkeley: University of California Press, 19 6 7 Fienup, Darrell F , Russell H. Brannon, and Frank A. Fender, The

Agricultural Development of Argentina: A Policy and Development Perspective, New York: Praeger, 1969 Francis, Michael J., The Limits of Hegemony: United States

R elatio n s w ith A rg en tin a a n d C h ile d u rin g W o rld W ar II, Notre Dame, IN: University of Notre Dame Press, 19 7 7 Fraser, Nicholas, and Marysa Navarro, E v a P e ró n , London: Deutsch, 1980; New York: Norton, 19 8 1 Friedman, Douglas, T h e State a n d U n d e rd e ve lo p m e n t in S p anish A m e ric a : T h e P o litica l R o o ts o f D e p e n d e n c y in P eru a n d A rg e n tin a , Boulder, CO: Westview Press, 19 84 Gallo, Ezequiel, Fa rm ers in R e v o lt: T h e R e vo lu tio n o f 1 8 9 3 in the P ro v in c e o f Santa Fe, A rg en tin a , London: University of London Institute of Latin American Studies, 19 76 Gavshon, Arthur L., and Desmond Rice, T h e S in k in g o f the “ B e lg r a n o , ” London: Seeker and Warburg, 19 83 Gillespie, Richard, So ld iers o f P e ró n : A rg en tin a ' s M o n to n e ro s , Oxford and New York: Oxford University Press, 19 83 Goldwert, Marvin, D e m o c ra c y , M ilita rism , a n d N a tio n a lism in A rg e n tin a , 1 9 3 0 - 1 9 6 6 : A n Interpretation , Austin: University of Texas Press, 19 7 2 Gravil, Roger, T h e A n g lo - A rg e n tin e C o n n e c tio n , 1 9 0 0 - 1 9 3 9 , Boulder, CO: Westview Press, 19 85 Guy, Donna J., A rg e n tin e Su g ar P o litics: T u cu m á n a n d the G en e ra tio n o f E ig h ty , Tempe: Arizona State University Center for Latin American Studies, 1980 Guy, Donna J., S e x a n d D a n g e r in B u e n o s A ire s: Prostitu tion, Fam ily, a n d N a tio n in A rg en tin a , Lincoln: University of Nebraska Press, 19 9 1 Halperin-Donghi, Tulio, Politics, E c o n o m ic s, a n d S o cie ty in A rg e n tin a in the R e vo lu tio n a ry P e rio d , Cambridge and New York: Cambridge University Press, 19 7 5 Hodges, Donald C , A rg en tin a , 1 9 4 3 - 1 9 7 6 : T h e N a t io n a l R e v o lu tio n a n d R esistan ce, Albuquerque: University of New Mexico Press, 19 76 ; revised (with dates 1 9 4 3 - 1 9 8 7 ) 1988 Horowitz, Joel, A rg e n tin e U n ions, the State, a n d the R ise o f P erón , 1 9 3 0 - 1 9 4 5 , Berkeley: University of California Institute of International Studies, 1990

James, Daniel,

R esistan ce a n d Integration : P e ro n ism o a n d the

A rg e n tin e W o rk in g C lass, 1 9 4 6 - 1 9 7 6 , Cambridge and New York:

Cambridge University Press, 1988 Jeffrey, William, M itre a n d A rg e n tin a , N ew York: Library Publishers, 19 5 2 Kinsbruner, Jay, Petty C ap italism in Sp an ish A m e ric a : T h e P u lp e ro s o f P u eb la , M e x ic o City, C ara ca s, a n d B u e n o s A ire s, Boulder, CO: Westview Press, 19 8 7 Leonard, V.W., Politician s, P up ils, a n d Priests: A rg e n tin e E d u ca tio n sin ce 1 9 4 3 , New York: Lang, 1989 Lewis, Colin M ., B ritish R a ilw a y s in A rg en tin a , 1 8 5 7 - 1 9 1 4 : A C a se S tu d y o f Fo reig n Investm en t, London: Athlone Press, and Atlantic Highlands, N J: Humanities Press, 19 83 Lewis, Paul H., T h e C risis o f A rg e n tin e C a p ita lism , Chapel Hill: University of North Carolina Press, 1990

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Luis de Imaz, José, L o s q ue m a n d a n , Buenos Aires: Editorial Universitaria de Buenos Aires, 1964; in English as L o s q ue m a n d a n (T h o se W h o R u le ), Notre Dame, IN: University of Notre Dame Press, 19 7 7 Lynch, John, Sp a n ish C o lo n ia l A d m in istra tio n , 1 7 8 2 - 1 8 1 0 : T h e In ten d a n t System in the V icero ya lty o f the R io de la Plata,

London: Athlone Press, 19 58 ; New York: Greenwood Press, 1969 Lynch, John, A rg e n tin e D icta to r: Ju a n M a n u e l d e R o sas, 1 8 2 9 - 1 8 5 2 , Oxford and New York: Oxford University Press, 19 8 1 McGann, Thomas Francis, A rg en tin a , the U n ited States, a n d the In ter - A m erica n System , 1 8 8 0 - 1 9 1 4 , Cambridge, M A: Harvard University Press, 19 5 7 Mörner, Magnus, T h e P o litica l a n d E c o n o m ic A ctivities o f the Je su its in the L a Plata R e g io n , Stockholm: Institute of IberoAmerican Studies, 19 5 3 Munck, Ronaldo, A rgen tin a, fro m A n a rch ism to P e ro n ism o : W o rkers, U n ion s, a n d P o litics, 1 8 5 5 - 1 9 8 5 , London: Zed Press, 19 8 7 Newton, Ronald C., G erm a n B u e n o s A ire s, 1 9 0 0 - 1 9 3 3 : S o c ia l C h a n g e a n d C u ltu ra l C risis, Austin: University of Texas Press, 19 7 7 Newton, Ronald C., T h e “ N a z i M e n a c e ” in A rgen tin a, 1 9 3 1 - 1 9 4 7 , Stanford, CA : Stanford University Press, 19 9 2 O ’ Donnell, Guillermo, 1 9 6 6 - 1 7 9 3 , el estado b u ro crá tico a u to ritario: triun fos, derrotas y crisis, Buenos Aires: Editorial de Belgrano, 19 8 2 ; in English as B u rea u cra tic A u th o rita ria n ism : A rgen tin a, 1 9 6 6 - 1 9 7 3 , in C o m p a ra tiv e P ersp ective, Berkeley: University of California Press, 1988 Page, Joseph A., P e ró n : A B io g ra p h y , New York: Random House, 19 83 Peterson, Harold F , A rg en tin a a n d the U n ited States, 1 8 1 0 - 1 9 6 0 , Albany: State University of New York Press, 1964 Potash, Robert A., T h e A r m y a n d P olitics in A rg e n tin a , 3 vols., Stanford, CA : Stanford University Press, 19 6 9 - 9 6 Randall, Laura, A n E c o n o m ic H isto ry o f A rg en tin a in the Tw entieth C e n tu ry, New York: Columbia University Press, 19 78 Reber, Vera Blinn, B ritish M erca n tile H o u ses in B u e n o s A ire s, 1 8 1 0 - 1 8 8 0 , Cambridge, M A: Harvard University Press, 19 79 Remmer, Karen L., P a rty C o m p e titio n in A rg en tin a a n d C h ile : P o litica l R ecru itm en t a n d P u b lic Policy, 1 8 9 0 - 1 9 3 0 , Lincoln: University of Nebraska Press, 1984 Rennie, Ysabel F , T h e A rg en tin e R e p u b lic , New York: Macmillan, 19 4 5; reprinted Westport, CT: Greenwood Press, 19 75 Rock, David, P olitics in A rgen tin a, 1 8 9 0 - 1 9 3 0 : T h e R ise a n d F a ll o f R a d ica lism , Cambridge and New York: Cambridge University Press, 19 75 Rock, David, A rg en tin a , 1 5 1 6 - 1 9 8 2 : F ro m Sp a n ish C o lo n iz a tio n to A lfo n stn , Berkeley: University of California Press, 19 8 5 ; revised 19 8 7 Romero, José Luis, L a s ideas p olíticas en A rg e n tin a , Mexico City: Fondo de Cultura Economica, 1946; in English as A H isto ry o f A rg e n tin e P o litica l T h o u g h t, Stanford, CA: Stanford University Press, 1963 Sàbato, Hilda, A g ra ria n C ap italism a n d the W o rld M a rk e t: B u e n o s A ire s in the P a sto ra l A g e , 1 8 4 0 - 1 8 9 0 , Albuquerque: University of New Mexico Press, 1990 Schoultz, Lars, T h e P o p u list C h a llen g e: A rg e n tin e E le c to ra l B e h a v io r in the P o s tw a r E r a , Chapel Hill: University of North Carolina Press, 1983 Scobie, James R., A rg e n tin a : A C ity a n d a N a tio n , New York: Oxford University Press, 1964; revised 19 7 1 Scobie, James R., R e vo lu tio n on the P a m p a s: A S o c ia l H isto ry o f A rg e n tin e W heat, 1 8 6 0 - 1 9 1 0 , Austin: University of Texas Press, 19 64 Scobie, James R., B u e n o s A ire s: Plaza to S u b u rb , 1 8 7 0 - 1 9 1 0 , New York: Oxford University Press, 19 74 Scobie, James R., S e co n d a ry C ities o f A rg e n tin a : T h e S o c ia l H isto ry o f C orrien tes, Salta, a n d M e n d o z a , 1 8 5 0 - 1 9 1 0 , edited by Samuel L. Baily, Stanford, CA : Stanford University Press, 1988

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Shumway, Nicolas, T h e Inven tio n o f A rg en tin a , Berkeley: University of California Press, 19 9 1 Slatta, Richard W., G a u c h o s a n d the Vanishing Fro n tie r , Lincoln: University of Nebraska Press, 19 83 Smith, Peter H., P o litics a n d B e e f in A rg e n tin a : P atterns o f C o n flict a n d C h a n g e , New York: Columbia University Press, 1969 Smith, Peter H., A rg en tin a a n d the Fa ilu re o f D e m o c ra c y : C o n flict a m o n g P olitica l E lites, 1 9 0 4 - 1 9 5 5 , Madison: University of Wisconsin Press, 19 74 Smith, William C , A uth o rita ria n ism a n d the C risis o f the A rg e n tin e P o litica l E c o n o m y , Stanford, CA: Stanford University Press, 1989 Socolow, Susan Migden, T h e M erch a n ts o f B u e n o s A ire s, 1 7 7 8 - 1 8 1 0 : F a m ily a n d C o m m e rc e , C a m b r i d g e a n d N e w Y o r k : C a m b r i d g e U n iv e r s it y P re ss,

19 78

S o c o l o w , S u s a n M i g d e n , “ R e c e n t H i s t o r io g r a p h y o f th e R io d e la P la t a : C o lo n i a l a n d E a r l y N a t i o n a l P e r io d s , ” H isp a n ic A m e rica n

H isto ric a l R e v ie w 64 (1984), 10 5 - 2 0 S o c o l o w , S u s a n M i g d e n , T h e B ureaucra ts o f B u e n o s A ires,

1 7 6 9 - 1 8 1 0 : a m o r a l real se rvic io , Durham, N C : Duke University Press, 19 8 7 Sofer, Eugene E, F ro m P ale to P a m p a : A S o c ia l H isto ry o f the j e w s o f B u e n o s A ire s, New York: Holmes and Meier, 19 8 2 Solberg, Carl E., Im m ig ratio n a n d N a tio n a lism : A rg en tin a a n d C h ile, 1 8 9 0 - 1 9 1 4 , Austin: University of Texas Press for Institute of Latin American Studies, 19 70 Solberg, Carl E., O il a n d N a tio n a lism in A rg e n tin a : A H isto ry , Stanford, CA: Stanford University Press, 19 79 Solberg, Carl E., T h e Prairies a n d the P a m p a s: A g ra ria n P o licy in C a n a d a a n d A rg en tin a , 1 8 8 0 - 1 9 5 0 , Stanford, CA: Stanford University Press, 19 8 7 S z u c h m a n , M a r k D ., M o b ility a n d Integration in U rba n A rg en tin a :

C ó r d o b a in the L ib e r a l E ra , A u s t in : U n iv e r s it y o f T e x a s P re ss,

1980 Szuchman, Mark D., O rder, Fam ily, a n d C o m m u n ity in B u e n o s A ire s, 1 8 1 0 - 1 8 6 0 , Stanford, CA : Stanford University Press, 1988 Tamarin, David, T h e A rg e n tin e L a b o r M o ve m e n t, 1 9 5 0 - 1 9 4 5 : A S tu d y in the O rig in s o f P e ro n ism o , Albuquerque: University of New Mexico Press, 19 8 5 Taylor, Carl C , R u ra l L ife in A rg e n tin a , Baton Rouge: Louisiana State University Press, 1948 T a y lo r , J u lie M . , E v a P e ró n : T h e M y th s o f a W o m a n , C h ic a g o : U n iv e r s it y o f C h i c a g o P re ss ,

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T u lc h in , J o s e p h S ., A rg en tin a a n d the U n ited States: A C o n flicte d

R ela tio n sh ip , B o s t o n : T w a y n e , 1990 W a is m a n , C a r lo s H . , R e ve rsa l o f D e v e lo p m e n t in A rg e n tin a :

P o s tw a r C o u n te rre vo lu tio n a ry P o licies a n d T h e ir Structural C o n se q u e n ces, P r in c e t o n : P r in c e t o n U n iv e r s it y P re ss , 19 8 7 W a lte r , R ic h a r d J . , Stu d en t P olitics in A rg e n tin a : T h e U n iversity

R e fo rm a n d Its E ffe c ts, 1 9 1 8 - 1 9 6 4 , N e w Y o r k : B a s ic B o o k s , 1968 W a lte r , R ic h a r d J . , T h e Socialist P a rty o f A rgen tin a, 1 8 9 0 - 1 9 5 0 , A u s t in : U n iv e r s it y o f T e x a s P re ss f o r In stitu te o f L a t in A m e r i c a n S t u d ie s , 19 7 7 Walter, Richard J., T h e P ro vin c e o f B u e n o s A ire s a n d A rg en tin e P o litics, 1 9 1 2 - 1 9 4 5 , Cambridge and New York: Cambridge University Press, 19 85 Weisbrot, Robert, T h e J e w s o f A rg e n tin a : F ro m the In q u isition to P e ró n , Philadelphia: Jewish Publication Society of America, 19 79 Whitaker, Arthur Preston, A rg e n tin e U p h e a v a l: P e r ó n ’s F a ll a n d the N e w R e g im e , London: Atlantic Press, and New York: Praeger, 19 56 W o o d s , R a n d a ll B e n n e tt, T h e R o o se v e lt Fo reign P ress P o licy

E sta b lish m en t a n d the “ G o o d N e ig h b o r ” : T h e U n ited States a n d A rg en tin a , 1 9 4 1 - 1 9 4 5 , L a w r e n c e : R e g e n t s P re ss o f K a n s a s , 19 79 W r i g h t , W i n t h r o p R ., B r itis h - O w n e d R a ilw a y s in A rg e n tin a : T h e ir

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19 78

Ariès, Philippe 1914-1984 French social historian

One of the pioneers of the mentalité approach to social life in the past, Ariès produced works of bold interpretation based on a novel use of literary and iconographie sources. He was among the first to study the social status and artistic images of children, and the changing meaning of death, in western society. It is a tribute to his originality that all subsequent historians acknowledge his inventiveness in establishing these topics for discussion, even though he never held a professional post in history, and disarmed much criticism by describing himself as merely a “ Sunday historian.” Ariès was originally trained in demographic history using orthodox statistical techniques. It was because he recognized the historically specific nature of demographic regimes that he came to study the problem of changing attitudes to children. Accompanying the great structural and economic changes in family life during modernization, he deduced, there must have been an equally profound alteration in the “ idea ” of family life and in the concept of childhood. By the 19th century, the child was the center of both family life and public concern. How had this developed, and was it really a radical change from previous periods? Ariès explored the social images of, and ideas about, children from the Middle Ages to the present in UEnfant et la vie familiale sous l’Ancien Régime (i960; Centuries of Childhood, 1962), proposing a model of the changing social idea of childhood before industrialization. On the basis particularly of pictorial evidence, he concluded that the Middle Ages had no concept of the child: whatever the private relationships between parents and children, there was no social recognition of the particular nature of childhood. Someone too young to take part in social life did not count. Only when they stepped from the domestic setting straight into the adult world, at the early age of about seven years old, dressed like little adults, were children noticed. Their involvement in adult affairs, by training just after infancy for their future role in life, meant that there was no period of general education between infancy and adulthood. In the 16th century, by contrast, children were discovered, initially with indulgence (which Ariès called “ coddling” ), then with increasing anxiety and careful discipline. Forms of controlled schooling developed, inspired by a burgeoning middle-class educational literature. The baby (the French even borrowed the English word) was distinguished from the child, who, dressed differently from adults and contained in schools, was segregated both symbolically and actually from both the home and the larger adult world. This constraint was, from the 17th century onward, continually extended among the middle class, so that by the 19th century adulthood was delayed even further. Ariès admitted to some problems and omissions in his model: it was far from universal. Women were given virtually no education until the 19th century, and child labor was so common among the poor that children continued to enter the adult world early. Even when children were sent to school, they were divided on class lines in the length and form of their education. Moreover, by concentrating on the level of the “ social,” he left his critics to focus on the reality of private relationships, which do not appear to have been characterized

ART H ISTO R Y

by parental attitudes of mistrust and authoritarian control. Yet the striking image of the modern child in limbo between home and work, programmed through an increasingly lengthy education, had been established by Ariès’ study. His work on death was equally dramatic and sweeping. From a medieval period characterized by the omnipresence of death, when people were prepared by ritual remedies for the inevitable, western society has developed a unique inability to cope with mortality. In the early modern period individuals were responsible for making a “ good ” death, reconciling themselves both to God and the living, a process in which the deathbed speeches of the dying person, rather than the ritual ceremonies of the bereaved, became central. By contrast, death in the 1 8th and 19th centuries became an enemy: the focus switched to mourning the death of the other, bitterly resented because, with gradually improving medical knowledge, it was seen as avoidable and unnecessary. The graveyard, with its increasingly elaborate memorials, became a scene of sentimental remembrance. In the modern period, death became invisible, institutionalized and technologically controlled. Society became unable to relate to something monopolized and controlled by medical experts. In both his most famous works, the healthier, longer-living people of modern society were portrayed as uneasy with themselves and others. Care for children as a distinct group was accompanied by segregation, discrimination and mistrust. The physical conquest of death left people unable to deal with it emotionally. Like other revisionist historians (Foucault for example), although from a very different political tradition of Catholic nostalgia, Ariès tried to show that progress at one level brought losses and drawbacks at others. His works are now subject to much more careful empirical evaluation than was possible at their publication. Much of the detailed characterizations seem overdone, and the periodization far too sweeping. Yet historians regularly review Ariès’ contributions because they are the starting point of their own. Pe t er Ru s h t o n a ls o Childhood; Europe: Modern; Family; Mentalities; Sexuality; Vovelle

See

Biography Born Blois, 2 1 July 19 14 . Schooled as a historian, but failed his agrégation. Director of publications and documentation, Institut Français de Recherches Fruitières Outre Mer, a society trading in tropical fruit, 19 4 3 - 7 9 ; proofreader, later director, Plon publishers; director, Ecole des Hautes Etudes en Science Sociales, 19 7 8 - 8 4 . Died Toulouse, 8 February 1984.

Principal Writings H isto ire des p o p u la tio n s françaises et de leurs attitudes d eva n t la vie d ep u is le X V I I l e siècle (A History of the French Population and Their Attitudes Towards Life before the 18th Century), 1948; revised and expanded 1 9 7 1 U E n f a n t et la vie fam iliale sous l ’A n c ie n R é g im e , i960; in English as C entu ries o f C h ild h o o d : A S o c ia l H isto ry o f F a m ily L ife , 19 6 2 E ssais su r l ’ histoire de la m ort en O c c id e n t du M o y e n - A g e à nos jo u r s , 19 7 5 ; in English as W estern A ttitu des T o w a r d D e a th : F ro m the M id d le A g e s to the P resen t , 19 74 L ’ H o m m e d eva n t la m o rt , 19 7 7 ; in English as T h e H o u r o f O u r D e a th , 1980

51

Editor with André Bejin, Sexua lités occid entales, 19 82; in English as W estern Se x u a lity: Pra ctice a n d P recept in P ast a n d Present T im es, 19 85 Im ages de l ’h o m m e d eva n t la m o rt, 19 8 3; in English as Im ages o f M a n a n d D ea th , 19 85 Editor with Georges Duby, H isto ire d e la vie p riv é e , 5 vols., 19 8 5 - 8 7 ; in English as A H isto ry o f P rivate L ife , 5 vols., 19 8 7 - 9 1 E ssa is d e m é m o ire , 19 4 3 - 19 8 3 , 1993

Further Reading Burton, Anthony, “ Looking Forward from Ariès? Pictorial and Material Evidence for the History of Childhood and Family Life,” C o n tin u ity a n d C h a n g e 4 (1989), 2 0 3 - 2 9 Gittings, Clare, D e a th , B u ria l a n d the In d iv id u a l in E a r ly M o d e rn E n g la n d , London: Croom Helm, 19 84 Hanawalt, Barbara A., T h e Ties T h a t B o u n d : P easa nt Fa m ilies in M e d ie v a l E n g la n d , Oxford and New York: Oxford University Press, 1986 Hanawalt, Barbara A., “ Historical Descriptions and Prescriptions for Adolescence,” Jo u r n a l o f F a m ily H isto ry 17 (1992), 3 4 1 - 5 1 Houlbrooke, Ralph, ed., D e a th , R itu a l a n d B erea vem en t, London: Routledge, 1989 Hutton, Patrick H., and Robert I. Wiener, “ Philippe Ariès: Traditionalism as a Vision of History,” P ro ceed in g s o f the A n n u a l M eetin g o f the W estern So ciety fo r Fren ch H isto ry 15 (1988), 38 8 -9 7 Hutton, Patrick H., “ The Problem of Memory in the Historical Writings of Philippe Ariès,” H isto ry a n d M e m o r y 4 (1992), 9 5 -12 2 Johansson, Sheila Ryan, “ Centuries of Childhood /Centuries of Parenting: Philippe Ariès and the Modernization of Privileged Infancy,” Jo u r n a l o f F a m ily H isto ry 12 (1987), 3 4 3 - 6 5 Morel, Marie-France, “ Reflections on Some Recent French Literature on the History of Childhood,” C o n tin u ity a n d C h a n g e 4 (1989),

32 3 -37 -

Pollock, Linda, Fo rg o tten C h ild re n : P a r e n t - C h ild R elations fro m i j o o to 1 9 0 0 , Cambridge and New York: Cambridge University Press, 1983 Vann, Richard T., “ The Youth of Centuries of Childhood,” H isto ry a n d T h e o r y 21 (1982), 2 7 9 - 9 7 Wilson, Adrian, “ The Infancy of the History of Childhood: An Appraisal of Philippe Ariès,” H isto ry a n d T h e o ry 19 (1980),

132.-53

Art History The study of art history has proceeded in much the same way as the study of history itself. Like historians, art historians have always struggled to balance the acts of individuals against the larger movements of society and/or nature. Some philoso phies lean towards one extreme, some the other; most attempt to take both into account. The difference between the two disciplines is obvious only in terms of the word “ art,” and yet “ art ” as an entity is central to a deeper distinction. Historians focus on understanding the process and progress of historical events; the tools, i.e. documents, which they use to achieve that end remain tools, often interchangeable and relatively insignificant in themselves. Although some art historians follow historians closely and use art objects merely as documents to explain historical process, art history on the whole consciously places the nature of art at the core of its approach. Questions concerning the somewhat mysterious relationship between art

52

ART HISTORY

and its maker(s), and questions about creativity itself, must be dealt with before the historical process can be addressed. Art has been produced for millennia; however, the desire to understand the relationship between various art objects within an historical context - a history of art - is a relatively modern phenomenon. An interest in collecting and cataloging art has been around for a much longer time (Pausanias and Pliny provide examples from the first centuries C E ), but catalogues and commentaries about art do not represent art historical thought. They are often impressive and invaluable efforts, but in terms of art history they are generally significant in that they provide information - important raw material. Giorgio Vasari (i 5 11 - 7 4 ) worked very much within the mindset of a collector, but his Le vite de’ piú eccellenti architetti, pittori et scultori italani (1550, revised 1568; The Lives of the Most Eminent Painters, Sculptors, and Architects, 1 9 12 - 15 ) provided new ideas as well; he is, therefore, often considered to be the first art historian. He “ collected” information concerning the lives of Renaissance artists (contemporary artists to him), and his book is largely a compilation of biogra phies. He was, however, interested in “ investigating into the causes and roots of things,” and he arranged his biographies in terms of the infancy, adolescence, and maturity of art. In so doing, Vasari noted the connection between Michelangelo’s work and the learning process that proceeded him, and set the stage for art history. It was J.J. Winckelmann (17 17 - 6 8 ) who perceived the first fully defined model for identifying stylistic development. Although his focus in Geschichte der Kunst des Altertums (1764; The History of Ancient Art, 1849 - 73) centered on Greek art, his principal objective was a search for “ the essential nature of art.” He analyzed original works of art directly and organized the stylistic variations that he found into a sequence of various periods that are related to each other in the same way that periods in the life of a biological organism are related to each other: birth, development, maturity, and decay. This model established art history as a “ scientific” pursuit, not only because of its overt biological overtones, but because of the analytical method that he pursued. Gottfried Semper (1803 - 79) followed Winckelmann in pursuing scientific models. He took the biological parallel a step further and adapted the history of art to evolutionary theory. Art was to Semper what a biological organism was to Darwin - its history forms a continuous, linear process of development from simple to complex towards a single goal. Like nature, art utilizes only a few basic types, modifying them as time progresses. According to Semper, changes in style, as represented by the variously modified types, are brought about by material and technical innovations. Many art historians have rightly criticized this theory for placing the impetus of artistic creation outside of art itself, yet Semper’s recognition that art is influenced by the specific properties of the medium and method with which it is produced is certainly valid. Moreover, Semper’s approach was a significant departure from Winckelmann who looked to various socio-political circumstances for explanations of stylistic change. Semper directed attention to the artistic process, if not to artistic creativity itself. Semper and a growing number of other first generation art historians were interested in the problem of establishing an overall structure for art history. At the same time another group

of scholars were approaching art history from a different angle. Connoisseurship is a branch of art history that can also trace its ancestry back to Winckelmann, at least in terms of Winckelmann’s insistence on analyzing original artwork. Connoisseurs concentrate almost exclusively on individual works of art and are concerned only with determining the authentic “ identity” of those works (i.e. artist, date, provenance); they are not interested in dealing with art history as a sweeping construct, nor are they particularly concerned with its development(s). Bernard Berenson (186 5 - 19 59 ) ranks as one of the best known connoisseur-scholars. Focusing on the 14th and 15th centuries in Italy, he dealt exclusively with the single medium of painting, recognizing, as do almost all modern art historians, that significant changes can occur in style without significant changes in material and techniques (though it is true that such changes are often parallel). However, like Semper, Berenson was attracted by the “ scientific” approach to art history (used here in its broadest sense). He held that connoisseurship “ proceeds as scientific research always does, by the isolation of the characteristics of the known and their confrontation with the unknown.” Expanding upon the pioneering efforts of Giovanni Morelli (18 16 - 9 1), Berenson held that the hand of a specific artist can be identified in a work of art by the comparison of minute details in that work with those same aspects evident in a work undoubtedly proven to be by the same artist. He focused on unnecessary details, such as ears, hands, and drapery folds, because they tended to be unconsciously executed, and were more likely to be a stereotypical, and therefore unchanging, aspect of the artist’s work. Berenson utilized documentary information, but if forced to choose between archival sources and morphological analysis, he put more trust in the latter. He went even further, stating that the “ essential equipment” of an experienced connoisseur was a sense of quality, not any methodological system. Connoisseurship - particularly when practiced with this carefully cultivated “ sense of quality ” - has produced remarkable results for the history of art. Berenson himself identified many Italian paintings. Sir John Beazley is another notable example: he identified hundreds of previously unknown ancient Greek vase painters solely through his study of pottery frag ments scattered in museums around the world. Even in less gifted hands, connoisseurship remains important to art history because it calls attention to the necessity of looking very closely at the work of art itself. Connoisseurship’s basic premises were quickly adopted by almost all historians, but it remained a peripheral movement nevertheless. Most continued to be fascinated with the larger question of the development of style. The writings of G.W.F. Hegel ( 17 7 0 - 18 3 1) provided a methodological vision that had significant influence on the development of art history as a discipline. Hegel was not devoted to art specifically, but his overall philosophy included art, identifying it, along with religion and philosophy, as a manifestation of the “ Absolute Infinite Spirit.” His major contribution was the construction of a dialectic system - a force that propels all aspects of the world to constant movement through struggle. This repeating model of thesis-antithesis-synthesis was seized upon by many historians as a means by which to explain stylistic change.

ART HISTORY In his famous Kunstgeschicbtliche Grundbegriffe ( 19 15 ; Principles of Art History, 1932), Heinrich Wolfflin (186 4 - 1945) developed an important art historical model that was Hegelian in terms of its dialectical basis. Like the connoisseurs, Wolfflin developed a system of morphological analysis, but with his analysis he endeavored to demonstrate fundamental differences between period styles and national styles of a given period. He created five pairs of polar concepts, called Grundbegriffe, which he applied to the Renaissance (described by linear, planer, closed, composite, and clear) and the Baroque (represented by the oppo site pole: painterly, recessional, open, fused, and relatively unclear). He claimed that the history of art shifted continually between these two very different modes of vision; that, though opposed, these two modes of vision are of equal value; and that the development from one to the other is internal, logical, and can ’t be reversed (i.e. the Baroque could not exist without the Renaissance preceding it). He refused to venture beyond the statement that change is intrinsic to the system and that movement between the two closed poles is somehow self-activated. The rigidity of his system is criticized: it is not applicable to other periods, nor does it take into account the possibility that his dialectical characteristics could exist simultaneously in a period, or even in a specific work of art. Even the Renaissance and Baroque periods were not as homogenous as he suggested; for instance, he totally overlooked Mannerism. His morphological, comparative approach, however, is still utilized; furthermore, it provided a descriptive terminology that still forms the basis for discussions of style, however diverse the respective examples may be. Like Wolfflin, Alois Riegl (18 58 - 19 0 5) studied form, draw ing attention away from the value judgments that permeated art history. “ M ajor ” and “ minor” arts were dealt with on the same level. Phases of art previously seen as periods of decline, such as Late Antique and Baroque, were seen by Riegl as an integral part of a continuous development, one style growing from the one before it and leading to the next. Riegl’s theory can be seen as a marriage between Semper’s evolutionary approach and Wolfflin’s cyclical approach. Polar concepts were used to describe changes in style; for Riegl, changes could be encapsulated in terms of “ haptic” and “ optic.” Style moves organically from one pole to the other and back again, infusing the “ linear” progression of art history with a spiral twist. The similarity of Riegl’s theory to Semper’s theory ends abruptly with their common evolutionary model; Riegl developed his concept of Kunstwollen as a direct antithesis to Semper’s view of materialistic and technological causation. Kunstwollen is both his greatest achievement and his most criticized fault. With Kunstwollen, Riegl argued that the impetus of art was not to be found in external forces, not in materials, techniques, or even nature, but rather in art itself. He placed art firmly within the realm of artistic creativity, but simultaneously stripped the individual artist of personal power over creativity by implying that Kunstwollen is an autonomous, almost supernatural force drawn from a shared national identity that necessarily governs the work of all artists. Nevertheless, although Kunstwollen remains confusing and almost universally rejected due to its vagaries, Riegl’s detailed analysis of style and his attempt to place formal characteristics of style in relationship with other styles and a larger sociohistorical scope continues to serve as an extremely influential art historical model.

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Questions prompted by Riegl’s work led art historians to consider more closely the role of culture in art history. M ax Dvorak ( 18 7 4 - 19 2 1) looked to literature, philosophy, science, and economics for parallels, not causes, of stylistic changes in art. His theory states that all human endeavor is caused by a spiritual outlook; for instance, the art and philosophy of a given period were both derived from, and then became “ symptomatic ” of, this spiritual and ideological force, Geistesgeschichte. Erwin Panofsky (1892 - 1968) also believed in an intrinsic link between art and culture, although he did not share Dvorak’s (or Hegel’s) sense of an overwhelming, all-powerful spirit-of-the-age. He simply held that cultural history could shed light on art history and visa versa. His methodology began with basic formal analysis, proceeded to identify and analyze subject matter, and then, through the comparative use of docu mentation, grew to embrace the aspects of cultural history. According to Panofsky, an image can depict one thing, represent another, and still express aspects of “ something else.” The study of an art work as a “ symptom ” of “ symbolic value ” on this third level is called iconology. In spite of the fact that iconological approaches present dangers - for example, when to stop searching for hidden meaning, perhaps finding it where it does not exist - iconology is valuable because it acknowledges that art is not created in a vacuum and that stylistic changes are tied to cultural roots, consciously or unconsciously. The issue of consciousness, in turn, became significant throughout the scholarly world. Psychology and psychoanalysis raised many questions that affected all studies of human actions. Sigmund Freud (18 56 - 19 39 ) was not an art historian, but he dealt with art directly in some of his writings and he exerted great influence on a great many disciplines including art history. One of his books focused on a single passage in Leonardo da Vinci’s notebooks, highlighting its importance as Leonardo ’s only reference to his childhood. He proceeded to psychoanalyze the sexual implications of this memory combining it with biographical information of Leonardo ’s early life. He then discussed how this psychological influence manifested itself in Leonardo’s art, holding that it is specifically revealed by compositional innovations in his painting of the Virgin and Child with St. Anne, and in the smile of both the Virgin and the Mona Lisa. Critics point to the unreasonable amount of weight placed on one brief, vague comment and note that Freud overlooked the possibility that formal, socio logical, and cultural factors could explain Leonardo’s innovations equally well and probably even more successfully. The critics themselves, however, failed in a similar way; they overlooked the possibility that psychological factors can indeed influence artistic innovations. The suggestion of this possibility, even if it was overstated, is Freud’s contribution to the history of art. A number of art historians, notably Ernst Kris (19 0 0 - 19 57), have pursued his ideas. Oddly enough, psychology can have an effect similar to Riegl’s Kunstwollen; it puts artistic creativity in the hands of the artist, then takes it away, not by giving it to external forces in general, but to external forces acting on the psyche of the artist. Ernst Gombrich (1909 - ) is one who attempted to reconcile the psychological influences on an artist with the personal freedom of artistic expression; he also sought a reconciliation of psychology in general with formal analysis. Central to his theory is the belief that all art, even representational art, remains basically

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conceptual. Gombrich’s theory of making and matching is also described as a system of schemata and corrections. Schemata are conceptual images caused and perpetuated by tradition. Art can exist as schemata alone, but a constant willingness to change, correct, and revise also exists, so schemata can also serve as the starting point from which an individual artist builds. Tradition then adapts to incorporate individual innovations, thus creating a continuous, but not necessarily linear, process. Gombrich maintained that the effect of psychology on an artist causes him to reconsider his perception of nature by comparing it to nature, thereby altering his view and modifying his use of formal elements in making schemata. Components of style, however, always remain formal and should be explained in empirical terms. If psychology provided one way of looking at the relationship between the world and the art produced within it, other modern social philosophies and movements provided other ways. Marxist philosophy, for instance, made a clear mark on the history of art, particularly in the work of Frederick Antal (18 8 7 - 19 54 ). Antal held that art works can be explained by political, economic, and social factors. He utilized the now familiar concept of antithetical polarities to describe a dichotomy of styles; however, his distinctions were not based on formal aspects but on the class which produced the work of art, claiming that the acceptance of a particular art work by a particular class proves that it was produced for that class. Style is defined as being either “ rational” or “ irrational.” “ Rational ” art is connected to the emergence of a progressive trend which strives to bring upper and lower classes together (it is usually produced by an active middle class), while “ irra tional” art (i.e. emotional, sentimental, mystical art) reflected an attitude that accepted the division of classes. Even without an overtly Marxist point of view, social history on the whole was increasingly incorporated into art history. Studies on patronage, church history, and political issues in relation to art and artists had long been part of the art historical tradition; in the 20th century, however, many scholars looked to social factors to explain (or at least parallel) the progress of art itself. Arnold Hauser provided the most ambitious presentation of this idea in his multivolume A Social History of Art (19 5 1). Social causes can only rarely be proven to influence the formal elements of art, so social art historians usually stress content. The examination of iconography in light of political, economic, and social events as well as literature and science, can, to a certain extent, be considered along the same lines as iconology and should be valued for the same reasons. Yet, these theories tend to reintroduce a system of value judgment to art history that does not derive from the work of art itself. In iconology, formal aspects of style and external forces maintain a reciprocal relationship, whereas social theories often reduce style to a mere reflection of an outer impulse. The connection between social issues and art, however, has been clearly drawn and remains a significant part of art historical thought. Art history today is very much the sum total of its own history. All the ideas that have been utilized in the search for an overarching structure for art history are still at the core of art historical studies. All ideas, in spite of their frequently conflicting natures, serve to enrich the discipline. There is,

however, less of an overt effort to establish an overarching structure as there has been in the past. Overall perspectives from which one can view art history are currently more popular. Following the examples of the psychological and the social approaches that were developed earlier in the century, philosophical concepts such as deconstructionism and semiotics, and social concepts such as feminism and multiculturalism have now taken root. The many fields of study in non-western art history have also grown significantly in recent years. A parallel historiography for non-western art is being developed and will, no doubt, add a new direction to the established tradition that has largely (but not exclusively) concentrated on western art. J u l ie t G r a v e r Is t r a b a d i a ls o Burckhardt; Design; Gombrich; Panofsky; Pevsner; Schama; Winckelmann

See

Further Reading

Antal, Frederick, C lassicism a n d R o m a n tic ism , w ith O th e r Stud ies in A r t H isto ry , N ew York: Basic Books, and London: Routledge, 1966 Berenson, Bernard, “ Rudiments of Connoisseurship,” in his T h e S tu d y a n d C riticism o f Italian A r t , London: Bell, 19 02; republished as R u d im en ts o f C o n n o is se u rsh ip , New York: Schocken, 19 6 2 Carrier, David, P rin cip les o f A r t H isto ry W ritin g , University Park: Pennsylvania State University Press, 19 9 1 Dvorak, M ax, Idealism u s u n d N a tu ra lism u s in d er g o tisch en S k u lp tu r u n d M a le r e i , Munich: Oldenbourg, 1 9 18 ; in English as Idealism a n d N a tu ra lism in G o th ic A r t , Notre Dame, IN: University of Notre Dame Press, 19 6 7 Focillon, Henri, Vies des fo rm e s , Paris: Alcan, 19 3 4 ; in English as T h e L ife o f F o rm s in A r t , New Haven: Yale University Press, and London: Oxford University Press, 19 4 2 Freud, Sigmund, E in e K ind h eitserin n eru n g des L e o n a r d o d a V in ci, Leipzig: Deuticke, 19 10 ; in English as L e o n a r d o da V in ci: A P sy c h o se x u a l S tu d y o f Infantile R em in iscen ce, New York: Moffat Yard, 19 16 , London: Kegan Paul, 19 2 2 Gombrich, E.H., “ Meditations on a Hobby Horse; or, Roots of Artistic Forms,” in Lancelot Whyte, ed., A sp e c ts o f F o rm : A S y m p o s iu m on F o rm in N a tu re a n d A r t , New York: Pelligrini and Cudahy, and London: Lund Humphries, 1 9 5 1 ; republished in M ed ita tio n s on a H o b b y H o rse , a n d O th e r E ssa y s on the T h e o r y o f A r t , London: Phaidon, 19 63 Gombrich, E.H., A r t a n d Illu sio n : A S tu d y in the P s y c h o lo g y o f P icto ria l R ep resen tatio n , London: Phaidon, and New York: Pantheon, i960 Gombrich, E.H., “ Style,” in David L. Sills, ed., In ternation al E n c y c lo p e d ia o f the S o c ia l S cien ces, 19 vols., New York: Macmillan, 19 6 8 - 9 1, 1 5 :3 5 3 - 6 0 Hauser, Arnold, S o zialgeschichte d e r K unst u n d L itera tu r, 2 vols., Munich: Beck, 19 5 3 ; in English as A S o c ia l H isto ry o f A r t , 2 vols., London: Routledge, 1 9 5 1 , and 4 vols., New York: Vintage, 19 51 Hauser, Arnold, P h ilo so p h ie d er K unstg esch ich te, Munich: Beck, 19 58 ; in English as T h e P h ilo so p h y o f A r t H isto ry , New York: Knopf, and London: Routledge, 19 59 Kleinbauer, W. Eugene, M o d e r n P ersp ectives in W estern A r t H isto ry : A n A n th o lo g y o f T w e n tie th - C e n tu ry W ritings o n the V isu al A rts,

N ew York: Holt Rinehart, 19 7 1 Klingender, Francis D., M a rx ism a n d M o d e r n A r t : A n A p p r o a c h to S o c ia l R e a lism , London: Lawrence and Wishart, 19 4 3 ; N ew York: International 19 45 Kris, Ernst, P sy ch o a n a ly tic E x p lo ra tio n s in A r t , N ew York: International University Press, and London: Allen and Unwin, 19 5 3

ASTROLOGY K u b ie r , G e o r g e , T h e S ha pe o f T im e : R e m a rk s on the H isto ry o f

T h in g s , N e w H a v e n : Y a le U n iv e r s it y P re ss, 19 6 2 M in o r , V e r n o n H y d e , A r t H is t o r y ’s H isto ry , E n g l e w o o d C l if f s , N J : P r e n tic e H a ll ,

1994

M o r e ll i, G i o v a n n i , K unst - kritisch e S tud ien ü b er italienische M a lerei,

3 vols., Leipzig: Brockhaus, 18 9 0 - 9 3 ; in English as Italian P a in ters: C ritica l Studies o f T h e ir W o rk s, 2 vols., London:

Murray, 18 9 2 - 9 3 Pacht, Otto, “ Art Historians and Art Critics, 6: Alois Riegl,” B u rlin g to n M aga zin e (May 1963), 18 8 - 9 3 Panofsky, Erwin, Studies in Ic o n o lo g y : H u m a n istic T h em es in the A r t o f the R en aissan ce, New York: Oxford University Press, 19 39 Panofsky, Erwin, M e a n in g in the V isu al A rts, Garden City, NY: Doubleday, 19 55 Podro, Michael, T h e C ritical H istorian s o f A rt, New Haven: Yale University Press, 19 82 Preziosi, Donald, R e th in k in g A r t H isto ry : M edita tio n s on a C o y Scien ce, New Haven: Yale University Press, 1989 Riegl, Alois, Stilfragen: G ru n d le g u n g en zu einer G esch ich te d er O rn a m e n tik (Questions of Style: Foundations for a History of Decorative Art), Berlin: Siemans, 18 9 3 Riegl, Alois, D ie sp ä t - rö m isch e K u n st - In d u strie (The Late Roman Art Industry), 2 vols., Vienna: K.K. Hof- und Staatsdruckerei, 19 0 1 Riegl, Alois, D ie E n tsteh u n g d er B a ro c k - k u n st in R o m (The Origin of Baroque Art in Rome), Vienna: Schroll, 1908 Roskill, Mark, W h at is A r t H is to r y f, New York: Harper, and London: Thames and Hudson, 19 76 Semper, Gottfried, D e r Stil in d en technischen u n d tektonischen K ü n sten ; oder, P ra ktisch e A e sth e tik : E in H a n d b u c h fü r Techn iker ; K ünstler u n d K u n stfreu n d e (Style in the Technical and Tectonic Arts: A Handbook for Technicians, Artists, and Art Lovers), 2 vols., Frankfurt: Verlag für Kunst und Wissenschaft, 18 6 0 - 6 3 Shapiro, Meyer, “ Style,” in Morris Philipson, ed., A n th r o p o lo g y T o d a y , Chicago: University of Chicago Press, 19 5 3 Shapiro, Meyer, “ Leonardo and Freud: An Art-Historical Study,” Jo u r n a l o f the H isto ry o f Ideas 17 (1956), 1 4 7 - 7 8 Vasari, Giorgio, L e vite d e ’ p iü eccellenti architetti, p ittori et sculto ri italani, 3 vols., Florence: H. Torrentino, 15 50 , revised 15 6 8 ; in English as L iv e s o f the M o st E m in e n t P ainters, S cu lp to rs a n d A rch itects, 10 vols., London: Macmillan -Medici Society, 1 9 1 2 - 1 5 , reprinted New York: AM S, 19 76 Winckelmann, J.J., G esch ich te d er K u n st des A lte rtu m s, Dresden: Walterischen, 176 4 ; in English as T h e H isto ry o f A n c ie n t A r t, 4 vols., Boston: Osgood, 18 4 9 - 7 3 Wölfflin, Heinrich, D e r K lassische K u n st: E in e E in fü h ru n g in die italienische R en aissan ce, Munich: Bruckmann, 1899; in English as C la ssic A r t : A n In trod u ctio n to the Italian R en a issa n ce, London and N ew York: Phaidon, 19 5 2 Wölfflin, Heinrich, K unstgeschichtliche G ru n d b e g riffe: D a s P ro b lem d er Stilen tw icklu n g in d er neueren K unst, Munich: Bruckmann, 1 9 1 5 ; in English as P rin cip les o f A r t H istory: T h e P ro blem o f the D e v e lo p m ent o f Style in L a te r A rt, New York: Holt, and London: Bell, 19 3 2 Wollheim, Richard, “ Giovanni Morelli and the Origins of Scientific Connoisseurship,” in his O n A r t a n d the M in d , Cambridge, M A: Harvard University Press, and London: Allen Lane, 19 74

Astrology This discussion is necessarily both brief and summary, and mainly concerns the literature in English. Astrology is the practice of relating the heavenly bodies to lives and events on earth, and the tradition that has thus been generated. Within that tradition there are many different ways of doing so, and ration ales - from highly technical (but impassioned) arguments for one way of dividing up space into “ houses” as against others, to larger conceptual questions such as whether the stars should

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be construed as signs or actual causes. A broad initial definition is best, however, so as not to miss out too much. There are three good reasons to study the history of astrology. First is its distinctiveness as a form of knowledge whose basic concepts and practices have lasted an extraordinarily long time - since their origins in roughly 2000 BCE, in Mesopotamia - interacted with a wide array of other traditions - notably Platonism and neo-Platonism, Aristotelianism, Christianity (especially Thomism, but also the antagonism of Augustine and the Protestant Reformation), humanism, magic (initially Hermetic), and occultism, and modern science - and succeeded in adapting to such a variety of often distinctly hostile social and intellectual conditions. Second, between about 130 0 and 170 0 , astrology was a relatively integral part of European society and culture. And third, even as a relatively marginal pursuit after around 1700, it continued to be attacked in ways that are very revealing about the attackers. The latter have principally featured the Christian church (since its origins), natural philosophers and scientists (mostly since the mid - 17th century), and literati and professional intellectuals (beginning in the 18th century). Mistaking polemical assertion for historical fact has often resulted in perennially and laughably exaggerated reports of the “ death ” of astrology by some historians, especially historians of science, who ought to have known better. There are also at least two reasons why its historiography is difficult, and as challenging as it is rewarding. One is the weight of mainstream intellectual opinion against it - something whose origins lie precisely in the history being studied, but which is frequently restimulated by astrology ’s continued existence, and makes the resort to “ Whiggish ” anachronism a constant temptation. Another problem is that astrology once frequently united disciplines long since sundered, and in some cases suppressed, and whose fragmentation modern academies have inherited: astronomy, natural philosophy, medicine, natural magic, religious prophecy, divination, and what is now psychology and sociology. The temptation therefore is to doubt that such a now -fabulous beast ever existed. These problems have more or less defined the historiography of astrology, which I shall illustrate using three different exam ples. Respecting the history of Greek astrology, the historian of science George Sarton’s early work was badly marred by his open contempt for the astrologers he was studying (based, it would seem, in his feelings about their modern heirs). This included his eagerness to salvage ancient “ astronomy ” but jettison the “ astrology ” from which it was inseparable; in this Sarton was unfortunately typical of historians of science until about the 1980s. (He was memorably taken to task in 19 5 1 by Otto Neugebauer in a short paper, “ The Study of Wretched Subjects.” For a contrasting approach to the same subjectmatter that successfully avoided anachronism, see the work of G.E.R. Lloyd, who pointed out that the explanandum is not “ the victory of rationality over magic: there was no such victory: but rather how the criticism of magic got some purchase.” Tamsyn Barton has followed up and developed this lead in her recent work on Greek astrology. Another revealing case-study is the historiography of Hermetic and neo-Platonic astrology which was stimulated by the work of D.P. Walker and Frances Yates, in particular her Giordano Bruno and the Hermetic Tradition (1964). It is true

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that Yates sometimes overstated her case; on the other hand, that was arguably necessary after decades of scholarship which massively ignored and/or misrepresented this important and fascinating area, one which - even at the Warburg Institute where she worked, and whose founders Warburg and Saxl were responsible for pioneering studies such as Saturn and Melancholy (1964) - was, both then and since, often apparently regarded as embarrassing and somewhat disreputable. Only as a result of her labors, however, has a relatively balanced and full assessment of magic, including magical astrology and astrological magic, become possible. M y third example concerns early modern astrology in England, when it attained extraordinary importance in 16 4 0 1700. Keith Thomas ’ Religion and the Decline of Magic (19 7 1) has been highly influential in Britain, but his account is somewhat skewed contextually by anachronistically asking the wrong question - why did “ so many otherwise intelligent people” believe in astrology? - instead of: why did so many people stop believing in it, who exactly did, and why? These are the questions that Patrick Curry’s Prophecy and Power (1989) sets out to answer instead. For another very different book that tries to do the same, see Ann Geneva ’s Astrology and the SeventeenthCentury Mind (1995). Geneva’s approach is “ internalist” and closely textual, whereas Curry’s is “ externalistic ” and broadly sociological; yet their common commitment to a history that takes the beliefs and practices of its historical subjects seriously, in their own terms, shows that divide is not fundamental. Finally, there is a recent and encouraging tendency for scholars to become more familiar with the actual practices of astrologers in order to write better histories, and astrologers themselves to become involved in and/or produce more scholarly studies of their subject. An example of the former is the recent edition of Abu M a ’ Shar’s Abbreviation of the Introduction to Astrology (1994) by Charles Burnett et al.; of the latter, the translations of Greek, Latin, and Arabic texts by Project Hindsight in the US, and the editions of Lilly, Gadbury and others by Regulus Press in England. Pa t r i c k C u r r y

C a m p i o n , N ic h o la s , T h e G re a t Year: A stro lo g y, M illen aria n ism ,

a n d H isto ry in the W estern T ra d itio n , N e w Y o r k : A r k a n a ,

1994 Capp, Bernard, A s tro lo g y a n d the P o p u la r Press: E n g lish A lm a n a c s, i j o o - 1 8 0 0 , London: Faber, 19 79 Carey, Hilary, C o u rtin g D isa ster: A stro lo g y at the E n g lish C o u rt a n d U n iversity in the L a te r M id d le A g e s , London: Macmillan, and New York: St. Martin ’s Press, 1992 Caroti, Stefano, L a critica contra l 'a stro lo gia d i N ic o le O re sm e e la sua influenza nel m e d io e v o e nel R in a scim en to (Nicole Oresme’s Critique of Astrology and Its Influence in the Middle Ages and the Renaissance), Rome: Lincei, 19 79 Cumont, Franz, A s tro lo g y a n d R elig io n a m o n g the G re e k s a n d R o m a n s , London and New York: Putnam, 1 9 1 2 Curry, Patrick, ed., A stro lo g y, Scien ce a n d S o ciety: H isto rica l E s s a y s , Woodbridge, Suffolk: Boydell, 19 8 7 Curry, Patrick, P ro p h e c y a n d P o w e r : A stro lo g y in E a r ly M o d e rn E n g la n d , Cambridge: Polity Press, and Princeton: Princeton University Press, 1989 Curry, Patrick, A C o n fu s io n o f P ro p h ets: Victorian a n d E d w a r d ia n A s tr o lo g y , London: Collins and Brown, 19 9 2 Ernst, Germana, R eligion e, rag ione e natura ricerch e su T o m m a so C a m p a n ella e il tardo R in a scia m en to (Religion, Reason, and Nature: Research on Tommaso Campanella and the Late Renaissance), Milan: Angeli, 19 9 1 Federici-Vescovini, Graziella, A stro lo g ia escienza: L a crisi d ell ' a ris totelism o su l cadre d e Trecento e B ia g io Pela can i da P arm a

(Astrology and Science: The Crisis of Aristotelianism in the 14th Century and Biagio Pelacani of Parma), Florence: Vallecchi, 19 79 Festugière, André Jean, L a R évélatio n d ' H e rm è s Trim égiste (The Revelation of Hermes Trismegistus), 4 vols., Paris: Lecoffre, 19 4 9 - 5 4 F ie ld , J . V . , “ A

L u t h e r a n A s t r o lo g e r : J o h a n n e s K e p le r , ” A r c h iv e fo r

H isto ry o f the E x a c t Scien ces 31 (1984), 1 8 9 - 2 7 2 G a r i n , E u g e n io , L o zo d ia co della vita: la p o le m ic a su ll ' astrolgia d a l

Trecento a l C in q u e c e n to , R o m e : L a t e r z a , 19 76 ; in E n g lis h as A stro lo g y in the R en aissan ce: T h e Z o d ia c o f L ife , L o n d o n : R o u t le d g e , 1983 Geneva, Ann, A s tro lo g y a n d the Se ve n te e n th - C e n tu ry M in d : W illiam L illy a n d the L a n g u a g e o f the Stars , Manchester: Manchester University Press, 19 95 G o d w i n , J o s c e ly n , T h e T h e o so p h ic a l E n lig h te n m e n t , A l b a n y : S t a t e U n iv e r s it y o f N e w Y o r k P re ss , 1994 G u n d e l, W ilh e lm a n d H a n s G e o r g G u n d e l, A stro lo g u m en a : D ie

a stro log isch e L itera tu r in d er A n tik e u n d ihre G esch ich te S e e a ls o G a r i n ; T h o m a s , K .

( A s t r o lo g e u m e n a : A s t r o lo g ic a l L it e r a tu r e in A n t i q u i t y a n d Its H i s t o r y ) , W i e s b a d e n : Ste in e r,

Further Reading Allen, Don Cameron, T h e S ta r - C ro sse d R en a issa n ce: T h e Q u a rr e l a b o u t A s tro lo g y a n d Its Influence in E n g la n d , Durham, N C: D u k e U n iv e r s it y P re ss , 19 4 1; L o n d o n : C a s s , 19 6 7 B a ig e n t , M i c h a e l , F ro m the O m e n s o f B a b y lo n : A stro lo g y a n d

A n c ie n t M e so p o ta m ia , L o n d o n : P e n g u in , 1994 B a r t o n , T a m s y n , A n c ie n t A s t r o lo g y , L o n d o n a n d N e w Y o r k :

1994 Barton, Tamsyn, P o w e r a n d K n o w le d g e : A stro lo g y, P h ysio n o m ics, a n d M e d ic in e u n d e r the R o m a n E m p ir e , Ann Arbor: University of Michigan Press, 19 94 Boll, Franz, Stern g lau be u n d Stern d eu tu n g: D ie G esch ich te u n d das W esen d er A stro lo g ie (Belief in the Stars and Reading the Stars: The History and Nature of Astrology), Leipzig: Teubner, 19 18 Bouche-Leclercq, Auguste, L A s t r o lo g ie G r e c q u e (Greek Astrology), Paris: Leroux, 1899 Burnett, Charles, ed., A d e la r d o f B a th : A n E nglish Scientist a n d A ra b ist o f the E a rly T w elfth C e n tu ry , London: Warburg Institute, 19 87 Butler, Jon, “ Magic, Astrology, and the Early American Religious Heritage, 16 0 0 - 1 7 6 0 , ” A m e rica n H isto rica l R e v ie w 84 (1979), 317 -4 6 R o u t le d g e ,

1966

H a lb r o n n , J a c q u e s , L e M o n d e j u i f et l ' A s tr o lo g ie : H isto ire d ' u n

v ie u x co u p le ( T h e J e w is h W o r ld a n d A s t r o lo g y : T h e H i s t o r y o f a n O l d C o u p le ) , M i la n : A r c h a e ,

19 79

H o w e , E llic , U rania ' s C h ild re n : T h e Strange W o rld o f the

A stro lo g e rs , London: Kimber, 19 6 7; reprinted as A stro lo g y a n d the T h ir d R e ic h , 1984 Hübner, Wolfgang, D ie E igen sch a ften d er T ierkreiszeichen in d er A n tik e : Ih re D a rstellu n g u n d V e rw e n d u n g un ter b eso n d erer B erü ck sich tig u n g des M a n illu s (The Attributes of the Zodiac in Antiquity: Uses and Portrayals, with Special Reference to Manilius), Wiesbaden: Steiner, 19 82 Kitson, Annabella, ed., H isto ry a n d A stro lo g y : C lio a n d Urania C o n fe r , London: Unwin, 1989 K n a p p i c h , W ilh e lm , G esch ich te d er A stro lo g ie ( T h e H i s t o r y o f A s t r o l o g y ) , F r a n k f u r t : K lo s t e r m a n n ,

19 6 7

L a b r o u s s e , E lis a b e t h , L ' entrée d e Saturne au lio n (l ' éclip se d e so leil

d u 1 2 aoû t 1 6 5 4 ) ( T h e E n t r a n c e o f S a tu r n in to L e o : T h e E c lip s e o f th e S u n o f

12

A u gu st

16 54 ),

T h e H a g u e : N ijh o ff,

19 74

L e m a y , R ic h a r d , Jo s e p h , A b u M a sh a r a n d L a tin A ristotelian ism in

the T w elfth C e n tu ry: T h e R e c o v e r y o f A risto tle ' s N a tu ra l P h ilo so p h y T h ro u g h A r a b ic A s t r o lo g y , B e ir u t: A m e r ic a n U n iv e r s it y o f B e ir u t ,

19 6 2

AUSTRALIA Leventhal, Herbert, In the S h a d o w o f the E n lig h te n m e n t: O ccu ltism a n d R en aissan ce Scien ces in E ig h te e n th - C e n tu ry A m e r ic a , New York: New York University Press, 19 76 Lilly, William, C h ristian A s t r o lo g y , 1 6 5 1 ; reprinted London: Regulus, 19 85 Lindsay, Jack, T h e O rig in s o f A s t r o lo g y , London: Muller, and New York: Barnes and Noble, 19 7 1 Lipton, Joshua, T h e R a tio n a l E va lu a tio n o f A s tro lo g y in the P e rio d o f A r a b o - L a t in T ran slation , c . 1 1 2 6 - 1 1 8 7 A D , Berkeley: University of California Press, 19 78 Lloyd, Geoffrey Ernest Richard, M a g ic , R ea so n a n d E x p e rie n c e : Studies in the O rig in s a n d D e v e lo p m e n t o f G re e k S cien ce,

Cambridge and N ew York: Cambridge University Press, 19 79 Long, A.A., “ Astrology: Arguments p r o and c o n tra , ” in Jonathan Barnes et a i , eds., Scien ce a n d S p ecu la tio n : Stud ies in H ellen istic T h e o ry a n d P ra ctice, Cambridge and New York: Cambridge University Press, 19 8 2 M a ’ Shar, Abu, A b b r e v ia tio n o f the In tro d u ctio n to A stro lo g y , edited by Charles Burnett, Keiji Yamamoto, and Michio Yano, Leiden and N ew York: Brill, 1994 Miiller-Jahncke, Wolf-Dieter, A stro lo g isc h - M a g isc h e T h e o rie u n d P ra x is in d er H e ilk u n d e d er friih en N e u z e it (Astrological-Magical Theory and Practice in the Healing Arts of the Early Renaissance), Stuttgart: Steiner, 19 8 5 Neugebauer, Otto, T h e E x a c t Scien ces in A n tiq u ity , Copenhagen: Munksgaard, 1 9 5 1 ; Princeton: Princeton University Press, 19 5 2 Neugebauer, Otto, “ The Study of Wretched Subjects,” Isis 42 (19 5 1), i n North, John D., “ Astrology and the Fortunes of Churches,” C en tau ru s 24 (1980), 1 8 1 - 2 1 1 North, John D., H o ro sc o p e s a n d H isto ry , London: Warburg Institute, 1986 Ptolemy, Tetra b ib lo s, edited by Frank E. Robbins, Cambridge, M A: Harvard University Press, 1940 Saxl, Fritz, Raymond Klibansky, and Erwin Panofsky, Saturn a n d M e la n c h o ly : Studies in the H isto ry o f N a tu ra l P h ilo so p h y, R elig io n a n d A r t , London: Nelson, and New York: Basic Books, 1964

Simon, Gérard, K ep le r: astro n om e, a stro log ue (Kepler: Astronomer, Astrologer), Paris: Gallimard, 19 79 Tester, Jim, A H isto ry o f W estern A s tro lo g y , Woodbridge, Suffolk: Boydell, 19 8 7 Thomas, Keith, R e lig io n a n d the D e c lin e o f M a g ic : Studies in P o p u la r B eliefs in Sixteen th - a n d Se ve n te e n th - C e n tu ry E n g la n d ,

London: Weidenfeld and Nicolson, and New York: Scribner, 19 7 1 Thorndike, Lynn, A H isto ry o f M a g ic a n d E x p e rim e n ta l S cien ce, 8 vols., New York: Macmillan, 1 9 2 3 - 5 8 Walker, Daniel Pickering, S p iritu al a n d D e m o n ic M a g ic fro m F icin o to C a m p a n e lla , London: Warburg Institute, 19 58 ; Notre Dame, IN: University of Notre Dame Press, 19 7 5 Webster, Charles, F r o m P aracelsus to N e w t o n : M a g ic a n d the M a k in g o f M o d e rn Scien ce, Cambridge and New York: Cambridge University Press, 19 8 2 Yates, Frances A., G io r d a n o B ru n o a n d the H erm etic Tradition , Chicago: University of Chicago Press, and London: Routledge, 19 64 Zambelli, Paola, ed., “ A stro lo g i ha llucinati ” : Stars a n d the E n d o f the W o rld in L u t h e r ’s T im e , Berlin and New York: de Gruyter, 1986 Zambelli, Paola, T h e Sp ecu lu m A stro n o m ie a n d Its E n ig m a : A stro lo g y , T h eo lo g y, a n d S cien ce in A lb e rtu s M a g n u s a n d H is C o n tem p o ra rie s, Dordrecht and Boston: Kluwer, 19 9 2

Australia The modern history of the island continent is an interesting example of British expansion, a case study in the dispossession of an indigenous people, a frontier society worthy of contrast

57

with the American West and Argentina, a good instance of a traditional masculinist culture, a rich theater for working-class culture and politics, and a textbook example of a modern multicultural society. It is also, curiously, a nation which decolonized without a war of independence, and achieved democracy without popular insurrection. It has a rich historiographical tradition based on its public universities and its large reading public. Despite the tiny size of its population, Australian scholars contribute 2 per cent of the world’s new knowledge each year, including historical knowledge. In the colonial period there had been several significant histories documenting the early settlements, mainly for the benefit of British readers. After the federation of the six colonies in 19 0 1, the first major modern work was the multivolume history of Australia’s involvement in World War I, edited by a journalist turned professional historian, C.E.W. Bean. Bean used his experience as a war correspondent to good effect, describing the conflict from the common soldier’s point of view, and he found himself in some demand advising other war historians around the English-speaking world. The set of twelve red-spined volumes sold well throughout Australia, forming a valuable reference collection in a nation which had lost 60,000 of a pop ulation of only five million. The other two popular historians of the period were the academic Sir Keith Hancock, whose Australia (1930) remained a key interpretive text for half a century, and the left-wing populist Brian Fitzpatrick. Fitzpatrick argued that British capital had dominated Australian history and that “ the people” had been thwarted in their attempts to own their own land. After World War II the variety and depth of Australian history increased quickly. The number of universities and their student population increased dramatically in the postwar period. Melbourne’s traditionally strong History department was joined by new sister departments in other parts of Australia. Manning Clark was appointed to the first chair in Australian history, at the Australian National University (then Canberra University College) in 1949 and began the work on his epic six-volume Fiistory of Australia (1962 - 87). Clark was the first to take seriously the content of the ideas which constituted debates about the nation ’s identity. Left-wing critics accused him of not understanding materialist history; the much larger number of right-wing adversaries were enraged by his iconoclasm. Clark ’s protégés include Michael Roe. Roe ’s Quest for Authority (1965) remains a basic text for understanding the ideological options available to colonists in the middle of the 19th century. The leading postwar conservatives included J.M.Ward, who specialized in imperial history, and Douglas Pike, who began the massive collaborative project, the Australian Dictionary of Biography (ADB; 1966 - ). The ADB is an excellent biographical compilation, with a subtle mix of prominent people and representatives of the hoi polloi. Fitzpatrick’s work continued to remain influential. Although Fitzpatrick never obtained an academic post, he inspired a school of radical nationalists to whom the label Old Left was later attached. Central to this group were Ian Turner, a charismatic and versatile labor historian, Robin Gollan, who wrote the classic text Radical and Working-Class Politics (i960), an account of the mobilization of labor in the period from 1850 to 19 10 , and Russel Ward, whose book The Australian Legend (1958) is an Australian variant of the Frederick Jackson Turner

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“ frontier” thesis. Ward argued that the distinctively Australian traits of the “ larrikin ” came from the experiences of the 19th century bush workers. On the edges of the Old Left group were the art historian Bernard Smith and the social-cultural historian Geoffrey Serle. The 1960s saw the emergence of new professional historians whose work was less pointedly partisan. In Men of Yesterday (19 61), Margaret Kiddle painted a glorious picture of the “ squattocracy,” or landed gentry, who settled in western Victoria. Quantitative method made its appearance in the work of the economic historian N.G. Butlin, who challenged the earlier work of Fitzpatrick, and also in the statistical analysis of the convict population produced by Lloyd Robson (The Convict Settlers of Australia, 1965). Robson showed that earlier images of the convicts as innocent victims of a brutal process could not be sustained by the facts. Geoffrey Blainey had freelanced during the 1950s but took up an academic appointment and wrote the bestselling The Tyranny of Distance (1966), a phrase which entered the lexicon of Australian leaders and became a standard way of thinking about the country ’s problems. After Keith Hancock returned from Oxford to Australia his best work was a remarkable vignette of environmental history, Discovering Monaro (1972). In 1974 two fine reworkings of well-traveled ground appeared: Bill Gammage’s account World War I soldiers, The Broken Years, and a new version of the colonial period by Ken Inglis. In The Australian Colonists, Inglis had a keen eye for the emergence of peculiarly Australian customs and traditions. The period from 1975 to 1988 saw fundamental realignments in the national historiography. The position of the Left changed, with the emergence of the young Turks who made up the Australian New Left. At the University of Melbourne, Stuart Macintyre produced Winners and Losers (1985), a reassessment of the sources of progress in the Australian polity. R.W. Connell and T.H. Irving restated the theory of social class in their 1980 work, Class Structure in Australian History, while Humphrey McQueen questioned the radical credentials of the Labour Party in his contentious book A New Britannia (1970, revised 1975), and Tim Rowse examined the role of liberal intellectuals typified by Hancock. Alongside these developments emerged a strong school of feminist historians, led by Anne Summers, Beverley Kingston, and Miriam Dixson, all of whom produced major critiques of masculine culture in Australia in the same year, 1975. These historians argued that women ’s place in the national history had been ignored, and that new frameworks of explanation had to be built. Dixson was interested in the role of women in fashioning a national identity, and took issue particularly with her colleague at the University of New England, Russel Ward, whose “ Australian Legend” now seemed narrowly masculinist. Summers contended that men could understand women only in the old dualism of Magdelene or Madonna. Until women could be seen outside this duality their prospects were limited. Kingston opened up the sphere of women’s work, including unpaid housework, as a proper subject for historians. These early statements were succeeded by numerous feminist historians, typified by Drusilla Modjeska and Kerreen Reiger, who reexamined traditional topics with the women’s question in view. Many traditional topics were being reworked in this period. British historian George Rude analyzed the minority of convicts

transported for political reasons, while Robert Hughes, based in New York, wrote a wonderful summary of the convict experience in The Fatal Shore (1987). Paul Carter’s The Road to Botany Bay (1987) was an exploration of the mental maps of the early settlers. John Hirst offered a fresh and imaginative vision of early New South Wales in Convict Society and Its Enemies (1983), Graeme Davidson told the urban story of Melbourne, while John Merritt retold the history of a major trade union from within to produce insights which had not been observed by traditional labor historians. As a corrective to excessive nationalism, Alan Atkinson in Camden (1988) demonstrated how very English this early settlement had been. John McQuilton argued that Ned Kelly should be seen as a “ social bandit” rather than an unprincipled criminal, while the frontier story of Victoria ’s Gippsland region was explained by Don Watson as a chapter in Scottish migration. Tom Stannage rewrote the history of Perth (Western Australia) as a story of flawed success, while Janet McCalman used oral history methods to great effect in Struggletown (1984), the story of the inner working-class suburb of Richmond, Victoria. Oral history had been a long time in winning acceptance among Australian historians, who were obsessively wedded to the printed document, so McCalman’s achievement was all the finer within that context. Gavin Souter examined the symbols and ceremonies of the new Commonwealth in its infant years, while excellent biographies of key leaders were produced by A.W. Martin (colonial politician Sir Henry Parkes), John Rickard (reformist judge H.B. Higgins) and Warren Osmond (policymaker Frederic Eggleston). Biographies in Australia had for the most part been innocent of psychological depth: these historians opened new opportunities for the craft of biography. Lloyd Robson applied his quantitative methodology to World War I soldiers, and Michael McKernan looked more critically at the home front during that war. Raymond Evans undertook a regional study of the effects of the war on Queensland, emphasizing the strong political connotations of domestic conflicts. Perhaps the most remarkable revisionism of this period, however, was the sudden and dramatic attention paid to Aboriginal history, previously an arcane and specialized field. The leading prehistorian, D.J. Mulvaney, produced an archaeological overview in 19 75, while Kenneth Maddock prepared a fresh anthropological version. Lyndall Ryan issued an excellent reconstruction of traditional Aboriginal life in the island colony of Tasmania. But the turning point came with the book by Henry Reynolds, The Other Side of the Frontier (19 8 1), which described the impact of British settlement from the receiving end. Reynolds continued to produce fresh books on this theme, and brought a new level of sophistication to the debate. Then well-established historians joined in. Blainey popularized much of the technical research in his Triumph of the Nomads (1975), which countered the public view of nomadism as a defensive strategy and showed that “ primitive” people were adaptive and versatile. Butlin, the eminent economic historian, used ecological evidence to argue that the carrying capacity of the continent was much greater than the traditional estimate of 300,000 indigenes would suggest, and asserted that it must be inferred that British settlement was far more destructive than usually imagined. Ann McGrath showed that Aborigines had adapted well to the opportunities

AUSTRALIA of working with cattle in the Northern Territory, and had claimed the new industry as their own. Still there were very few Aboriginal historians writing their own version, a fact which made Reading the Country (1984) particularly welcome. This book was a joint effort between an Aboriginal stockman and two outsiders (Paddy Roe, with Krim Benterrak, and Stephen Muecke) recounting the oral tradition of his land, the area around Broome, Western Australia. The bicentennial celebrations of 1988 stimulated several new synthetic works, some of which drew on the newer historiographical trends. The Crowley series contained five snapshot accounts of the national history at fifty-year intervals (1838, 1888, etc.) which had the virtue of focusing collabo rative attention to social themes to an extent which had not occurred before. Other projects of 1988 included the series edited for Oxford University Press by Geoffrey Bolton, the social history series edited by Verity Burgmann and Jenny Lee, and the ethnic encyclopedia assembled by James Jupp. Professional history had achieved a level of recognition unimaginable even twenty years earlier. Australian history was taught at 34 of the nation’s 36 universities, and, although its popularity among school-leavers had reached a plateau, it was a well-established field. The standard of teaching was high, and there were better books available than before, as much of the quality of scholarship had improved. The 1 990s registered a new confidence that history could contribute very directly to national debates and policy issues. The New South Wales premier created a History Council to provide historical advice to all government agencies. As the centenary of the Australian Constitution neared, several works examined the context which had surrounded federation in 19 0 1. Macintyre in A Colonial Liberalism (19 9 1) treated three key players in defining Australian citizenship - George Highbotham, David Syme and Charles Pearson - while Alastair Davidson wrote the first general history of the Australian State, a major if unobtrusive element of the national history. A feminist account of this nation-building was offered by the team comprising Patricia Grimshaw, Marilyn Lake, Ann McGrath and Marian Quartly. Important new statements in Australian intellectual history were made by Joy Damousi in 'Women Come Rally (1994), and by John McLaren describing the politics of Australian literature in the Cold War. Historians were annexing new territories, including ecological history (Stephen Pyne’s account of fire), sports history (Robert Pascoe’s social history of Australian Rules football), and a critique of Harry Braverman in the history of women’s work (Raelene Frances). The history of Australia’s minority cultures was well represented by the overview of Italian immigration and settlement edited by Stephen Castles. Finally, a magnificent study of Irish emigration to Australia, Oceans of Consolation (1994), was edited by David Fitzpatrick (son of Brian) while based in Dublin. This book wove the personal letters of a dozen or so families into the broader story of migration. It was typical of the new maturity in Australian historiography: well-crafted, sophisticated in its theorizing, and written for an international audience. R o b e r t Pa s c o e

See also Bean; Blainey; Britain: British Empire; Clark, M.; Dening; Ethnicity; Grimshaw; Indian Ocean; Lake; Legal; Maritime;

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Popular; Prehistory; Sport; Women’s History: Australia; Wood, G.A.; World War I; World War II Further Reading Atkinson, Alan, C a m d e n , Melbourne and New York: Oxford University Press, 1988 Bean, C.E.W., editor, T h e O ffic ia l H isto ry o f A ustra lia in the W ar o f 1 9 1 4 - 1 8 , 12 vols., Sydney: Angus and Robertson, 1 9 2 1 - 4 2 ; abridged as A n z a c to A m ie n s, 1946 Benterrak, Krim, Stephen Muecke, and Paddy Roe, R e a d in g the C o u n try : In tro d u ctio n to N o m a d o lo g y , Fremantle: Fremantle Arts Centre Press, 19 84 Blainey, Geoffrey, T h e T yra n n y o f D ista n ce: H o w D ista n ce S h a p e d A u stra lia ' s H isto ry , Melbourne: Sun, 1966, London: Macmillan, and New York: St. Martin ’s Press, 1968; revised 19 8 2 Blainey, Geoffrey, T r iu m p h o f the N o m a d s : A H isto ry o f A n c ie n t A u stra lia , Melbourne: Macmillan, 19 7 5 ; Woodstock, NY: Overlook, and London: Macmillan, 19 76 ; revised 19 8 2 Bolton, Geoffrey, general editor, T h e O x fo r d H isto ry o f A u stra lia , 5 vols., Melbourne and New York: Oxford University Press, 19 8 6 - 9 2 Burgmann, Verity, and Jenny Lee, eds., A P e o p le ' s H isto ry o f A u stra lia since 1 7 8 8 , 4 vols., Melbourne: McPhee Gribble, and N ew York: Penguin, 1988

Butlin, Noel George,

In vestm ent in A ustra lia n E c o n o m ic

D e ve lo p m e n t, 1 8 6 1 - 1 9 0 0 , Cambridge: Cambridge University

Press, 1964

Butlin, Noel George,

O u r O rig in a l A g g ressio n : A b o rig in a l

P o p u la tio n s o f Sou theastern A u stra lia, 1 7 8 8 - 1 8 5 0 , Sydney and

Boston: Allen and Unwin, 19 83 Carter, Paul, T h e R o a d to B o ta n y B a y : A n E ssa y in Sp atial H isto ry , London: Faber, 19 8 7 ; New York: Knopf, 1988 Castles, Stephen et al., eds., A u stra lia 's Italians: C u ltu re a n d C o m m u n ity in a C h a n g in g S o cie ty , Sydney: Allen and Unwin, 19 9 2 Clark, Manning, A H isto ry o f A u stra lia , 6 vols., Melbourne: Melbourne University Press, and New York and London: Cambridge University Press, 19 6 2 - 8 7 Connell, Robert W., and T.H. Irving, C lass Structure in A u stra lian H isto ry : D o cu m e n ts, N a rra tive , a n d A rg u m en t, Melbourne: Longman Cheshire, 1980 Crowley, Frank K .et a l , general editors, A u stra lia n s: A H isto rica l L ib r a r y , 1 1 vols., Sydney: Fairfax Syme and Weldon, and Cambridge: Cambridge University Press, 19 8 7 Damousi, Joy, W o m en C o m e R a lly : Socialism , C o m m u n ism a n d G e n d e r in A u stra lia, 1 8 9 0 - 1 9 5 5 , Melbourne and N ew York: Oxford University Press, 1994 Davidson, Alastair, T h e In visib le State: T h e F o rm a tio n o f the A u stra lia n State, 1 7 8 8 - 1 9 0 1 , Cambridge and New York: Cambridge University Press, 19 9 1 Davison, Graeme, T h e R ise a n d F a ll o f M a rv e llo u s M e lb o u rn e , Melbourne: Melbourne University Press, 19 78 Dixson, Miriam, T h e R e a l M a tild a : W o m an a n d Iden tity in A u stra lia , 1 7 8 8 - 1 9 7 5 , Ringwood: Penguin, 19 76 ; revised 1984 Evans, Raymond, L o y a lt y a n d D islo y a lty : S o c ia l C o n flic t on the • Q u e e n sla n d H o m e fro nt, 1 9 1 4 - 1 9 1 8 , Sydney and Boston: Allen and Unwin, 19 8 7 Fitzpatrick, Brian, T h e B ritish E m p ir e in A u stra lia : A n E c o n o m ic H istory, 1 8 5 4 - 1 9 5 9 , Melbourne: Melbourne University Press, and Oxford: Oxford University Press, 1 9 4 1 ; revised 1949 Fitzpatrick, David, ed., O cea n s o f C o n so la tio n : P e rso n a l A cc o u n ts o f Irish M ig ra tio n to A u stra lia , Ithaca, NY: Cornell University Press, 1994 Frances, Raelene, T h e P olitics o f W o rk : G e n d e r a n d L a b o u r in V ictoria, 1 8 8 0 - 1 9 5 9 , Melbourne, Cambridge and New York: Cambridge University Press, 1993 Gammage, Bill, T h e B ro k e n Years: A ustra lia n S o ld iers in the G re a t W ar, Canberra: Australian National University Press, 19 74 ; New York: Penguin, 19 7 5

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Gollan, Robin, R a d ic a l a n d W o rk in g - C la ss P olitics: A S tu d y o f E a stern A u stra lia , 1 8 5 0 - 1 9 1 0 , i960, reprinted Melbourne: Melbourne University Press, 19 76 Grimshaw, Patricia, Marilyn Lake, Ann McGrath and Marian Quartly, C rea tin g a N a tio n , Melbourne: McPhee Gribble, and New York: Viking, 1994 Hancock, W.K., A u stra lia , London: Benn, and New York: Scribner, 19 30 ; reprinted i960 Hancock, W.K., D isc o v e r in g M o n a r o : A S tu d y o f M a n s Im p a ct on H is E n v iro n m e n t, Cambridge: Cambridge University Press, 19 7 2 Hirst, John Bradley, C o n v ic t S o cie ty a n d Its E n e m ie s: A H isto ry o f E a r ly N e w S o u th W ales, Sydney and Boston: Allen and Unwin, 19 83 Hughes, Robert, T h e Fatal S h o re : A H isto ry o f the T ransp ortation o f C o n vic ts to A u stra lia , 1 7 8 7 - 1 8 6 8 , New York: Knopf, and London: Collins, 19 8 7 Inglis, Kenneth, T h e A u stra lia n C o lo n ists: A n E x p lo ra tio n o f A u stra lia n S o c ia l H istory, 1 7 8 8 - 1 8 7 0 , Melbourne: Melbourne University Press, 19 74 Jupp, James, general editor, T h e A ustra lia n P e o p le : A n E n c y c lo p e d ia o f the N a tio n , Its P eo p le, a n d T h e ir O rig in s, Sydney: Angus and Robertson, 1988 Kiddle, Margaret, M e n o f Y esterday: A S o cia l H isto ry o f the W estern D istrict o f V ictoria, 1 8 5 4 - 9 0 , Melbourne: Melbourne University Press, 19 6 1 Kingston, Beverley, M y W ife, M y D a u g h te r a n d P o o r M a ry A n n : W o m en a n d W ork in A u stra lia , Melbourne: Nelson, 19 75 McCalman, Janet, S tru g g le to w n : P u b lic a n d P rivate L ife in R ic h m o n d , 1 9 0 0 - 6 5 , Melbourne: Melbourne University Press, 19 84 McGrath, Ann, “ B o rn in the C a t t le ” : A b o rig in e s in the C attle C o u n try , Sydney and Boston: Allen and Unwin, 19 8 7 Macintyre, Stuart, W in ners a n d L o se rs: T h e P u rsu it o f S o c ia l Ju s tic e in A ustra lia n H isto ry , Sydney and Boston: Allen and Unwin, 19 85 M a c in t y r e , S t u a r t , A C o lo n ia l L ib e ra lism : T h e L o s t W o rld o f T h ree

V ictorian V isio naries, M e lb o u r n e , N e w Y o r k , a n d O x f o r d :

Oxford University Press, 19 9 1 McKernan, Michael, T h e A u stra lia n P e o p le a n d the G re a t W ar, Melbourne and Cambridge: Nelson, 1980 McLaren, John, W ritin g in H o p e a n d Fear: L itera ture as P olitics in P o s tw a r A u stra lia , Melbourne and Cambridge: Cambridge University Press, 1996 McQueen, Humphrey, A N e w B rita n n ia: A n A rg u m e n t C o n ce rn in g the S o c ia l O rig in s o f A u stra lia n R a d ica lism a n d N a tio n a lism ,

Melbourne: Penguin, 1970 ; revised 19 75 McQuilton, John, T h e K elly O u tb re a k , 1 8 7 8 - 1 8 8 0 : T h e G e o g ra p h ic a l D im e n sio n o f S o c ia l B a n d itr y , Melbourne: Melbourne University Press, 19 79 Maddock, Kenneth, T h e A ustra lia n A b o rig in e s : A P ortrait o f T h e ir S o cie ty , London: Allen Lane, 19 73 Martin, Allan William, H e n ry P a rk es: A B io g ra p h y , Melbourne: Melbourne University Press, 1964 Merritt, John, T h e M a k in g o f the A W U , Melbourne and New York: Oxford University Press, 1986 Modjeska, Drusilla, E x ile s at H o m e : A u stra lia n W o m en W riters, 1 9 2 5 - 1 9 4 5 , London: Sirius, 19 8 1 Molony, John, T h e P en g u in H isto ry o f A u stra lia , New York: Viking, and London: Penguin, 1988 Mulvaney, Derek John, T h e P reh isto ry o f A u stra lia , London: Thames and Hudson, and New York: Praeger, 1969; revised 19 7 5 Osmond, Warren, Fred eric E g g lesto n : A n Intellectual in A ustra lia n P o litics, Sydney and Boston: Allen and Unwin, 19 85 Pascoe, Rob, T h e W in ter G a m e : T h e C o m p le te H isto ry o f A ustra lia n F o o tb a ll, Melbourne: Heinemann, 19 95 Pike, Douglas, Bede Nairn, Geoffrey Serle, and John Ritchie, general editors, A u stra lia n D ic tio n a ry o f B io g ra p h y , 13 vols to date, Melbourne, London, and New York: Melbourne University Press, 1966 —

Pyne, Stephen J., B u rn in g B u sh : A Fire H isto ry o f A u stra lia , New York: Holt, 1 9 9 1; Sydney: Allen and Unwin, 19 9 2 Reiger, Kerreen, T h e D isen ch a n tm en t o f the H o m e : M o d e rn iz in g the A ustra lia n Fam ily, 1 8 8 0 - 1 9 4 0 , Melbourne and New York: Oxford University Press, 19 85 Reynolds, Henry, T h e O th e r S id e o f the F ro n tier: A b o rig in a l R esistan ce to the E u ro p e a n In va sio n o f A u stra lia , Ringwood and Harmondsworth: Penguin, 19 8 1 Rickard, John D., H .B . H iggin s: T h e R e b e l as Ju d g e , Sydney and London: Allen and Unwin, 19 84 Robson, Leslie Lloyd, T h e C o n v ic t Settlers o f A u stra lia : A n E n q u ir y into the O rig in a n d C h aracteristics o f the C o n v ic ts T ra n sp o rte d to N e w S o u th W ales a n d Van D ie m e n s L a n d , 1 7 8 7 - 1 8 5 2 ,

Melbourne: Melbourne University Press, and New York: Cambridge University Press, 1965 Robson, Leslie Lloyd, T h e First A I F : A S tu d y o f Its R ecruitm ent, 1 9 1 4 - 1 8 , Melbourne: Melbourne University Press, 19 70 Roe, Michael, Q u e st fo r A u th o rity in E astern A u stra lia , 1 8 5 5 - 1 8 5 1 , Melbourne: Melbourne University Press, 19 65 Rowse, Tim, A u stra lia n L ib e ra lism a n d N a tio n a l C h aracter, Melbourne: Kibble, 19 78 Rude, George, P ro test a n d P u n ish m en t: T h e S to ry o f the S o c ia l a n d P olitical P ro testors T ra n sp o rte d to A u stra lia, 1 7 8 8 - 1 8 6 8 , Oxford and New York: Oxford University Press, 19 78 Ryan, Lyndall, T h e A b o r ig in a l Ta sm ania ns, Vancouver: University of British Columbia Press, 19 8 1 S e r le , G e o f f r e y , T h e G o ld e n A g e : A H isto ry o f the C o lo n y o f

V ictoria, 1 8 5 1 - 1 8 6 1 , M e lb o u r n e : M e lb o u r n e U n iv e r s it y P re ss,

19 63 Smith, Bernard, A ustra lia n Pain tin g, 1 7 8 8 - 1 9 7 0 , Melbourne and New York: Oxford University Press, 19 7 1 Souter, Gavin, L io n a n d K a n g a ro o : T h e Initiation o f A ustra lia, 1 9 0 1 - 1 9 , Sydney: Collins, 19 76 Stannage, Tom, T h e P e o p le o f P erth : A S o c ia l H isto ry o f W estern A u s tra lia ’s C a p ita l C ity, Perth: Perth City Council, 19 79 Summers, Anne, D a m n e d W h o res a n d G o d ’s P o lice : T h e C o lo n iz a tio n o f W o m en in A u stra lia , Melbourne: Penguin, and London: Allen Lane, 19 75 Turner, Ian, In d u stria l L a b o u r a n d P olitics: T h e D y n a m ic s o f the L a b o u r M o v e m e n t in E a stern A u stra lia, 1 9 0 0 - 1 9 2 1 , Canberra: Australian National University Press, 1965 Ward, John M ., E a r l G r e y a n d the A u stra lia n C o lo n ie s, 1 8 4 6 - 1 9 5 7 , Melbourne: Melbourne University Press, 19 58 Ward, Russel, T h e A ustra lia n L e g e n d , Melbourne and New York: Oxford University Press, 19 58 Watson, Don, C a le d o n ia A u stra lis: Scottish H ig h la n d ers o n the Fron tier o f A u stra lia , Sydney: Collins, 19 84

Austro-Hungarian Empire The study of the Austrian/Austro-Hungarian empire has experienced tremendous growth in the past half century. Often relegated to a trivial role, the multinational empire was rarely treated seriously by historians outside the Austrian Republic itself. After World War I, however, an ever-growing interest, particularly in the United States, in the development of 19th century Austria, led to a virtual explosion in Austrian historiography. Historians have come to view the empire as an extremely important and integral part of the European continent, a part which played a much greater role in the development of Central Europe than was before realized or recognized. Furthermore, in light of events in southern Europe after the collapse of the Yugoslav state in 1989, an intense historical focus has been placed on the empire’s social makeup

AUSTRO-HUNGARIAN EMPIRE and origins, its subsequent political and cultural development, and the reasons for the final collapse in 19 18 . A study of the Austrian/Austro-Hungarian empire is impossible without a serious discussion of the ruling house of Habsburg. From its earliest origins the Austrian empire was a creation of the Habsburg family ’s desire to remain a powerful influence in the social fabric of post-Napoleonic Europe. Even .after the Ausgleich of 1867 which formally altered the status of the Austrian empire into a dual monarchy, reviving the ancient kingdom of Hungary and thereby creating the AustroHungarian monarchy, the Habsburg family still reigned over a wide territory and a vast assortment of nationalities and religions. Subsequently, many of the early histories of the Austrian empire carried with them an extreme bias against the Habsburg family and the aristocratic heritage which it represented. These early perceptions were reinforced by the large Slavic influence on Western perceptions of the empire. During the 1920s and 1930s little hard and reliable data was available for the Austrian historian aside from accounts written by immigrants and dissidents who often displayed obvious biases. The empire was portrayed quite negatively as in Henry Wickham Steed’s The Hapsburg Monarchy (19 13 ), which saw the fall of the empire as being an essential step toward the growth of peace and stability in Europe. The Austrian empire was viewed as an antiquated state which suffered existence only at the hands of the other European great powers. In this vein the monarchy was often slandered and the many nationalities portrayed as oppressed peoples suffering under the yoke of tyranny. Typical of this era was Oszkar Jaszi’s The Dissolution of the Habsburg Monarchy (1929). Jaszi contended that the Austrian empire was an oppressive state responsible for the retardation of Balkan national aspirations. Samuel Harrison Thomson, however, writing in the same period, signaled a change in Austrian studies. His major contribution, Czechoslovakia in European History (1943), contained a decided pro-Czech stance, but only in so far as they had legitimate demands for equal treatment by the Austrian government. Overall, Thomson dealt with the Austrian and Habsburg rulers objectively. Despite many lingering prejudices, these earlier studies served Austrian historiography by focusing scholarly attention on the Austrian empire and elevating its role in history. Only after World War II did historians begin to view the monarchy in a more objective light. A new generation of historians from Austria, Britain, and the United States began work ing with original material released after the revolution of 19 18 . Writing much of their material in a vacuum, scholars such as Hans Kohn, Arthur J. May, and Robert Kann began to lead the field in Austrian, and to some degree, Central European studies. Hans Kohn’s most famous book, The Habsburg Empire, 1804 - 1918 (19 6 1), served as a broad social, political history of the empire from the crowning of the emperor in 1804 to the revolution of 19 18 . Another important work by Kohn in which he examined the empire’s diverse nationalities is Pan-Slavism: Its History and Ideology (1953). A more definitive work and one still widely regarded as the most comprehensive and important study in English, is Arthur J. M ay’s The Hapsburg Monarchyy 1867 - 1914 (19 5 1). Although M ay’s study discusses only the latter half of the empire, from the Ausgleich (compromise) with Hungary in 1867, the work is a highly valuable presentation of the political, economic, social, legal, and national development

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of the region under Habsburg suzerainty. M ay followed up this important study with a later work, The Passing of the Hapsburg Monarchy (1966) in which he traced the final years of the empire in greater detail. It was left to the work of Robert A. Kann, however, to dominate the field of Austrian history for the next thirty years. Kann was born in Austria, but moved to the United States where he taught history at Rutgers University. Kann wrote the comprehensive study, A History of the Habsburg Empire, 1526 - 19 18 (1974) as a textbook. The work was massive in its scope and Kann discussed the vast array of people and events which characterized the era in fields as varying as politics, music, philosophy, and science. Though the work is not an in-depth analysis of the period it does come to grips with the many complexities of the Habsburg/Austrian era. Kann’s other works include The Multinational Empire (1950), wherein he examined the many ethnic and religious groups which lived under the empire’s umbrella, and The Habsburg Monarchy (1957), which examined the successes and failures of the Austrian empire in creating a cohesive nationstate. These broad analyses produced by Kann are readily approachable and are a testament to Kann’s command of the era; however, the student must turn elsewhere in order to gain a more detailed account of Austrian history. Austrian imperial diplomatic history has not suffered for lack of attention. Worth mentioning are Enno Kraehe’s Metternich’s German Policy (1963) and Paul Schroeder’s Metternich’s Diplomacy at Its Zenith (1962). Both works are even-handed, diplomatic treatments of the early years of the Austrian empire and the intrigues of Prince Metternich. Schroeder’s is particularly instructive in that he portrays the diplomatic maneuvering as seen at the time. Barbara Jelavich produced a brilliant work on the role of the Austrian empire within the European framework, The Habsburg Empire in European Affairs, 18 14 - 19 18 (1969). Jelavich traced the foreign relations of the empire from the time of Metternich until the outbreak of World War I, emphasizing the importance the empire played in the subsequent development of Europe. R. John Rath’s The Viennese Revolution of 1848 (1957) is a well-written account of the politics of the revolution, a subject often overlooked by European historians. More recently, an excellent political study has been produced by F.R. Bridge, The Habsburg Monarchy among the Great Powers, 18 15 - 19 18 (1990). Bridge examined the collapse of the Austrian position in Italy and Germany and emphasized the overwhelming political importance of the Balkan peninsula as the sole remaining sphere of expansion for the Austrian monarchy. He further stressed the role this played toward the outbreak of World War I. John W. Boyer in Political Radicalism in Late Imperial Vienna; Origins of the Christian Social Movement, 1848 - 1897 (19 81) examined the rapid rise of the Christian Socialist party in Vienna under the leadership of Karl Leuger and the decline of liberalism in the tumultuous political atmosphere of turn-of-the-century Vienna. Boyer continued this important examination of the Viennese political scene in Culture and Political Crises in Vienna (1995). The area of military studies has long suffered neglect, the most influential work being that of Gordon A. Craig, The Battle of Koniggratz (1964). Craig went to great efforts to convey an impartial account of the Austro-Prussian war, and brought into serious question the common belief of a complete

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Austrian military defeat. Istvan Deak conducted a sociological study of the Austrian army. Though not actually a military history Deak has produced a fascinating study of the Austrian Officer Corps, its reliance upon an aristocratic heritage, the complex role of nationality and religion in its makeup, and its role in the society of the Austro-Hungarian empire in Beyond Nationalism (1990). Jerome Blum’s Noble Landowners and Agriculture in Austria, 1815 - 18 48 (1948) proved to be an important pioneering work in the economic history of the empire. For a more comprehensive study, however, the more recent work by David Good, The Economic Rise of the Habsburg Empire, 1750 - 1914 (1984), provided a clear analysis of the economic strengths and weaknesses of the empire from its outset to its demise. An important milestone in Austrian cultural history was established by Carl E. Schorske when a collection of previously published articles was brought into the mainstream with the book, Fin-de-Siecle Vienna (1979). Schorske examined turn-of-the-century Vienna, and the intellectual roots of the modernist era as seen in the fields of politics, literature, architecture, psychology, and art. Schorske artfully followed the evolutionary development of the era. The liberal bourgeoisie’s internal struggle with democracy, as seen in the literature of some of the eras most important personages, through the rise of the masses under Karl Leuger and the redevelopment of Vienna into a modern city, and finally to the explosion of the modernist movement with the birth of expressionism. A student of Schorske’s, William J. McGrath, has produced a similar study of the closely interwoven art and politics of fin-de-siecle Vienna in Dionysian Art and Populist Politics in Austria (1974). William M. Johnston offers an equally insightful work in The Austrian Mind (1972). Johnston conducted a close examination of the Austrian psyche as it developed through art and literature throughout the imperial period and beyond. He explored the intellectuals’ fascination with death, decadence, and the collapse of the empire. More recent studies have produced a number of important works in the field of social history. J. Robert Wegs in Growing Up Working Class (1989) is only one of several approaching the era from a grass roots level. Developments in the relatively new field of psychohistory have benefited the growing spectrum of Austrian studies. Peter Lowenberg’s Decoding the Past (1983) psychoanalyzed several prominent Viennese. The political era is observed from this fresh perspective in The AustroMarxists, 1850 - 1918 (1985) by Mark E. Blum. Recent years have witnessed a virtual explosion of analytical studies of the Austrian/Austro -Hungarian empire. From barely a few score works available in English at the turn of the century to virtually hundreds of published books, and several thousand articles, dealing with almost of every facet of the Austrian empire. The Austrian History Yearbook is a professional historical journal dedicated to the further study of Austrian and Habsburg history specifically, and Central European history in general and is a valuable edition to the ever growing host of Austrian historical studies. S t e p h e n K. C h e n a u l t

See also Balkans; Blum; Brunner; Central Europe; Germany:

1450 - 1800; Jelavich; Macartney; Marczali; Palacky; Pekar;

Schorske; Seton-Watson, H.; Seton-Watson, R.; Srbik; Sugar; Szekfu; Taylor Further Reading Blum, Jerome, N o b le L a n d o w n e r s a n d A g ricu ltu re in A u stria , 1 8 1 5 - 1 8 4 8 : A S tu d y in the O rig in s o f the P easa nt E m a n c ip a tio n o f 1 8 4 8 , Baltimore: Johns Hopkins Press, 1948

Blum, Mark E., T h e A u stro - M a rx is ts , 1 8 5 0 - 1 9 1 8 : A P sy c h o b io g ra p h ica l S tu d y , Lexington: University of Kentucky Press, 19 85 Boyer, John W., P o litica l R a d ic a lism in L a te Im p e ria l Vienn a: O rig in s o f the C h ristian S o c ia l M o v e m e n t, 1 8 4 8 to 1 8 9 7 > C h ic a g o : U n iv e r s it y o f C h i c a g o P re ss , 19 8 1 B o y e r , J o h n W ., C u ltu re a n d P o litica l C rises in V ienna: C h ristian

S ocialism in P o w er, 1 8 9 7 - 1 9 1 8 , C h ic a g o : U n iv e r s it y o f C h ic a g o P re ss , 1995 Bridge, F.R., T h e H a b sb u rg M o n a rc h y a m o n g the G re a t P o w e rs, 1 8 1 5 - 1 9 1 8 , New York: Berg, 1990 Cohen, Gary, T h e P o litics o f E th n ic S u rviva l: G erm a n s in Prague, 1 8 6 1 - 1 9 1 4 , Princeton: Princeton University Press, 19 8 1 Craig, Gordon A., T h e B attle o f K o n igg ra tz: P ru ssia ’s V icto ry o v e r A u stria , Philadelphia: Lippincott, 1964; London: Weidenfeld and Nicolson, 19 65 Deak, Istvan, B e y o n d N a tio n a lism : A S o c ia l a n d P o litica l H isto ry o f the H a b sb u rg O ffic e r C o r p s, 1 8 4 8 - 1 9 1 8 , New York: Oxford University Press, 1990 Good, David, T h e E c o n o m ic R ise o f the H a b s b u rg E m p ire , 1 7 5 0 - 1 9 1 4 , Berkeley: University of California Press, 19 84 Jaszi, Oszkar, T h e D isso lu tio n o f the H a b sb u rg M o n a r c h y , Chicago: University of Chicago Press, 19 29 Jelavich, Barbara, T h e H a b sb u rg E m p ir e in E u ro p e a n A ffa ir s, 1 8 1 4 - 1 9 1 8 , Chicago: Rand McNally, 1969 Johnston, William M ., T h e A u stria n M in d : A n Intellectual a n d S o c ia l H istory, 1 8 4 8 - 1 9 5 8 , Berkeley: University of California Press, 19 7 2 Kann, Robert A., T h e M u ltin a tio n a l E m p ir e : N a tio n a lism a n d N a tio n a l R e fo rm in the H a b s b u rg M o n a rch y, 1 8 4 8 - 1 9 1 8 , 2 vols., N ew York: Columbia University Press, 19 50 Kann, Robert A., T h e H a b sb u rg M o n a rc h y : A S tu d y in Integration a n d D isin teg ra tio n , New York: Praeger, 19 5 7 Kann, Robert A., A H isto ry o f the H a b sb u rg E m p ire , 1 5 2 6 - 1 9 1 8 , Berkeley: University of California Press, 19 74 Kohn, Hans, P a n - S la vism : Its H isto ry a n d Id e o lo g y , Notre Dame, IN: University of Notre Dame Press, 19 53 Kohn, Hans, T h e H a b sb u rg E m p ire , 1 8 0 4 - 1 9 1 8 , Princeton: Van Nostrand, 19 6 1 Kraehe, Enno, M e tte r n ic h ’s G e r m a n P o licy , 2 vols., Princeton: Princeton University Press, 19 63 Lowenberg, Peter, D e c o d in g the P ast: T h e P sy ch o h isto rica l A p p r o a c h , New York: Knopf, 19 83 Macartney, C .A ., T h e H a b sb u rg E m p ire , 1 7 9 0 - 1 9 1 8 , London: Weidenfeld and Nicolson, 19 68 , New York: Macmillan, 1969; revised abridgement as T h e H o u se o f A u stria : T h e L a te r Phase, 1 7 9 0 - 1 9 1 8 , Edinburgh University Press, 19 78 McGrath, William J., D io n y s ia n A r t a n d P o p u list P olitics in A u stria , New Haven: Yale University Press, 19 74 May, Arthur J., T h e H a p s b u rg M o n a rc h y , 1 8 6 7 - 1 9 1 4 , Cambridge, M A: Harvard University Press, 19 5 1 May, Arthur J., T h e P a ssin g o f the H a p s b u rg M o n a rch y, 1 9 1 4 - 1 9 1 8 , Philadelphia: University of Pennsylvania Press, 1966 Rath, Reuben John, T h e Viennese R e v o lu tio n o f 1 8 4 8 , Austin: University of Texas Press, 19 5 7 Schorske, Carl E., F in - d e - S iec le V ienn a: P olitics a n d C u ltu re, New York: Knopf, 19 79 ; London: Weidenfeld and Nicolson, 1980 Schroeder, Paul W., M e tte r n ic h ’s D ip lo m a c y at Its Z e n ith , 1 8 2 0 - 1 8 2 5 , Austin: University of Texas Press, 19 6 2 Shedel, James, A r t a n d S o cie ty : T h e N e w A r t M o v e m e n t in Vienna, 1 8 9 7 - 1 9 1 4 , Palo Alto, CA : Society for the Promotion of Science and Scholarship, 19 8 1 Steed, Henry Wickham, T h e H a p s b u rg M o n a rc h y , London: Constable, and New York: Scribner, 1 9 1 3

AXTELL Taylor, A.J.P., T h e H a b sb u rg M o n a rc h y ; 1 8 1 5 - 1 9 1 8 : A H isto ry o f the A u stria n E m p ir e a n d A u stria - H u n g a ry , London: Macmillan, 1 9 4 1 ; revised [with dates 1 8 0 9 - 1 9 1 8 ], London: Hamish Hamilton, 19 48 , New York: Harper, 1965 Thomson, Samuel Harrison, C z e c h o slo va k ia in E u ro p e a n H isto ry , Princeton: Princeton University Press, 19 43 Wegs, J. Robert, G r o w in g U p W o rk in g C la ss: C o n tin u ity a n d C h a n g e a m o n g Viennese Youth, 1 8 9 0 - 1 9 3 8 , University Park: Pennsylvania State University Press, 1989

Axtell, James 1941-

US colonial and ethnohistorian The American “ frontier” is no longer what it used to be. As the term was applied by generations of American historians, most famously Frederick Jackson Turner, the frontier was an imaginary line drawn across successive western boundaries separating primitive savages from advanced Western civilization, a line marking the chasm between two antagonistic cultures. The frontier that was so historically creative for Turner has assumed its own dynamic character in the hands of James Axtell and nearly two generations of ethnohistorians. “ Wherever diverse cultures came together, whether for trade, war, or love,” Axtell wrote in a 1978 review essay, “ there was the frontier.” Frontiers have become contact arenas in which multiple autonomous societies take part in mutual culture exchange on roughly egalitarian terms. Once one group established its hegemony and the other(s)’ ability to control its own destiny was compromised, the frontier disappeared. The very concept once used to explain the emergence of Anglo-American democracy, now explains America ’s multi-ethnic origins. Working from this new, multifocal frontier, Axtell has been among the foremost writers restoring Native Americans to their central role in early American history. In his published collections of essays and in the first volume of his projected trilogy on the cultural origins of North America, The Invasion Within (1985), he has persistently and rightly insisted that the Indians were the primary determinants of events in early America. Given their importance, it is imperative for historians to understand the motivations of Indians on their own terms. Understanding Indian motivations involved a huge methodological problem: How to study groups which left little or no written records? To resolve this dilemma, Axtell, and most other historians of American Indians, have developed ethnohistory, a hybrid discipline using anthropological methods to interpret historical sources. Archaeology, linguistics, cultural anthropology and ethnography help filter out the biases in the written accounts left by European observers of colonized societies. Axtell wrote in The European and the Indian (19 81): “ ethnohistory is essentially the use of historical and ethnological methods and materials to gain knowledge of the nature and causes of socio cultural change.” In short, ethnohistory allows its practitioner to recapture some of the logic of and changes in nonliterate societies. Assessing cultural change incorporates a second focus of Axtell ’s work; he covers long periods of time to measure the change so important to the undertaking. The Invasion Within spans just under three hundred years. The central theme of Axtell’s work has been the mutual transculturation of Indians and Europeans. Unlike Francis Jennings

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in The Invasion of America (1975), and others, who, whether chauvinistically or not, claim that Euroamerican culture left Indian societies broken, Axtell sees creative adaptations. This is most often and effectively pursued, according to Axtell, through pedagogical programs - the methods by which people are socialized. As a result, his work to date has focused on the invasion within, that is, English and French efforts to turn Indians into Europeans and Indian efforts to turn Indians into Europeans. If the number of converts and depth of socialization are fair indicators of conversions, the Indians were the most successful at incorporating aliens into their societies. Beyond an individual level, Indians shaped European society and vice versa in myriad ways. In many situations, Europeans depended upon Indians for food, tobacco, labor, transportation, military allies, and sexual partners. On the other hand, the European impact on Indian cultures brought superior technology, alcohol, and deadly viruses, all of which gradually undermined Indian autonomy by fostering dependence, breeding heightened violence, and undermining subsistence, production, confidence, and family and village life. It also produced native converts to Euroamerican societies. Axtell would remind us, however, that this change was slow and initiated by natives on their own terms. That various natives would lose their sovereignty was hardly inevitable early in their relations with Europeans. Unlike most historians, Axtell cannot be labeled an archivebound historian; in part, the interdisciplinary nature of ethnohistory and politicization of Indian affairs forces its adherents into a marriage of public and academic life. He has drawn upon artifacts housed in museums across northeastern America and helped create Native American exhibits, served as an expert witness in land compensation cases involving the Mashpee Indians of Long Island, lectured before many nonacademic audiences on the legacy of Indian-European interaction, and repeatedly addressed moral issues inherent in writing histories of frontiers. For all his historical imagination, Axtell still remains somewhat bound by the limits of cultural anthropology. He allows for little variation among cultural groups which are themselves too broadly defined and tends to homogenize ethnic minds, especially Indian ones. For example, he maintains the ethnographic interpretive category “ Eastern Woodland culture area ” to explain roughly similar native beliefs and values despite the diversity of native languages, religions, social organizations, and ecologies. His jargon-free and witty prose has made his work accessible for historians and lay people. That he has already produced three collections of mostly previously published essays and is frequently sought to speak before nonacademic audiences testifies to his popularity. Whether he (and other ethnohistorians) influence the larger profession and future syntheses of early American history, however, remains to be seen. Ja me s Fis h e r S e e a ls o

Ethnohistory; Indigenous; Native American

Biography James Lewis Axtell. Born Endicott, New York, 20 December 19 4 1. Received BA, Yale University, 19 6 3; PhD, Cambridge University,

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AXTELL

19 67. Taught at Yale University, 19 6 6 - 7 2 ; Sarah Lawrence College, 1 9 7 2 - 7 5 ; Northwestern University, 19 7 7 - 7 8 ; and College of William and Mary, from 19 78 . Married Susan Carol Hallas, 1963 (2 sons).

Principal Writings T h e S c h o o l U p o n a H ill: E d u ca tio n a n d So ciety in C o lo n ia l N e w E n g la n d , 19 74 “ The Ethnohistory of Early America: A Review Essay,” W illiam a n d M a r y Q u a rte rly 3rd series, 35 (1978), 1 1 0 - 4 4 With James Ronda, In d ia n M issio n s: A C ritica l B ib lio g ra p h y , 19 78 T h e E u ro p e a n a n d the In d ia n : E ssa y s in the E th n o h isto ry o f C o lo n ia l N o r t h A m e r ic a , 19 8 1 Editor, India n P e o p le s o f E astern A m e rica : A D o cu m e n ta ry H isto ry o f the S e x e s , 19 8 1 T h e In va sio n W ith in: T h e C o n test o f C ultures in C o lo n ia l N o r t h A m e rica , 19 85 A fte r C o lu m b u s : E ssa y s in the E th n o h isto ry o f C o lo n ia l N o r t h A m e ric a , 1988 B e y o n d 1 4 9 2 : E n c o u n ters in C o lo n ia l N o r t h A m e rica , 19 9 2 T h e In d ia n s ' N e w S o u th , 19 9 7

Further Reading B a e r r e is , D a v i d A . , R ic h a r d M . D o r s o n , F r e d E g g a n , J o h n C . E w e r s , E le a n o r L e a c o c k , N a n c y O . L u r ie , W i lc o m b E . W a s h b u r n , “ S y m p o s iu m o n th e C o n c e p t o f E t h n o h is t o r y , ” E th n o h isto ry

8

( 19 6 1) , 1 - 9 2 E d m u n d s , R . D a v i d , “ N a t i v e A m e r i c a n s , N e w V o ic e s : A m e r ic a n In d ia n H is t o r y ,

(i995)> 717 - 40

1 8 9 5 - 1 9 9 5 , ” A m e rica n H isto rica l R e v ie w 100

Fenton, William, “ Ethnohistory and Its Problems,” E th n o h isto ry 9 (19 6 2 ) , 1 - 2 3 Jennings, Francis, T h e In va sio n o f A m e rica : In d ia n s, C o lo n ia lism , a n d the C a n t o f C o n q u e st, Chapel Hill: University of North Carolina Press, 19 7 5 Kupperman, Karen O., “ Ethnohistory: Theory and Practice,” R e v ie w s in A m e rica n H isto ry 10 (1982), 3 3 1 - 3 4 Lamar, Howard R., and Leonard Thompson, eds., T h e F ro n tier in H isto ry : N o r th A m e rica a n d S o u th ern A fr ic a C o m p a re d , New Haven: Yale University Press, 19 8 1 Martin, Calvin, “ Ethnohistory: A Better Way to Write Indian History,” W estern H isto rica l Q u a rte rly 9 (1978), 4 1 - 5 6 Merrell, James H., “ Some Thoughts on Colonial Historians and American Indians,” W illiam a n d M a ry Q u a rte rly 3rd series, 46 (1989), 9 4 - 1 1 9 S t u r t e v a n t , W illia m C . , “ A n t h r o p o l o g y , H is t o r y , a n d E t h n o h is t o r y , ”

E th n o h isto ry 1 3 ( 1 9 6 6 ) , 1 - 5 1 T r ig g e r , B r u c e G . , “ S ix t e e n th C e n t u r y O n t a r io : H is t o r y , E t h n o h is t o r y , a n d A r c h a e o l o g y , ” O n ta rio H isto ry

nous African missionaries, especially Bishop James Johnson whose work he so brilliantly discusses in Holy Johnson (1970). It is Ayandele’s contention that the earlier missionaries were on their way toward creating a more truly indigenous and independent church. Bishop Johnson, a Sierra Leonian, had great missionary success. The Church Mission Society, basically a Church of England organization, however, fell victim to the developmentalist philosophy of the times that stated that Africans were not yet ready to assume leadership positions and must be followers and not leaders, ignoring the reality before them. Therefore, European missionaries began to assume greater leadership positions within the churches in Africa. Although Johnson himself never left the Anglicans, his experiences inspired others to secede from mission churches. Ayandele traces the growth of independent African churches to the increasing discrimination within the European dominated missionary societies. These African churches became an incubator of African nationalism, basically appealing to the westernized elite. These African churches stood out in the colonial context, for they were run by indigenous Africans and provided experience with selfrule unique in the colonial situation. Johnson and other indigenous leaders became early nationalists, working to unite linguistic units into cohesive peoples and a geographical expression into a country. This nationalistic use of Christianity is an important aspect of its history in Africa that has often been overlooked. One of Ayandele’s important contributions has been to highlight its significance within the history of Nigeria, and, by extension, Africa itself. This perspective also alerts the student to the active role of peoples colonized within their own history, and, therefore, their own creative power in shaping historical events. F r a n k A. S a l a m o n e Biography Born Ogbomosho, Oyo State, Nigeria, 12 October 19 36 . Educated at Baptist Boys’ High School, Oyo, 19 4 8 - 5 3 ; Nigerian College of Arts, Sciences and Technology, Ibadan, 19 5 4 - 5 6 ; University College, Ibadan, 1 9 5 6 - 6 1 ; King’s College, University of London, 1 9 6 1 - 6 3 , BA, PhD. Taught history, University of Ibadan, 1 9 6 3 - 7 5 (rising to professor, then principal); acting vice-chancellor, University of Calabar, 19 7 5 - 8 0 , then vice-chancellor, 19 8 0 - 8 1. Married Margaret Oyebimpe Adeshima, 19 7 5 (2 sons).

7 1 (1979),

2 0 5-2 2 Y o u n g , M a r y E . , “ T h e D a r k a n d B l o o d y b u t E n d le s s ly I n v e n tiv e M i d d le G r o u n d o f I n d ia n F r o n t ie r H i s t o r io g r a p h y , ” Jo u r n a l o f

the E a rly R e p u b lic 13 (1993), 193 - 2.05

Principal Writings T h e M issio n a ry Im p a ct on M o d e r n N ig e ria , 1 8 4 2 - 1 9 1 4 : A P olitical a n d S o c ia l A n a ly s is, 1966 H o ly Jo h n s o n : P io n e er o f A fric a n N a tio n a lism , 1 8 3 6 - 1 9 1 7 , 19 70 A V isio n ary o f the A fric a n C h u rc h : M o jo la A g b e b i , 1 8 6 0 - 1 9 1 7 ,

Ayandele, Emmanuel Ayankami

19 7 1 A fric a n E x p lo r a tio n a n d H u m a n U n d ersta n d in g , 19 7 2

19 36 -

N igerian historian

E.A. Ayandele has specialized in writing about the missionary impact in Nigeria, especially in western Nigeria among the Yoruba. Moreover, he has concentrated on the work of indige-

T h e E d u c a te d E lite o f the N ig e ria n S o ciety , 19 74 A fric a n H isto rica l Stud ies, 19 79 N ig e ria n H isto ric a l Stud ies, 19 79

“ Joseph Christopher Okwudile Anene, 1 9 1 8 - 1 9 6 8 , ” in Boniface I. Obichere, ed., Studies in So u th ern A fric a n H isto ry , 19 8 2 T h e Ijeb u o f Y oru b a la n d , 1 8 3 0 - 1 9 3 0 : P o litics, E c o n o m y , a n d S o ciety, 19 9 2

B Babad

era in Java were composed in the East Javanese I4th - i5th centuries kingdom of Majapahit, following the Chinese inva sion into East Java. The famous Desawarnana (Description of Districts), a literary work written by a high Buddhist official for king Hayam Wuruk, contains a chronicle of events at the Majapahit court between 13 5 3 and 1364. More historically relevant information is found in the Pararaton (Book of Kings) which gives an account in Old Javanese prose of the 1293 war with the Chinese invaders, the founding of the Majapahit kingdom, and the reign of king Hayam Wuruk, followed by a brief survey of subsequent kings until 1389. One reason why this work is considered as a prototype of the babad genre of the following Islamic period is that its initial chapters likewise relate the mythical origin of the Majapahit dynasty. Moreover, the dating of important events in the Pararaton is often by means of a chronogram (sengkala), similar to the lists of chronograms referring to important historical events (babad sengkala) composed at the Islamic courts, which were used by Javanese authors of court histories. In 1965 Berg suggested a parallel between the founding of the Islamic realm of Mataram and the founding of Hindu-Buddhist realm of Majapahit, because the expression Babad Tanah Jawi (Chronicle of the Land of Jawa), the name of the famous history books of the Central Javanese kingdoms, occurs in the Pararaton, but his theory has found little support. Pigeaud made a distinction between the main babad written at the courts of the Central Javanese rulers, and local histories of noblemen which were written mainly to prove the rights to rule of a particular noble family in Java or Bali, by producing genealogical trees going back to Majapahit times or before. So far, scholarly attention has focused mainly on the various Babad Tanah Jawi texts composed by poets in service of the Javanese rulers of Surakarta and Yogyakarta during the 18th and 19th centuries. Local babad as well as genealogies and tales of Islamic saints recorded in historical books from the early Islamic period on were incorporated into the court babad, but are as yet insufficiently known. From the end of the 19th century, when European scholars started serious study of Javanese history, the reliability of the historical information in babad texts has been questioned. Gradually a scholarly method developed according to which evidence from Indonesian historical texts was accepted only if it could be verified from other independent - Indonesian as well as foreign - sources. However, in the course of the 20th century an anthropological interest developed in the “ nonhistorical” elements of Javanese historical texts, including

The usual translation of the Javanese term babad as “ chronicle” or “ history book ” is somewhat misleading, as most Javanese and Balinese babad texts are neither “ a chronological record of events,” nor do they give very accurate accounts of historical happenings arranged in chronological order. While according to Javanese dictionaries the relationship with the verb mbabad, “ to make a clearing in the forest,” is questionable, Brakel and Moreh suggest it is possible that the Javanese term babad derives from an Arabic word meaning “ chapter of a book,” or “ scene of a (shadow) play.” This second derivation agrees with the view proposed by Brandes first and followed by Pigeaud, that the Javanese genre of babad texts comprising historical writings mixed with myths and legends from various sources (often in metrical verse, sometimes in prose) developed from 17th - and 18th -century Serat Kandha (books of stories). These universal histories or compendiums of mythology, first composed by scholars of the Islamic Pasisir culture in the north coast districts of Java, were and still are used as sources by professional storytellers and by performers of the shadow puppet theater (wayang purwa). According to Brandes, the term babad followed by the name of a realm, such as Babad Demak, should not be considered as a book title but merely indicative of which period and realm the contents deal with. Brandes also emphasized the literary function of these texts and pointed at the interaction between written and oral traditions, including the shadowplay, thereby explaining the structure and the often mythical contents, as well as the many variant versions of Javanese historical texts. The Javanese scholar Djajadiningrat confirmed Brandes’ view and characterized Javanese historiography as medieval, illustrating this with many examples. As Javanese history books called babad or sejarah were usually composed for a ruling noble family, they contain genealogy and history seen from the dynasty’s point of view. Thus, stories dealing with the end of the Hindu-Buddhist kingdoms in East Java and the rise of Islamic kingdoms on the north coast of Java as told in Serat Kandha and babad do not give unbiased accounts of these events and therefore according to Ricklefs their historical significance “ is not to be found in their value as sources on the fall of Majapahit, but rather as documents revealing how Javanese courts saw their own past and their own place and significance in Javanese history.” Apart from historical data in royal charters, the earliest writings on political and dynastic history from the pre-Islamic

¿5

66

BABAD

social structure and religious systems. Again, in a reaction to Berg’s 1938 article on Javanese historiography, Drewes warned against the tendency to neglect historiographical material in Javanese historical texts by pointing out that these often contained useful and reliable historical evidence, especially when the author described events and situations which he had personally witnessed. Brakel’s conclusion that: “ ultimately, the historical ‘ reliability’ of a text will largely depend on the character, the structure and the function of that text,” reflects a growing awareness that Javanese historical texts need to be studied and evaluated within their own cultural context. C l a r a B r a k e l -P a p e n h u y z e n

See also Ranggawarsita; Southeast Asia Further Reading B e r g , C . C . , “ J a v a a n s c h e g e s c h ie d s c h r ijv in g ” (J a v a n e s e

Historiography), in Frederick Willem Stapel, ed., G esch ied e n is van N e d e r la n d s c h - In d ie , vol. 2, Amsterdam: van de Vondel, 19 38 Berg, C .C ., “ Twee nieuwe publicaties betreffende de geschiedenis en geschiedschrijving van Mataram ” (Two N ew Publications on the History and Historiography of Mataram), In d o n e sie 8 (19 55), 9 7 -12 8 B e r g , C . C . , “ B a b a d en b a b a d - s t u d i e ” (B a b a d a n d th e S t u d y o f B a b a d ) , In d o n e sie

10 (19 57), 6 8 - 84

B e r g , C . C . , “ T h e J a v a n e s e P ic tu r e o f th e P a s t , ” in M o h a m m a d A l i S o e d ja t m o k o , G . J . R e s in k , a n d G e o r g e M c T u r n a n K a h in , e d s ., A n

In tro d u ctio n to In d o n esia n H isto rio g r a p h y , I t h a c a , N Y : C o r n e ll U n iv e r s it y P re ss , 19 6 5 Brakel, L.F., “ D ic h tu n g u n d W ahrheit: Some Notes on the Development of the Study of Indonesian Historiography,” A r c h ip e l 20 (1980), 3 5 - 4 4 Brakel, Clara, and Shmuel Moreh, “ Reflections on the Term b a b a : From Medieval Arabic Plays to Contemporary Javanese Masked Theater,” E d e b iy a t 7 (1996), 2 1 - 3 9 Brandes, Jan Laurens Andries, P araraton (K en A r o k ) o f bet b o ek d er ko n in g en van T u m a p e l en van M a ja p a h it (Paraton [Ken Arok] or the Book of the Kings of Tumapel and of Majapahit), Batavia: Albrecht, and The Hague: Nijhoff, 19 20 Carey, Peter B.R., B a b a d D ip a n a g a ra : A n A c c o u n t o f the O u tb re a k o f the Ja v a W ar ( 1 8 2 5 - 3 0 ) , Kuala Lumpur: Malaysian Branch of the Royal Asiatic Society, 19 8 1 Creese, H .M ., “ Balinese Babad as Historical Sources: A

Kartodirdjo, Sartono, ed., P ro files o f M a la y C u ltu re: H isto rio g ra p h y, R e lig io n a n d P o litics, Jakarta: Ministry of Education and Culture, 19 76 Krom, Nicolas Johannes, H in d o e - Ja v a a n sc h e gesch ied en is (HinduJavanese History), The Hague: Nijhoff, 19 2 6 ; revised 1 9 3 1 Olthof, W.L., ed. and trans., B a b a d Tanah D ja w i in p ro z a : Ja v a a n s c h e gesch ied en is (Babad Tanah Djawi in Prose: Javanese History), 2 vols., The Hague: Nijhoff, 19 4 1 Pigeaud, Theodore Gauthier Thomas, L itera ture o f J a v a , 3 vols., The Hague: Nijhoff, 19 6 7 - 7 0 Ras, Johannes Jacobus, “ The Babad Tanah Jawi and Its Reliability: Questions of Content, Structure and Function” and “ The Genesis of the Babad Tanah Jawi: Origin and Function of the Javanese Court Chronicle,” in his T h e S h a d o w o f the I v o r y Tree: L a n g u a g e, L itera tu re a n d H isto ry in N u sa n ta ra , Leiden: Vakgroep Talen en Culturen van Zuidoost-Azie en Oceanie, Rijksuniversiteit te Leiden, 19 9 2 Ricklefs, Merle Calvin, “ A Consideration of Three Versions of the Babad Tanah Djawi, ” B u lletin S c h o o l o f O rien ta l a n d A fric a n Studies 35 (19 72), 2 8 5 - 9 6 Ricklefs, Merle Calvin, Jo g ja k a rta u n d e r Sultan M a n g k u b u m i, 1 7 4 9 - 1 7 9 2 : A H isto ry o f the D iv is io n o f J a v a , London: Oxford University Press, 19 74 Ricklefs, Merle Calvin, M o d e rn Ja v a n e se H isto rica l T ra d itio n : A S tu d y o f an O rig in a l K artasura C h ro n ic le a n d R e la ted M aterials,

London: School of Oriental and African Studies, 19 78 Ricklefs, Merle Calvin, “ The Evolution of the B a b a d Ta nah J a w i Texts,” B ijd ra g e n K o n in k lijk Instituut v o o r Ta al - , L a n d - en V o lk e n k u n d e 1 3 5 (1979), 4 4 3 - 5 4 Ricklefs, Merle Calvin, A H isto ry o f M o d e r n In d o n esia , c . 1 3 0 0 to the Presen t, London: Macmillan, and Bloomington: Indiana University Press, 19 8 1 ; 2nd edition Macmillan, and Stanford, CA: Stanford University Press, 19 9 3 Robson, Stuart O., D e sa w a rn a n a (N a gara krtagam a ) (Description of Districts), Leiden: KITLV Press, 19 95 Rubinstein, R., “ The Brahmana According to Their Babad,” in Hildred Geertz, ed., State a n d S o ciety in B a li: H istorical, T e x tu a l a n d A n th r o p o lo g ic a l A p p ro a c h e s , The Hague: Nijhoff, 19 9 1 Soedjatmoko, Mohammad Ali, G. J. Resink, George McTurnan Kahin, eds., A n In tro d u ctio n to In d o n e sia n H isto rio g ra p h y, Ithaca, N Y: Cornell University Press, 19 6 5 Uhlenbeck, E.M ., A C ritica l S u r v e y o f S tu d ies o n the L a n g u a g es o f Ja v a a n d M a d u ra , The Hague: Nijhoff, 1964 Worsley, P.J., B a b a d B u le len g : A B alin ese D y n a stic G e n e a lo g y , The Hague: Nijhoff, 19 7 2

R e in te r p r e t a t io n o f th e F a ll o f G e l g e l , ” B ijd ra g e n K o n in k lijk

Instituut v o o r T a al - , L a n d - en V o lk e n k u n d e 14 7/2 - 3, 2 36 - 6 0 D a y, Jo h n A n th o n y,

“ B a b a d K a n d h a , B a b a d K ra to n ,

a n d V a ria tio n

in M o d e r n J a v a n e s e L i t e r a t u r e , ” B ijd ra g en K o n in k lijk Instituut v.

Taal - , L a n d - en V o lk e n k u n d e 13 4 (1978), 4 3 3 - 5 0 D ja ja d i n i n g r a t , H o e s e in , C ritisch e b e sc h o u w in g van d e S ad ja rah

B a n te n : B ijd ra g e ter ken sch etsin g van d e Ja v a a n s c h e g e sc h ie d sch rijvin g ( C r it ic a l R e f le c tio n o n th e S a d ja r a h B a n t e n : A C o n t r ib u t io n t o th e C h a r a c t e r i z a t io n o f J a v a n e s e H i s t o r io g r a p h y ) , H a a r le m : E n s c h e d e ,

19 13

D r e w e s , G . W . J . , “ O v e r w e r k e lijk e en v e r m e e n d e G e s c h ie d s c h r ijv in g in d e N ie u w j a v a a n s c h e lit t e r a t u u r ” ( O n R e a l a n d S u p p o s e d

19 (1939), 2 4 4 -2 5 7 Fox, James J., “ Sunan Kalijaga and the Rise of Mataram: A H i s t o r io g r a p h y in M o d e r n J a v a n e s e L it e r a t u r e ) , D ja w a

R e a d i n g o f th e B a b a d Ta nah J a w i a s a G e n e a lo g ic a l N a r r a t i v e , ” in P e te r G . R id d e ll a n d T o n y S tr e e t, e d s ., Isla m : E ssa y s on

Scriptu re, T h o u g h t a n d S o c ie ty : A Festschrift in H o n o u r o f A n t h o n y H . Jo h n s , L e id e n : B r ill, 19 9 7 G r a a f , H . J . d e , “ D e h is t o r is c h e b e t r o u w b a a r h e id d e r J a v a a n s c h e o v e r le v e r i n g ” ( T h e H is t o r ic a l R e lia b ilit y o f th e J a v a n e s e T r a d it io n ) , B ijd ra g e n K o n in k lijk Instituut v o o r Taal - , L a n d - en

V o lk e n k u n d e 1 1 2 (1956), 5 5 - 7 3

Bailyn, Bernard 1922-

US historian

As one of his students, Gordon Wood, put it in 19 9 1, “ few if any American historians in the modern era of professional history-writing have dominated their particular subject of specialization to the degree that Bailyn has dominated early American history in the past thirty years.” Bernard Bailyn’s studies of the American colonies and the coming of the revolution center on issues of culture change the ways in which transplanting European culture created a new and distinct society. In his work four general areas emerge: he has analyzed the importance of the specific conditions of settlement; the formation of provincial (“ creole” ) elites; the habits and routines of colonial social and political life; and the growth of new ideological assumptions regarding politics and authority. In all of these studies, he has noted the growing distance between imperial political and social institutions, and

BAILYN the role and understanding of those institutions in colonial America. The central and most influential of his works is The Ideological Origins of the American Revolution (1967). Although he is often described as an intellectual historian, and the emphasis on ideas in The Ideological Origins would seem evidence for this, Bailyn is better understood as a historian of society, or as a social historian in the broadest sense. His early work on New England merchants and “ Politics and Social Structure in Virginia ” (1959), described the formation of the habits and practices of creole elites - merchants in the northern colonies and planters in the Chesapeake. That work, along with Education in the Forming of American Society (i960), showed the adoption of modes of life and thought that went with the creation of new societies, based on European culture, but formed in a very different physical and social environment. Two major books, The Origins of American Politics (1968) and The Ideological Origins of the American Revolution, extended this description to explain the growing distance between imperial assumptions and colonial experience in both the practice and the theory of colonial politics. The analysis of the social and ideological roots of the revolution was essentially completed in the biography, The Ordeal of Thomas Hutchinson (1974), in which were shown the profound differences between loyalist and colonial attitudes, and the attendant misunderstandings, especially in the contrast between the elite figures of John Adams and Hutchinson. Adams’ resentments are understood as an outgrowth of conflicting assumptions about the foundations of authority: Hutchinson came from a world of tightly structured social hierarchies, while Adams lived in a more fluid social, economic, and political culture. Ideology, for Bailyn, provides the key to understanding those differences, defined as that which serves to mediate between society and intellect. A prominent concern throughout is with the ideology of authority, and how that ideology changed, from one of assumed deference and hierarchy to one in which “ authority was questioned before it was obeyed” (“ The Central Themes of the American Revolution ” [1973]). This particular emphasis appears in his work in an edited volume of previously unpublished political pamphlets (Pamphlets of the Revolution [1965]). There he discovered the deep influences of back bench or “ radical Whig” ideas (commonly thought of as “ Republican ” ) on American political understanding. But the degree of that influence was comprehensible only with the background of political habits that Bailyn described in Origins ofAmerican Politics. Thus his three books of the mid -1960s explained how the different political, and social lives of Americans had led them to interpret British political writings very differently from those who lived in the British homeland. Bailyn ’s writing grows in large part from the influence of his mentor, Oscar Handlin, and in reaction to the earlier Progressive historians (particularly Beard) and the later neoProgressives. From Handlin came the sense of “ the constructed nature of both personality and society,” which extended in Bailyn’s work to the view that politics “ is best understood as society operating upon government.” Those notions provided the basis of Bailyn’s understanding of politics and change. The Progressives had argued that revolutionary rhetoric taken at face value disguised the crucial role of class conflict in creating the revolution. Bailyn ’s early work in turn provided

67

a critique of class theory as applied to the colonial period. But he was especially conscious of the Progressive critiques of earlier writing as he developed his argument for the role of ideology. To stave off such dismissals, he accumulated the evidence to show that the differences between America and Britain were deep-rooted in the colonial society, a pattern developing long before the events of the 1760s, and a social pattern that gave specific meaning to ideological interpretations. Thus his argument comes to look much like that of Tocqueville’s for the French Revolution, although Bailyn has generally argued that the Revolution had less to do with modernization than environmental difference. Bailyn ’s Harvard University graduate students (more than sixty by 19 9 1) have gone a variety of directions. Some, like Gordon Wood, have followed his lead (Wood has elaborated on Bailyn’s republican synthesis to reconstruct and recover an entirely new range of meanings from the constitutional exper iments that followed the revolution); while others, such as James Henretta, have become influential in challenging Bailyn ’s synthesis. The strongest critiques of Bailyn’s work come from scholars who emphasize the differences among the American colonists, as well as the role of economic forces, thus tending to undermine the sense of a fundamental shared culture and especially a shared motivation to revolt. Works by Edward Countryman (The American Revolution, 1985) and Jack P. Greene (Pursuits of Happiness, 1988) have challenged Bailyn on the basis of the many local studies that appeared as part of the new social history, which began in the late 1960s. Bailyn has continued his exploration of colonial history by launching a new study of immigration (The Peopling of British North America [1986], Voyagers to the West [1986]), which seems to fit his earlier studies in two ways: he describes a population frustrated by encounters with the British structures of authority and privilege, and he describes a British govern ment unable to recognize or begin to cope with the nature of those complaints. Bailyn’s books and articles build a formidable case for cultural change. He has contributed significantly to the literature on Republicanism and has expanded the ways in which historians study the roles of ideas and ideology in relation to the modes of everyday life. In these ways he has influenced historical practice and the understanding of early American history. D o n a l d R. Pa l m Ethnicity; Migration; Miller, P.; Quinn; United States: Colonial; United States: 19th Century; Wood, Gordon

S e e a ls o

Biography

Born Hartford, Connecticut, 10 September 19 2 2 . Received BA, Williams College, 19 4 5, M A , Harvard University, 19 4 7, PhD 19 5 3 . Served in Army Security Service and Army Signal Corps, World War II. Taught (rising to professor), Harvard University, 19 5 4 - 9 3 (emeritus). Married Lotte Lazarsfeld, 19 5 2 (3 sons).

Principal Writings T h e N e w E n g la n d M erch a n ts in the Seventeenth C e n tu ry , 19 5 5

“ Politics and Social Structure in Virginia,” in James M. Smith, ed., Se ve n te e n th - C e n tu ry A m e r ic a , Chapel Hill: University of North Carolina Press, 19 59

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BAILYN

E d u ca tio n in the F o rm in g o f A m e rica n S o ciety: N e e d s a n d O p p o rtu n itie s fo r S tu d y , i960 P a m p h lets o f the A m e rica n R e v o lu tio n , 1965 T h e Id e o lo g ic a l O rig in s o f the A m e rica n R e v o lu tio n , 19 6 7; revised 19 9 1 T h e O rig in s o f A m e rica n P o litics, 1968

“ The Central Themes of the American Revolution: An Interpretation,” in Stephen G. Kurtz and James H. Hutson, eds., E ssa y s on the A m e rica n R e v o lu tio n , Chapel Hill: University of North Carolina Press, 19 73 T h e O r d e a l o f T h o m a s H u tch in so n , 19 74 With others, T h e G re a t R e p u b lic : A H isto ry o f the A m e rica n P e o p le , 19 7 7 ; 4th edition 19 9 2 T h e P e o p lin g o f B ritish N o r t h A m e ric a : A n In tro d u ctio n , 1986 V oyagers to the W est: A Passage in the P e o p lin g o f A m e rica on the E v e o f the R e v o lu tio n , 1986 Fa ces o f R e v o lu tio n : P ersonalities a n d T h em es in the Struggle fo r A m e rica n In d e p e n d e n c e, 1990 Editor with Philip D. Morgan, Strangers w ith in the R e a lm : C u ltu ra l M a rg in s o f the First B ritish E m p ir e , 19 9 1 O n the Teach in g a n d W riting o f H isto ry : R esp o n se s to a Series o f Q u e stio n s, 19 94

Further Reading Henretta, James A., Michael G. Kammen, and Stanley N. Katz, eds., T h e T ra n sfo rm a tio n o f E a r ly A m e rica n H isto ry : S ociety ; A u th o rity ; a n d Id e o lo g y , New York: Knopf, 19 9 1 Shalhope, Robert E., “ Toward a Republican Synthesis: The Emergence of an Understanding of Republicanism in American Historiography,” W illiam a n d M a r y Q u a rte rly 29 (19 72), 49 - 8 0 Shalhope, Robert E., “ Republicanism and Early American Historiography,” W illiam a n d M a r y Q u a rte rly 39 (1982), 3 3 4 - 5 6

The Balkans The term Balkans describes an area of geographic and ethnic diversity that consists of modern-day Romania, Bulgaria, Albania, Greece, Macedonia, Yugoslavia, Croatia, Bosnia, and Slovenia. Objectivity has repeatedly eluded Balkan history because most prominent pre-World War II Balkan historians were also politicians, and, especially under communist regimes, many historians worked in state research institutes dedicated primarily to promoting their government’s policies. The arduous struggles that Balkan people waged for their freedom against the Ottoman and Habsburg empires have also focused most Balkan historians on the study of only their own nations. Influenced by West European rationalism, a few 17th - and 18th -century Balkan intellectuals, seeking a better understanding of their national identities, substituted well-documented and analytical histories for chronicles. In the process they uncovered some of the enduring problems of Balkan history. Mavro Orbini (mid -i6th cen tu ry - 1611), a Croat, introduced the question of national origins when he theorized that the Slavs were autochthonous to the Balkans, but another Croat, Ivan Lucius (1604 - 79), proved that they did not arrive until the 6th century CE. The earliest Romanian historians, Miron Costin (?i6 33 ~ 9 i), Constantin Cantacuzino (P i6 4 0 - i7i6 ), and Dimitrie Cantemir (16 7 3 - 17 2 3 ), concluded that Romanians were Latins, not Slavs, because they originated during the Daco -Roman era (c. 50 BCE — 273 c e ) and never left their homeland. Orbini also introduced the issue of pan-Slavism by stressing the common ethnicity of the South Slavs (Croats, Serbs, and Slovenes). However, a fellow

Croat, Ritter Pavao Vitezovic ( 16 5 2 - 17 13 ) , identified all the South Slavs with the Croats. Early Serbian historians, such as Count Djordje Brankovic ( 16 4 5 - 17 1 1) and Jovan Rajic (17 2 6 - 18 0 1), maintained that the Serbs had a separate national identity, although Rajic included them among the South Slavs. Additionally, he broadened the pan-Slavic concept by closely connecting the South Slavs with the Russians. The first Bulgarian historian, Paissi Hilendarski (? 1722/23 - ?!773/9 8), also believed that all Slavs were related, the ties between the Bulgarians and the Russians being especially close. During the 19th century many Balkan historians studied at German or Austrian universities where they learned German methods for critically analyzing documents. Several of them, such as the Bulgarian Iordan Ivanov (18 72 - 19 4 7), the Serbian Mihailo Gavrilovic (1868 - 1924), the Croatian Ivan Sakcinski Kukuljevic (1816 - 89), the Greeks Spyridon Lambros ( 18 5 1 - 19 19 ) and Konstantinos Sathas (18 4 2 - 19 14 ), and the Romanians loan Bogdan (18 6 4 - 19 19 ) and Nicolae Iorga (18 7 1 - 19 4 0 ), also scoured Europe for documents and published what they found. Furthermore, scholars from Romania, such as Alexandru Odobescu (1834 - 95), Vasile Parvan (18 8 2 - 19 27), Constantin Daicoviciu (189 8 - 1973), and Ion Nestor (1905 - 74), and from Bulgaria like Krastiu Miyatev (1892 - 1966) and Vassil Zlatarski (186 6 - 19 35), introduced archaeology to augment the scanty written evidence for ancient and medieval Balkan history. The steady decline of the Ottoman empire and the influence of German nationalism prompted 19th -century Balkan historians to intensify their predecessors’ stress on national political history. By 19 14 all the Balkan peoples under Ottoman domination had obtained their independence, while the Croats, Bosnians, and Slovenes remained subjects of Austria-Hungary. Serbian and Croatian historians continued to debate the South Slav issue, with scholars from both nations advocating the establishment of Yugoslavia, but without clarifying how they would apportion political power among themselves. Balkan peoples based their claims for independence or polit ical rights on nationality, and history helped to prove that each group met the requirements for nationhood. Theorists included literary culture as a major determinant of nationhood, so Balkan historians such as the Serbian Stojan Novakovic ( 18 4 2 - 19 15 ), who had heretofore concentrated on political history, began exploring literary topics. As a result cultural history became a favorite theme for future Balkan historical research. Another determinant of nationhood was independence. Every Balkan ethnic group except the Slovenes had established a kingdom at some time during the Middle Ages. For nationalistic reasons, Lambros, Novakovic, the Croatian Tadija Smiciklas (18 4 3 - 19 14 ), the Romanian Alexandru D. Xenopol (18 4 7 - 19 20 ), and the Bulgarian Marin Drinov (1838 - 19 0 6 ) stressed the ancient and medieval eras and hurried through the intervening centuries to their modern movements for national liberation. Novakovic ‘ s publications on Balkan medieval history included research on the boundaries of the Serbian kingdom. Historical geography had practical applications for the pre - 1914 territorial squabbles between Serbia, Bulgaria, and Greece because each justified their modern territorial claims on the areas occupied by their medieval kingdoms. Unfortunately, these boundaries often overlapped. The previously broached question of national origins became a defense against this “ kingdom formula ” when state

BALKANS

formation was subordinated to length of residence. For example, Greece’s most outstanding 19th -century historian, Konstantinos Paparregopoulos ( 18 15 - 9 1) argued that neither the Slavs nor the Albanians had replaced the ancient Greeks, but that the Greeks had continuously occupied their homeland since antiquity, and served as a source for Eastern European culture. The Albanians justified their ambitions for independence and land by identifying themselves with the ancient Illyrians. The Romanians used their Daco -Roman theory to demand Transylvania from Hungary. Between 19 19 and 1939 these time-honored practices culminated with some excellent political histories, such as those of Constantin C. Giurescu (19 0 1 - 7 7 ) and Iorga for Romania, and Mikhail D. Dimitrov (18 8 1 - 19 6 6 ) and Dimiter T. Strashimirov (1868 - 1939 ) for Bulgaria. Historians also researched economic, social, and new cultural topics that enriched Balkan history. Prominent among them are: the Romanian David Prodan (1902 - 92) on social history; the Bulgarian Zhak Natan (1902 - 74) on economic history; and the Greek Yanis Kordatos (18 9 1 - 19 6 1), who created a major controversy by attacking the continuity of the Greek nation using Marxist theory. The communist regimes that seized power in every Balkan country except Greece after 1945 forced historians to revise their national histories with Marxism -Leninism. Although most of this political history is useless, a few scholars, such as the Romanian Alexandru Du{u, wrote erudite social, economic, and cultural histories on less ideologically sensitive medieval, Ottoman, and pre-communist economic topics. Valuable research guides and new collections of documents also appeared during these years. Communism, by attracting attention to the Balkans, stimulated Western interest in its history, resulting in the formation of a large community of historians; many have been Balkan émigrés, who have published penetrating analyses on all aspects of Balkan history. These scholars include: Stephen Fischer-Galati and Keith Hitchins on Romania; John D. Bell and Maria Todorova on Bulgaria; Richard Clogg and Steven Runciman on Greece; Bernd Fischer and Nicholas Pano on Albania; and Gale Stokes, Ivo Banac, and David MacKenzie on Yugoslavia. Beginning with R.W. Seton-Watson earlier in the 20th century a number of Western historians, including Hugh Seton-Watson, M.S. Anderson, Robert Wolff, Joseph Rothschild, Leften Stavrianos, Peter Sugar, Barbara Jelavich, John V.A. Fine, Jr., James F. Brown, John Lampe, Marvin Jackson, and the Yugoslav Traian Stoianovich, have broken the limitations of Balkan national history by writing integrated histories on various subjects. Since 1989 Balkan historians have themselves displayed greater interest in their relationships with Europe and the world than ever before, which may make their studies more diverse in the future. R o b e r t F. F o r r e s t Austro-Hungarian; Barkan; Central Europe; East Central Europe; Fischer; Greece: Modern; Halecki; Inalcik; Jelavich; Obolensky; Ottoman; Seton-Watson, R.; Stavrianos; Sugar

S e e a ls o

Further Reading Anderson, Matthew Smith, T h e E a stern Q u e stio n , 1 7 7 4 - 1 9 2 3 : A S tu d y in In ternation al R e la tio n s , London: Macmillan, and New York: St. Martin’s Press, 1966

69

Banac, Ivo, T h e N a tio n a l Q u e stio n in Y u g o sla via : O rig in s, H istory, P o litics , Ithaca, N Y: Cornell University Press, 19 84 Bell, John D., T h e B u lg a ria n C o m m u n ist P a rty fro m B la g o e v to Z h i v k o v , Stanford, CA : Hoover Institution Press, 1986 Berend, Tibor Iván, and Gyorgy Ránki, E a st C e n tra l E u r o p e in the N in eteen th a n d Tw entieth C en tu ries , Budapest: Akadémiai Kiadó, 19 7 7 Bogdan, loan, C ro n ic i inedite atingdtoare de istoria ro m in ilo r (Unpublished Chronicles Touching on Romanian History), Bucharest: Socecü, 18 9 5 Brankovic, Djordje, S la ve n o - S erb s k e H ro n ik e (Slavo-Serbian Chronicles), 5 manuscript vols., c.170 0 , never published Brown, James E , H o p e s a n d S h a d o w s : E a stern E u r o p e after C o m m u n is m , Durham, N C : Duke University Press, and London: Longman, 1994 Cantacuzino, Constantin, Istoria T d rii R o m an e§ti (History of Wallachia) [unfinished], c.170 0 ; first published 18 5 8 , reprinted Bucharest: Editora Academici Romane, 19 9 1 Cantemir, Dimitrie, H ro n ic u l ve ch im ii r o m a n o - m o ld o - v la h ilo r (Chronicle of the Antiquity of the Romano-Moldavians and Wallachians), written 1 7 1 9 - 2 2 ; published 1 8 3 5 - 3 6 , reprinted Bucharest: Albatros, 19 8 1 Clogg, Richard, A C o n cise H isto ry o f G r e e c e , Cambridge and New York: Cambridge University Press, 19 9 1 Costin, Miron, L eto p ise tu l J a r i i M o ld o v e i (Chronicle of Moldavia), 16 7 5 ; reprinted Bucharest: Minowa, 19 79 Daicoviciu, Constantin, L a Tra n sylva n ie d ans Vantiquité (Transylvania in Antiquity), Bucharest, 19 4 5 Dimitrov, Mikhail D., P o ia va razvitie i ideo lo g iia na fashizm a v B u lg a rii (Appearance, Development, and Ideology of Fascism in Bulgaria), 19 4 7 Drinov, Marin, Z a se le n ie b a lk a n sk o g o p o lu o stro v a sla via n a m i (The Settlement of the Balkan Peninsula by the Slavs), 18 7 2 Dutu, Alexandru, L e s L iv r e s d e sagesse dans la culture R o u m a in e, Bucharest, 19 7 1 Fine, John Van Antwerp, Jr., T h e E a r ly M e d ie v a l B a lk a n s: A C ritica l S u r v e y fro m the S ix th to the L a te T w elfth C e n tu ry , Ann Arbor: University of Michigan Press, 19 8 3 Fine, John Van Antwerp, Jr., T h e L a te M e d ie v a l B a lk a n s: A C ritica l S u r v e y fro m the late T w elfth C e n tu ry to the O tto m a n C o n q u e st , Ann Arbor: University of Michigan Press, 19 8 7 Fischer, Bernd Jürgen, K in g Z o g a n d the Struggle fo r Stab ility in A lb a n ia , New York: Columbia University Press, 19 84 Fischer-Galati, Stephen, T w e n tie th - C e n tu ry R o m a n ia , N ew York: Columbia University Press, 19 70 ; revised 19 9 1 Gavrilovic, Mihailo, Isp isi iz p a risk ih a rh iva : g ra d ja za istoriju p r v o g srp sk o g ustanka (Transcripts from Parisian Archives: Sources for the History of the First Serbian Uprising), Belgrade: Srpska Kraljevska Akademija, 1904 Giurescu, Constantin C., T h e M a k in g o f the R o m a n ia n P e o p le a n d L a n g u a g e , Bucharest: Meridiane, 19 7 2 Hilendarski, Paissi, T sarstvenn ik Hi istoriia b o lg arska ia (A Book of Kings or a History of Bulgaria), written 17 6 2 ; published 18 4 4 Hitchins, Keith, R u m a n ia , 1 8 6 6 - 1 9 4 7, Oxford and N ew York: Oxford University Press, 1994 Horecky, Paul L., ed., Sou th eastern E u r o p e : A G u id e to B a sic P u b lica tio n s , Chicago: University of Chicago Press, 1969 Iorga, Nicolae, Stu d ii §i d o cu m én ten te cu p riv ire la istoria ro m a n ilo r (Studies and Documents Concerning the History of the Romanians), 3 1 vols., 1 9 0 1 - 1 6 Iorga, Nicolae, H istoire des R o u m a in s et d e la rom a nité oriéntale (A History of the Romanians and of the Latin East), 10 vols., 19 3 7 - 4 5 ; partially translated as A H isto ry o f R o u m a n ia : L a n d , P eop le, C ivilisa tio n , London: Unwin, 19 2 5 , reprinted N ew York: AM S, 19 70 Ivanov, Iordan, B o g o m ils k i knig i i leg en di (Bogomil Books and Legends), Sofia: Pridvorna Pechatnitsa, 19 2 5 ; reprinted 19 70 Jackson, Marvin R., and John R. Lampe, B a lk a n E c o n o m ic H istory, 1 5 5 0 - 1 9 5 0 : F ro m Im p e ria l B o rd e r la n d s to D e v e lo p in g N a t io n s , Bloomington: Indiana University Press, 19 8 2

JO

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Jelavich, Barbara, R u ssia a n d the G re e k R e vo lu tio n o f 1 8 4 3 , Munich: Oldenbourg, 1966 Jelavich, Barbara, H isto ry o f the B a lk a n s , 2 vols., Cambridge and N ew York: Cambridge University Press, 19 83 Kaser, Michael C , general editor, T h e E c o n o m ic H isto ry o f E a stern E u r o p e , 1 9 1 9 - 1 9 7 5 , 3 vols, to date, Oxford and New York: Oxford University Press, 19 8 5 - 8 6 Kordatos, Yanis, H isto ria tes neo tero s H ella das (History of Modern Greece), 5 vols., Athens: Ekdoses, 19 5 7 - 5 8 Kukuljevic, Ivan Sakcinski, ed., A r h iv za p o ve stn ic u ju g o sla v en sk u (Archive for Yugoslav History), 1 2 vols., 1 8 5 1 - 7 5 [periodical] Lambros [Lampros], Spyridon, H isto ria tes H e lla d o s , 6 vols, in 5, Athens: Karolo Bek, 18 8 6 - 8 8 Lucius, Ivan [Giovanni Lucio], D e regn o D a lm a tia e et C ro atiae (The Kingdom of Dalmatia and Croatia), 6 vols., Venice: Curti, 1666; reprinted Bologna: Forni, 19 7 7 MacKenzie, David, T h e S erb s a n d R u ssia n P a n - S la v ism , 1 8 7 5 - 1 8 7 8 , Ithaca, NY: Cornell University Press, 19 6 7 Miyatev, Krastiu [Krustiu Miiyatev], D e k o r ativnata z h ip o p is ’ na sofiiskiia n e k r o p o l (The Decorative System of Bulgarian Murals), Sofia: Pridvorna Pechatnitsa, 19 2 5 Natan, Zhak [Jacques P. Nathan], Ik o n o m ic h e sk a istoriia na b ulgariia (Economic History of Bulgaria), 2 vols., Sofia: Pechatnitsa Rakovski, 19 38 Nestor, Ion, D e r S ta n d d er V o rgesch ich tsfo rsch u n g in R u m ä n ien (The State of Prehistoric Research in Romania), 19 3 3 Novakovic, Stojan, S r b i i T u rci X I V i X V ve k a (The Serbs and the Turks in the 14th and the 15th Centuries), Belgrade: Drizavnoj, 18 9 3 ; reprinted Belgrade: Kultura, i960 Odobescu, Alexandru, L a T réso r d e p étro ssa (The Treasure of Pietroasa), Paris: Rothschild, 18 8 9 - 19 0 0 ; reprinted in O p e r e , vol.4, Bucharest, 19 7 6 Okey, Robin, E a stern E u r o p e , 1 7 4 0 - 1 9 8 0 : F eu d a lism to C o m m u n is m , Minneapolis: University of Minnesota Press, and London: Hutchinson, 19 8 2 ; revised 19 86 Orbini, Mavro, II regn o d eg li S la vi (The Kingdom of Slavs), Pesh: Concordia, 16 0 1; reprinted Munich: Sagner, 19 8 5 Pano, Nicholas, T h e P e o p le ' s R e p u b lic o f A lb a n ia , Baltimore: Johns Hopkins University Press, 1968 Paparregopoulos, Konstantinos, H isto ria tou hellen ik o u ethn ous (History of the Greek People), 6 vols., Athens: Passaree, 18 6 0 - 7 7 ; abridged in French as H isto ire d e la civilisa tio n h ellén iq u e , Paris: Hachette, 18 78 Parvân, Vasile, In cep u tu rile v ie \ii ro m a n e la gu rile D u n à r ii (The Beginnings of Roman Life at the Mouth of the Danube), Bucharest: Cultura National, 19 2 3 Prodan, David, S u p p le x libellus va la c h o ru m ; or, T h e P olitica l Struggle o f the R o m a n ia n s in T ran sylvan ia d u rin g the E ig h teen th C e n tu ry , Bucharest: Publishing House of the Academy of the Socialist Republic of Romania, 1 9 7 1 Rajic, Jovan, Istoria raznih sla ven sk ih n a ro d o v na ipace B olgar, H o r v a to v i S e r b o v (The History of Various Slavic Peoples Especially Bulgars, Croats, and Serbs), 4 vols., 17 9 4 - 9 5 Rothschild, Joseph, R e tu rn to D iv e r sity : A P o litica l H isto ry o f E a st C e n tra l E u r o p e sin ce W o rld W ar I I, Oxford and New York: Oxford University Press, 19 89 ; revised 1993 Runciman, Steven, T h e G re a t C h u rc h in C a p tivity : A S tu d y o f the P atriarch ate o f C o n sta n tin o p le fro m the E v e o f the Tu rk ish C o n q u e st to the G r e e k W ar o f In d e p e n d e n c e , Cambridge: Cambridge University Press, 1968 Sathas, Konstantinos, M n e m e ia H ellen ik es historias: D o cu m e n ts inédits relatifs à l ' h isto ire d e la G rè c e au M o y e n A g e

(Unpublished Greek Documents Relating to the History from the Classical Era to the Middle Ages), 9 vols., Paris: Maisonneuve, 18 8 0 - 9 0 Seton-Watson, Hugh, T h e E a s t E u ro p e a n R e v o lu tio n , London: Methuen, 19 50 ; 3rd edition New York: Praeger, and London: Methuen, 19 5 6

Seton-Watson, R.W., T h e So u th ern S la v Q u estio n a n d the H a b sb u rg M o n a r c h y , London: Constable, 1 9 1 1 ; reprinted New York: Fertig, 1969 Smiciklas, Tadija, P o v iest h rvatska (Croatian History), 2 vols., Zagreb: Naklada Matice hrvatske, 18 7 9 - 8 2 Stavrianos, Leften Stavros, T h e B a lk a n s sin ce 1 4 5 3 , New York: Rinehart, 19 58 Stoianovich, Traian, B a lk a n W o rld s: T h e First a n d L a st E u r o p e , Armonk, N Y: Sharpe, 19 94 Stokes, Gale, P olitics as D e v e lo p m e n t: T h e E m erg e n c e o f P olitica l Parties in N in e te e n th - C e n tu ry S e rb ia , Durham, N C : Duke University Press, 1990 Strashimirov, Dimiter T., Istoriya na ap rilsk o to vastanie (A History of the April Uprising), 3 vols., Plovdiv: Plovdivskata Okruzhna Postoianna Komisiia, 19 0 7 Sugar, Peter F., Sou th eastern E u r o p e u n d e r O tto m a n R u le, 1 3 5 4 - 1 8 0 4 , Seattle: University of Washington Press, 19 7 7 Todorov, Nikolai, T h e B a lk a n City, 1 4 0 0 - 1 9 0 0 , Seattle: University of Washington Press, 19 8 3 [Russian original] Todorova, Maria N ., B a lk a n F a m ily Structure a n d the E u ro p e a n Pattern: D e m o g ra p h ic D e ve lo p m e n ts in O tto m a n B ulg a ria ,

Washington, DC: American University Press, 19 93 Vitezovic, Ritter Pavao, D ie E h r e des H erzo g th u m s K rain (The Honor of the Duchy Croatia), 1689 Wolff, Robert L., T h e B a lk a n s in O u r T im e, Cambridge, M A: Harvard University Press, 19 56 ; revised 19 74 Xenopol, Alexandru D., Istoria ro m a n ilo r d in D a c ia Traiana (The History of the Romanians in Trajan Dacia), 6 vols., Iassi: Goldner, 18 8 8 - 9 3 Zlatarski, Vassil, Istoria na balgarskata d arjava (History of the Bulgarian State), 4 vols., Sofia: Durzh, 19 18 - 4 0

Ban Gil

[Pan Ku] 3 2 - 9 2 C E

Chinese historian Ban Gu is best known as the principal author of Han shu (History of the Han). As the first dynastic history of China, Han shu defined the standard format for later dynastic histories. Moreover, since most of the sources Ban Gu used have been lost, Han shu now serves as one of the most important sources for the study of the history of the Former Han ( 2 0 6 - 8 B C E ).

In his historical scholarship, Ban Gu was inspired by his father Ban Biao ( 3 - 5 4 c e ). The latter was dissatisfied by the parts of Sima Qian’s ( C .1 4 5 - C .8 7 B C E ) Shiji (Historical Records) that dealt with the history of the Han dynasty. To develop a good history of the Former Han, Ban Biao wrote several dozen chapters of his own work. The chapters are now lost, but parts of them were incorporated into Han shu by Ban Gu. Although the Han shu project grew out of an initial dissatisfaction with Shiji, Ban Gu’s work was still very much influenced by Sima Qian ’s. Like Sima Qian, Ban Gu was able to take advantage of source materials in the imperial archives in composing his historical work. In the presentation of the history of the earlier parts of the Former Han history, Ban Gu frequently adopted the accounts written by Sima Qian, although Ban Gu often also added his own selections of extra information. Han shu's one hundred chapters are divided into four categories; imperial annals, tables o f important persons and institutions, treatises on specialized subjects, and “ biogra phies” (which included the lives of important individuals and

BANCROFT

accounts of foreign peoples). This general division of chapters is very similar to that of Shiji, except for the fact that Han shu does not contain a separate group of chapters on “ hereditary families.” In spite of the similarities between the two works, Han shu is much more than an imitation of Shi ji. Han shu differs from the earlier work on several accounts. First, as a dynastic history, Han shu was written to cover the history of the Former Han. Shiji, on the other hand, was written as a comprehensive history covering all periods from the early legendary emperors to Sima Qian ’s own time. Second, within the larger format of presentation adapted from Sima Qian, Ban Gu added a few innovations. He added a new kind of table on the evolution of institutional structure of government and the occupants of important official positions under the Former Han. He also added three new kinds of treatise: on the development of penal law, on administrative geography and on the extant literature (in the broad sense, including works on philosophy, history, and other subjects). Ban Gu was also different from Sima Qian in philosophical outlook. He has generally been considered by later scholars to be a Confucian, whereas Sima Qian has not. Han shu is not only the first dynastic history of China, but Chinese scholars have also considered it to be one of the best written. With few exceptions, most of the later dynastic histories were written according to the “ annals + tables + treatises + biographies” structure used in Han shu. Ban Gu did not complete the treatise on astronomy and the eight tables in his lifetime. His sister Ban Zhao (?48- i i 6 c e ) and Ma Xu finished these parts after Ban Gu’s death. Ma X u ’s exact dates are not clear, but we do know that he was still active in 1 4 1. For the beginner, the most helpful English-language introduction to Han shu is A.F.P. Hulsewe’s essay on this work in Early Chinese Texts (1993). The essay provides much of the information presented here and gives much further information on the transmission of the text as well as important editions and secondary scholarship. X i a o -b i n Ji

See

a ls o China: Early and Middle Imperial; China: Early and Middle Imperial, Historical Writing

Biography Born Shanxi, 32C E. Educated at higher imperial academy, Loyang. Imperial librarian; emperor’s attendant in charge of secretarial affairs. Died Loyang, Henan, 92 CE.

Principal Writings H a n shu (History of the Han), 100 vols., completed 8osCE;

partially translated in: Homer H. Dubs, T h e H isto ry o f the F o rm e r H a n D y n a sty , 3 vols., 19 3 7 - 4 8 ; Clyde Bailey Sargent, W a n g M a n g , 19 4 7; Nancy Lee Swann, F o o d a n d M o n e y in A n c ie n t C h in a , 19 50 ; Burton Watson, C o u rtier a n d C o m m o n e r in A n c ie n t C h in a , 19 7 4 ; Anthony Francis Paulus Hulsewe, C h in a in C e n tra l A s ia : T h e E a r ly Stage , 1 2 5 b c - a d 2 3, 19 79 ; David R. Knechtges, T h e H a n shu B io g ra p h y o f Yang X io n g (5 3 b c - a d 1 8 ) , 19 8 2 P ai hu t ’ un g, written 79 CE; translated as P o H u T u n g : T h e C o m p re h e n siv e D iscu ssio n s in the W h ite T ig er H a ll, 2 vols., 19 4 9 -5 2

71

Further Reading Beilenstein, Hans A.A ., “ The Restoration of the Han Dynasty,” B ulletin o f the M u s eu m o f F a r E a stern A n tiq u itie s [Stockholm] 21 (19 5 4 ) Chen Zhi [Chen Chih], H a n shu x in zh en g (New Evidential Studies on H a n sh u), Tianjin: Renmin, 19 59 ; reprinted 19 79 Dubs, Homer H., “ The Reliability of Chinese Histories,” F a r E a stern Q u a rte rly 6 (19 4 6 - 4 7), 2 3 - 4 3 Hulsewe, Anthony F.P., “ Notes on the Historiography of the Han Period,” in William G. Beasley and Edwin G. Pulleyblank, eds., H istorian s o f C h in a a n d Ja p a n , London: Oxford University Press, 19 6 1 Hulsewe, Anthony F.P., “ H a n s h u , ” in Michael Loewe, ed., E a r ly C h in e se Texts: A B ib lio g ra p h ica l G u id e , Berkeley, CA: Institute of East Asian Studies, 19 93 Sargent, Clyde B., “ Subsidized History: Pan Ku and the Historical Records of the Former Han Dynasty,” F a r E a ste rn Q u a rte rly 3 (1943-44), 1 1 9 - 4 3

van der Sprenkel, O.B., P an P ia o , P a n K u, a n d the H a n H isto ry , Occasional Paper 3, Canberra: Australian University Centre of Oriental Studies, 19 64 Wang Xianqian [Wang Hsien Chien], H a n sh u b u zhu (Supplementary Notes on H a n sh u), 2 vols., 1900; reprinted Beijing: Zhonghua, 19 83 Yang Shuda [Yang Shu ta], H a n sh u k u i g u a n (Investigations into H a n sh u ), Beijing: Kexue, 19 5 5

Bancroft, George

1800 - 1891

US historian

The author of sweeping, highly romanticized sagas of American history, George Bancroft was a pioneer historian, and his significance lies in this role. He was the first to unearth and examine documents from America ’s initial century, the one to whom later scholars turned for sources. Moreover, he wrote at a time when transcendentalism, literary romanticism, nationalism, and reform were the dominant intellectual streams of thought, and was, therefore, one of the first to espouse American exceptionalism and divine purpose. A child prodigy, Bancroft graduated from Harvard in 1 8 1 7 at the age of 17 . He studied theology at Gottingen University in Germany, but rejected the ministry as a profession almost immediately. His inclination to teach was similarly overshadowed by a desire to pursue his own interests, not simply to instruct others. Thus, Bancroft became active in the Democratic party, and was largely responsible for uniting Boston’s shortlived Workingmen’s party and Anti-Masons with Jacksonian Democrats in the 18 36 election. For his party leadership in Massachusetts, Bancroft was rewarded with a cabinet position by president James K. Polk. Appointed secretary of the Navy in 1845, he became embroiled in negotiations with Mexico for Texas independence and sent John Fremont to the West Coast, an exploratory mission that ended in the infamous Bear Flag rebellion. While Bancroft ruled Boston and then ran the Navy from Washington, he also wrote literary criticism and started his multivolume History of the

United States from the Discovery of the American Continent

(1834 - 74), which he would not complete until into his retirement. Bancroft’s version of the past was relatively simple. He traced great individuals as they advanced through time. His

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theory was that history unveiled the record of a divine plan. God, he believed, was visible in history, and providence guided the affairs of men and nations. Progress, therefore, was part of this larger plan, and seen most vividly in the saga of the New World. Mankind was intended by God to progress toward a future state where truth, justice, beauty, and morality would guide and raise it further. Bancroft’s focus was great men and events, and all others faded into the background, unknown and unimportant. A true Jeffersonian in philosophy, he adhered to the theory of racial and national evolution; each race and every nation progressed through stages. The Anglo -Saxon race, of course, was superior, yet he absolutely believed in mankind’s goodness. Thus, Bancroft held the conviction that God had placed reason, kindness, love, and beauty within the reach of all, and other races would eventually catch up. Indigenous Americans were, he claimed, feeble barbarians, who desperately needed the hand of white Europeans to guide them toward improvement, and the main reason for the nation’s agricultural blessings was the Native Americans’ inability to use the land. Having lain dormant for centuries, the land was ready to produce if only Europeans developed it. Although he generally called himself a Jacksonian Democrat, Bancroft is probably more accurately termed a Jeffersonian Republican operating within the scope of Jacksonian Democracy. He considered big questions, and his thoughts frequently turned to ideas like the evolution of freedom and democracy throughout history or sovereignty of the people and their right to use it freely. Liberty, he believed, made America the hope of the world. Nevertheless, Bancroft feared that unrestricted democracy could lead to mob rule as did Tocqueville, and he disliked the rabble that he felt characterized president Jackson’s administration. He favored unionism, national expansion, and generally agreed with Jackson’s views on the national bank, but an aristocrat at heart, he tended to adhere more strongly to Jeffersonian principles. Bancroft’s lengthy histories often read like novels. His style was flowery and extravagant, and although his scholarship was seldom disputed, Bancroft was not above altering information in favor of drama. In short, he liked heroes without warts, and one critic accused him of writing about the US as if he were writing the history of the Kingdom of Heaven. Bancroft’s research, how ever, incorporated a range of sources including literature and philosophy, and his writings centered on historical questions such as the clash of good and evil in history or the power of fate in men and nations. His history displayed the overwhelming optimism so evident of America’s Golden Age and the absolute conviction that American political, economic, and cultural opportunities were exceptional in the history of the world. Whether writing about the creation of the Constitution or explo ration, God’s hand was clearly in the picture. As the romanticism of America ’s antebellum period waned and the combined forces of industrialization and urbanization took hold after the Civil War, Bancroft was criticized more and more for his tendency to neglect accuracy for drama and for his out-of-date style. His brand of history began to be replaced by a slightly more pessimistic tone that prided itself on pithy accuracy. Still, Bancroft’s place in American history is secure despite his lack of professional training and the demise of American

exceptionalism after 1893. Bancroft discovered, collected, and pored over documents and manuscripts from colonial and revolutionary America. He unearthed Jacksonian era sources that would prove invaluable to later historians, and he operated without monographic material available to fall back upon. In other words, Bancroft was in the enviable position of being the first to use many of the primary historical documents of the United States. He recorded much of the factual information that later historians would turn to in their attempts to reinterpret American history. He wrote history that an eager public wanted to read, thus making his the first peoples’ historians as well. Finally, in his unbridled nationalistic defense of the US as God ’s City upon a Hill, he challenged those who followed to formulate new interpretations of big events and American heroes. Ka t h l e e n Eg a n Ch a m b e r l a in S e e a ls o Andrews; Gipson; Nationalism; Schlesinger; United States:

19 th Century

Biography Born Worcester, Massachusetts, 30 October 1800, son of a clergyman. Studied at Phillips Exeter Academy; Harvard University, BA 1 8 1 7 ; Gottingen University, PhD 1820 . Taught at Harvard University, 1 8 2 2 - 2 3 ; established Round Hill School, Northampton, Massachusetts, 1 8 2 3 - 3 1 . Collector of the Port of Boston and Democratic party chair, 1 8 3 6 - 4 5 ; secretary of the Navy, 18 4 5 - 4 6 ; minister plenipotentiary to England, 18 4 6 - 4 9 ; minister to Court of Prussia, 1 8 6 7 - 7 3 . Presented eulogies for Andrew Jackson, Washington, D C, June 18 4 5 , and Abraham Lincoln, New York City, 1866. Retired from public service, 18 7 3 ; wrote history throughout his retirement. Married 1) Sarah Dwight, 18 2 7 (died 18 3 7 ; 1 daughter, 2 sons); 2) Mrs. Elizabeth Bliss, née Davis, 18 3 8 (1 daughter). Died Washington, D C, 1 7 January 18 9 1.

Principal Writings H isto ry o f the U n ited States fro m the D is c o v e r y o f the A m e rica n C o n tin e n t , 10 vols., 1 8 3 4 - 7 4 H isto ry o f the C o lo n iz a tio n o f the U n ited States , 3 vols., 18 3 7 - 4 0 A n O ra tio n D e liv e re d at the C o m m e m o ra tio n in W a shin gton o f the D ea th o f A n d r e w Ja c k s o n , 18 4 5 M e m o ria l A d d r e s s on the L ife a n d C h a ra cter o f A b ra h a m L in c o ln ,

1866 H isto ry o f the F o rm a tio n o f the C on stitu tio n o f the U n ited States o f A m e r ic a , 2 vols., 18 8 2 “ The Relations Between Hamilton and Washington,” A m e rica n A n tiq u a ria n Society, P ro ce e d in g s o f the C o u n c il , by the Council, new series 3, 18 8 4 M a rtin Van B u re n to the E n d o f H is P u b lic C a re e r , 1889 T h e H isto ry o f the B attle o f L a k e E rie a n d M iscella n eo u s P a p e rs , edited by Oliver Dyer, 18 9 1

Further Reading Dawes, N .H ., and F.T. Nichols, “ Revaluing Bancroft,” N e w E n g la n d Q u a rte rly 6 (1933)» 2.78 - 93 Levin, David, H isto ry as R o m a n tic A r t : B a n c ro ft, Prescott, M otley, a n d P a r k m a n , Stanford, CA : Stanford University Press, 19 59 Nye, Russel Blaine, G e o rg e B a n c ro ft: B ra h m in R e b e l , N ew York: Knopf, 19 44

BARKAN

Barkan, Ómer Lütfi i905(?)-i979

Turkish economic and legal historian

With the exception of Halil Inalcik, Ó.L. Barkan is the most widely respected economic and demographic historian of the 15th - and 16th -century Ottoman empire. He is prominent as the first historian to exploit and use widely the records and documents in the Ottoman archives, especially the Prime Ministers’ Archives in Istanbul. He and his students established a new school of Ottoman historical studies and methodology, primarily archivally based, that continues to influence contemporary Ottoman studies in Turkey and in many other countries. Barkan was influenced by his studies in Strasbourg during the early 1930s and by the work of Lucien Febvre and the Annales school, although his work neither imitated nor confirmed the Annales school approach. His approach differed from the Braudelian school in that he did not emphasize the parallels and common dimensions of Ottoman and European history in the early modern period, but rather argued that the Ottoman empire was truly its own creation. This view is presently contested by many Ottoman historians. Barkan focused on the historical, judicial and statutory laws concerning the peasants of the 15th and 16th centuries. He contended there was no feudalism in the empire comparable to European feudalism as posited by the Annales school, especially by Marc Bloch, or the Turkish historian Miibeccel Kiral. Furthermore, Barkan, along with Halil Inalcik, rejected the Marxist theory that the Asiatic mode of production was applicable to the Ottoman empire as Sencer Divit^ioglu and other Turkish Marxist historians had suggested. This stance allowed Barkan and Inalcik to diminish the Marxist influence on Ottoman studies and, consequently, also on the study of modern Turkish history. Many of Barkan ’s early works were studies of documents dealing with the legal status of peasants. Beginning in 19 4 2 - 4 3, he began to publish agrarian and landed estate law codices that had been in force in various parts of the empire, especially the Balkans. This was the first time that such research had been done. During the 1940s and 1950s, Barkan published numerous substantial works on imperial methods of colonizing and settling conquered lands, especially in the Balkans, on demographic changes in the cities, and on methods of provisioning them. These studies laid the basis for the first detailed and accurate account of how the empire had expanded. This, in turn, meant explanations of circumstances of how the conquered lands were Turkicized and Islamized, especially in the Balkans, and to what extent. These were and still are extremely contentious issues. Barkan produced several major studies on the demography of the empire, especially of the European provinces of the empire. On this topic he entered into a dispute with Fernand Braudel who put the population of the empire at the end of the 1 6th century at 22 million whereas Barkan suggested 30 - 35 million. The latter figure is today thought to be too high. Barkan published some of his work on demography in French and English, which enhanced his reputation in Europe and the United States. His works were little read and circulated among European medievalists and early modernists who did not read Turkish. None of his major works has been translated, and

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thus have not had as much recognition or as much influence on early modern European history and the history of the Mediterranean as they might have. Barkan also had an interest in the effects that the European price revolution and the Atlantic economy had on the fluctuation of prices in the Ottoman empire. He concluded that the price revolution had major negative effects on the empire, and had facilitated its incorporation in the world economy of the 1 6th century. Barkan’s entire corpus of work has recently come under attack, especially in Turkey and notably by Halil Berktay, who, in New Approaches to State and Peasant (1992), accused Barkan of “ document fetishism” and “ state fetishism” and claimed that his publications, especially the earlier ones, reflected the bias of his strong Turkish nationalism and preference for state authoritarianism. Berktay argued that such ideological stances prevented Barkan from comprehending the role that class played in history and prevented him from understanding the common dimensions of Ottoman and other histories, especially European feudalism. Berktay criticized Barkan ’s work as lacking analytical rigor, adequate methodology, and historical detachment. In spite of recent criticism of his methodology, his theories, and the influence of ideology on his work, the bulk of Barkan ’s output will continue to play an influential role in Ottoman studies. His work supplies an indispensable corpus of documents and materials that seem unlikely to be paralleled in the future. Whether his findings are accepted or rejected, his works remain pivotal to the study of 15 th- and 16th -century Ottoman history. Ro ber t O l so n

See also

Ottoman

Biography Born Edirne, i905(?). Studied at University of Istanbul; Superior Normal School, BA 19 2 7 ; University of Strasbourg, 1 9 3 1 . Taught at History Institute, University of Istanbul, 1 9 3 3 - 3 7 ; then moved to the newly created Faculty of Economics (rising to professor), where he remained until his retirement. Founded Institute of Economic History, 19 50 ; appointed professor ordinarius, 19 5 7 . Died 23 August 19 79.

Principal Writings “ Osmanli Imparatorlugunda bir iskân ve kolonizasyon methodu olarak vakiflar ve temlikler” (The Religious Foundations and Landed Estates as Methods of Colonialization and Settlement in the Ottoman Empire), Vakiflar D e rg isi 2 (1942), 2 7 9 - 3 5 3 [224 documents] XV. ve X V I . asirlard a O sm a n li im pa ratorlugu nd a zirai ek o n o m in in h u k u k î ve m a lî esaslart (Judicial and Financial Principles of the Agriculture Economy of the Ottoman Empire in the 15th and 1 6th Centuries), Istanbul, 19 43 “ Osmanli imparatorlugunda bir iskân ve kolonizasyon methodu olarak sürgünler” (Deportations as a Method of Settlement and Colonization in the Ottoman Empire), Iktisat Faciiltesi M e cm u a si 1 1 (19 46 - 50 ), 5 2 4 - 6 9 ; 13 ( 1 9 5 1 - 5 2 ) , 5 8 - 7 9 ; 15 ( i9 5 3 - 5 4 h 2 0 9 - 32 9 “ Quelques observations sur l’organisation économique et sociale de villes Ottomans des XVIe et XVIIe siècles” (Some Observations on the Economie and Social Organization of Ottoman Cities in the 16th and 17th centuries), R e c u e il Société Je a n B o d in p o u r Vhistoire c o m p a ra tive des institutions: la ville , 19 5 5 , 2 8 9 - 3 1 1

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BARKAN

“ 10 7 9 - 10 8 0 (16 6 9 - 16 7 0 ) mâlî yilina ait bir Osmanli bütçesi ekleri” (An Ottoman Budget for the Financial Year 10 7 9 - 10 8 0 (16 6 9 - 16 7 0 ) and Annexes), Iktisat Facü ltesi M e cm u a si 17 ( 19 5 5 - 5 6 ) , 2 2 5 - 3 0 3 “ 1 0 7 0 - 1 0 7 1 (16 6 0 - 1 6 6 1) tarihli Osmanli bütçesi ve bir mukaysese” (The Ottoman Budget Dated 1 0 7 0 - 1 0 7 1 (16 6 0 - 16 6 1) and a Comparison), Iktisat Faciiltesi M e cm u a si 17 (19 5 5 - 5 6 ), 3 0 4 - 4 7 “ Essai sur les données statistiques des registres de recensement dans l’ Empire Ottoman aux XVe et XVIe siècles” (Essay on the Statistical Data of the Population Registers of the Ottoman Empire in the 15th and 16th centuries), Jo u r n a l o f the E c o n o m ic a n d S o c ia l H isto ry o f the O rie n t 1 (19 57), 9 - 3 6 “ 894 (14 8 8 - 14 8 9 ) yih cizyesinin tahsilatma ait muhasebe bilânçolari” (The Book-Keeping Balances of the C iz y e Tax for the Year 894), B elg eler 1 (1964), 1 - 1 7 “ Edirne askerî kassâmi na ait tereke defterleri, 1 5 4 5 - 1 6 5 9 ” (The Inheritance Register of the Edirne Military Kassam [adjuster of inheritance shares], 1 5 4 5 - 1 6 5 9 ) , B elg eler 3 (1966), 1 - 4 7 9 “ XVI. asrin ikinci yansinda Türkiye ’ de fiyat hareketleri” (The Fluctuation of Prices in Turkey in the Second Half of the 16th Century), Belleten 34 (1970), 5 5 7 - 6 0 7 With Ekrem Hakki Ayverdi, Ista n b u l v a k ifla n tahrir defteri 9 5 3 / 1 4 5 6 tarihli (Register of the Transactions of the Charitable Foundations of Istanbul for the Year 963 / 1456 ), Istanbul, 19 70 “ Timar ” (Landed Estates), Islam A n s ik lo p e d is i (Encyclopedia of Islam) fascicules 12 3 and 12 4 (19 72), 2 8 6 - 3 3 3 Siile y m a n iy e cam i ve im areti in$aati , 1 5 5 0 - 1 5 5 - / (The Construction of Süleymaniye Mosque and Its Charitable Complex, 1 5 5 0 - 1 5 5 7 ) , 2 vols., Ankara, 19 7 2 “ The Price Revolution of the 16th century: A Turning Point in the Economic History of the Near East,” In ternation al Jo u r n a l o f M id d le E a st Stud ies 6 h (19 75), 3 - 2 8 T ü r k iy e ’d e top rak m eselesi (The Land Question in Turkey), Istanbul, 1980 With Enver Meriç, H u d a v e n d ig â r (Bu rsa) livâsi sa yim defterleri (The Population Registers of the Province of Bursa), Ankara, 1988

Further Reading Bacqué-Grammont, Jean -Louis, and Paul Dumont, editors, C o n trib u tio n à l ’ historié é co n o m iq u e et so c ia l d e l ’e m pire O tto m a n (Contributions to the Social and Economic History of the Ottoman Empire), Leuven: Peeters, 19 83 Berktay, Halil, and Suraiya Faroqhi, editors, N e w A p p ro a c h e s to State a n d P easant in O tto m a n H is to r y , London: Cass, 19 9 2 Inalcik, Halil, with Donald Quataert, A n E c o n o m ic a n d S o cia l H isto ry o f the O tto m a n E m p ir e , 1 3 0 0 - 1 9 1 4 , Cambridge and N ew York: Cambridge University Press, 1994 “ Mémorial Orner Lütfi Barkan ” (Memorial to Orner Lütfi Barkan), P aris B ib lio th è q u e d e l ’ institut Français d ’études A n a to lien n es d ’ Ista n b u l 23 (1980), vii- ix “ Ord. Prof. Orner Lütfi Barkan ’ a armagam “ [Festsch rift], Iktisat F a cü ltesi M e cm u a si 4 1 (1982/83), 1 - 3 8 §akiroglu, Mahmut Hasan, “ Ord. Prof. Orner Lütfi Barkan ” [complete bibliography], B elleten [Turkey] 44 (1980), 1 5 3 - 7 7

Baron, Hans

I9OO-1988

U S (German born) historian o f the Renaissance

One of many German Jewish scholars to emigrate to the United States in the years just preceding World War II, Baron revolu tionized the study of early Italian Renaissance humanism across a wide range of fields. His The Crisis of the Early Italian Renaissance (1955) is one of the major works on the Italian Renaissance written in this century and certainly the most controversial. The product of decades of research and numerous

specialized articles, the book imposed a broad interpretive framework on Italian humanism, endeavoring to relate intellectual change to political and sociological development. In place of the relatively vague evolutionary approach to humanism characteristic of pre-World War II scholarship, Baron sharply contrasted Trecento with Quattrocento humanism, explaining the passage from the first to the second as the result of a crisis. He buttressed his thesis with substantial documentation from literary sources, many of them hitherto neglected. Baron characterized Petrarch and his immediate 14th century disciples as envisaging humanistic studies within a Christian context which privileged the contemplative life and political quietism over the active life of the citizen. In the early years of the 15th century, however, he identified a new humanism stressing the importance of civic life and political participation. This new movement Baron called “ civic humanism” and saw it as beginning in Florence. In Baron’s view the titanic struggle between republican Florence and Giangaleazzo Visconti from 1389 to 1402, which nearly ended in the destruction of the Florentine republic, made Florentine humanists realize the value of their civic culture and led to a sudden change in attitude. The earliest manifestation of this new position, Leonardo Bruni’s Laudatio urbis florentinae (1403/4), marked the beginning of a republican interpretation of history and politics which, diffused over the Alps in the 1 6th century, served as the core of the republican tradition in Western European culture down to the 19th century. Furthermore, the humanists’ new positive assessment of the lay life, together with their justification of wealth, laid a theoretical foundation for the modern secular view of society. Immediately inciting controversy by its description of Florence’s government as republican, The Crisis inspired dozens of young scholars, many of them American, to turn to the Florentine archives in search of a better understanding of Florentine institutional and social history in the Renaissance. Other researchers investigated pre - 1400 appearances of republican thought in Western Europe and tested the political character of other Italian city-state regimes against the Florentine example. In The Articulate Citizen and the English Renaissance (1965) Arthur Ferguson utilized Baron’s concept of “ civic humanism ” for a study of 16th -century English political thought and J.G .A . Pocock’s The Machiavellian Moment: Florentine Political Thought and the Atlantic Republican Tradition (1975) did the same in its wide-ranging study of European republicanism down to modern times. Closely tied to the central themes of The Crisis, Baron’s subsequent writings on Machiavelli significantly altered our conception of Machiavelli’s intellectual development and the character of his thought. His now widely accepted dating of the Prince as prior to the Discourses suggested an evolution of Machiavelli’s ideas from the largely amoral position of the first work to the republican convictions of the second. Baron’s later contributions to Petrarch studies, however, have been less important. Committed to the assumption that a close reading of Petrarch’s texts against a background of the biography would allow scholars to demonstrate the precise evolution of Petrarch’s thought, his work largely overlooked the rhetorical element so prominent in the humanist’s writings. This tendency to discount the literary/rhetoric dimension of humanist thought, together with his need to find a simplistic

BARON ethical purity in the civic humanists and his pursuit of certitude for conclusions which can only be probable at best, constitute generally recognized shortcomings in Baron’s work. Nonetheless, Baron ’s basic distinctions between 14th - and 15th -century Italian humanism continue to dominate the interpretation of the movement in these centuries. R o n a l d G. W i t t S e e a ls o Italy: Renaissance; Renaissance Historical Writing; Ullman

Biography Born Berlin, 22 June 1900, to a Jewish family. Received PhD, University of Berlin, 19 2 2 . Notgemeinschaft der deutschen Wissenschaft fellow, Italy, 1 9 2 5 - 2 7 ; lecturer in medieval and modern history, University of Berlin, 19 2 9 - 3 3 ; emigrated, first to England, 19 3 7 , then to US, 19 3 8 ; taught at Queen’s College, 19 3 9 - 4 2 ; member, Institute for Advanced Study, Princeton, 19 4 4 - 4 8 ; research fellow, Newberry Library, from 1949. Married Edith Fanny Alexander (2 children). Died 26 November 1988.

Principal Writings

C a lvin s Staatsan schau ung u n d das k o n fessio n elle Z e ita lte r (Calvin’s

Conception of the State and the Age of Confessions), 19 2 4 L e o n a r d o B ru n i A re tin o : H u m a n istisch - p h ilo so p h isc h e Schriften m it einer C h ro n o lo g ie seiner W erke u n d B rie fe (Leonardo Bruni Aretino: Humanistic and Philosophical Writings with a Chronology of his Works and Letters), 19 2 8 ; reprinted 1969 T h e C risis o f the E a r ly Italian R en a issa n ce: C iv ic H u m a n ism a n d R e p u b lic a n L ife in an A g e o f C lassicism a n d T y ra n n y , 2 vols.,

1:955; revised in 1 vol., 1966 H u m a n istic a n d P o litica l L itera ture in F lo re n ce a n d V enice at the B eg in n in g o f the R en aissan ce: Studies in C riticism a n d C h r o n o lo g y , 19 5 5 F ro m P etrarch to B ru n i: Studies in H u m a n istic a n d P o litica l L ite ra tu re , 1968 P etrarch ' s Secretu m : Its M a k in g a n d Its M e a n in g , 19 8 5 In Search o f Floren tin e C iv ic H u m a n ism : E ssa y s on the Transition fro m M e d ie v a l to M o d e r n T h o u g h t , 2 vols., 1988

Further Reading “ A H R Forum: Hans Baron’s Renaissance Humanism,” A m e rica n H isto ric a l R e v ie w , 10 1 (1996), 10 7 - 4 4 Fubini, Riccardo, “ Renaissance Historian: The Career of Hans Baron,” Jo u r n a l o f M o d e r n H isto ry 6 4 (1992), 5 4 1 - 7 4 Molho, Anthony, and John Tedeschi, eds., R en a issa n ce: Studies in H o n o r o f H ans B a r o n , Florence: Sansoni, 19 70 ; DeKalb: Northern Illinois University Press, 1 9 7 1 Rabil, Albert, “ The Significance of ‘ Civic Humanism’ in the Interpretation of the Italian Renaissance,” in Albert Rabil, ed., R en a issa n ce H u m a n ism : F o u n d a tio n s , F o rm s, a n d L e g a c y , 3 vols., Philadelphia: University of Pennsylvania Press, 1988

Baron, Salo Wittmayer 1895-1989 Austrian Jew ish historian

Salo Wittmayer Baron rightly understood himself to be in the succession of the synthesizing Jewish historians Isaac Marcus Jost and Heinrich Graetz - about both of whom he wrote with critical admiration - as well as his older contemporary Simon Dubnow. Baron ’s evident affinity for his predecessors sprang less from a desire to match his with their already great reputations

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than from a fine historiographic selfconsciousness that he also displayed in his insightful essays on the Renaissance Jewish historian Azariah de Rossi and his reflective essays on the present tasks of Jewish historiography. Baron’s education in Europe gave him the several areas of expertise that served him so well in America as a generalist historian of the Jews. His wealthy family from Tarnow in Galicia could send him both to a yeshiva and a gymnasium, while engaging a private tutor for him at home. He studied first at the University of Kraców in Galicia and, from the summer of 19 14 , in Vienna. There he studied at the rabbinical Israelitisch-Theologischen Lehranstalt and at the University of Vienna where, by 19 23, he earned degrees in history, political science, and law. He had begun publishing articles in the Hebrew press while still a teenager, but his first historical publications - notably his thoughtful 19 18 comparison of the Jewish historian Heinrich Graetz ( 18 17 - 9 1) with Leopold von Ranke (179 5 - 188 6 ) - date from his Vienna period. Baron’s scholarly career in America began in 1926 when the American Reform leader Stephen Wise, who had established the Jewish Institute of Religion because of his dissatisfaction with rabbinical education at the Hebrew Union College in Cincinnati, Ohio, appointed Baron the Institute’s librarian. From this position he was appointed in 1929 to a new professorship in Jewish history, endowed by Linda Miller, at Columbia University. This remained Baron ’s professional seat until his retirement in 1963. The English-language publication that gave him the needed reputation for the Columbia appointment was his famous “ Ghetto and Emancipation: Shall We Revise the Traditional View?,” which appeared in the Menorah Journal in 1928. The “ traditional view,” which Baron faulted with the now famous term the “ lachrymose tradition,” held that ghetto Jews had been uniformly miserable until, during late 18th -century emancipation, progress set in. No doubt mindful of the catastrophes of World War I and subsequent pogroms, Baron was skeptical about post-Emancipation progress. At the same time, however, he also doubted that their earlier history in Europe had been so unhappy: he demonstrated that ghetto Jews had often enjoyed a measure of autonomy and had therefore been the subjects of their own history rather than mere objects of persecution. These insights informed his 19 3 1 Schermerhorn lectures at Columbia in which Baron first stated his thesis that Jewish religious and social history had simultaneously to be studied as the interactive processes that they were. His interest in Jewish social history followed from his admiration for Dubnow, but he also insisted that it was Jewish religion that gave and had given exilic Jews the power to survive and act for themselves. In the Jewish political terms of his time, that is, Baron esteemed the history of Judaism as a religion and of Jews as a people among peoples, whether in diaspora or in their homeland. In this, as in all his work, Baron also worried that Jewish religious and secularist scholarship would follow diverging paths. With these thoughts in mind, as the title he chose implied, Baron wrote the first edition of his celebrated A Social and Religious History of the Jews (1937). Despite the initial anxieties of Columbia University Press, this highly readable work received warm reviews and sold very well (especially the less expensive Jewish Publication Society edition). Baron also wrote in pained awareness of the increasingly bad

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situation in which Europe’s Jews found themselves and, in his epilogue, he stated explicitly that historical “ interpretation and reinterpretation” are needed as a guide to present action. After World War II, Baron greatly expanded the Social and Religious History with his never 2nd edition (18 volumes; 19 52 - 8 3). Its early volumes, especially those dealing with Jewish religious and intellectual history in late antiquity and the early Middle Ages, are awesome in synthetic power, graceful in lan guage, and - though necessarily heavily dependent on secondary sources - often original in their conclusions. Unlike Graetz, he did not blame the church for the persecutions as much as he did incipient nationalism. Similarly, he explained medieval migrations of Jews less as a response to persecutions than as peaceable choices to go where life seemed better. The later volumes, how ever, are less successful because of a faulty sense of proportion: Baron spent six volumes in providing social and political context for a religious and intellectual account of modernity that, despite his longevity, he did not live to provide. In the meantime, Baron completed other major works, notably The Jewish Community (1942 - 48) and The Russian Jew under Tsars and Soviets (1964). His basic notion for The Jewish Community was already in mind when he prepared the Social and Religious History, namely that Jewish communal organization had taken the place of the nonexisting Jewish state. He dated this development to the deuteronomic revolu tion under Josiah, in whose course collective gatherings of Jews replaced the sanctuary as a center of Jewish experience. This meant, further, that the essence of Jewish community had always been ethical and intellectual, despite the more or less political tasks that community institutions had necessarily played. Consequently, Baron did not join Dubnow in his demands for Jewish autonomism in Eastern Europe, despite his admiration for Dubnow’s social approach to history. Though occasionally faulted by reviewers for claiming more certitude than evidence allowed, The Jewish Community - like the Social and Religious History - has remained a standard work despite its known flaws and the progress of later research. R o b e r t Fa i r b a i r n So u t h a r d S e e a ls o

Dubnow; Jewish

Biography Born Tarnow, Austria, 26 May 18 9 5 . Educated at IsraelitischTheologischen Lehranstalt; PhD, University of Vienna, 1 9 1 7 , PolScD 19 2 2 , JD 19 2 3 . Ordained rabbi, 19 20. Taught at Jüdisches Pädagogium, Vienna, 1 9 1 9 - 2 6 ; then, after moving to the US, at Jewish Institute of Religion, 19 2 6 - 3 0 : librarian, 19 2 7 - 3 0 ; professor of Jewish history, Columbia University, 19 3 0 - 6 3 (emeritus); director, Center for Israel and Jewish Studies, 19 50 - 6 8 . Knight, Order of Merit, Italy, 19 7 2 . Married Jeannette G. Meisel, 19 3 4 (2 daughters). Died New York City, 25 November 1989.

Principal Writings “ Ghetto and Emancipation: Shall We Revise the Traditional View? ” M e n o r a h Jo u r n a l 14 (1928), 5 1 5 - 2 6 A S o c ia l a n d R elig io u s H isto ry o f the J e w s , 3 vols., 19 3 7 ; revised in 18 vols., 1 9 5 2 - 8 3 T h e Je w is h C o m m u n ity : Its H isto ry a n d Structure to the A m e rica n R e v o lu tio n , 3 vols., 19 4 2 - 4 8 T h e J e w s o f the U n ited States , 1 7 9 0 - 1 8 4 0 : A D o cu m e n ta ry H isto ry ,

1963

H isto ry a n d Je w is h H isto ria n s: E ssa y s a n d A d d re sse s, 19 64 T h e R u ssian J e w u n d e r Tsars a n d So viets, 19 64; revised 19 76 A n c ie n t a n d M e d ie v a l Je w is h H isto ry : E ssa y s, edited and with a

foreword by Leon A. Feldman, 19 7 2 T h e C o n te m p o ra ry R e lev a n ce o f H isto ry : A S tu d y in A p p ro a c h e s a n d M e th o d s, 19 86

Further Reading Baron, Jeannette Meisel, “ A Bibliography of the Printed Writings of Salo Wittmayer Baron,” in Salo W ittm ayer B a ro n Ju b ile e V olum e: O n the O cc a sio n o f H is E ig h tieth B ir th d a y , 3 vols., Jerusalem: American Academy for Jewish Research, and N ew York: Columbia University Press, 19 74 Feldman, Louis H., Robert Chazan, and Ismar Schorsch, on Baron, A J S R e v ie w 18 (1993), 1 - 5 0 Liberies, Robert, Sa lo W ittm ayer B a ro n : A rc h ite ct o f Je w is h H isto ry , New York: New York University Press, 19 95

Barraclough, Geoffrey 1908-1984

British medievalist and international historian

As an anglophone medieval historian during the 1930s, Geoffrey Barraclough was distinguished by the fact that he had mastered the German language, German historical literature, and Germanic Geschichtswissenschaft (historical science). He discovered a number of important manuscript sources which he declined to utilize fully; instead, Barraclough ’s mission became to publicize for anglophone audiences the official German perspective on the history of the German-speaking lands. He drew upon his friendships with German academics to produce, in 1938, a collection containing English translations of articles by the leading medieval historians of the Nazi Third Reich (Medieval Germany, 9 11 - 12 5 0 ) . The studies highlighted various medieval factors which were said to account for Germany’s Sonderweg (special path) among modern European nations, particularly the frustrated desires of the Volk (folk) for a unified nation-state. However, it was Barraclough’s own statements of the official 19 3 os German perspective which would become the most influential treatments of medieval German history available to anglophone audiences. His three post-World War II studies, The Origins of Modern Germany, and Factors in German History (both 1946) and The Medieval Empire (1950), were written to explicate for the widest possible audience the long-term historical causes - such as the “ meddling” (from the n t h century onwards) of the Roman Catholic church in the affairs of the medieval German empire - which Barraclough claimed had led to the foundation of the modern Third Reich, as well as to argue explicitly for the establishment of a strong ethnic German state. Within a few years, however, Barraclough began to ponder seriously the events of 19 39 - 45 and the role of historians in them. In Factors in German History (1946) he had asserted, “ No feature of German history is more remarkable than the persistence through the centuries of a sense of unity, reaching back in unbroken continuity to the tenth century.” By 1963 he described longings for an imagined medieval unity as “ in large degree a fiction, conjured up by the overheated romantic,” and “ unity ” he now understood as a smokescreen to conceal plans for hegemony. He recoiled from the European tradition of historical scholarship in service to modern political units, explicitly

b a r t o l ’d

rejecting the idea that history had any relevance for current situations: “ the validity, or otherwise, of the ideal of European integration is neither strengthened nor weakened by a consid eration of past precedents.” The 19th -century Germanic historiographical paradigm, oriented around disembodied ideas and ethnic nation-states, had not only facilitated the conflagrations of the 20th century, but had prevented historians from recognizing important 20th-century developments, such as the rise of the Soviet Union. Barraclough’s reaction against the idealist position was complete, as he increasingly emphasized the con structed, contingent nature of all historical institutions and ideas. His 1968 survey The Medieval Papacy, describing how the various rulers of the Roman church were historicallyenmeshed individuals constantly altering their policies in the face of changing circumstances, is still widely considered the standard introduction to the subject in English; the volume provoked unrepentant idealist Walter Ullmann’s widely-read counter-survey: A Short History of the Papacy (1972). From the mid - 1950s onward, Barraclough neglected empirical scholarship in favor of synthesizing secondary historical literature. He aimed to foster an enlightened understanding of the multiple and diverse human cultures of the globe. His first synthetic effort, An Introduction to Contemporary History (1964), remains his most widely read book. “ The European age . . . is over,” he wrote, “ and with it the predominance of the old European scale of values.” Methodologically speaking, he promoted a new approach to the science of history: to replace the philological analysis of archival materials favored by 19th -century European Geschichtswissenschaft with a cliometric version of history as a 20th-century social science. Barraclough held a series of teaching posts, particularly at Oxford University, but gave less attention to graduate students than to the general public; for instance, he was invited in 1974 to explain world history on a Japanese TV series. By the 1970s, Barraclough was attacking Eurocentric visions of historical development and by 1979 the entire paradigm of “ Western Civilization ” as obfuscatory perversions of history. He rarely, if ever, cited any sources in his discussions. In 19 7 1, Barraclough even attacked the idea of learning foreign languages because the mastery of languages could lead to antiquarianism and obstruct the mastery of global history. In 1976, Barraclough presented his own decision to study medieval history as a fail-back plan, adopted after he had failed to profit as a salesman of essential oils. Not a trace remained of the devotee of germanophone Geschichtswissenschaft who had, in 1:934, placed the European Middle Ages at the explanatory center of 20th-century political conflicts and whose claim to fame was that he understood the Germans. Barraclough spent several decades running away from his own mid-century incarnation, becoming the consummate publicist of a new vision of history, although making no original scholarly contributions. After the atrocities of the 20th century, he felt it was no longer possible “ for any sensitive person to view the course of history with the old complacency,” yet at the same time he recognized that conservatism was the “ characteristic occupational malady ” of the historian. He saw in the example of the social sciences a possibility of breaking with the mythological roots of history, which had doomed the discipline to support existing regimes no matter how morally repugnant. That World History, the social science paradigm, and other

77

novelties were lauded by an eminent refugee from that most traditional of historical fields, namely medieval European history, helped legitimate the widespread calls for change in the discipline of history, most of which - unlike Barraclough’s came from less lofty academic institutions. Fe l ic e Lif s h it z S e e a ls o

Germany: to 1450; Holy Roman Empire; Ullmann; World

Biography Born Bradford, Yorkshire, 10 M ay 1908, son of a wool merchant. Educated at Bootham School, York, 1 9 2 1 - 2 4 ; Bradford Grammar School, 1 9 2 4 - 2 5 ; Oriel College, Oxford, BA, 19 2 9 ; University of Munich. During World War II called to the Foreign Office before serving in the Royal Air Force Voluntary Reserve, 19 4 2 - 4 5 . Fellow, Merton College, Oxford, 1 9 3 4 - 3 6 ; taught at St. John ’s College, Cambridge, 19 3 6 - 3 9 ; rose to professor, University of Liverpool, 1 9 4 5 - 5 6 ; University of London, 19 5 6 - 6 2 ; University of California, 19 6 5 - 6 8 ; Brandeis University, 19 6 8 - 7 0 ; Oxford University, 19 7 0 - 7 3 ; fellow, All Souls College, Oxford, 1 9 7 0 - 7 3 . Married 1) Marjorie Gardner, 19 2 9 (marriage dissolved; 1 son); 2) Diana Russell-Clarke, 19 4 5 (marriage dissolved; 2 sons); 3) Gwendolyn Lambert. Died Burford, England, 26 December 1984.

Principal Writings P a p a l P ro visio n s: A sp e c ts o f C h u rc h H isto ry ; C o n stitu tion a l, L e g a l a n d A d m in istra tive in the L a te r M id d le A g e s , 19 34 P u b lic N o ta rie s a n d the P a p a l C u ria : A C a le n d a r a n d a S tu d y o f a Westport, CT: Greenwood Press, 19 83 I Cohen, I. Bernard, “ Babbage and Aiken,” A n n a ls o f the H isto ry o f C o m p u tin g 10 (1988), 1 7 1 - 9 3 Cohen, I. Bernard, “ Howard Aiken and the Computer,” in Stephen G. Nash, ed., A H isto ry o f Scientific C o m p u tin g , Reading, M A: Addison Wesley, 1990 Cohen, I. Bernard, “ Howard H. Aiken, Harvard University, and IBM: Cooperation and Conflict,” in Clark A. Elliot and Margaret W. Rossiter, eds., Scien ce at H a r v a r d U n ive rsity , Bethlehem, PA: Lehigh University Press, 19 9 2 Cortada, James W., ed., A B ib lio g ra p h ic G u id e to the H isto ry o f C o m p u tin g , C o m p u te rs, a n d the In fo rm a tio n P ro cessin g In d u stry , Westport, CT: Greenwood Press, 1990

935 945

245

Cortada, James W., B e fo re the C o m p u te r: I B M , N C R , B u rro u g h s, a n d R em in g to n R a n d a n d the In d u stry T h e y C reated , 18 6 5 - 7 9 5 6 , Princeton: Princeton University Press, 1993 Edwards, Paul N ., T h e C lo s e d W o rld : C o m p u te rs a n d the P o litics o f D isc o u rse in C o ld W ar A m e r ic a , Cambridge, M A: M IT Press, 1995

Elzen, Boelie, and Donald MacKenzie, “ From Megaflops to Total Solutions: The Changing Dynamics of Competitiveness in Supercomputing,” in William Aspray, ed., T e ch n o lo g ica l C o m p e titiv en e ss , New York: Institute of Electrical and Electronics Engineers, 19 93 Elzen, Boelie, “ The Social Limitations of Speed: The Development and Use of Supercomputers,” A n n a ls o f the H isto ry o f C o m p u tin g 16 (1994), 4 6 - 6 1 E n d e , J a n v a n d e n , “ T id a l C a l c u l a t i o n s in th e N e t h e r la n d s ,

1 9 2 0 - 19 6 0 , ” A n n a ls o f the H isto ry o f C o m p u tin g 14 (1992), 2-3 - 33

Ende, Jan van den, “ The Number Factory: Punched Card Machines at the Dutch Central Bureau of Statistics,” A n n a ls o f the H isto ry o f C o m p u tin g 16 (1994), 15 - 2 - 4 Ende, Jan van den, “ The Turn of the Tide: Computerization in Dutch Society, 1 9 0 0 - 19 6 5 , ” A n n a ls o f the H isto ry o f C o m p u tin g 17 ( i 9 9 5 )> 8 2 - 9 5 Feigenbaum, Edward, and Julian Feldman, eds., C o m p u te rs a n d T h o u g h t , New York: M cGraw Hill, 1963 Flamm, Kenneth, C rea tin g the C o m p u te r: G o ve rn m e n t, Industry, a n d H ig h T e c h n o lo g y , Washington, DC: Brookings Institution, 19 8 7 Flamm, Kenneth, Targeting the C o m p u te r: G o v e rm e n t S u p p o rt a n d In ternation al C o m p e titio n , Washington, DC: Brookings Institution, 19 8 7 Gardner, Howard, T h e M in d ’s N e w Scien ce: A H isto ry o f the C o g n itive R e v o lu tio n , New York: Basic Books, 19 85 Goldstine, Herman, T h e C o m p u te r fro m P a sca l to vo n N e u m a n n , Princeton: Princeton University Press, 19 7 2 Hendry, John, In n o va tin g fo r F a ilu re: G o v e rn m e n t P o licy a n d the E a r ly B ritish C o m p u te r In d u stry , Cambridge, M A : M IT Press, 1989 Hyman, Anthony, C h arles B a b b a g e : P io n e er o f the C o m p u te r , Princeton: Princeton University Press, 19 8 2 Hyman, Anthony, “ Whiggism in the History of Science and the Study of the Life and Work of Charles Babbage,” A n n a ls o f the H isto ry o f C o m p u tin g 12 (1990), 6 2 - 6 7 Kidder, Tracy, T h e S o u l o f a N e w M a c h in e , Boston: Little Brown, 19 8 1 Lee, J.A .N ., ed., Internation al B io g ra p h ic a l D ic tio n a ry o f C o m p u te r P io n e ers , Chicago and London: Fitzroy Dearborn, 1995 McCorduck, Pamela, M a ch in es W h o T h in k : A P e rso n a l Investigatio n into the H isto ry a n d P ro spects o f A rtificia l Intellig ence , San Francisco: Freeman, 19 79 MacKenzie, David, In ven tin g A c c u r a c y : A n H isto rica l S o c io lo g y o f N u c le a r M issile G u id a n c e , Cambridge, M A: M IT Press, 1990 MacKenzie, David, and Boelie Elzen, “ From Megaflops to Total Solutions,” in William Aspray, ed., T e ch n o lo g ica l C o m p etitiven ess: C o n te m p o ra ry a n d H isto rica l P ersp ectives on the E lectrical, E lectro n ics, a n d C o m p u te r In d u stries , N ew York: Institute of

Electrical and Electronics Engineers Press, 1993 Mahoney, Michael S., “ The History of Computing in the History of Technology,” A n n a ls o f the H isto ry o f C o m p u tin g 10 (1988), 113 -2 5 Merzbach, Uta, G e o r g Scheutz a n d the First P rin tin g C a lcu la to r , Washington, DC: Smithsonian Institution Press, 19 7 7 Metropolis, Nicholas, Jack Howlett, and Gian -Carlo Rota, eds., A H isto ry o f C o m p u tin g in the Tw entieth C e n tu ry , New York: Academic Press, 1980 Mindell, David, “ Anti-Aircraft Fire Control and the Development of Integrated Systems at Sperry, 1 9 2 5 - 1 9 4 0 , ” I E E E C o n tro l System s 15 (April 19 95), 1 0 8 - 1 3 Mindell, David, “ Automation ’s Finest Hour: Bell Labs and Automatic Control in World War II,” I E E E C o n tro l System s 15 (December 1995), 7 2 - 8 0

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Nash, Stephen G., ed., A H isto ry o f Scientific C o m p u tin g , Reading, M A: Addison Wesley, 1990 Norberg, Arthur L., “ Another Impact of the Computer: The History of Computing,” I E E E T ransaction s on E d u ca tio n 27 (1984), 19 7 - 2 0 3 Pugh, Emerson W., M e m o rie s T h a t S h a p e d an In d u stry : D ecisio n s L e a d in g to I B M S y s te m /3 6 0 , Cambridge, M A : M IT Press, 19 84 Pugh, Emerson W , B u ild in g I B M : S h a p in g an In d u stry a n d Its T e c h n o lo g y, Cambridge, M A: M IT Press, 19 95 Randell, Brian, ed., O rig in s o f D ig ita l C o m p u te rs: Selected P ap ers, Berlin and New York: Springer, 19 73 Redmond, Kent C , and Thomas M. Smith, P ro je ct W h irlw in d : T h e H isto ry o f a P io n e er C o m p u te r, Bedford, M A: Digital Press, 1980 Rogers, Juan, “ Implementation of a National Information Infrastructure: Science and the Building of Society,” PhD dissertation, Virginia Polytechnic and State University, 1996 Sammet, Jean E., P ro g ra m m in g L a n g u a g e s: H isto ry a n d Fu n d a m en ta ls, Englewood Cliffs, N J: Prentice Hall, 1969 Smith, Thomas M ., “ Project Whirlwind: An Unorthodox Development Project,” T e c h n o lo g y a n d C u ltu re 17 (1976), 4 4 7 -6 4 Stern, Nancy, F ro m E N IA C to U N I V A C : A n A p p r a is a l o f the E c k e r t - M a u c h ly C o m p u te rs, Bedford, M A: Digital Press, 19 8 1 Turck, J.A .V ., O rig in o f M o d e rn C a lcu la tin g M a c h in e s: A C h ro n ic le o f the E v o lu tio n o f the P rin cip les T h a t F o rm the G e n e ric M a k e up o f the M o d e r n C a lcu la tin g M a c h in e , Chicago: Western Society of Engineers, 19 2 1 Wexelblat, Richard L., ed., H isto ry o f P ro g ra m m in g L a n g u a g es, New York: Academic Press, 19 8 1 Wilkes, Maurice V., M e m o irs o f a C o m p u te r P io n eer, Cambridge, M A: M IT Press, 19 85 Williams, Michael R., A H isto ry o f C o m p u tin g T e ch n o lo g y, Englewood Cliffs, N J: Prentice Hall, 19 85 Yates, JoAnne, C o n tro l T h ro u g h C o m m u n ic a tio n : T h e R ise o f S ystem in A m e rica n M a n a g em en t, Baltimore: Johns Hopkins University Press, 19 89

Computing and History The use of computers for the storage, retrieval, and analysis of historical data dates back to the early ground-breaking projects of the 1960s, which required large mainframe computers that required highly complex programming and cumbersome means of input. The generally quantitative and statistical focus, employing methodologies borrowed from the social sciences, meant that many non-computing historians of the time were rather skeptical of the value of this new “ school” of historical computing. Remarks such as “ the historian of tomorrow will be a programmer or he will be nothing” (made by Emmanuel Le Roy Ladurie) did not help to enamor the new field to more “ traditional” historians. Thus an antipathy developed among many historians who questioned the value of the new technology to “ high ” or narrative history, though there was less criticism of computers’ applicability to areas such as recordlinkage and demography. In fact it was demography that produced one of the most significant and celebrated works to have come out of historical computing, Wrigley and Schofield’s The Population Fiistory of England, published in 19 8 1. Using a technique called “ family reconstitution” Wrigley and Schofield built up a com prehensive picture of the population of England over three centuries, a task that without computers would have been inconceivable. Their work presented a serious challenge to

traditional demography and to views on the nature of the family in English history. Likewise, in the United States early historical computing was also responsible for the questioning of long established historical paradigms. R.W. Fogel’s Railroads and American Economic Growth (1964) and Fogel and Engerman’s Time on the Cross (1974) attacked the established wisdom of views on the effects of the railways on industrialization in the US and the economics of slavery respectively. Both works were highly controversial and created a lasting impact. From this mainly quantitative approach of the early days, historical computing has expanded into most areas of historical analysis, from social and economic history to art history, and from historical geography to textual analysis. While quan titative analysis remains a major strand (witness the burgeoning literature on issues such as living standards in the Industrial Revolution in Britain), the manipulation of text has now become a central component of historical computing; after all, a large proportion of historical sources come in the form of text. As R.J. Morris established, “ since the 1970s there has been an important though subtle move from data set to data base.” Within the UK the use of databases has established something of a hegemony in historical computing, contributing to areas such as prosopography and business history. Most database projects have used standard commercial relational database management systems such as Paradox and Access, but there have been significant criticisms of the suitability of commercial relational database software to the vagaries of historical sources. A notable attempt to overcome this problem has been made at the University of Gottingen in Germany as part of the historical workstation project. The database system clio (named after the history muse) makes a bold attempt to deal with the problems familiar to those historians working with medieval or early modern sources, such as obscure and archaic dating formats and “ fuzzy ” or incomplete data. These improvements in data retrieval and analysis have been shadowed by advances in data storage. The setting up of archives holding machine readable data has been another important development in historical computing. Early computer projects, constrained by the hardware, often resorted to complicated coding schemes to alleviate storage demands. This limitation is no longer as significant, allowing the possibility of much more comprehensible and accessible datasets to be stored in archives such as the Economic and Social Research Council (ESRC) data archive, which was set up at the University of Essex in 1967 and now contains more than 7000 datasets. PhD students with ESRC scholarships are now required to offer their datasets for deposit to the data archive, which should guarantee a considerable amount of machine readable versions of primary source material for both research and teaching. Although computing has expanded into many areas of historical research, there is still some way to go. The schism between the worlds of the computing and non-computing historians still exists and historical computing is still a minority occupation. However, within universities the use of computers is becoming more widespread, and few history departments have been immune to the impacts of the new technology. The popular use of word processing and, more recently, electronic mail (e-mail), has encouraged academics who might not

COMTE otherwise use a computer to experiment with OPAC library catalogues and, increasingly, the Internet. This progress is probably due to the rapid advances in computer technology over the last thirty years. Following the advent of the IBM PC in 19 8 1, hardware, while decreasing in size, has become much faster and able to store ever greater amounts of data, while simultaneously decreasing in price. Likewise, software has become more “ user friendly ” due to the increasing reliance on industry standard operating systems, particularly Microsoft’s Windows, itself based on the graph ical operating system of the Apple Macintosh. As W.A. Speck pointed out, most software applications now require little more than “ knowing which buttons to press.” Furthermore, the linking together of computers into small Local Area Networks (LANs) has enabled the sharing of resources and the possibility now exists of almost limitless information when LANs are themselves combined into Wide Area Networks (WANs) such as the British academic network JANET, and the Internet. In short, research projects that even the most skilled programmer would have balked at are now possible without leaving the office. As Morris recently declared, “ for readers and researchers, the physical constraints of library walls are becoming increasingly meaningless.” R i c h a r d Ba x e l l S e e a ls o

Fogel; Wrigley

Further Reading Denley, Peter, Stefan Fogelvik, and Charles Harvey, eds., H isto ry a n d C o m p u tin g 2, Manchester: Manchester University Press, and N ew York: St. Martin’s Press, 1989 Denley, Peter, “ Models, Sources and Users: Historical Database Design in the 19 90 s, ” H isto ry a n d C o m p u tin g 6 (1994), 3 3 - 4 3 Denley, Peter, “ Computing Techniques for Historical Research,” in L.J. Butler and Anthony Gorst, eds., M o d e rn B ritish H isto ry : A G u id e to S tu d y a n d R e se a rch , London: Tauris, 1998, 9 5 - 1 1 8 Fogel, Robert William, R a ilro a d s a n d A m e rica n E c o n o m ic G r o w t h : E ssa y s in E c o n o m e tric H isto ry , Baltimore: Johns Hopkins Press, 19 64 Fogel, Robert William, and Stanley L. Engerman, T im e on the C ro ss: T h e E c o n o m ic s o f A m e rica n N e g r o S la v e ry , 2 vols., Boston: Little Brown, and London: Wildwood, 19 74 Greenstein, Daniel, “ A Source-orientated Approach to History and Computing: The Relational Database,” H isto rica l S o c ia l R esearch 14 (1989), 9 - 1 6 Greenstein, Daniel, A H isto ria n ’s G u id e to C o m p u tin g , Oxford and N ew York: Oxford University Press, 1994 Harvey, Charles, and Jon Press, D ata ba ses in H isto rica l R esea rch : T h e o ry , M e th o d s , a n d A p p lic a tio n s , London: Macmillan, 19 9 5; N ew York: St. Martin’s Press, 1996 Kenny, Anthony, T h e C o m p u ta tio n o f S tyle: A n In tro d u ctio n to Statistics fo r Students o f L itera ture a n d H u m a n ities , Oxford and N ew York: Pergamon Press, 19 8 2 Lewis, Myrddin John, and Roger Lloyd-Jones, U sin g C o m p u te rs in H isto ry : A P ra ctica l G u id e , London and New York: Routledge, 1996 Mawdsley, Evan, N . Morgan, L. Richmond, and Richard Trainor, H isto ry a n d C o m p u tin g 3, Manchester and New York: Manchester University Press, 1990 Mawdsley, Evan, and Thomas Munck, C o m p u tin g fo r H istorian s: A n In tro d u c to ry G u id e , Manchester and New York: Manchester University Press, 19 93 Morris, Robert J., “ Computers and the Subversion of British History,” Jo u r n a l o f B ritish Studies 34 (October 19 95), 5 0 3 - 2 8

24 7

Prescott, Andrew, “ History and Computing,” in Christine Mullings et a l ., eds., N e w Tech n olo gies fo r the H u m an ities, London: Bowker Saur, 1996 S c h iir e r, K e v in , “ H is t o r ic a l R e s e a r c h in th e A g e o f th e C o m p u t e r : A n A s s e s s m e n t o f th e P re se n t S i t u a t i o n , ” H isto rica l S o cia l

R esea rch 36 (1985), 4 3 - 5 4 Shorter, Edward, T h e H istorian a n d the C o m p u te r: A P ra ctical G u id e , Englewood Cliffs, N J: Prentice Hall, 19 7 1 Southall, Humphrey, and Ed Oliver, “ Drawing Maps with a Computer . . . or Without?,” H isto ry a n d C o m p u tin g 2 (1990),

14 6 -5 4 Speck, William A., “ History and Computing: Some Reflections on the Achievements of the Past Decade,” H isto ry a n d C o m p u tin g 6 (1994), 2 8 - 3 2 Winchester, I., “ What Every Historian Needs to Know about Record Linkage in the Microcomputer Era,” H isto rica l M e th o d s 25 (1992), 14 9 - 6 5 Wrigley, E.A., and Roger S. Schofield, T h e P o p u la tio n H isto ry o f E n g la n d , 1 5 4 1 - 1 8 7 1 : A R e c o n stru c tio n , London: Arnold, and Cambridge, M A: Harvard University Press 19 8 1

Comte, Auguste

17 9 8- 18 5 7

French sociologist and theorist

Proclaimed the father of sociology, Auguste Comte is both much more and much less than that title indicates. He is the originator of the term positivism (along with other terms such as biology and altruism), although contemporary understanding of the term positivism would be almost unrecognizable to him. Positivism has come to mean an empirical, statistical, rigid application of pure scientific method to all aspects of human experience and knowledge. There is an implication of sterility and formalism in the term, an implication of trying to fit the square peg of human emotional action into the round hole of atomistic, scientific explanation. This, however, was not the positivism that Comte intended and orig inated. His philosophical system never ignored the emotional and moral side of human nature. The perversion came about as a result of Comte’s advocacy of applying scientific methodology to the creation of a political system. Comte began his life during the ferment of post-revolutionary France. The societal upheavals left a strong desire on Comte’s part to create political order from the disorder that he observed around him; and this despite his own very rebellious nature. After being thrown out of the Ecole Polytechnic in Paris, and briefly flirting with the idea of emigrating to America, he became the personal secretary of Henri de SaintSimon and there began work on the foundation of his philosophy. Saint-Simon’s ideas, particularly the idea of applying scientific knowledge to the workings of society, were very influential on Comte, something that he was to continue to deny the rest of his life. His first major work, an essay entitled “ Plan des travaux scientifiques nécessaires pour réorganiser la société” (Plan of the Scientific Operations Necessary for Reorganising Society), was first published in 1822. In this long essay, Comte proposed that politics become a science, and consequently follow science’s requirements for empirical observations, rather than the dogma of politics. If this were accomplished, then social theory would approach the certitude of science.

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This new science would consist of two principles. The first principle was that of progression of the intellect, and political and social evolution, through three stages of history - the theological, the metaphysical, and the positive stage. The second principle was the classification of the sciences, determining the order in which the sciences were established. The term positivism was used, as opposed to negativism, in order to distinguish between a positive and negative attitude to science as the ultimate source of knowledge. The two principles reflected the same core ideas: that science and scientific methods are superior in actually determining the best political structure for a stable, coherent society. If science was applied to all of man’s ideas, they would become homogeneous, and with homogeneous ideas, a stable, prosperous society can be created. Comte completed a number of other essays and major writ ings in his career. The two major works delineating his positivist philosophy were the 6-volume Corns de philosophic positive (1830 - 4 2; The Positive Philosophy of Auguste Comte, 1853), and the 4-volume Systeme de politique positive ( 18 5 1 - 5 4 ; A System of Positive Polity, 18 75 - 77). The Cours reviewed the principles of the natural sciences and sociology, thereby attempting to establish positivism’s scientific credentials. Comte’s Systeme was an attempt to reconcile the rational, scientific aspects of positivism found in the Cours with the emotional aspects of human existence. Comte insisted that there was a genuine consistency between the two works, to the point of including in the appendix of Systeme six of his early essays. These two books described Comte’s philosophy of positivism. This philosophy required a general understanding of the sciences and the scientific method. This understanding, when applied to all of human knowledge, would create a new science of society. It then followed that this new science would become the basis for reordering society and creating a social consensus. Social consensus would be reached through the scientific observation of facts, and the development of theories that would explain human action. Comte felt that if society were explained in this way, all would see the obvious truth and would reach agreement on the validity of the societal structures created from this positivist approach. Comte saw as his end goal the creation of political structures based upon this social consensus. Positivism, as outlined by Comte, consisted of two main elements: “ humanity” and the “ general milieu.” Specifically, the “ milieu” was comprised of three “ modes” ; the mathematical or astronomical, the physical, and the chemical. “ Humanity ” was comprised of two “ modes” ; the individual and society, studied by biology and sociology respectively. The study of “ humanity ” was subordinate to the study of the “ milieu.” This was justified on logical and scientific grounds. The simpler sciences needed to be studied first, as the originators of the positivist method. In addition, the science of the three modes should be understood before advancing to the more complex science of the individual and society. Positivism was important to political structures in that it forced the view of the whole, the social point of view, by requiring the observation of the progressive links of the simple to the complex. Positivism would teach individuals to understand their actions in the present as having value, and thus enforce a more practical approach to their daily lives. Individuals working to

improve their individual lives would, as a result, improve their collective well-being. Comte’s primary contribution was not his theory of positivism, or his fundamental work in sociology, but rather the extension of the scientific method to an entirely new realm, the realm of society and the individual. This approach is hardly considered revolutionary today but was a real intellectual advance by Comte. While his writings offer little empirical support for his theories - a severe contradiction to his positivist philosophy - Comte’s insistence on applying scientific methodology to the individual and society was his greatest contribution to intellectual history. Without the path broken by Comte, much contemporary political, historical, and sociological work could not have been written. T i m o t h y P. C o o n Adams; Annales School; Buckle; Dubnov; Ecclesiastical; Historiology; Media; Philosophy of History; Religion; Sociology

S e e a ls o

Biography Isidore Auguste Marie François Xavier Comte. Born Montpellier, 19 January 179 8 , son of a tax collector. Studied at Ecole Polytechnique, 1 8 1 2 - 1 4 , then expelled; remained in Paris teaching mathematics. Secretary to Henri Saint-Simon, 1 8 1 8 - 2 4 ; spent remainder of life teaching, writing, and lecturing. Died Paris, 5 September 18 5 7 .

Principal Writings C o u rs d e p h ilo so p h ie p o sitive , 6 vols., 18 3 0 - 4 2 ; in English as T h e P o sitive P h ilo so p h y o f A u g u ste C o m te , 18 53 D isc o u rs su r Vensem h le du p o sitivism e , 1849 ; in English as A G en e ra l V ie w o f P o sitivism , 1865 Systèm e de p o litiq u e p ositive, ou, traité d e so c io lo g ie instituant la religion u n iverselle d e Vh um an ité, 4 vols., 1 8 5 1 - 1 8 5 4 ; in English as A System o f P o sitive P o lity ; or, Treatise o n S o c io lo g y Instituting the R elig io n o f H u m a n ity , 4 vols., 1 8 7 5 - 7 7 C a téch ism e p ositiviste, ou, so m m a ire ex p o sitio n d e la religion un iverselle d e V hum anité, 18 5 2 ; in English as T h e C atech ism o f P o sitive R e lig io n , 18 58

Further Reading Andreski, Stanislav, ed., T h e E ssen tia l C o m te , London: Croom Helm, and New York: Barnes and Noble, 19 74 Caird, Edward, T h e S o c ia l P h ilo so p h y a n d R e lig io n o f C o m te , Glasgow: Maclehose, 18 8 5, New York: Macmillan, 18 9 3 ; reprinted 1968 Hawkins, Richmond, A u g u ste C o m te a n d the U n ited States ( 1 8 1 6 - 1 8 5 3 ) , Cambridge, M A: Harvard University Press, 19 36 Lenzer, Gertrude, ed., A u g u ste C o m te a n d P o sitivism : T h e E ssen tia l W ritings, New York: Harper, 19 7 5 Lévy-Bruhl, Lucien, L a P h ilo so p h ie d ' A u g u s te C o m te , Paris: Alcan, 1900; in English as T h e P h ilo so p h y o f A u g u ste C o m te , New York: Putnam, and London: Sonnenschein, 1903 Mill, John Stuart, “ Auguste Comte and Positivism,” W estm inster R e v ie w (186 5); reprinted in his A u g u ste C o m te a n d P o sitivism , London: Triibner, 18 6 5, Philadelphia: Lippincott, 1866; reprinted Ann Arbor: University of Michigan Press, 19 6 1 Pickering, Mary, “ New Evidence of the Link Between Comte and German Philosophy,” Jo u r n a l o f the H isto ry o f Ideas 50 (1989), 4 4 3-6 3 Pickering, Mary, A u g u ste C o m te : A n Intellectual B io g ra p h y , London: Cambridge University Press, 19 93 Pickering, Mary, “ Auguste Comte and the Saint-Simonians,” Fren ch H isto rica l Stud ies 18 (19 93), 2 .11 - 3 6

CONSUMERISM AND CO NS UM PT IO N

Confucius

see

Kong-zi

Consumerism and Consumption Consumption is a multifaceted topic. Initially studied by economic and social historians, in the last four decades anthropology, sociology, cultural studies, and human geography have all influenced the historical study of consumption. In the preand postwar years the French Annales school of history profoundly shaped the study of consumption with remarkable contributions such as Fernand Braudel’s Civilisation matérielle, économie et capitalisme (1979; Civilization and Capitalism, 19 8 1 - 8 4 ) and Emmanuel Le Roy Ladurie’s Montaillou (1975; translated 1978). In such heroic reconstructions of economic and social structures of la longue durée, food, drink, and clothing figured as part of the texture of everyday life that linked material forces to collective mentalities. From the 1960s structuralism and poststructuralism nuanced the emphasis on the role of economics in the shaping of cultural practices and stressed the symbolic role of goods in social patterns. Since then Annales-oriented studies have investigated not only nutrition, water supplies, and the distribution of grains, but also the semiotics of food in documents such as the Bible or Diderot’s Encyclopédie. Historical anthropology has also produced a variety of works on foodstuffs and material culture in the contexts of industrialization and trade. In Sweetness and Power (1985) Sidney W. Mintz investigated the social aspects of the role of sugar and showed how production and consumption were mutually determining. As sugar was put to new uses and took on new meanings, it was transformed from “ curiosity and luxury into commonplace and necessity.” Such studies reflected the broadening of the focus of historical inquiry to include consumption and market culture as well as the revision of the rigid Marxist position that emphasized structure over superstructure. Such trends led to the proliferation of works on consumption since the 1980s by two groups of historians. Practitioners of the New Social History applied quantitative analysis to estate inventories in order to determine the practices of different social classes, while cultural historians employed the method developed in anthropology and literary criticism to view material objects as a system of signs that provided windows for bygone societies. For the latter group the study of material culture came to include the subject of shopping, defined as the purchasing of nonessential items, and was linked not only with leisure but with the formation of class identity. One of the earliest theorists of consumption, Thorstein Veblen, had argued in The Theory of the Leisure Class (1899) that the bourgeois activity of consumption was motivated by the desire to emulate social superiors, namely the aristocrats. Scholars have revised Veblen’s thesis by arguing that distinctly middleclass values emerged in the 17th and the 18th centuries, at least in Europe, and that through the 19th century the tension between egalitarianism and capitalism, asceticism, and materialism all informed production and consumption. Veblen’s main achievement was in locating consumption as a part of modern society’s power relations.

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Another crucial strand in the study of consumption originated with the Marxian Frankfurt school, led by Theodor Adorno and M ax Horkheimer. Disciplined in the tradition of German philosophy and sociology, the Frankfurt school conceptualized commodification and the culture industry. In Dialektik der Aufklärung (1944; Dialectic of Enlightenment, 1972) Adorno and Horkheimer viewed modernization, culminating in the historical legacy of the 20th century, as a process in which advanced capitalism and rationalization would produce a kind of a cultural equivalent to political fascism. Disindividuation and a totalizing domination by mass and commodity culture would ensue. While the Frankfurt school had most influence in political theory and cultural criticism, the notion of commodification and a focus on the material objects of mass culture also resonated in historical studies. Walter Benjamin, who was of the same cohort as the Frankfurt school, was especially influential in the study of urban con sumption. His unfinished Arcade project on 19th -century Parisian urban culture made use of the concept of the flâneur (a leisurely stroller), a figure who emerged in early 19th -century Paris and who has been interpreted both as symbolizing urban modernity and as the male counterpart to the female shopper. Related to the flâneur is the idea of the spectator. Guy Debord’s La Société du spectacle (1967; The Society of the Spectacle, 1970) criticized the passive consumption of visual entertainments. The idea of the spectacle has since been applied in works as varied as those on court rituals, festivals, cafe culture and the advent of the department store, and mass entertainment. The sociologist Pierre Bourdieu’s argument in La Distinction: critique sociale du jugement (1979; Distinction: A Social Critique of the Judgement of Taste, 1984), that no aesthetic judgment is innocent but is formed through social factors, including the desire to emulate, has also influenced historical studies on taste and style. Debates continue as to the role of the spectator - whether active or passive - and the relevance of historical specificity. Another main source of debate is the periodization of consumer culture. Scholars have located consumer revolutions in 17th - or 18th -century England and America and in 19th century France. In The Birth of a Consumer Society (1982) Neil McKendrick, John Brewer and J.H . Plumb described a rapid increase in consumption in all sectors of society and linked middle-class fascination with goods with the spirit of scientific inquiry, improvement, and secularization as well as with social emulation and class competition. Simon Schama in The Embarrassment of Riches (1987) described the 17th century as a society in the throes of commercialization, while Chandra Mukerji in From Graven Images (1983) questioned the idea of a consumer revolution itself by arguing that commercial capitalism, having developed in 15th - and 16th century Europe, actually preceded industrial capitalism. The issue of gender has been crucial in the study of consumption. The historical process in which shopping became an activity of the interior and a pleasurable one has been interpreted by feminist theories as both empowering and alienating. Questions arise as to whether commercial capitalism led to the individuation of women and provided a realm of cultivation and sociability or whether the arena of consumption consists of a mere substitute public sphere and a false projection of the utopian dimension of human aspirations. Others argued that

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for many women consumption requires confronting complex and contradictory systems of values and impulses and that in this way shopping is only one aspect of a larger everyday world in which such challenges occur constantly, particularly as merchandising, design, display, and advertising have become ubiquitous. Recent studies have emphasized the need to investigate the relationship of commercial culture with formal politics and modern communication systems and also the need to analyze multiple versions of identity for both men and women. The rural area and the suburb have reappeared as sites of material culture. This was in part spurred by human geography, which demonstrated that a series of spatial reorganizations occurs in the development of industrial societies and that spaces and places constitute a system of representation pivotal to identity formation. H.

Ha zel

H ah n

S e e a ls o Bourdieu; Braudel; Britain: since 1 7 5 0 ; Davidoff; Design;

de Vries; Dress; Habermas; Labrousse; Lasch; Leisure; M erton; Plumb; Potter; Quantitative; Wilson; Women’s History: Africa

Further Reading Adshead, Samuel Adrian M ., M a teria l C u ltu re in E u r o p e a n d C h in a , 1 4 0 0 - 1 8 0 0 : T h e R ise o f C o n su m e rism , New York: St. Martin ’s Press, and Basingstoke: Macmillan, 19 97 Agnew, Jean-Christophe, W o rld s A p a r t : T h e M a rk e t a n d the Th eatre in A n g lo - A m e r ic a n T h o u g h t, 1 5 5 0 - 1 7 5 0 , Cambridge and New York: Cambridge University Press, 1986 Appadurai, Arjun, ed., T h e S o c ia l L ife o f T h in g s: C o m m o d itie s in C u ltu ra l P e rsp e ctive , Cambridge and New York: Cambridge University Press, 1986 Baudrillard, Jean, L a So ciété d e co n so m m a tio n : ses m ythes, ses structures (The Society of Consumption: Its Myths, Its Structures), Paris: Denoël, 19 70 Bermingham, Ann, and John Brewer, ed., T h e C o n su m p tio n o f C ultu re, 1 6 0 0 - 1 8 0 0 : Im age, O b je ct, Text, London and New York: Routledge, 19 9 5 Bourdieu, Pierre, L a D istin ctio n : critique sociale d u ju gem en t, Paris: Minuit, 19 79 ; in English as D istin ctio n : A S o c ia l C ritiq u e o f the Ju d g m e n t o f Taste, Cambridge, M A: Harvard University Press, and London: Routledge, 19 84 Braudel, Fernand, C ivilisa tio n m atérielle, éco n o m ie et capitalism e, X V e - X V I I I siècle, 3 vols., Paris: Colin, 19 79 ; in English as C iviliza tio n a n d C ap italism , I5 th - i8 th C e n tu ry, London: Collins, 1 9 8 1 - 8 4 , New York: Harper, 19 8 2 - 8 4 Brewer, John, and Roy Porter, eds., C o n su m p tio n a n d the W o rld o f G o o d s , London and New York: Routledge, 1993 Briggs, Asa, V ictorian T h in g s, London: Batsford, 1988; Chicago: University of Chicago Press, 1989 Brown, Gillian, D o m e s tic In d iv id u a lism : Im a g in in g the S e lf in N in e te e n th - C e n tu ry A m e ric a , Berkeley: University of California Press, 1990 Bryson, Phillip J., T h e C o n su m e r u n d e r Socialist P lan n in g: T h e E a st G e r m a n C a se, N ew York: Praeger, 1984 Campbell, Colin, T h e R o m a n tic E th ic a n d the S p irit o f M o d e r n C o n su m e rism , Oxford and New York: Blackwell, 19 8 7 Carter, Erica, H o w G e r m a n Is S h e f P o s tw a r W est G erm a n R e co n stru ctio n a n d the C o n su m in g W o m an , Ann Arbor: University of Michigan Press, 19 9 7 Certeau, Michel de, A rts d e faire [vol. 1 of U In v e n tio n d u q u o tid ie n ], Paris: Union Générale d ’ Editions, 1980 ; in English as T h e P ra ctice o f E v e r y d a y L ife , Berkeley: University of California Press, 19 84 Cohen, Lizabeth, M a k in g a N e w D e a l: In d u stria l W o rkers in C h ica g o , 1 9 1 9 - 1 9 3 9, Cambridge and New York: Cambridge University Press, 1990

Cross, Gary S., Time and Money: The Making o f Consumer Culture, London and New York: Routledge, 1993 Debord, Guy, La Société du spectacle, Paris: Buchet/Chastel, 19 67; in English as The Society o f the Spectacle, Detroit: Black and Red, 19 70 De Grazia, Victoria, and Ellen Furlough, eds., T h e S e x o f T h in g s: G e n d e r a n d C o n su m p tio n in H isto rica l P ersp ective, Berkeley: University of California Press, 1996 Forster, Robert, and Orest A. Ranum, eds., F o o d a n d D rin k in H isto ry : Selectio ns fro m the A n n a le s, Baltimore: Johns Hopkins University Press, 19 79 Fox, Richard Wightman, and T.J. Jackson Lears, eds., T h e C u ltu re o f C o n su m p tio n : C ritica l E ssa y s in A m e rica n H istory, 1 8 8 0 - 1 9 8 0 ,

New York: Pantheon, 19 83 Gibb, James G., T h e A rc h a e o lo g y o f W ealth: C o n su m e r B e h a v io r in E n g lish A m e rica , New York: Plenum, 1996 Goldthwaite, Richard, W ealth a n d the D e m a n d fo r A r t in Italy, 1 5 0 0 - 1 6 0 0 , Baltimore: Johns Hopkins University Press, 19 93 Gregory, Derek, G e o g ra p h ic a l Im a g in a tio n s , Oxford: Blackwell, 19 94 Horkheimer, M ax, and Theodor W. Adorno, D ia lek tik d er A u fk lä ru n g : P h ilo so p h isch e F ragm ente, Amsterdam: Querido, 19 4 7 [revised edition of P h ilo so p h isch e F ragm ente, 19 44]; in English as D ia le ctic o f E n lig h ten m en t, New York: Seabury Press, 19 7 2 , London: Allen Lane, 19 73 Jordan, William C., W o m en a n d C re d it in P re - In d u stria l a n d D e v e lo p in g S ocieties, Philadelphia: University of Pennsylvania Press, 1993 Kaplan, Steven L., T h e B a k ers o f P aris a n d the B re a d Q u estio n , 1 7 0 0 - 1 7 7 5 , Durham, N C : Duke University Press, 1996 Lears, T.J. Jackson, Fa bles o f A b u n d a n c e : A C u ltu ra l H isto ry o f A d v e r tis in g in A m e rica , New York: Basic Books, 1994 Lebergott, Stanley, P u rsu in g H a p p in e ss: A m e rica n C o n su m e rs in the Tw entieth C e n tu ry, Princeton: Princeton University Press, 1993 Le Roy Ladurie, Emmanuel, M o n ta illo u : village occitan d e 1 2 9 4 à 1 5 2 4 , Paris: Gallimard, 19 7 5 ; in English as M o n ta illo u : T h e P ro m is e d L a n d o f E r r o r , New York: Braziller, 19 78 , and as M o n ta illo u : C ath ars a n d C a th o lics in a F ren ch Village, 1 2 9 4 - 1 5 2 4 , London: Scolar Press, 19 78 MacCannell, Dean, T h e T o urist: A N e w T h e o r y o f the L eisu re C la ss, New York: Schocken, and London: Macmillan, 19 76; revised 1989 McClain, James L., John M. Merriman, and Ugawa Kaoru, eds., E d o a n d P aris: U rb a n L ife a n d the State in the E a r ly M o d e r n E r a , Ithaca, N Y: Cornell University Press, 1994 McCracken, Grant David, C u ltu re a n d C o n su m p tio n : N e w A p p ro a c h e s to the S y m b o lic C h a ra cter o f C o n su m e r G o o d s a n d A ctivities, Bloomington: Indiana University ress, 1988 McKendrick, Neil, John Brewer, and J.H . Plumb, T h e B irth o f a C o n su m e r S o cie ty : T h e C o m m ercia liza tio n o f E ig h te e n th - C e n tu ry E n g la n d , Bloomington: Indiana University Press, and London:

Europa, 19 8 2 Migiel, Marilyn, and Juliana Schiesari, eds., R efig u rin g W o m an : P ersp ectives o n G e n d e r a n d the Italian R en aissan ce, Ithaca, N Y: Cornell University Press, 19 9 1 Miller, Daniel, ed., A c k n o w le d g in g C o n su m p tio n , London and New York: Routledge, 1995 Miller, Michael B., T h e B o n M a rc h é : B o u rg eo is C u ltu re a n d the D e p a rtm e n t Store, 1 8 6 9 - 1 9 2 0 , Princeton: Princeton University Press, and London: Allen and Unwin, 19 8 1 Mintz, Sidney W., S w eetn ess a n d P o w e r : T h e P la ce o f Su g a r in M o d e r n H isto ry , New York: Viking, and London: Sifton, 19 85 Mort, Frank, C u ltu res o f C o n su m p tio n : M ascu lin ities a n d S o c ia l S p a ce in L a te T w e n tie th - C e n tu ry B rita in, London and New York: Routledge, 1996 Mukerji, Chandra, F ro m G r a v e n Im ages: Patterns o f M o d e rn M aterialism , New York: Columbia University Press, 19 8 3 Orlove, Benjamin, ed., T h e A llu re o f the F o re ig n : Im p o rte d G o o d s in P o stc o lo n ia l L a tin A m e ric a , Ann Arbor: University of Michigan Press, 19 9 7

CONZE Préteceille, Edmond, and Jean-Pierre Terrail, C a p ita lism , C o n su m p tio n , a n d N e e d s , Oxford and New York: Blackwell, 19 85 (French original) Quimby, Ian M .G ., ed., M a teria l C u ltu re a n d the S tu d y o f M a teria l L if e , New York: Norton, 19 78 Reddy, William, T h e R ise o f M a rk e t C u ltu re : T h e T extile T ra d e a n d F ren ch Society , 1 7 5 0 - 1 9 0 0 , Cambridge and N ew York: Cambridge University Press, 19 84 Roche, Daniel, L a C u ltu re des a p p a ren ces: une histoire d u vêtem ent ( X V I I e - X V I I l e siècle), Paris: Fayard, 1989; in English as T h e C u ltu re o f C lo th in g : D re ss a n d F a sh io n in the A n c ie n R ég im e,

Cambridge and New York: Cambridge University Press, 19 94 Schama, Simon, T h e E m b a rra ssm en t o f R ic h e s: A n Interpretation o f D u tc h C u ltu re in the G o ld e n A g e , New York: Knopf, 19 87; London: Collins, 1988 Scitovsky, Tibor, T h e Jo y le s s E c o n o m y : A n In q u iry into H u m a n Satisfa ction a n d C o n su m e r D issatisfaction , Oxford and New York: Oxford University Press, 19 76 ; revised 19 9 2 Tiersten, Lisa, “ Redefining Consumer Culture: Recent Literature on Consumption and the Bourgeoisie in Western Europe,” R a d ic a l H isto ry R e v ie w 57 (1993), 1 1 6 - 5 9 Veblen, Thorstein, T h e T h e o ry o f the L eisu re C la ss: A n E c o n o m ic S tu d y in the E v o lu tio n o f Institutions, New York: Macmillan, 1899 ; London: Allen and Unwin, 19 2 4 Walvin, James, Fruits o f E m p ire : E x o t ic P ro d u c e a n d B ritish Taste , 1 6 6 0 - 1 8 0 0 , New York: New York University Press, and Basingstoke: Macmillan, 19 9 7 Williams, Rosalind, D re a m W o rld s: M a ss C o n su m p tio n in L a te N in e tee n th C e n tu ry Fran ce, Berkeley: University of California Press, 19 8 2 Wilson, Elizabeth, A d o r n e d in D re a m s: Fa sh io n a n d M o d e rn ity , London: Virago Press, 19 85; Berkeley: University of California Press, 19 8 7

Conze, Werner

I9IO -1986

Germ an historian

Werner Conze was one of Germany ’s most prolific historians after World War II. He crucially influenced the emergence of German social historiography, the history of the working class, and Begriffsgeschichte, and played a major role in the organization of historical studies. Conze was enormously productive and left a wide-ranging oeuvre matched by few of his contemporaries. His works on German-Polish history in World War I (Polnische Nation und deutsche Politik im Ersten Weltkrieg [The Polish Nation and German Politics in World War I], 1958), on German-Russian relations, and on German history between 1890 and 19 33 are generally considered his most important contributions. Nation-building and the history of the nation-state formed one of the major themes of his work. His initiatives in the field of contemporary history, for example, as one of the founders of the journal Vierteljahreshefte fur Zeitgeschichte (1953), and his commitment to social history had a lasting impact on several generations of German historians. He was a pupil of Hans Rothfels whose far-reaching influence can be traced in many of Conze’s works. A pioneer in the teaching of contemporary history, which he championed as early as 1948, Conze developed a special interest in the Weimar Republic, particularly in chancellor Briining’s cabinet. Conze understood social history not merely as a part of general history but as its synthesis. In his view history could no longer be written as the narrative of individual lives or of

251

states but only in respect to the masses. Thus he called for closer cooperation between history and sociology, political science, and economics; a synthesis of their methods and terminologies could overcome the over-specialization of the historian. In his path-breaking article “ Vom ‘ Pöbel’ zum ‘ Proletariat’ ” (From “ M ob ” to “ Proletariat,” 1954) he formulated his ideas of social change as exemplified by Vormärz society. In 19 57 Conze founded the Arbeitskreis für moderne Sozialgeschichte (Workshop for Modern Social History) and presided over it until his death. It has published the series Industrielle Welt since 1962 as well as 43 edited volumes. This workshop, probably Conze’s most influential organizational achievement, was based on the interdisciplinary research of about twenty historians, sociologists, economists, lawyers, and social anthropologists. It was this interdisciplinary social history that was his objective. Contrary to expectation Conze did not really formulate any theory of social history. When founding the workshop, he believed in pragmatic, empirical research. He was, therefore, often criticized by a younger theory-oriented generation of social historians (for example, Jürgen Kocka and Hans-Ulrich Wehler), who emphasized social and economic factors and their impact on politics and culture. From the 1960s the program of a “ Historische Sozialwissenschaft” emerged against Conze’s structural model. He was further criticized for not having distinguished precisely enough between social and structural history, and for having suggested that early modern history was primarily the history of events. Conze also had to defend himself constantly against the accusation that he intended to subordinate social history to economic history. Although in 1979 he joined the editorial board of the journal Vierteljahrschrift für Sozial- und Wirtschaftsgeschichte, he did not himself found a special journal devoted entirely to social history. Instead he aimed to synthesize all aspects of history and tried to find a compromise between social and political history. Conze thought that the distinction between the social sciences (Sozialwissenschaften) and political sciences (Staatswissenschaften), which predated that between social and political history, was the result of the separation of state and society in the modern world. Consequently in his 1962 study of the Vormärz he explored the conflict between state and society in early 19th -century Germany, which he placed into the context of modern nation-building. As long as this separation was a historical reality Conze accepted the distinction between social and political history, but for the period after 1945 he could no longer accept it. For him the reunification of history and sociology was a central aim possibly to be achieved by social history. Thus social and economic history concentrated on society while social and constitutional history concentrated on questions concerning the state. In both cases social history had a bridge-building function. His commitment to these ideas certainly made Conze unique among postwar German historians. He could thus resume his own prewar research as he had distanced himself from the problematic völkisch ideology of Gunther Ipsen, although he had been fascinated by Ipsen’s sociological methodology for studying population and agrarian society. In addition to his German background Conze was also influenced by American community studies. He may be regarded as one of the first German historians to have no reservations

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about the American sociological school, which he accepted as early as in the 1950s. Moreover, Conze acknowledged the significance of French sociological studies of elections for German research on the history of political parties. Conze systematically tried to formulate an integral social history in contrast to the hitherto predominant sectoral one. He called it Strukturgeschichte in order to have a more definite term; here he built on Fernand Braudel’s ideas of a histoire des structures which can best be traced in his Die Strukturgeschichte

des technisch-industriellen Zeitalters als Aufgabe für Forschung und Unterricht (The Structural History of the Technological-

Industrial Age as a Challenge for Research and Teaching, 1957). This emphasized structures and processes in history and attempted to replace traditional hermeneutics with empirical analysis. In Germany at this time Conze had only few colleagues who would have accepted his ideas. On the basis of his workshop Conze, with Otto Brunner and Reinhart Koselleck, founded and helped edit the highly influential and voluminous compendium Geschichtliche Grundbegriffe (19 72 - ). His contributions included the articles: Adel, Arbeit, Bauer, Fanatismus, Freiheit, Klasse, Mittelstand, Militarismus, Proletariat, Rasse, Säkularisation, and Schutz. Conze’s interest in Begriffsgeschichte grew out of his concern for social-historical questions, and his belief that the revolu tionary period of around 1800 had had an impact on the development of political language. Thus he thought that studying the history of political terms could help us to understand historical processes. He believed that the historical turning point of around 1800 produced by the Industrial, the American, and the French revolutions, was even more significant than those of 1500 or 19 17 . This became one of the fundamental ideas of the Geschichtliche Grundbegriffe. Another process identified by Conze was the workers ’ movement torn between state and society. His political standpoint and personal circumstances meant that Conze was not close to the workers’ interests. Nonetheless the Institut für Sozial- und Wirtschaftsgeschichte which he founded at the University of Heidelberg brought the study of the workers’ movement to the center of his attention. He intended to integrate it into a social history of Germany. With Dieter Groh he wrote a book that investigated the workers’ movement in the context of the national movement. Both aspects, the social and the national, were considered to be equally important in forming the basis of social democracy. This was an attempt to bridge the national and the social movements. In the early 19 70s Conze’s interests shifted towards the history of the workers themselves, and later he advocated the study of family history. B e n e d i k t St u c h t e y

See also Begriffsgeschichte; Brunner; Germany: since 1945; Kocka; Koselleck; Wehler

Biography Born Neuhaus, Elbe, 3 1 December 19 10 . Professor of modern history, University of Posen, 19 4 4 - 4 5 ; University of Münster, 1 9 5 2 - 5 7 ; and University of Heidelberg, 1 9 5 7 - 7 9 . Founded Arbeitskreis für moderne Sozialgeschichte, 19 5 7 . Married Gisela Pohlmann, 19 36. Died Heidelberg, 28 April 1986.

Principal Writings H irsc h e n h o f: D ie G esch ich te einer d eu tsch en S p ra ch in sel in L iv la n d (Hirschenhof: History of a Linguistic Enclave in Livonia), 1934 A g ra rve rfa ssu n g u n d B e v ö lk e ru n g in L ita u en u n d W eissrussland

(Agrarian Constitution and Population in Lithuania and Belorussia), 1940 L e ib n iz als H isto rik e r (Leibniz as Historian), 1 9 5 1 Editor, D e u tsc h la n d u n d E u r o p a : historische Stu d ien zu r V ölk er u n d Sta a ten o rd n u n g des A b e n d la n d e s (Germany and Europe: Historical Studies of Peoples and States in the West), 19 5 1 [Festschrift]

“ Vom ‘ Pöbel’ zum ‘ Proletariat’: Sozialgeschichtliche Voraussetzungen für den Sozialismus in Deutschland” (From “ M ob ” to “ Proletariat” : Social-Historical Preconditions for the Emergence of Socialism in Germany), in Vierteljah resschrift fü r Sozia l - u n d W irtsch aftsgeschichte 4 1 (19 54), 3 3 3 - 6 4 D ie S truktu rgeschichte des tech n isch - ind ustriellen Z eita lters als A u fg a b e fü r F o rsc h u n g u n d U n terrich t (The Structural History of

the Technological-Industrial Age as a Challenge for Research and Teaching), 19 5 7 P o ln isch e N a tio n u n d d eu tsch e P olitik im E rsten W eltk rieg (The Polish Nation and German Politics in World War I), 19 58 Editor, Staat u n d G esellsch a ft im deu tsch en V o rm ä rz , 1 8 1 5 - 1 8 4 8 (State and Society in the German Vormärz), 19 6 2 D ie deu tsch e N a tio n : E rg e b n is d er G e s ch ich te , 19 6 3; in English as T h e S h a p in g o f the G e r m a n N a tio n : A H isto rica l A n a ly s is , 19 79 D ie Z e it W ilhelm s II. u n d d ie W eim arer R e p u b lik : D eu tsch e G esch ich te 1 8 9 0 bis 1 9 5 5 (The Age of William II and of the Weimar Republic: German History, 18 9 0 - 19 3 3 ), 1964 M ö g lich k e iten u n d G re n z e n d er liberalen A rb e ite rb e w e g u n g in D e u tsc h la n d : das B eisp ie l Sch u lz e - D e litz sch s (Opportunities and

Limitations of the Liberal Labor Movement in Germany: The Example of Schulze-Delitzschs), 19 65 With Dieter Groh, D ie A rb e ite rb e w e g u n g in d er nationalen B e w e g u n g : d ie d eu tsch e S o z ia ld e m o k ra tie vo r ; w ä h r e n d , u n d nach d er R eic h sg rü n d u n g (The Labor Movement as Pan of the National Movement: German Social Democracy before, during, and after the Foundation of the Reich), 1966 Editor with Otto Brunner and Reinhart Koselleck, G e sch ich tlich e G ru n d b e g riffe : historisches L e x ik o n zu r p o litisch - so zia len S p ra ch e in D e u tsc h la n d (Historical Concepts: A Historical Dictionary of

Political-Social Language in Germany), 1 9 7 2 Editor with Ulrich Engelhardt, A rb e ite r im In du strialisierun gsp rozess: H e r k u n ft , L a g e u n d Verhalten (Workers in the Process of Industrialization: Origin, Condition, and Behavior), 19 79 D e r S tru k tu rw a n d el d er F a m ilie im industriellen M o d ern isieru n g sp ro zess (Changes in Family Structure in the Industrial Process of Modernization), 19 79

Further Reading Kocka, Jürgen, S o zialgeschichte: B e g riff ’ E n tw ic k lu n g , P ro b le m e (Social History: Concept, Development, Problems), Göttingen: Vandenhoeck & Ruprecht, 19 7 7 Kocka, Jürgen, “ Werner Conze und die Sozialgeschichte in der Bundesrepublik Deutschland” (Werner Conze and Social History in West Germany), G esch ich te in W issen schaft u n d U n terrich t 3 7 (1986), 59 5 - 6 0 2 Koselleck, Reinhart, “ Werner Conze: Tradition und Innovation,” H isto risch e Z e itsch rift 45 (1987) 5 2 9 - 4 3 Ritter, Gerhard, “ Die neuere Sozialgeschichte in der Bundesrepublik Deutschland” (Recent Social History in West Germany), in Jürgen Kocka, ed., S o zialgeschichte im internationalen Ü b e rb lic k : E rg e b n isse u n d Ten den z en d er F o rsc h u n g , Darmstadt: Wissenschaftliche Buchgesellschaft, 1989, 19 - 8 8

COQUERY-VIDROVITCH S c h ie d e r, W o lf g a n g , “ S o z ia lg e s c h ic h t e z w is c h e n S o z io lo g ie u n d G e s c h ic h t e : D a s w is s e n s c h a ft lic h e L e b e n s w e r k W e r n e r C o n z e s ” (S o c ia l H i s t o r y b e tw e e n S o c i o lo g y a n d H i s t o r y : T h e S c h o la r ly L ife

13 (1987), 244 - 6 6 Schulze, Winfried, D e u tsch e G esch ich tsw issen sch a ft nach 1 9 4 3 (German Historical Science since 19 45), Munich: Oldenbourg, 1989 W o r k o f W e r n e r C o n z e ) , G esch ich te u n d G esellsch a ft

Coquery-Vidrovitch, Catherine

1935 -

French historian o f A frica

Catherine Coquery-Vidrovitch is among the greatest names in French African studies. She has been a tireless supporter of Africa and Africans, and has assisted in opening up several new areas of African studies research. In addition, she has helped in breaking down the French attitude of paternalism in relation to Africa, inherited from the colonial era. Coquery-Vidrovitch is best known for her mode of production interpretations. Her analyses link the mode of production to the economic structure, gender roles, and spatial organization of African societies. Some have called her perspective Marxist, a label that somewhat bewilders Coquery-Vidrovitch, yet has continued to remain with her throughout her career. Her studies have sparked numerous other “ materialist” studies of African societies. Coquery -Vidrovitch’s work on the African mode of production was built on Jean Suret-Canale’s work, which suggested that the model of the Asiatic mode of production be applied to Africa. But, says Coquery-Vidrovitch, just as M arx and Engels sketched out an alternative mode of production with the “ Asiatic mode of production ” in order to take the peculiarities of Asian societies into account, so must the same be done for Africa. Simply acknowledging the African mode of production as different from that of Europe is not enough. African peculiarities such as the lineage system, decentralized government, mass migration, long-distance trade, and the absence of huge despotic governments all make the African mode of production distinct from the Asian model. While perhaps more applicable than the European model, the Asian model is also inadequate. The importance of long-distance trade throughout African history and its regions suggests that exchange, in relation to production, would also be a fruitful path of investigation in Africa. In The Workers of African Trade (1985), edited with Paul Lovejoy, Coquery-Vidrovitch put a new twist on research done on long-distance African trade by examining the work inputs and lives of the workers involved, rather than simply the trade networks themselves, as had been the traditional means of investigation. This means of analysis was one of the ways in which Coquery-Vidrovitch wove together production and exchange, providing a more complete economic picture of African history. In this sense, she has also added to the growing field of African social history. Another of Coquery -Vidrovitch ’s contributions to African historiography is her work dealing with women and their marginalization during colonialism. She has helped focus attention on Africa’s women and the ways in which European value and production systems transformed and marginalized many

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of the roles of women in Africa. Rather than follow some of the traditional social science explorations of gender dealing primarily with kinship systems and gender roles, CoqueryVidrovitch has injected the themes of economic productivity and labor into the analysis. The growing focus on African women will ensure that her work and precedents will be relevant for a long time to come. Urbanism has also become a recent research focus of Coquery-Vidrovitch. She has been instrumental in defining and examining the process of African urbanization and its effects on Africans and their economic system. Her overview paper in African Studies Review (1994), stands as a definitive summation of the study of African urbanization. In it CoqueryVidrovitch points to a number of directions in which research should move. One theme is to examine urbanism as a phenomenon in itself, and not as a colonial legacy or as a product of capitalism, and another is the inspection of urban households as a source of resource-generation. Lastly, the conclusion contains sensible advice for all Africanists, namely, a traditional African mode of thinking should not be opposed to a Western modern mode of thinking. Since African thought is not static, the modes of thought should not be dichotomized but should instead be seen as two components of the same process. T o y i n F a l o l a a n d J o e l E. T i s h k e n

See also Africa: Central; Women’s History: Africa Biography

Catherine Marion Coquery-Vidrovitch. Born Paris, 25 November 19 3 5 , daughter of an engineer and an acoustician. Studied at the Lycée Victor-Dury, Lycée Fénelon, and the Ecole Normale Supérieure de jeunes filles, agrégation in history and geography, and doctorate. Taught history at a lycée, Chartres, then at the lycées Carnot and Buffon, Paris, 1 9 5 9 - 6 1 ; Ecoles Pratiques des Hautes Etudes, 1 9 6 2 - 7 1 ; and University of Paris VII (rising to professor), from 1 9 7 1 . Married Michel Coquery, university lecturer, 19 58 (3 daughters, 1 son).

Principal Writings L a D é c o u v erte de VA fr iq u e : l A f r i q u e no ire atla ntique d es origines au X V I I I siècle (The Discovery of Black Atlantic Africa from Its

Origins to the 18th Century), 19 5 5 B ra zza et la p rise d e p o ssessio n d u C o n g o : la m ission d e l ’ ouest a frica in , 1 8 8 3 - 1 8 8 5 (Brazza and the Capture of the Ownership

of the Congo: The West African Mission, 1 8 8 3 - 18 8 5 ) , 1969 With Samir Amin, H isto ire éco n o m iq u e d u C o n g o , 1 8 8 0 - 1 9 6 8 : du C o n g o Français à l ’ un ion d ou an ière et éco n o m iq u e d ’ A fr iq u e C en tra le (The Economie History of the Congo, 18 8 0 - 19 6 8 : From the French Congo to the Economic and Customs Union of Central Africa), 1969 L e C o n g o au tem ps d es gra n d es co m pa gn ies co n cessio n aires , 1 8 9 8 - 1 9 3 0 (The Congo in the Period of the Great Concessionary Companies, 18 9 8 - 19 3 0 ), 19 7 2 With Henri Moniot, L ’A fr iq u e n o ire d e 1 8 0 0 à nos jo u rs (Black Africa from 1800 to the Present), 19 7 4 “ Recherches sur un ‘ mode of production’ africain ” (Research on the African Mode of Production) in David Seddon, ed., R ela tio n s o f P ro d u c tio n : M a rx is t A p p ro a c h e s to E c o n o m ic A n t h r o p o lo g y ,

1978

A fr iq u e no ire: p erm a n a n ces et ru ptures, 19 8 5 ; in English as A fr ic a : E n d u ra n c e a n d C h a n g e So u th o f the Sah ara, 1988 Editor with Paul E. Lovejoy, T h e W o rkers o f A fr ic a n T ra d e, 19 85

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CO QUERY-VIDRO VITCH

With Alain Forest, D é co lo n isa tio n et n o uvelles d ép en d a n ces: m o d èles et co n trem o d èles id é o lo g iq u e s et culturels dans les p a ys d u T ie rs - M o n d e (Decolonization and New Dependencies:

Ideological and Cultural Models and Countermodels in the Third World), 1986 L ' H is to ire des fem m es en A fr iq u e (African Women ’s History), 19 8 7 H isto ire d es villes d ' A f r iq u e n o ire : des origines à la co lo nisation

(Black African Urban History from Its Origins to Colonization), 19 93 L e s A fric a in e s: histoire d es fe m m es d ' A f r iq u e n o ire d u X I X è m e siècle au X X è m e (Black African Women’s History from the 19th

to the 20th Centuries), 1994 With Michel Coquery, “ The Process of Urbanization in Africa, from the Origins to the Beginning of Independence: An Overview Paper,” A fric a n Stud ies R e v ie w 34 (1994), 1 - 9 8

Corbin, Alain

1936-

French social historian

Alain Corbin may be the least predictable of France’s contemporary historians. In a profession where the demands of specialization have encouraged most people to stake out a small piece of intellectual territory and to cling to it tenaciously, Corbin continually seeks out new subjects of interrogation. He has been among the pioneers in the historical profession who have incorporated methods of cultural anthropology into their historical research and analysis. The thread that ties all of his work together is a belief that the ways people imagine, express, and understand their world helps to structure its very exis tence. In all of his studies, Corbin focuses on debates over meaning, because he sees them as the cultural expression of intense social and political conflict. Whether his subject is health reformers troubling over the dangers of excrement or peasants engaging in a seemingly inexplicable orgy of violence, Corbin teases out the questions of power at stake in words and in acts. Corbin began his academic career - as was more or less expected of French historians of his generation - with an enormous regional thesis, in his case, on the southwestern region of the Limousin, published as Archaïsme et modernité en Limousin au XIX siècle, 1845 - 1880 (Tradition and Modernity in the Limousin in the 19th Century, 1975). Along with Maurice Agulhon’s research on the Var, Corbin ’s study was one of the first in France to draw attention to the importance of particular local factors in the development of left-wing politics. Both masons and peasants in the Limousin, he shows, developed their political expectations out of the egalitarian forms of sociability that structured their everyday life. Corbin argues that both Socialist Democrats in 1848 - 49 and Radicals and Socialists in the last third of the century were able to win the support of these rural peasants and workers because they were able to present themselves effectively as the champions of equality and democracy. After studying the Limousin, Corbin turned his attention to structural, behavioral, discursive, and political factors that helped to define the practice and control of prostitution in France from the mid -19th century to the present. Les Filles de noce (1978; Women for Hire, 1990) charts the regulation of the sex trade from strict confinement in the 1850s, to limited regulation under the Second Empire and the Third Republic,

to the loosening of police surveillance in the 20th century. Inspired by Michel Foucault’s theories of power, Corbin analyzes the stakes that various concerned parties - including public health officials, police officers, feminists, and prostitutes themselves - had in controlling prostitution. Underlying his study is the argument that most government attempts at regulation or prohibition ultimately served to distance prostitutes from the economic control of their own labor. While these first two works were well received by the scholarly community, it was Corbin’s third book that earned him the reputation of being among the most path-breaking and controversial of contemporary historians. In Le Miasme et la jonquille (1982; The Foul and the Fragrant, 1986), Corbin examines shifting beliefs about odor and scent in the 18th and 19th centuries. His analysis of discourses of smell reveals that assumptions about odor had important consequences on the physical sciences, urban reform, and cultural sensibilities. In the end, Corbin takes what seems to be a trivial topic and persuasively argues that collective imagination has been a powerful force in determining forms of public control as well as of private reflection on the self and others. All of Corbin’s later work elaborates on the importance of collective imagination in conditioning social structures and relations. Le Territoire du vide (1988; The Lure of the Sea, 1994) traces the evolution of the seashore environment as a desirable site in French, British, and German cultural perceptions. Corbin argues that prior to the Enlightenment, the sea was viewed as an untamable source of anxiety, but in the mid18th century, European ruling classes, and later, Romantic artists latched on to the seashore as a representative environment free of the scars of urbanization and technological change. Similarly, Corbin ’s most recent book, Les Cloches de la terre (The Bells of the Earth, 1994) examines the passions and controversies surrounding village belltowers in 19th century France. Clergy, notables, and peasants all put great cultural weight on controlling the bells which lent resonance to the countryside. Although today these bells evoke little more than nostalgia for a picturesque past, Corbin argues that in the 19th century they were at the center of the collective imagination of village life, at times ringing out municipal solidarity, at others, sounding the deep religious and social schisms that divided even the smallest hamlet. Between these two projects, Corbin wrote a small but powerful book about the ritualized group torture and murder of a minor nobleman in the Dordogne on an unfortunate August day in 1870 entitled Le Village des cannibales (1990; The Village of Cannibals, 1992). In retelling the horrific event, Corbin shows why the torturers - otherwise “ normal” peasant men - came to see in an inconsequential nobleman the combined threat of republicans, nobility, priests, and Prussians. Corbin gives great weight in his analysis to the importance of rumors, and his methodology will undoubtedly serve as a source of inspiration for cultural historians in the years to come. Finally, for anyone interested in tracing Corbin’s intellectual trajectory, many of his past essays and articles were republished in 19 9 1 under the title Le Temps, le désir; et l’horreur (Time, Desire, and Horror). In this collection, as in his body of work as a whole, the breadth and novelty of Corbin’s work is striking. Overall, Corbin’s influence on the profession has been his insistence that the historian’s craft is based on

COSÍO VILLEGAS “ detecting and not dictating” human sensibilities and passions. As to what subjects Corbin might detect in the future, that is undoubtedly the least predictable question of all. M o n a L. S i e g e l

See

a ls o

Europe: Modern; Foucault; France: since the Revolution

Biography Alain Michel Marie Antoine Corbin. Born Courtomer, Orne, 12 January 19 3 6 , son of a doctor. Studied at the Ecole du Sacré-Coeur, Domfront; the Sorbonne; University of Caen, agrégation in history and doctorate. Taught at the lycée Gay -Lussac, Limoges, 19 5 9 - 6 8 ; University of Limoges (rising to professor of contemporary history), 19 6 8 - 8 6 ; director, humanities faculty, University of Tours, 19 7 7 - 8 0 ; professor of contemporary history, University of Paris I, from 19 87. Married Annie Lagore, teacher, 19 63 (2 sons).

Principal Writings A rc h a ïsm e et m o d e rn ité en L im o u sin au X I X siècle, 1 8 4 5 - 1 8 8 0

(Tradition and Modernity in the Limousin in the 19th Century), Paris: Rivière, 19 7 5 L e s Filles de n o ce: m isère sexu elle et p ro stitu tio n : 1 9 e et 2 0 e siècles,

19 7 8 ; in English as W o m en fo r H ire : P ro stitu tio n a n d S exu a lity in Fra n ce after 1 8 5 0 , 1990

Editor, L a P ro stitu tio n à P aris au X I X e siècle , 19 8 1 L e M ia sm e et la jo n q u ille : l ' o d o ra t et Vim aginaire so cia l, X V I U e - X I X e siècles , 19 8 2 ; in English as T h e F o u l a n d the Fragra nt: O d o r a n d the Fren ch S o c ia l Im a g in a tio n , 1986

Editor with Michelle Perot, D e la R é v o lu tio n à la G r a n d e g u erre , vol. 4 of H istoire d e la vie p riv é e , 19 8 7 ; in English as F ro m the Fires o f R e v o lu tio n to the G re a t W a r , vol. 4 of A H isto ry o f P riva te L ife , 1990 L e Territo ire du vid e : V O cc id e n t et le d ésir du rivage, 1 7 5 0 - 1 8 4 0 ,

19 88 ; in English as T h e L u re o f the Sea: T h e D is c o v e r y o f the Seasid e in the W estern W o rld , 1 7 5 0 - 1 8 4 0 , 19 94 L e Village des cann iba les, 1990; in English as T h e V illage o f C a n n ib a ls: R a g e a n d M u r d e r in France, 1 8 7 0 , 19 9 2 L e T em p s, le désir, et V h orreu r: essais su r le d ix - n e u v ie m e siècle,

Paris: Aubier, 1 9 9 1; in English as T im e, D esire, a n d H o rro r : T o w a r d s a H isto ry o f the Senses, 19 95 L e s C lo ch e s d e la terre: p aysage so n o re et culture sensible dans les cam pa gn es a u x X I X siècle (The Bells of the Earth: Sonorous Landscape and Sensitive Cultivation in the Countryside of the 19th Century), 19 94

Further Reading Bouyssy, M ., “ Alain Corbin; ou, le terrier d’ Alice de l’histoire” (Alain Corbin; or, The Rabbit-hole of History), E s p r it 2 1 3 ( i 9 9 5 h 74 - 85

Cosío Villegas, Daniel

1898 - 1976

M exican historian

Born in Mexico City, Cosío Villegas studied widely before he became an economist, taking a year of engineering, seven years of law, and two years of philosophy in Mexico. Abroad he took courses in economics at Harvard University, in agricultural economy at the University of Wisconsin, in poultry farming at Cornell University, and in agriculture at the London School of Economics. This broad academic background made Cosío Villegas an unusually well prepared intellectual for his time, well suited for the administrative jobs which he assumed

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early on in his career during the 1920s. After the Mexican Revolution of 1 9 1 0 - 1 7 , when the old regime’s bureaucrats were partially replaced by revolutionary cadres, Cosío Villegas brought innovative ideas to his undertakings at the National Autonomous University of Mexico, the Foreign Ministry, the Ministry of Education, the Ministry of Treasury, and the Bank of Mexico. Cosío Villegas also distinguished himself as an independent intellectual and journalist, as a teacher of philosophy, sociology, history, and economics. As an economist interested not only in teaching his discipline but also in discussing and popu larizing it, in 19 33 Cosío Villegas founded and directed M exico ’s first school of economics. In the same year he founded the enduring editorial house, Fondo de Cultura Económica, which has become a major publisher and distributor of a wide variety of books throughout Latin America, in 1934 Cosío Villegas founded and directed the academic journal, El Trimestre Económico, modeled after Economic Quarterly. Following the defeat of the Spanish Republic in 1939 and the forced exile of Spanish intellectuals, Cosío Villegas was instrumental in bringing many of them to Mexico and in harnessing their talents to Mexico’s educational needs. From an original place of Spanish refuge, the House of Spain, in which they used to gather and lecture, evolved into a prestigious undergraduate and graduate college, El Colegio de México. As the Colegio’s secretary, Cosío Villegas took the initiative to create its internal disciplinary divisions and endow each with its own journal: the Center for Historical Studies with Historia Mexicana; the Center for International Studies with Foro

Internacional.

As one of his many contributions to M exico ’s historiography, in the late 1940s Cosío Villegas launched the thesis that there was a historical continuity between the ancien régime of Porfirio Díaz, overthrown by the revolutionaries in 19 10 , and the postrevolutionary regime. Cosío Villegas based his provocative argument on the observation that following the progressive period of Lázaro Cárdenas’ presidency (1934 - 40), the agrarian and the nationalizing endeavors came to an end. What came in their stead were policies aiming at economic growth exactly as had been the case during the Porfirian period. Once again material progress took precedence over justice because the revo lution had failed to accomplish a radical break with the previous regime. Cosío Villegas’ fears that Mexico was regressing into a neoPorfiriato were published first as an essay in 1947 under the title “ La Crisis de M éxico ” (Mexico’s Crisis). The same con cern motivated him to inquire further into the vagaries of the Porfirian era ( 18 7 7 - 19 11) . The investigation led Cosío Villegas to publish Porfirio Díaz en la revuelta de la Noria (Porfirio Díaz during the Noria Riot, 1953). This book was to be a by-product of the multivolume Historia moderna de México (Modem History of Mexico) published under his editorship. These volumes, ten in all, came out between 1955 and 1974 and were based on the previously unpublished documents from the Porfirio Díaz archives. Written by eleven historians, the volumes covered the period following the republican restoration after the French-imposed monarchy had been defeated and after lib eralism had triumphed over the conservative reaction which had supported it. The volumes included social, political, and economic history and the history of Mexico’s foreign relations.

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COSÍO VILLEGAS

According to Cosío Villegas, the political stability that Mexico reached by 1867 was the watershed between the old and the contemporary era and also the starting point of the first volume of Mexico’s modern history. The 10th volume followed M exico ’s historical trajectory to 19 10 when the 44 year-old regime ran its course and the autocratic government which had embodied it was overthrown. While editing the history of the Porfirian period, Cosío Villegas was a keen observer of his own times. His observa tions and reflections turned into several books. In El sistema político mexicano (Mexico’s Political System, 1972), Cosío Villegas examined the two central pieces of Mexico ’s political system: the official state party of the institutionalized revolu tion (El Partido de la revolución institucionalizada, PRI) and the presidential figure. Cosío Villegas pointed out that M exico ’s presidents governed not subject to laws and institutions but to their temperaments and moods. This book was followed in 1974 by El estilo personal de gobernar (The Personal Style of Rule) and in 1975 by La sucesión presidencial (The Presidential Succession). In all three books Cosío Villegas subjected Mexico’s political regime to scathing criticism, suggesting that the president was endowed with exaggerated power which needed to be curtailed. Similarly, the state party, which the president had at his disposal, left no room for the development of a democratic competitive party system. Cosío Villegas’ memoirs were published posthumously in 1976. they provide a window on a good part of Mexico’s 20th century and depict the human frailties and magnanimity of Cosío Villegas’ friends, collaborators, and bosses, and of Mexico’s public figures with whom he had come into a personal contact. Da n ie l a Spe n s e r S e e a ls o

Latin America: National; Mexico

Biography Born Mexico City, 23 July 1898. Studied at National Preparatory School; National School of Jurisprudence, law degree, 19 2 5 ; University of Wisconsin; Harvard University; London School of Economics; Ecole Libre des Sciences Politiques, Paris; and Cornell University, M A. Taught at National Preparatory School; National School of Jurisprudence; and Schools of Law and of Philosophy and Letters, Autonomous National University. General secretary, Autonomous National University; director/founder, National School of Economics, 19 3 3 . Founder /editor, E l trim estre e c o n ó m ic o , 19 3 4 - 4 8 ; founder/director, Fondo de Cultura Económica publishing house, 19 3 5 - 4 9 ; co-founder, Colegio de México, 1940: president, 19 5 8 - 6 3 ; founder/editor, H isto ria M e x ic a n a , 1 9 5 1 - 6 1 ; and F o ro Internacion al. Economic adviser to finance minister; special ambassador to UN Economic and Social Council, 19 5 7 - 6 8 . Died Mexico City, 10 March 19 76.

Principal Writings P o rfirio D ía z en la revuelta d e la N o r ia (Porfirio Díaz during the

Noria Riot), 19 53 Editor, H istoria m o d e rn a d e M é x ic o (Modern History of Mexico), 10 vols., 1 9 5 5 - 7 4 E sta d o s U n id o s contra P o rfirio D ía z , 19 56 ; in English as T h e U n ited States versus P orfirio D ía z , 1963 E l sistem a p o lític o m e x ic a n o : las p o sib ilid a d e s d e c a m b io (Mexico ’s Political System), 19 7 2

H isto ria m ínim a d e M é x ic o , 19 7 3 ; in English as A C o m p a c t H isto ry o f M e x ic o , 19 74 E l estilo p erso n a l d e g o b e rn a r (The Personal Style of Rule), 19 74 L a su cesión p re sid e n cia l (The Presidential Succession), 19 7 5 M e m o ria s, 19 76

Further Reading Florescano, Enrique, and Ricardo Pérez Montfort, eds., H isto ria d o res d e M é x ic o en el siglo X X (Mexican Historians of the 20th Century), Mexico City: FCE & C O N A CU LTA , 1995 Krauze, Enrique, D a n ie l C o s ío Villegas: una b iogra fía intelectual, 2nd edition, Mexico City: Mortiz, 19 9 1

Cott, Nancy F.

19 4 5 -

U S w om en’s and social historian

One of the pioneers of women ’s history, Nancy F. Cott emerged from the flowering of social history that took place in the 1960s. Cott shaped the field of women ’s history from its inception. She turned her attention to those previously neglected by the historical canon, using the tools of social history to reconstruct the experiences of ordinary women in the past. Second wave feminism as well as social history inspired her interest in women’s history. She first defined and explored one of the central dilemmas of women’s history in the 19th century: the simultaneous social constraints and social activism of middle-class women. Later, she explored one of women’s history’s most perplexing eras - the period after suffrage - providing one of the most ambitious studies of 20th-century women’s organizations and activism. Recently she has turned to the life and letters of an earlier women’s history pioneer, Mary Beard. The Bonds of Womanhood (1977) outlined the uses women made of their sphere and the opportunities that their affiliation with reform provided. This was one of the first explorations of women’s culture and the strength that women drew from relationships with one another. As Cott found, such instances of “ sisterhood” led to the assumption of a more public voice in the 19th century. For example, women’s religious and missionary societies became effective fundraisers and provided organizational acumen for its members. These reformers could then springboard to abolition, and a few moved onward to women ’s rights. In “ Passionlessness: An Interpretation of Victorian Sexual Ideology, 17 9 0 - 18 5 0 ” (1978 - 79), Cott explored the construction of women’s sphere more deeply. Women were not the pliant victims of male ideals of feminine behavior, she argued. In fact, women themselves helped to create key elements of 19th -century ideal womanhood - virtue and sexual passionlessness. Women writers exalted the superior moral qualities of the female sex and turned these into the basis for greater autonomy on the domestic front. Women’s morality and freedom from the baser male lusts, such writers claimed, gave them a source of authority. The ideology of passionlessness, in part created by women, gave women the right of refusal in the marriage bed. Given the decline in the 19th-century birthrate and the male cooperation necessary to achieve it, Cott ’s argument supported the thesis that enhanced power for women in the middle-class home developed in the 19th century.

CO UNTER-REFORMATION In The Grounding of Modern Feminism (1987), Cott showed the connections between pre- and post-suffrage women ’s activism in the proliferation of voluntarism in the 1920s. She also brought out the diversity of women’s groups, their different goals and definitions of feminism, which the umbrella goal of the vote had glossed over. After suffrage, without the unifying force of that goal, conflict rather than consensus would characterize women’s politics. In Grounding, Cott pointed out the theoretical differences within feminism and how they spread to tactical differences in the 1920s. The equality versus difference debate did not begin in the 1920s, but the issue caused splintering among women activists such as the divisions between reformers such as Florence Kelley and Equal Rights Amendment advocate Alice Paul over both strategies and goals. Moreover, the greater variety of public options opened to women in the 1920s because of consumerism, employment, and educational change helped to fray an already unraveling feminist consensus. Cott cautioned historians and feminists against interpreting the periods of 1 9 1 2 - 1 9 1 9 and I 9^7 ~ 74 as norms for women’s activism and consciousness. She noted the inevitability of frag mentation among women, discarding declensionist arguments about the 1920s and the late 1970s. Women differ according to class, ethnic, racial, family, political, and sexual identity. Few women, she wrote, can afford to lose sight of their complex identities and adopt the singular identity “ woman.” The lack of the ballot in a culture that defined individualism by political participation gave diverse women a common goal at a unique moment in history, giving rise to what Cott identified as “ not unity but strategic coalition.” Cott argued for a feminism that encompasses sexual difference and differences among women leading to coalition building, as opposed to monolithic and unattainable unity. She also situated feminism historically. In both seven-year periods of 20th-century feminist activism, it existed in the social and political context of reform. Internalist analyses of the “ failure of feminism ” that ignore the wax and wane of political radicalism and reform have little utility for contemporary feminists, Cott suggested. In the 1 990s Cott turned her attention to a foremother in the field of women’s history, Mary Beard. She edited a collection of Beard ’s letters and analyzed her historical contributions on her own and as co-author with her husband Charles Beard, restoring Beard ’s place as influence and collaborator. Cott highlighted the role Mary Beard played in broadening the topics encompassed in their collaborative work, by insisting that the “ cultural side” was as much history as were war and politics. She also revealed Charles’ influence on M ary ’s thought, including her most famous work, Women as a Force in History. Issues of feminism, diversity, identity, and women’s history itself link Cott’s many contributions to historical thought. J e s s ic a W e is s

See also Kerber; United States: 19th Century; Women’s History: North America Biography Nancy Falik Cott. Born Philadelphia, 8 November 19 4 5. Received BA, Cornell University, 19 6 7; PhD, Brandeis University, 19 74 . Taught at Wheaton College, 1 9 7 1 ; Clark University, 19 7 2 ; Wellesley College, 1 9 7 3 - 7 4 ; and Yale University, from 19 7 5 . Married Lee Cott, 1969 (1 child).

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Principal Writings R o o ts o f B ittern ess: D o cu m e n ts o f the S o c ia l H isto ry o f A m e rica n W o m en , 19 7 2 T h e B o n d s o f W o m a n h o o d : “ W o m a n ' s S p h e r e ” in N e w E n g la n d , 1 7 8 0 - 1 8 3 5 , 19 7 7 “ Passionlessness: An Interpretation of Victorian Sexual Ideology, 1 7 9 0 - 1 8 5 0 , ” Sign s 4 (19 7 8 - 7 9 ), 2 1 9 - 3 6 Editor, A H eritage o f H e r O w n : T o w a r d a N e w S o c ia l H isto ry o f A m e rica n W o m en , 19 79 “ Feminist Theory and Feminist Movements: The Past Before Us,” in Juliet Mitchell and Ann Oakley, eds., W h at Is F e m in ism ?, 19 86 T h e G r o u n d in g o f M o d e r n F e m in ism , 19 8 7 “ Two Beards: Coauthorship and the Concept of Civilization,” A m e ric a n Q u a rte rly 42 (1990), 2 7 4 - 3 0 1 Editor, A W o m an M a k in g H isto ry : M a r y R itter B e a rd T h ro u g h H e r L ette rs , 19 9 1 Editor, H isto ry o f W o m en in the U n ited States: H isto rica l A rticles on W o m en ' s L iv e s a n d A ctivitie s , 20 vols., 19 9 2 -

Counter-Reformation In 1946 the German historian of the Counter-Reformation, Hubert Jedin, wrote, “ Historical terms are like coins: normally one lets them through one’s fingers without looking carefully at their minting,” while in 1968 the English historian of the Counter-Reformation, H.O. Evennett, asked if there had “ not been a certain tendency for post-medieval ecclesiastical history to become imprisoned within its own categories?” Both of these authors had pointed to a particular interest of historians in the history of the terms and categories used to analyze late medieval and early modern ecclesiastical histories. There appears to be a connection between the subject and the categories used to study and discuss that subject. The standard story of the history of the term “ CounterReformation ” (or in German, Gegenreformation) has been repeatedly written. According to Albert Elkan, the term was first found (in the plural) in the works of the German jurist Johann Stephen Piitter in the late 18th century. Piitter used the term to refer to the forceful taking over of jurisdictions by authorities claiming rights designated to Roman Catholics in the period following the Peace of Augsburg in 15 5 5 . These legal claims were particularly pressed in the Holy Roman empire, including the kingdom of Bohemia, and Piitter’s use of the term reflected the particular juridical context of the Holy Roman empire in the period between 15 5 5 and his own time, a juridical context where rights were associated with particular historically-legitimated jurisdictions. Although Piitter began writing of the “ CounterReformations” in the 1770s, it appears that the term found general usage only in the 1830s. Even then, it continued to be used in the plural and as a specific political or legal designator, not as the general label for a movement or an epoch. According to Elkan, Jedin, and Evennett, it was the famous German historian Leopold von Ranke who, influenced by ideas labeled “ Romantic,” began to use the term to refer to an entire period, an “ epoch ” of European history that shared certain characteristics in a variety of fields. He used it in reference to the period 15 5 5 - 16 4 8 . Ranke was intrigued by the idea that forces which seem to have been defeated could resurface and be

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COUNTER-REFORMATION

accepted. In his History of the Popes, in addition to the concept of Counter-Reformation(s), Ranke used terms such as “ reconstruction,” “ restoration,” “ reformation,” and “ regeneration.” The term began to achieve widespread acceptance (in the singular) by the 1860s and 1870s, only to engender a reaction on the part of the German historian Wilhelm Maurenbrecher, who argued what came to be known as the “ Spanish Thesis.” This pointed out the importance of Iberian predecessors to the “ Counter-Reformation(s),” placing the latter into a larger history of “ Catholic Reform ” or “ Catholic Reformation ” and underlining the internal vitality of Latin Christian institutions independent of the influence of Luther or other Protestant reformers. This split showed a general characteristic of the debate over the term “ Counter-Reformation(s)” : Protestantleaning historians tended to accept its legitimacy; Catholicleaning historians tended to be more circumspect in its application, preferring not to legitimate the Protestant movements by labeling Roman Catholic actions as simply responses. By the late 19th century, many historians writing in various western European national historical traditions had accepted the German term “ Counter-Reformation” to refer to ecclesiastical developments in the late 16th and early 17th centuries, although few historians used it in the general sense that German historians did. (Western European historians would tend to - and still tend to - refer instead to the period of the “ Wars of Religion ” or to a particular ruler’s reign, i.e. “ Elizabethan England.” ) In the 1940s, Jedin proposed to bridge the historiographical gap which had developed between advocates of the term “ Counter-Reformation” and advocates of the term “ Catholic Reformation.” His important book, Katholische Reformation oder Gegenreformation? (Catholic Reformation or CounterReformation?, 1946) clearly outlined what he took to be the major differences between the two terms. Jedin proposed to use Piitter and Ranke ’s term Gegenreformation to help analyze precisely those developments, institutions, and ideas which had been the result of people’s actions in response to the Protestants. These included various types of controversial theology, religious orders such as the Capuchins or the Jesuits, sermonizers and painters who were responding to various Protestant points, and other administrative initiatives and innovations. To Jedin, both the “ spontaneous” developments within Roman Catholicism and the “ dialectical” ones which were the result of Protestantism were necessary to understand the period. More recently, historians, building on the works of von Pastor and others, have emphasized the role of Italians in the Counter-Reformation, looking^at social movements and ecclesiastical politics in Italy. Work has also been undertaken on the implementation of this “ Counter-Reformation” (now in the singular) across Europe in places such as France, Poland, and the Central European Habsburg lands, as well as abroad in the missionized territories of the Americas, Africa, and Asia. The Counter-Reformation, which began as a specific legal term developed in the context of the late -1 8th century Holy Roman empire, has become a historical coin of exchange of almost worldwide acceptance. J o s e p h F. P a t r o u c h See also

Dickens; Reformation

Further Reading Dickens, A.G ., The Counter Reformation, New York: Harcourt Brace, and London: Thames and Hudson, 1969 Elkan, Albert, “ Entstehung und Entwicklung des Begriffs Gegenreformation” (Genesis and Development of the Term Counter-Reformation), Historische Zeitschrift 1 1 2 (19 14 ), 4 7 3 - 9 3 Evennett, Henry O., “ The Counter-Reformation,” in Joel Hurstfield ed., The Reformation Crisis, London: Arnold, 19 6 5; N ew York: Barnes and Noble, 1966 Evennett, Henry O., The Spirit o f the Counter-Reformation, Cambridge: Cambridge University Press, 1968 Jedin, Hubert, Katholische Reformation oder Gegenreformation? Ein Versuch zur Klärung der Begriffe nebst einer Jubiläumsbetrachtung über das Trester Konzil (Catholic Reformation or Counter-Reformation? An Attempt to Clarify the Concepts), Lucerne: Stocker, 19 46 Jedin, Hubert, “ Catholic Reform and Counter Reformation,” in Erwin Iserloh, Joseph Glazik, and Hubert Jedin, eds., Reformation and Counter Reformation, London: Burns and Oates, and New York: Seabury Press, 1980 [German original 1967] Jones, Martin D.W., The Counter Reformation: Religion and Society in Early Modern Europe, Cambridge and New York: Cambridge University Press, 1995 McGinniss, Frederick J., “ The Counter Reformation in Italy,” in William S. Maltby, ed., Reformation Europe: A Guide to Research 2, St. Louis: Center for Reformation Research, 19 9 2 Piitter, Johann Stephen, Historische Entwicklung der heutigen Staatsverfassung des deutschen Reichs, 3 vols., Göttingen: Bandenhoeck, 17 8 6 - 8 7 ; in English as A Historical Development o f the Present Political Constitution o f the Germanic Empire, 3 vols., London: Payne, 179 0 Ranke, Leopold von, Die römischen Päpste in den letzten vier Jahrhunderten, 3 vols., Leipzig: Duncker & Humblot, 18 3 4 - 3 6 ; in English as The Ecclesiastical and Political History o f the Popes o f Rome during the Sixteenth and Seventeenth Centuries, 3 vols., London: Murray, 1840 , Philadelphia: Lea and Blanchard, 1 8 4 1 ; and as The History o f the Popes, 3 vols., London: Bell, 19 0 7 Schmidt, Kurt Dietrich, Die Katholische Reform und die Gegenreformation (Catholic Reform and the CounterReformation), Göttingen: Vandenhoeck & Ruprecht, 19 7 5 Zeeden, Ernst Walter, “ Zeitalter der europäischen Glaubenskämpfe, Gegenreformation, Katholische Reform ” (The Period of the European Religious Struggles, Counter-Reformation, Catholic Reform), Saeculum 7 (1956), 3 2 1 - 6 8

Creighton, Donald Grant I902-I979 Canadian historian

Like his friend and colleague Harold Adams Innis, Donald Grant Creighton was deeply interested in the relationship between human society and the environment it inhabited. In a long and prolific life as a working historian, Creighton made two major contributions to Canadian history: his Laurentian thesis, formulated alongside Innis’ staples thesis, to explain the development of the nation; and his skill as a storyteller, which carried Canadian historical writing to new heights. Creighton’s earliest work, placing the Lower Canadian Rebellion of 1838 in the context of a struggle between the economic conservatism of French-Canadian society and the aggressive commercialism of Anglo-American business elites, led him to look more carefully at the motivation of those elites. At the heart of their activity he found the St. Lawrence River system, the water highway that led directly into the North

CRIME AND DEVIANCE American hinterland. He became fascinated by the river’s role in the development of Canada and laid out his thesis in his first major work, The Commercial Empire of the St. Lawrence (1937). Creighton believed that Canada ’s destiny was shaped by the great river system that penetrated it; the St. Lawrence fired the imagination of explorers, merchants, and capitalists, who saw it as a way to link the natural wealth of North America directly to European markets. Ultimately, however, the river dashed the very hopes it spawned. Broken at all too frequent intervals by impassable sections, it was eclipsed by American railways. And yet the dream of the St. Lawrence did not die. After taking his Laurentian thesis back in time and superimposing it on the earliest days of the French presence in Canada (Dominion of the North, 1944), Creighton returned to the merchant elites of the 19th century and interpreted Confed eration as an expression of their frustration over failed hopes for a commercial empire. Because rapids and waterfalls stood in the way of that empire, they turned instead to a political empire - the Confederation of British North America - as a poor second choice. This thesis underlay Creighton’s The Road to Confederation: The Emergence of Canada (1964), but came out especially strongly in his two-volume biography of Canada’s first prime minister, John A. Macdonald, entitled The Young Politician (1952) and The Old Chieftain (1955). In Creighton’s eyes, Macdonald was the heir to generations of Canadians who had been moved by the St. Lawrence. For the hard-drinking and jovial lawyer-turned-politician of the biography, Confederation was a way to breathe life into the political version of the empire of the St. Lawrence. Creighton’s fondness for Macdonald and his Conservative successors is clear, but nowhere more so than in his writings on 20th-century Canadian history. In those books, primarily Canada's First Century (1970) and The Forked Road: Canada, 1:939-57 (1976), prime minister Robert Borden was Canada ’s last great national leader, and World War I was the pinnacle of Canadian nationhood. Everything afterwards had been a slow process of integrating Canada into the United States. In this long decline, Creighton knew full well who the villains were: the Liberal prime minister Mackenzie King and the prog enitors of the liberal interpretation of Canadian history. They had considered the country’s colonial heritage as a stain, all traces of which had to be eradicated as soon as possible, so that Canada could proudly don the emperor’s new clothes of independence from Britain. For Creighton this was heresy. The colonial heritage was not an embarrassment, but rather the prop of modern Canada; Britain had carefully fostered Canadian nationhood, while at the same time protecting the fledgling country from the great republic to the south. With this in mind, Creighton attacked the liberal interpretation with all of the righteous indignation with which his Methodist upbringing had endowed him. Although more recent historians have decried Creighton’s anglo-centrism, none can deny his consummate skill as a writer. Particularly in his biographies (and in this regard The Commercial Empire of the St. Lawrence might be called the biography of a river), he displayed an unusual gift for combin ing history and literature. Creighton wanted to get as far away as possible from the 19th-century tradition of dense, impenetrable biographies which he derided as “ fat funereal volumes”

25 9

and in this he succeeded admirably. As J.M .S. Careless put it, he was a master at capturing the juncture of character and circumstance. It is this skill that makes the best of Creighton’s work, whatever one thinks of the politics that lay behind it, a delight to read. J o n a t h a n F. V a n c e S e e a ls o

Canada; Lower; Morton; Ormsby

Biography Born Toronto, 15 July 1902. Received BA, University of Toronto, 19 2 5 ; BA, Oxford University, 19 2 7 , M A 1930. Taught at University of Toronto (rising to professor) from 19 2 7. Married Luella Bruce, 19 26 (1 son, 1 daughter). Died Brooklin, Ontario, 1979.

Principal Writings T h e C o m m e rc ia l E m p ir e o f the St. L a w re n c e , 1 7 6 0 - 1 8 5 0 , 19 3 7 D o m in io n o f the N o r t h : A H isto ry o f C a n a d a , 1944 J o h n A . M a c d o n a ld , 2 vols., 1 9 5 2 - 5 5 H a r o ld A d a m s In n is: P ortrait o f a S c h o la r , 19 5 7 T h e R o a d to C o n fe d e ra tio n : T h e E m erg e n c e o f C a n a d a , 1 8 6 5 - 1 8 6 7 ,

1964 C a n a d a ' s First Centu ry, 1 8 6 7 - 1 9 6 7 , 19 70 T h e F o r k e d R o a d : C a n a d a , 1 9 3 9 - 5 7 , 19 76 T h e Passionate O b s e r v e r: S elected W ritings , 1980

Further Reading Berger, Carl, T h e W ritin g o f C a n a d ia n H isto ry : A sp e c ts o f E n g lish C a n a d ia n H isto rica l W riting, 1 9 0 0 - 1 9 7 0 , Toronto: Oxford University Press, 19 76 ; 2nd edition Toronto: University of Toronto Press, 1986 Cook, Ramsay, T h e C ra ft o f H isto ry , Toronto: Canadian Broadcasting Corporation, 19 73 Levitt, Joseph, A V ision B e y o n d R e a c h : A C e n tu ry o f Im ages o f C a n a d ia n D e stin y , Ottawa: Deneau, 19 8 2 Moir, John S., ed., C h a ra cter a n d C ircu m sta n ce: E ssa y s in H o n o u r o f D o n a ld G ra n t C re ig h to n , Toronto: Macmillan, 19 70

Crime and Deviance The history of crime is a subject fraught with difficulties. It can be studied on a global scale, and it must be perceived in a historical sense, as well as in a topical, geographical, or demographic one. With a continent that has such a long recorded history as Europe, it can be divided into medieval, early modern, and modern: from the rise of local communities and towns, to the rise and disintegration of monarchical governments and the emergence of secular nation-states. Topically, crime includes the classical “ sins” in the HebraicJudaic-Christian tradition of murder and theft which are called “ crime,” as well as the accretion of regulations of behavior called “ offenses” which were introduced over time by communities and the state. “ Deviance” refers to behavior that does not conform to the norms of communities or the state, and deviant acts can be classified as crimes or offenses depending on the circumstances in which the act was committed. Historically, the creation of nation-states and legal systems, law enforcement bodies, political parties, and governmental bureaucracies contributed to a reshaping of elites, a redefinition of public order, and the creation of new forms of social control that are still with us today.

z

6o

CRIM E AND DEVIANCE

Most modern historians of crime and deviance work from records and literary evidence, which contain as many problems in their usage as they provide illumination of their subject. Many nation-states, for example, generate their own national statistics on crime, and have a vested interest in the propagation of these statistics to the exclusion of other sources of information. This can be seen, for example, in the career of Adolphe Quetelet (179 6 - 18 74 ), the earliest criminal statistician, who was also one of the earliest social scientists. It can also be seen in the rise and use of modern statistics in all countries. Historians, while often providing a useful corrective to impressionistic evidence that comes from novelists, newspaper reporters, and other observers, still lack an effective model for the recreation of the criminal past. Some models, however, like those of Benoît Garnot, Eric H. Monkkonen, and Lawrence Friedman have been useful. The study of recorded crime has been aided by the recovery and accessibility of court and other legal records, a process that has increased dramatically since the late 19th century. The records of the central state now pose a formidable resource. The organization of these records, however, together with the problems of accessibility and finding aids and indexes, still remain major deterrents to all but the most committed researchers. Too often writers have adhered to the records of the central courts and the central state, ignoring the rich archives of local courts and authorities, which range from the police to municipal courts and magistrates. These local records are often not retained, but where they are extant, significant studies such as John Beattie’s Crime and the Courts in England (1986) are possible. The records of most police forces are generally closed to researchers. In more modern times, where they do survive, they can underlie such insightful studies as David Arnold’s Police Power and Colonial Rule (1986), Richard Hill’s Policing the Colonial Frontier (1986), John Weaver’s Crimes, Constables, and Courts (1995), and Policing in Australia (1987), edited by Mark Finnane. There have been a number of major shifts in the study of crime in recent years. One of these is the examination of crime in the household and in the workplace. This new focus on white- and blue-collar crime in the workplace, domestic violence in the family, and regulatory offenses in the community is best seen in Florike Egmond’s Underworlds (1993) and Bernard Schnapper’s Voies nouvelles en histoire du droit (New Paths in the History of Law, 19 9 1). We lack, however, effective methodologies to study these crimes and offenses at the level of the community, as well as across the national divides, in terms of structure (the long durée), conjuncture (mid-term development), and “ event” (the particular moment). The best methodologies come from Europe; these are not always easily applicable to other cultures and countries but they do make comparative studies possible, as in Clive Emsley’s and Louis Knafla ’s Crime History and Histories of Crime (1996). A further problem is the ever-changing definition of what constitutes crime or criminous activity. For example, in modern times we have lost much of our knowledge of petty theft because authorities - on whom the burden of prosecution now rests - have become increasingly reluctant to prosecute low valued monetary crimes because of the increasing cost of the public prosecutorial system. But we have also seen a tremendous rise in sexual crimes, as society ’s sensitivity has changed

from tolerating unsolicited male acts upon women to no longer accepting them, as both Judith Allen’s Sex and Secrets (1990) and Judith R. Walkowitz’s City of Dreadful Delight (1992) have demonstrated. With regard to individual crimes of violence, for example, we have lost the crime of infanticide since at least the mid -19th century, and in some countries have gained the crime of abortion, as Lionel Rose has shown in Massacre of the Innocents (1986). Moreover, child abuse and wife-beating, activities that were once permitted and at times extolled, are now among the most prominent crimes in Western society. Indeed, these ever-changing definitions of what constitutes crime have also affected “ serious” and “ violent” crime. The role of the central state in the history of crime and criminal justice has been a prominent one since the 16th century. Its historiography in modern times was spurred by the work of Charles, Richard, and Louise Tilly in the 1960s and 1970s, which was funded by numerous programs of the Ford Foundation and the Social Science Research Council, featured in sessions of the Social Science History Association, and followed up by scholars and institutes in France and the Netherlands, in particular in the work of Pieter Spierenburg. The totality of this work posed the proposition that Europe was in cultural, religious, and social disarray from the 16th to the 1 8th centuries, and that its older authoritarian structures were in various stages of disintegration. The rise of the nationstate was seen as a response to war and threats to order. The creation of national taxation, armies, police, foreign colonies, and industrialization enabled an alliance to be forged between landed and commercial elites to form strong central states. An important result was that communities lost control of public space and the distribution of goods and services, and that workers lost control of the means of production. Thus Howard Zehr’s Crime and the Development of Modern Society (1976) and Andrew Scull and Stanley Cohen’s edited collection Social Control and the State (1983) equated the rise of the nationstate with the rise of social control. However, more recent research, in Robert P. Weller and Scott Evan Guggenheim’s edited collection Power and Protest in the Countryside (1982) and Stuart Woolf’s The Poor in

Western Europe in the Eighteenth and Nineteenth Centuries

(1986), has shown that crime as an expression of rural or civic unrest is not so easily identified. This research has also demonstrated that patterns of policing have reflected variant and often conflicting interests, and that forms of punishment - the ultimate weapon of the central state for enforcing its hegemony upon society - reflected social, economic, and psychological concerns that developed independently of the interests of the state. While the police may determine who gets arrested and who is prosecuted, the interests of the central state may often be at variance with those of local communities or their social structures, as can be seen in Douglas Hay and Francis Snyder’s edited collection Policing and Prosecution in Britain (1980), Alf Liidtke’s “Gemeinwohl” Polizei und “Festungspraxis” (1982; Police and State in Prussia, 1989), and Greg Marquis ’

A History of the Canadian Association of Chiefs of Police

( i 993 )* State control may indeed be a heavily nuanced subject. On the one hand, it may be exercised by the elite, but it often requires tacit approval by large sections of society. On the other hand, most violence is actually at the expense of the

CRIM E AND DEVIA NCE

working classes, both in terms of physical injury and property damage. Since these people are in the least favorable position to recoup their losses, we must also see that, according to Stanley Cohen’s Visions of Social Control (1985) and Labour, Law and Crime (1987) edited by Francis Snyder and Douglas Hay, they fear the “ dangerous” elements among themselves as much, if not more, than the elites above them who have at their hands the means for defending life and property - arms, money, and government. Too often the history of crime is written with little regard to class or race. Thus it is interesting to note that there is little contemporary work that looks historically at crimes of the well-to-do, such as the “ white collar ” crime that is being studied in today’s society. These crimes were given great scope with the development of the nation-state and its bureaucracies, contracts, commerce, and promotion of industrialization, and through the technological revolution. Moreover, as George Robb noted in White-Collar Crime in Modern England (1992), the sources of these crimes are seldom found in the records of the state. They are discovered more often in the records of private and public companies, and in the interstices of legitimate and fraud ulent business practices. David Johnson suggested in Illegal Tender (1995) that the investigation of such crimes is often driven as much by political agendas and bureaucratic conflict as it is by scientific technology. More work is needed on the roles played by non-statal organizations in the informal criminal justice system that affects definitions of crime and criminal prosecutions. For example, John A. Davis ’ Conflict and Control (1988) and Steven C. Hughes’ Crime, Disorder and the Risorgimento (1994) suggested that the Mafia in Italy can be seen not only as organized groups of criminals committing crimes, but also as 1) mediators in disputes who maintain the older, traditional forms of honor and socioeconomic status, and 2) as a collective force to keep the peace on the streets and in the work place. Brigands in Italy and Spain can be seen in the same roles, as can the Robin Hood tradition in England, gunslingers in the United States, and bandits in Mexico and South America. At times these people are simply groups who are so labelled by the state for the purpose of extinguishing them. Their activ ities are little different from the use of violence by authorities of the state to maintain the exercise of fear over a segment of the population, thereby legitimizing violent crime. Examples would include the Ku Klux Klan in the United States, Hitler’s youth gangs in Germany, and the apartheid state in South Africa. Citizens, too, have often accepted state officials using violence on their behalf. Policing Western Europe (19 9 1) edited by Clive Emsley and Barbara Weinberger, David R. Johnson’s Policing the Urban Underworld (1979), and Wilbur Miller ’s Cops and Bobbies (1977) all included examples of this phenomena, which could also include the gendarmes in France and the police in the United States. Once crime has been defined and its parameters explored, long-term trends in the history of criminality can be established. An early debate centered on Ted Robert Gurr ’s “ Historical Trends in Violent Crime ” (19 8 1), Lawrence Stone’s “ Interpersonal Violence in English Society ” (1983), and J.A . Sharpe’s critique of Stone in Past and Present (1985). Recorded serious crime per person rose from the 15 th century to the early 17th, then went into a long decline until the late 18th or early 19th

z

6l

century. There was then no clear pattern until the mid- or late 19th century, when it began a gradual increase that is now approaching the early 17th -century peak. Terence Morris ’ Crime and Criminal Justice since 1945 (1989) suggested that the real increase, however, has been since World War II. Given the rich archival studies that have been undertaken since the early 1980s, the time has come for another debate. There are, however, several problems with this paradigm. First, homicide may not be the best index of criminality for the long durée, and, as J.S. Cockburn demonstrated in “ Patterns of Violence in English Society” (19 9 1), the real trend may be somewhat different. Moreover, it has been shown, in Crime and the Law (1980) edited by V.A.C. Gatrell, Bruce Lenman, and Geoffrey Parker, that the great decrease in capital crimes between 1600 and 1800 was accompanied by an equally significant increase in petty crimes. There are also other indicators that may be even more important than homicides. Domestic violence, for example, was not a crime at all before the late 19th century. In some countries - such as Britain and the United States - the police were told not to become involved in family disputes down to the early 1990s. Another element of criminality involves class. The old para digm of crime as an activity of the poor or unemployed against the “ propertied,” and the resulting theory of the criminal law as a tool of the state to maintain class control and the supremacy of the elite, has not been challenged sufficiently. The “ Warwick School,” with its influence on the profession still significant, can be seen in E.P. Thompson’s Whigs and Hunters (1975), Albion’s Fatal Tree (1975) edited by Douglas Hay, and Dag Lindstrom and Eva Ôsterberg’s Crime and Social Control in Medieval and Early Modern Swedish Towns (1988). Crime as an innate element of the human condition involves a large proportion of the “ unpropertied” committing crimes against themselves or the land (as in such property crimes as the theft of wood), just as the elite does to one another (such as the ancient duel or the modern stock fraud). What is needed, perhaps, are some new theories of criminality to explain record evidence for the role of class, occupation, and gender in recorded criminality. Recent studies such as Nancy Stepan’s (iThe Hour of Eugenics” (19 9 1) have begun to emerge on both occupational and gender crime, and there is considerable room for the development of the larger view in both Europe and the Americas. Malcolm Feeley’s “ The Decline of Women in the Criminal Process” (1994) contributed to the current debate on the question of female versus male criminality in the long durée. While this is an extremely contro versial topic, considerable research has appeared in Elaine Abelson ’s When Ladies Go A-Thieving (1989), Judith Allen ’s Sex and Secrets, and Lucia Zedner’s Women, Crime and Custody in Victorian England (19 9 1), and in other work, as more young scholars become engaged in this topic. Criminality has been linked increasingly to poverty, as well as to place: to pockets of society, groups of people, districts of cities, and the rural countryside. In other words, criminality is being found to be situationally determined. As Emsley demonstrated in Crime and Society in England (1987), work on collective action, protest, and “ social crime” in national contexts in the past two decades has necessitated the creation of alternative definitions. The cunning woman in England, the muchachos and caballeristas in Spain, the strollica in Italy,

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the znakhar in Russia, the caudillo in Mexico, and the role of charivari and samosud as cultural artefacts reflect the complex structure of social relations and order on the rural landscape. Moreover, the emphasis on the impact of industrialization and urbanization has perhaps been overdone. A peasant, or working-class, mentalité incorporates their recourse to, and participation in, the law as well as serving the grist of much of its operation. There has also been considerable work on the “ marginal” groups at the fringe of traditional criminality, ranging from women and children to non-conformists, the insane, and the mentally “ disordered” in Roger Lane’s Violent Death in the City (1979), David Rothman ’s Conscience and Convenience (1980), Michael MacDonald and Terence Murphy’s Sleepless Souls (1990), Lucia Zedner’s Women, Crime and Custody, and Andrew Scull’s The Most Solitary of Afflictions (1993). Decades of active research on witchcraft have provided ideas and methods for the study of more modern forms of margin alization in Richard Evans ’ The German Underworld (1988), Michael Kunze’s Highroad to the Stake (1987), and Brian Levack’s The Witch-Hunt in Early Modern Europe (1987). Moreover, the life of indigenous peoples living under their colo nizers or conquerors has complicated the problem of crime in modern society. Other groups have been equally determined to maintain their rights and their cultures. Examining criminality in a broader perspective, pioneering books for American society include Lawrence Friedman and Robert Percival’s The Roots of Justice (19 81) and the award-winning The Transformation of Criminal Justice (1989) of Allen Steinberg. This has encouraged more comparative studies at a sociolegal and geographic level on crime as a phenomenon of borderlands, for example, Law for the Elephant, Law for the Beaver (1992) edited by John McLaren, Hamar Foster, and Chet Orloff. Richard Brown ’s No Duty to Retreat (19 9 1), John Phillip Reid’s “ The Layers of Western Legal History ” (1992), and Louis Knafla’s “ Violence on the Western Canadian Frontier” (1995), have contributed to the further study of crime and violence at the apex of the western North American frontier. Considerations such as these lie at the heart of the historiography of crime and criminal justice in Europe and the Americas as well as in Asia and the Pacific. In Crime History Emsley and Knafla argued that what is needed is not only specialized research into localities and nation-states, but also thought and ideas that will eventually form the bridges that link the experiences of peoples and societies laterally. There have been a number of recent attempts to establish such links, including the work of anthropologists and criminologists as well as historians and lawyers; for example, David Anderson and David Killingray’s Policing the Empire (19 9 1), Paula Byrne’s Criminal Law and the Colonial Subject (1993), and Louis Knafla and Susan Binnie’s Law, Society, and the State (1995). These links and experiences can be analyzed from late medieval times into the early 19th century, and from the emergence of the state out of the communal worlds of a rural environment to the worlds of the Enlightenment, Revolution, and the modern bureaucratic nation-state. Finally, the subject of punishment has been dominated by those philosophical works that have examined its history. The writings of Antonio Gramsci and Michel Foucault are prominent

in this regard. They have provided broad, interpretive sweeps, but are not research oriented. Current studies, however, reveal a shift to the history of punishment based on archival work. Fascinating histories of executions are found in Pieter Spierenburg’s The Spectacle of Suffering (198 4), V.A.C. Gatrell’s The Hanging Tree (1994), and Richard Evans’ Rituals of Retribution (1996). The history of prisons, however, is developing into one of the most highly sophisticated areas. Prominent examples of different forms of incarceration from several countries include Alan Frost’s Botany Bay Mirages (1994), David Garland ’s Punishment and Modern Society (1990), Michael Stephen Hindus’ Prison and Plantation (1980), Estelle Freedman’s Their Sisters' Keepers (19 8 1), Lawrence Friedman and Robert Percival’s The Roots ofJustice, Michael Ignatieff’s A Just Measure of Pain (1978), David Philips and Susanne Davies’ A Nation of Rogues? (1994), Alexander Pisciotta’s Benevolent Repression (1994), John Pratt’s Punishment in a Perfect Society (1992), Nicole Rafter ’s Partial Justice (1985), Philippe Robert and René Lévy’s “ Histoire et question pénale” (1985), Pieter Spierenburg’s The Prison Experience (19 9 1), Richard van Dülmen’s Theater des Schreckens (1985; Theatre of Horror, 1990), and André Zysberg’s Les Galérians (Galley Slaves, 1987). These works reveal not only how far the field has advanced in this decade, but also what a rich historical tradition has been established for future writers. L o u is A. K n a f l a Brazil; Davis, N .; Furnivall; Italy: since the Renaissance; Legal; Ortiz; Radzinowicz; Rudé; Thompson, E.

S e e a ls o

Further Reading Abelson, Elaine S., W h en L a d ie s G o A - T h ie v in g : M id d le C lass Sho p lifters in the V ictorian D ep a rtm e n t S to re , Oxford and New York: Oxford University Press, 1989 Allen, Judith, S e x a n d Secrets: C rim e s In v o lv in g A u stra lia n W o m en since 1 8 8 0 , Melbourne, Oxford, and New York: Oxford University Press, 1990 Anderson, David M ., and David Killingray, eds., P o licin g the E m p ir e : G o v e rn m e n t, A u th o rity, a n d C o n tro l, Manchester: Manchester University Press, 19 9 1 Arnold, David, P o lice P o w e r a n d C o lo n ia l R u le : M a d ra s, 1 8 5 9 - 1 9 4 7 , Delhi, Oxford, and New York: Oxford University Press, 1986 Beattie, John Maurice, C rim e a n d the C o u rts in E n g la n d , 1 6 6 0 - 1 8 0 0 , Princeton: Princeton University Press, and Oxford: Oxford University Press, 1986 Brown, Richard Maxwell, N o D u ty to R etreat: V iolence a n d Values in A m e rica n H isto ry a n d S o cie ty , New York: Oxford University Press, 19 9 1 Brown, Richard Maxwell, “ Law and Order on the American Frontier: The Western Civil War of Incorporation,” in John McLaren, Hamar Foster, and Chet Orloff, eds., L a w fo r the E le p h a n t, L a w fo r the B e a v e r: E ssa y s in the L e g a l H isto ry o f the N o r t h A m e rica n W est, Regina, Saskatchewan: Canadian Plains Research Center, University of Regina, and Pasadena, C A : Ninth Judicial Circuit Historical Society, 19 9 2 Byrne, Paula J., C rim in a l L a w a n d the C o lo n ia l S u b ject: N e w Sou th W ales, 1 8 1 0 - 1 8 5 0 , Cambridge and New York: Cambridge University Press, 1993 Cockburn, J.S., “ Patterns of Violence in English Society: Homicide in Kent, 1 5 6 0 - 1 9 8 5 , ” P ast a n d P resen t 13 0 (19 9 1), 7 0 - 10 6 Cohen, Stanley, V isio ns o f S o c ia l C o n tro l: C rim e , P u n ish m en t a n d C lassification , Cambridge: Polity Press, and New York: Blackwell, 19 8 5

CRIME AND DEVIANCE Davis, John A., C o n flic t a n d C o n tr o l: L a w a n d O r d e r in N in eteen th C e n tu ry Ita ly , Basingstoke: Macmillan, and Atlantic Highlands, N J: Humanities Press, 1988 Diilmen, Richard van, T h ea ter d es Sch re ck e n s: G e rich tsp ra x is u n d Strafritu ale in d er friih en N e u z e it , Munich: Beck, 19 8 5 ; in English as T h ea tre o f H o r r o r : C rim e a n d P u n ish m en t in E a r ly M o d e rn G e r m a n y , Cambridge: Polity Press, and Cambridge, M A: Blackwell, 1990 Egmond, Florike, U n d e rw o rld s : O rg a n ize d C rim e in the N e th e rla n d s, 1 6 5 0 - 1 8 0 0 , Cambridge: Polity Press, 19 93 Emsley, Clive, C rim e a n d S o ciety in E n g la n d , i y 5 0 - 1 9 0 0 , London and N ew York: Longmans, 19 8 7 Emsley, Clive, and Barbara Weinberger, eds., P o licin g W estern E u r o p e : P olitics, P ro fession aliza tio n a n d P u b lic O rder, 1 8 5 0 - 1 9 4 0 , New York: Greenwood Press, 19 9 1

Emsley, Clive, and Louis A. Knafla, C rim e H isto ry a n d H istories o f C rim e : Studies in the H isto rio g ra p h y o f C rim e a n d C rim in a l Ju s tic e in M o d e rn H isto ry , Westport, CT: Greenwood Press, 1996

Evans, Richard J., ed., T h e G e r m a n U n d e r w o r ld : D evia n ts a n d O u tca sts in G e r m a n H isto ry , London and New York: Routledge, 1988 Evans, Richard J., R ituals o f R etrib u tio n : C a p ita l P u n ish m en t in G erm a n y , i 6 o o - i 9 8 y , Oxford and New York: Oxford University Press, 1996 Feeley, Malcolm, “ The Decline of Women in the Criminal Process: A Comparative Study,” C rim in a l Ju s tic e H isto ry 15 (1994),

* 3 5 -7 4

Finnane, Mark, ed., P o licin g in A u stra lia : H isto rica l P ersp ectives, Kensington: New South Wales University Press, 19 8 7 Foucault, Michel, S u rveiller et p u n ir: naissance d e la p riso n , Paris: Gallimard, 19 7 5 ; in English as D isc ip lin e a n d P u n ish : T h e B irth o f the P riso n , N ew York: Pantheon, and London: Allen Lane, 19 7 7 Freedman, Estelle B., T h e ir Sisters ' K eep ers: W o m e n s P riso n R e fo rm in A m e rica , 1 8 5 0 - 1 9 5 0 , Ann Arbor: University of Michigan Press, 19 8 1 Friedman, Lawrence M ., and Robert V. Percival, T h e R o o ts o f

Hill, R.S., P o licin g the C o lo n ia l F ro n tier: T h e T h e o r y a n d P ra ctice o f C o e rc iv e S o c ia l a n d R a cia l C o n tr o l in N e w Z e a la n d , i y 6 y - i 8 6 y , Wellington: Ward, 1986 Hindus, Michael Stephen, P riso n a n d P lantation : C rim e , Ju s tic e , a n d A u th o rity in M assach usetts a n d So u th C a ro lin a , i y 6 y - i 8 y 8 ,

Chapel Hill: University of North Carolina Press, 1980 Hughes, Steven C., C rim e , D iso rd e r a n d the R iso rg im e n to : T h e P o litics o f P o licin g in B o lo g n a , Cambridge and New York: Cambridge University Press, 19 94 Ignatieff, Michael, A Ju s t M ea su re o f P ain : T h e P enitentiary in the In d u stria l R e vo lu tio n , London: Macmillan, and New York: Pantheon, 19 78 Johnson, David R., P o licin g the U rb a n U n d e rw o rld : T h e Im p a ct o f C rim e on the D e v e lo p m e n t o f A m e rica n P o licin g , i 8 o o - i 8 8 y ,

Philadelphia: Temple University Press, 19 79 Johnson, David R., Illeg al T en der: C o u n terfeitin g a n d the Secret S ervice in N in e tee n th - C e n tu ry A m e ric a , Washington, DC: Smithsonian Institution Press, 1995 Knafla, Louis A., and Susan Binnie, L a w , Society, a n d the State: E ssa y s in M o d e rn L e g a l H isto ry , Toronto and Buffalo: University of Toronto Press, 19 95 Knafla, Louis A., “ Violence on the Western Canadian Frontier: A Historical Perspective,” in Jeffrey Ian Ross, ed., V iolence in C a n a d a : S o c io p o litic a l P ersp ectives, Don Mills, Ontario and New York: Oxford University Press, 1995 Kunze, Michael, H ig h ro a d to the Stake: A Tale o f W itchcraft, Chicago: University of Chicago Press, 19 8 7 Lane, Roger, V iolent D e a th in the C ity : Su icid e, A c c id e n t a n d M u r d e r in N in e te e n th - C e n tu ry P h ila d elp h ia , Cambridge, M A: Harvard University Press, 19 79 Levack, Brian P., T h e W itc h - H u n t in E a rly M o d e r n E u r o p e , London and N ew York: Longmans, 19 8 7 Lindstrom, Dag, and Eva Osterberg, C rim e a n d S o c ia l C o n tro l in M e d ie v a l a n d E a r ly M o d e rn S w e d ish T o w n s , Stockholm: Almqvist 6c Wiksell, 1988 Liidtke, Alf, “ G e m e in w o h l, " P o liz e i u n d “ F e s tu n g s p r a x is " : staatliche G ew a lts a m k e it u n d innere V erw a ltu n g in P reu ssen, 1 8 1 5 - 1 8 5 0 ,

6c Ruprecht, 1982; in English as

Ju s tic e : C rim e a n d P u n ish m en t in A la m e d a C ou nty, C a lifo rn ia ,

Gottingen: Vanderhoeck

i 8 y o - i 9 i o , Chapel Hill: University of North Carolina Press,

a n d State in Pru ssia, 1 8 1 5 - 1 8 5 0 , Cambridge and New York:

19 8 1 Friedman, Lawrence M ., C rim e a n d P u n ish m en t in A m e rica n H isto ry , N ew York: Basic Books, 1993 Frost, Alan, B o ta n y B a y M ira g es: Illu sion s o f A u stra lia 's C o n v ic t B eg in n in g s, Carlton: Melbourne University Press, 1994 Garland, David, P u n ish m en t a n d M o d e r n S o cie ty : A S tu d y in S o cia l T h e o r y , Chicago: University of Chicago Press, and Oxford: Oxford University Press, 1990 Garnot, Benoît, H isto ire et crim inalité de l ' a n tiq u ité au X X e siècle: no u velles a p p ro ch e s (History and Criminality from Antiquity to the 20th Century: New Approaches), Dijon: Editions Universitaires de Dijon, 19 92 Gatrell, V.A.C., Bruce Lenman, and Geoffrey Parker, eds., C rim e a n d the L a w : T h e S o c ia l H isto ry o f C rim e in W estern E u r o p e sin ce 1 5 0 0 , London: Europa, 1980 Gatrell, V.A.C., T h e H a n g in g Tree: E x e c u tio n a n d the E n g lish P e o p le , i y y 0 - 1 8 6 8 , Oxford and N ew York: Oxford University Press, 1994 Gramsci, Antonio, Q u a d e rn i d el carcere, 6 vols., written 19 2 6 - 3 7 , published Turin: Einaudi, 1 9 4 8 - 5 1 , critical edition, 4 vols., 19 7 5 ; in English as Selectio ns fro m the P riso n N o t e b o o k s , London: Lawrence and Wishart, 1 9 7 1 , N ew York: International Publishers, 19 7 2 Gurr, Ted Robert, “ Historical Trends in Violent Crime: A Critical Review of the Evidence,” C rim e a n d Ju s tic e 3 (19 8 1), 2 9 5 - 3 5 3 Hay, Douglas et a i , eds., A lb io n ' s Fa ta l Tree: C rim e a n d S o cie ty in E ig h te e n th - C e n tu r y E n g la n d , New York: Pantheon, and London: Allen Lane, 19 7 5 Hay, Douglas, and Francis G. Snyder, eds., P o licin g a n d P ro secu tio n in B rita in, 17 5 0 - 1 8 3 0 , Oxford and N ew York: Oxford University Press, 1980

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Cambridge University Press, 1989 MacDonald, Michael, and Terence R. Murphy, Sleep less S o u ls: S u icid e in E a rly M o d e r n E n g la n d , Oxford and New York: Oxford University Press, 1990 McLaren, John, Hamar Foster, and Chet Orloff, eds., L a w fo r the E le p h a n t, L a w fo r the B ea ve r: E ssa y s in the L e g a l H isto ry o f the N o r t h A m e rica n W est, Regina, Saskatchewan: Canadian Plains

Research Center, University of Regina, and Pasadena, CA: Ninth Judicial Circuit Historical Society, 19 9 2 Marquis, Greg, A H isto ry o f the C a n a d ia n A sso c ia tio n o f C h iefs o f P o lice , Toronto and Buffalo: University of Toronto Press, 1993 Miller, Wilbur R., C o p s a n d B o b b ie s : P o lice A u th o rity in N e w Y ork a n d L o n d o n , i 8 5 0 - i 8 y o , Chicago: University of Chicago Press, 19 7 7 Monkkonen, Eric H., ed., C rim e a n d Ju s tic e in A m e rica n H isto ry : T h e C o lo n ie s a n d the E a rly R e p u b lic , 2 vols., Westport, CT: Meckler, 19 9 1 Morris, Terence, C rim e a n d C rim in a l Ju s tic e sin ce 1 9 4 5 , Oxford and New York: Blackwell, 1989 Philips, David, and Susanne Davies, A N a tio n o f R o g u e s ? C rim e, L a w , a n d P u n ish m en t in C o lo n ia l A u stra lia , Carlton: Melbourne University Press, 1994 Phillips, Jim, Tina Loo, and Susan Lewthwaite, eds., C rim e a n d C rim in a l Ju s tic e : E ssa y s in the H isto ry o f C a n a d ia n L a w , Toronto and Buffalo: University of Toronto Press, 19 94 Pisciotta, Alexander W., B en e vo len t R e p re ssio n : S o c ia l C o n tr o l a n d the A m e rica n R e fo rm a to ry - P ris o n M o v e m e n t, New York: New York University Press, 1994 Pratt, John, P u n ish m en t in a P erfect S o c ie ty ; T h e N e w Z e a la n d P en a l S ystem , 1 8 4 0 - 1 9 5 9 , Wellington: Victoria University Press, 19 9 2

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Quetelet, Adolphe, R ech erch es su r la p o p u la tio n , les naissances, les décés, les p riso n s, les d ép ô ts de m en d icité, eic. dtfs /e ro ya u m e des P a y s - B a s (Research on the Population, Births, Deaths, Prisons, Medical Provision, etc., of the Low Countries), Brussels: Tarlier, 18 2 7 Rafter, Nicole Hahn, P artia l Ju s tic e : W o m en in State P riso n s, 1 8 0 0 - 1 9 3 5 , Boston: Northeastern University Press, 19 8 5; London: Transaction, 1990 Reid, John Phillip, “ The Layers of Western Legal History,” in John McLaren, Hamar Foster, and Chet Orloff, eds., L a w fo r the E le p h a n t, L a w fo r the B ea ver. E ssa y s in the L e g a l H isto ry o f the N o r t h A m e rica n W est , Regina, Saskatchewan: Canadian Plains Research Center, University of Regina, and Pasadena, CA : Ninth Judicial Circuit Historical Society, 19 92 Robb, George, W h ite - C o lla r C rim e in M o d e rn E n g la n d : Fin a n cia l F r a u d a n d B u sin ess M ora lity, 1 8 4 5 - 1 9 1 9 , Cambridge and New York: Cambridge University Press, 19 92 Robert, Philippe, and René Levy, “ Histoire et question pénale,” R e v u e d ' h isto ire m o d e rn e et c o n tem p o ra in e 32 (1985), 4 8 1 - 5 2 6 Rose, Lionel, M a ssa cre o f the In n o cen ts: Infa n ticid e in G re a t B rita in, 1 8 0 0 - 1 9 3 9 , London and New York: Routledge, 1986 Rothman, David, C o n scie n ce a n d C o n v e n ie n c e : T h e A s y lu m a n d Its A ltern atives in P ro g ressive A m e r ic a , Boston: Little Brown, 1980 Rousseau, Xavier, “ Criminality and Criminal Justice History in Europe, 1 2 5 0 - 18 5 0 : A Select Bibliography,” C rim in a l Ju s tic e H isto ry 14 (19 93), 1 5 9 - 8 1 Schnapper, Bernard, Voies no u velles en histoire d u d ro it: la justice, la fam ille, la rép ression pén ale, X V l e - X X e siècles (New Paths in the History of Law: Justice, Family, and Penal Repression, i6th - 20th Centuries), Paris: Presses universitaires de France, 19 9 1 Scull, Andrew, and Stanley Cohen, eds., S o c ia l C o n tr o l a n d the State: H isto rica l a n d C o m p a ra tiv e E ss a y s , Oxford: Blackwell, and N ew York: St. Martin’s Press, 19 83 Scull, Andrew, T h e M o s t S o lita ry o f A fflictio n s: M a d n e ss a n d S o cie ty in B rita in, 1 7 0 0 - 1 9 0 0 , New Haven and London: Yale University Press, 19 93 Sharpe, James A., C rim e in E a r ly M o d e rn E n g la n d , 1 5 5 0 - 1 7 5 0 , London and New York: Longman, 1984 Sharpe, James A., and Lawrence Stone, “ Debate: The History of Violence in England,” Past a n d P resen t 108 (19 85), 2 0 6 - 2 4 Slatta, Richard, C o w b o y s o f the A m e ric a s , N ew Haven and London: Yale University Press, 1990 Snyder, Francis G., and Douglas Hay, eds., L a b o u r, L a w a n d C rim e : A n H isto rica l P e rsp e ctive , London and New York: Tavistock, 19 8 7 Spierenburg, Pieter, ed., T h e E m erg e n c e o f C a rc é ra l Institutions: P riso n s, G a lley s a n d L u n a tic A sy lu m s , 1 5 5 0 - 1 9 0 0 , Rotterdam: Erasmus University Press, 1984 Spierenburg, Pieter, T h e S p ectacle o f S u fferin g : E x e cu tio n s a n d the E v o lu tio n o f R e p re ssio n : F ro m a P rein du strial M e tro p o lis to the E u ro p e a n E x p e r ie n c e , Cambridge and New York: Cambridge University Press, 19 84 Spierenburg, Pieter, ed., T h e P riso n E x p e rie n c e : D isc ip lin a ry Institutions a n d T h e ir Inm ates in E a r ly M o d e r n E u r o p e , New Brunswick, N J: Rutgers University Press, 19 9 1 Steinberg, Allen, T h e T ra n sfo rm a tio n o f C rim in a l Ju stic e : P h ila d elp h ia , 1 8 0 0 - 1 8 8 0 , Chapel Hill: University of North Carolina Press, 1989 Stepan, Nancy Leys, “ T h e H o u r o f E u g e n ic s " : R a ce, G en der, a n d N a tio n in L a tin A m e r ic a , Ithaca, N Y: Cornell University Press, 19 9 1 Stone, Lawrence, “ Interpersonal Violence in English Society, 13 0 0 - 19 8 0 , ” P ast a n d Presen t 10 1 (19 83), 2 2 - 3 3 Thompson, E.P., W h igs a n d H u n ters: T h e O rig in o f the B la ck A c t , London: Allen Lane, and New York: Pantheon, 19 7 5 Tilly, Charles, “ Reflections on the History of European StateMaking,” in Charles Tilly, ed., T h e F o rm a tio n o f N a tio n a l States in W estern E u r o p e , Princeton: Princeton University Press, 19 7 5 Tilly, Charles, Louise A. Tilly, and Richard Tilly, T h e R e b e llio u s Centu ry, 1 8 3 0 - 1 9 3 0 , Cambridge, M A: Harvard University Press, 1975

Vigier, Philippe, ed., M ain tien d e V ordre et p o lice s en F ra n ce et en E u r o p e au X I X e siècle (The Maintenance or Order and Policing in France and Europe from the 19th Century), Paris: Créaphis, 19 8 7 Walkowitz, Judith R., C ity o f D re a d fu l D e lig h t: N a rra tive s o f S e x u a l D a n g e r in L a te - V ic to ria n L o n d o n , Chicago: University of Chicago Press, and London: Virago, 19 9 2 Weaver, John C , C rim es, C o n sta b les, a n d C o u rts: O rd e r a n d T ransg ression in a C a n a d ia n City, 1 8 1 6 - 1 9 7 0 , Montreal: McGill-Queen ’s University Press, 1995 Weller, Robert P., and Scott Evan Guggenheim, eds., P o w e r a n d P ro test in the C o u n try sid e : Studies o f R u ra l P ro test in A sia , E u ro p e , a n d L a tin A m e r ic a , Durham, N C : Duke University Press,

19 8 2 Woolf, Stuart, ed., T h e P o o r in W estern E u r o p e in the E igh teen th a n d N in eteen th C en tu ries , London and New York: Methuen, 1986 Zedner, Lucia, W o m en , C rim e a n d C u s to d y in Victorian E n g la n d , Oxford and New York: Oxford University Press, 19 9 1 Zehr, Howard, C rim e a n d the D e v e lo p m e n t o f M o d e rn S o cie ty : Patterns o f C rim in a lity in N in e te e n th - C e n tu ry G e r m a n y a n d F r a n c e , London: Croom Helm, and Totowa, N J: Rowman and

Littlefield, 19 76 Zysberg, André, L e s G a lé rie n s: vies et destin d e 6 0 ,0 0 0 fo rça ts su r les galères de France, 1 6 8 0 - 1 7 4 8 (Galley Slaves: Lives and Destiny of 60,000 Convicts in the Galleys of France, 16 8 0 - 17 4 8 ), Paris: Seuil, 19 8 7

Croce, Benedetto

1866-1952

Italian philosopher and historian

Perhaps Italy ’s foremost spokesperson on matters of philosophy, history, art, and literary studies in the first half of the 20th century, the figure of Benedetto Croce became synonymous with intellectual endeavor in humanist disciplines and unrelenting opposition to the Italian fascist regime. His notorious phrase “ all true history is contemporary history ” reflects his brand of historicism that sees historical consciousness as the supreme form of knowledge and the role of the historian as actively investing history with meaning by moral, ethical, and political responses to her/his present circumstances and philosophical speculation on historical development. This “ absolute historicism,” as he called it, rests upon Croce’s view of human development as an ever-creative process that reacts against incessant flux and change. The principles of coherence in history were to be found in the cognitive procedures of the historian who worked in the knowable present and who thereby unified the universal and the particular. Croce’s theories collapsed philosophy into the category of history and proposed new responsibilities for historians as intellectuals that gave them a pre-eminent role in cultural life. Croce belonged to a generation of Italian intellectuals (such as the philosopher Giovanni Gentile, the historian Gaetano Salvemini, the economist Luigi Einaudi, the radical priest Romolo Murri, the writer Giovanni Papini, the poet-artist Ardengo Soffici) that came to prominence in the Giolittian period of Italian politics (19 0 1 - 14 ) and heralded a crusade of “ Neo -liberalism ” against what they saw as the prevalent materialism of their epoch with its resultant debasement of life wrought by the processes of industrialization, modernization, and the attendant doctrines of positivism, socialism, and

CROCE democracy. Like many others of his time, Croce was schooled with a classical humanist education that seemed ill-fitted to the opportunities offered to the technocrats and industrial workers in a rapidly changing Italian society that left unemployed and educated middle classes ready to vent their anger and frustration in print. Scorning the university culture of his day, especially academic philosophy, Croce embarked upon a program of self-instruction and participation in debate which resulted in his corpus of 4659 individual writings that comprised books, articles, reviews, and letters on the subjects of philosophy, literature, and history, often scattered throughout various newspapers and journals, but especially in La Critica, the journal which he founded himself in 1903. Croce’s philosophical treatises culminated in what he called the “ philosophy of the spirit” which he developed over a series of works from the beginning of the century to the 1920s. The theory is based on rationalist principles of classical Romantic philosophy in attempting to create a homogenous and allencompassing “ system” that could accommodate every human endeavor to understand both the physical universe and the social world. The main principle of the “ spirit” (that is, human consciousness) is its circularity within the structure of a system formed by constraints of aesthetics, logic, economics, ethics, and historical time. Croce eventually abandoned the schematism of these earlier works in response to more profound attempts to explore methodological considerations of history and historiography. His La storia come pensiero e come azione (1938; History as the Story of Liberty, 19 4 1) signaled his apotheosis of history as the supreme meditative subject for all philosophical inquiry. In this work, and later expounded more fully in Filosofía, poesía, storia (19 5 1; Philosophy, Poetry, History, 1966), can be found Croce’s doctrine of “ absolute historicism,” where the “ spirit ” is considered to be completely spontaneous and free of predetermined structure, but becomes manifest in the flow of historical action and thought. His insistence on the spirituality and essential creativity of the human agent in history led him to argue that written history must in turn be committed and personal in its exposition of human development, and that the historian must eschew pretensions of being detached or scientific. The humanistic philosophical foundations of Croce’s view of the primarily ethical nature of the historian’s task often isolated him from more systemizing theoreticians such as the schools of German historicism or the Marxists, the latter of whom, especially Antonio Gramsci, dismissed Croce’s work as an example of outdated conservatism and elitist oratory. The practical results of Croce ’s historical theorizing and exhortation of ethical-political historiography can be seen in the histories he wrote in the interwar period and in his obvious protest against the fascist regime and the contemporary currents of political and historical thought. His Storia del regno di Napoli (19 25; History of the Kingdom of Naples, 1970) argued against positivistic historical accounts that colored explanations of the poverty of southern Italy with quasinaturalistic theories of land use, climate, and racial characteristics. Croce instead highlighted the existence of a Neapolitan civic tradition that flowed into unified Italy and exhorted the Neapolitan intellectual and political elite to recognize and capitalize upon the positive aspects of their past (hence his history as “ preparing action ” ). The Storia del storiografia italiana nel

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secolo decimonono (The History of Italian Historiography in

the 19th Century, 19 2 1) was written to counter fascism ’s denigration of the preceding liberal period. Croce tried to show that despite its faults Italian political liberalism had its achievements and respectability, and that the cultural phenomena which led to fascism (romantic decadence, nationalism, imperialism, political radicalism, and violence) were not exclusive to Italy but common to all of Europe. The invitation to take up the liberal agenda once again was further expressed in the Storia d'Europa nel secolo decimonono (19 32; History of Europe in the Nineteenth Century, 1934), in which the narra tive pivots on the decline of the vitality of liberalism in the decades after 18 7 1 and focuses on demonstrating how an intellectual vacuum was filled by the positivistic cults of science and naturalistic determinism which in turn led to the Neo romantic over-reaction evident in Croce’s own time. In all of these works there is an attempt to balance a contemporary concern with genuine historical inquiry. The History of the Kingdom of Naples is the most successful and most interesting, while the moralizing History of Europe appears today as unnecessarily abstract and somewhat vacuous. Croce ’s centrality to the intellectual life of Italy from the beginning of the century to the end of World War II has often been characterized as a benevolent dictatorship. His philo sophical aloofness from the practical world of politics, his contempt of academic culture, and his uncompromising criticism of others made him many enemies, including a great number contemporary intellectuals and the Catholic church who placed his complete works on the Index in 19 32. Croce ’s propensity to abstraction on the subjects of history and historiography should be understood in the context of his career as an all-round intellectual whose interests in history stemmed from his primary concern with philosophy. For him history was the “ matter” of philosophy and philosophy the “ method” of history, and he called the concept of “ philosophy of history ” a “ contradictio in adiecto.” In 1947 he founded the Istituto Italiano per gli Studi Storici (Italian Institute for Historical Studies) at his home in Naples. His disciples include Raffaello Franchini, Carlo Antoni, Alfredo Párente, and Gennaro Sasso. R.G. Collingwood translated much of Croce’s historical theory for the English-speaking world, and Crocean historicism was welcomed by the American historians Carl Becker and Charles Beard who incorporated it into the debates surrounding “ New History.” International admiration for Croce’s work during and after his lifetime, his incessant activity in diverse aspects of Italian cultural life, and his staunch defense of individual rights and liberalism against an oppressive fascist regime have ensured his fame and influence as a historian and a champion of the importance of historical understanding. N ic h o l a s Ev e r e t t

See also Chabod; Collingwood; De Sanctis; Garin; Ginzburg;

Gombrich; Gramsci; Halperin-Donghi; Historiology; Italy: Renaissance; Italy: since the Renaissance; Literature; Oral; Renaissance Historical Writing; Romeo; Salvemini; Spriano; White, H.

Biography Born Pescasseroli, 25 February 1866, to a wealthy family. Lived with his cousin, Silvio Spaventa, statesman /philosopher of the “ Historical Right” after his parents’ death in an earthquake, 18 8 3.

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CROCE

Educated in Catholic schools, Naples. Founder/editor L a C ritica 19 0 3 - 4 3 . Married Adele Rossi, 1 9 1 4 (4 daughters). Died Naples, 20 November 19 52 .

Scritti e d isco rsi p o litici ( 1 9 4 5 - 1 9 4 7 ) (Political Writings and

Speeches), 19 63

Further Reading Principal Writings Croce ’s voluminous corpus is difficult to disentangle; many of his works are collections of pieces published previously in L a C ritica and elsewhere. Later editions were often revised and considerably altered by Croce himself. The indispensable bibliographical guides are: Fausto, Nicolini, ed., L ’ “ editio ne v a r ie tu r ” delle o p ere d i B en ed etto C r o c e , Naples: Biblioteca dell’Archivio Storico del Banco di Napoli, i960 Borsari, Silvano, ed., L ' o p e r a d i B en ed etto C ro c e : B ib lio g ra fia , Naples: Istituto Italiano per gli Studi Storici, 1964 Selected works with regard to Croce ’s philosophy and practice of history: L a rivo lu zio n e na poletana d e l 1 7 9 9 (The Neapolitan Revolution of

179 9), 18 9 7 M aterialism o sto rico e d e co n o m ia m arx ista, 1900; in English as H isto rica l M a terialism a n d the E c o n o m ic s o f K a rl M a r x , 19 1 4 F ilosofia della p ra tica , e co n o m ia e d etica, 1909; in English as P h ilo so p h y o f the Practical, E c o n o m ic a n d E th ic, 19 13 L a Sp a g n a nella vita italiana d uran te la R in ascenza (Spain in Italian

Life during the Renaissance), 1 9 1 7 Teoria e storia della storiografìa, 1 9 1 7 ; in English as T h e o ry a n d H isto ry o f H isto rio g ra p h y, 1 9 2 1 , and as H isto ry : Its T h e o r y a n d P ra ctice, 19 2 1 Storie e leggende n a poletane (Neapolitan Stories and Legends), 19 19 Storia della storiografia italiana n el seco lo d e c im o n o n o (The History of Italian Historiography in the 19th Century), 2 vols., 19 2 1 E tica e p olitica , 19 2 2 ; selections in English as T h e C o n d u c t o f L ife , 19 2 4 , A n A u to b io g r a p h y , 19 2 7 , and P olitics a n d M o ra ls, 1946 E le m e n ti d i p olitica (Elements of Politics), 19 2 5 Storia d e l regn o d i N a p o li, 19 2 5 ; in English as H isto ry o f the K in g d o m o f N a p le s , 19 70 U o m in i e cose della vecch ia Italia (Men and Facts of Old Italy), 2 vols., 19 2 7 Storia d ’Italia d a l 1 8 7 1 a l 1 9 1 5 , 19 2 8 ; in English as A H isto ry o f Italy, 1 8 7 1 - 1 9 1 5 , 1929 Storia d e ll’età ba ro cca in Italia (History of the Baroque Age in Italy), 1929 Storia d ’E u r o p a nel seco lo d e c im o n o n o , 19 3 2 ; in English as H isto ry o f E u r o p e in the N in eteen th C e n tu ry, 19 34 Vite d i a vven tu re, d i fe d e e d i p a ssio n e (Lives of Adventure, Faith, and Passion), 19 36 L a storia co m e p en siero e co m e azio n e, 19 38 ; in English as H isto ry as the S to ry o f L ib e rty , 19 4 1 Il carattere d ella filosofia m o d e rn a (The Nature of Modern Philosophy), 19 4 1 P e r la n u o va vita d e ll ’ Italia (For the New Life of Italy), 19 44 D isc o rs i d i varia filosofia, 2 vols., 19 4 5; selections in English as M y P h ilo so p h y, a n d O th e r E ssa y s o n the M o r a l a n d P o litica l P ro b le m s o f O u r T im e , 1949 P ag ine p o litich e (Political Pages), 19 45 P ensiero p o litic o e p o litica attuale (Political Theory and

Contemporary Politics), 1946 D u e a n n i d i vita p olitica italiana (Two Years of Italian Political

Life), 1948 Q u a n d o l ’ Italia era tagliata in d u e (estratto d i un d ia rio ), 19 48 ; in

English as C ro ce , the K in g a n d the A llie s : E x tra c ts fro m a D iary, J u l y 1 9 4 5 - J u n e 1 9 4 4 , 19 50 F ilosofìa e storiografia (Philosophy and Historiography), 1949 Filosofia, p oesia, storia: p agine tratte da tutte le op ere, 19 5 1 ; in English

as P h iloso ph y, Poetry, H isto ry : A n A n th o lo g y o f Essa ys, 1966

Badaloni, Nicola, and Carlo Muscetta, L a b rio la , C ro ce , G en tile , Rome: Laterza, 19 7 7 Bausola, Adriano, Filosofia e storia n el p en siero cro cia n o (Philosophy and History in Croce ’s Thought), Milan: Vita e Pensiero, 19 65 Bazzoli, Maurizio, F o n ti d e l p en siero p o litic o d i B en edetto C ro c e (Sources of Benedetto Croce ’s Political Thought), Milan: Marzorati, 19 7 1 Benedetti, Ulisse, B en ed etto C ro c e e il fa scism o (Benedetto Croce and Fascism), Rome: Volpe, 19 6 7 Biscione, Michele, Interpreti d i C r o c e (Interpreters of Croce), Naples: Giannini, 1968 Boulay, Charles, B en ed etto C ro c e ju sq u en 1 9 1 1 : trente ans d e vie intellectuelle (Benedetto Croce up to 1 9 1 1 : Thirty Years of Intellectual Life), Geneva: Droz, 19 8 1 Caponigri, A. Robert, H isto ry a n d L ib e r ty : T h e H isto ric a l W ritings o f B en ed etto C ro c e , London: Routledge, 19 5 5 Carini, Carlo, B en ed etto C ro c e e il p artito p o litic o (Benedetto Croce and the Political Party), Florence: Olschki, 19 7 5 Caserta, Ernesto G., “ Croce and Marxism,” J o u r n a l o f the H isto ry o f Ideas 44 (19 83), 1 4 1 - 4 9 Ceccarini, Ennio, ed., B en ed etto C ro c e : la storia, la libertà (Benedetto Croce: History, Freedom), Rome: Edizione della Voce,

1967

Coli, Daniela, C ro ce , L aterza e la cultura eu ro p ea (Croce, Laterza, and European Culture), Bologna: Mulino, 19 83 De Gennaro, Angelo A., T h e P h ilo so p h y o f B en ed etto C ro c e : A n In tro d u ctio n , New York: Citadel Press, 19 6 1 Gramsci, Antonio, Il m aterialism o sto rico e la filosofia d i B en edetto C ro c e (Historical Materialism and the Philosophy of Benedetto Croce), Turin: Einaudi, 1948 Jacobitti, Edmund E., “ Hegemony before Gramsci: The Case of Benedetto Croce,” Jo u r n a l o f M o d e r n H isto ry 52 (March 1980), 6 6 -8 4 Jacobitti, Edmund E., R e vo lu tio n a ry H u m a n ism a n d H isto ricism in M o d e r n Ita ly, New Haven: Yale University Press, 19 8 1 Leone de Castris, Arcangelo, C ro ce , L u k á c s, D e lla V olpe: E stetica e d egem on ia nella cultura d e l N o v e c e n t o (Croce, Lukács, Della Volpe: Aesthetics and Hegemony in the Culture of the 19th Century), Bari: De Donato, 19 78 Leone de Castris, Arcangelo, E g e m o n ia e fa scism o : il p ro b le m a d eg li intellettuali negli a n ni Trenta (Hegemony and Fascism: The Problems of Intellectuals in the 1930s), Bologna: Mulino, 19 8 1 Mack Smith, Denis, “ Benedetto Croce: History and Politics,” Jo u r n a l o f C o n te m p o ra ry H isto ry 8 (19 73), 4 1 - 6 1 Murray, Gilbert, Maulio Brosio, and Guido Calagero, eds., B en ed etto C ro c e : A C o m m e m o r a tio n , London: Istituto Italiano di Cultura, 19 53 Palmer, Lucie M ., and Henry S. Harris, eds., T h o u g h t, A c tio n a n d Intuition : A S y m p o s iu m o n the P h ilo so p h y o f B en ed etto C ro c e ,

Hildesheim and New York: Olms, 19 7 5 Pois, Robert A., “ Two Poles within Historicism: Croce and Meinecke,” Jo u r n a l o f the H isto ry o f Ideas 3 1 (1970), 2 5 3 - 7 2 Roberts, David D., B en ed etto C ro c e a n d the Uses o f H isto ricism , Berkeley: University of California Press, 19 8 7 Sasso, Gennaro, B en ed etto C ro c e : la ricerca della dialettica (Benedetto Croce: The Research of Dialectics), Naples: Morano, 1975

Setta, Sandro, C ro ce , il lib eralism o e l ’ Italia p ost - fa scista (Croce, Liberalism, and Post-Fascist Italy), Rome: Bonacci, 19 79 Sprigge, Cecil, B en ed etto C ro c e : M a n a n d T h in k e r, New Haven: Yale University Press, and Cambridge: Bowes and Bowes, 19 5 2 Valiani, Leo, Fra C ro c e e O m o d e o : storia e storiografia nella lotta p e r la libertà (Between Croce and Omodeo: History and Historiography in the Struggle for Freedom), Florence: Le Monnier, 19 84

CROSBY White, Hayden V., “ The Abiding Relevance of Croce ’s Idea of History,” Jo u r n a l o f M o d e rn H isto ry 35 (1963), 10 9 - 2 4 White, Hayden V., M e ta h isto ry : T h e H isto rica l Im agina tio n in N in e te e n th - C e n tu ry E u r o p e , Baltimore: John Hopkins University Press, 19 7 3 , 3 7 5 - 4 * 5

Crosby, Alfred W., Jr.

1931-

US environmental historian

The publication of Alfred W. Crosby’s The Columbian Exchange (1972) marked a major turning point in the study of European expansion, indigenous-newcomer relations, and environmental history. Rarely has a single book had such a profound and sweeping impact on so many different parts of the historical pro fession. Although written primarily about North and Central America, The Columbian Exchange raised methodological and conceptual questions of relevahce throughout the world. As such, this seminal study attracted international attention and marked the emergence of a major new historian. The Columbian Exchange is a simple story, based on unique insight and told in a manner that is at once convincing and accessible. Historians had, before Crosby, been studying the question of the impact of epidemic disease on North American indigenous populations and were engaged in a lengthy and complex debate about the number and distribution of preEuropean contact peoples. There had, as well, been a small number of commentaries about other ecological transitions attending the arrival of the Europeans, such as the introduction of the horse and other livestock by early explorers and settlers. Crosby brought these disparate strands together and added additional questions and observations. He examined, in an admittedly preliminary fashion, the impact of European diseases on indigenous peoples and the possibility that syphilis was transported from North America to Europe. His studies of the impact of introduced animals, birds, and plants, and his equally insightful comments about the consequences of taking North American plants to Europe, opened up a vital field of historical inquiry. Crosby’s ideas were of particular importance in the field of indigenous history, where the concept of the “ Columbian exchange” helped explain many of the difficult transitions faced by indigenous peoples in the first years of European encounter. Crosby ’s work emerged at a time of growing environmental awareness and, of equal importance, when world historians were expanding their analysis of the connections between peoples and continents. Through The Columbian Exchange, Crosby challenged scholars to take this analysis to its most fundamental level, and to investigate the biological transitions and transformations that attended human movements. Crosby broadened his investigations, working on a more comprehensive study, Ecological Imperialism, which he published in 1986. This study was more sweeping in scope, but built directly on the lines of analysis brought forward in his first work in the field. Most significantly, and reflecting the benefits of extensive international research, Crosby ’s new book provided numerous non-North American examples of the relevance of global connections in environmental history. He continued his investigations in the field of environmental history, publishing Germs, Seeds, and Animals in 1994 as well as a study of the

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19 18 influenza epidemic. Through these works, and the continuing interest expressed in his studies of ecological imperialism, Crosby established himself as one of the world’s leading environmental historians. Crosby’s next work took him in a substantially different direction. In 1997, he published The Measure of Reality, in which he examined the transitions in mathematical thought and expression and connected these developments to the expan sion of Europe. Crosby argued that quantification permitted radically different analyses of reality and that developments in visualization allowed for profoundly important representations of those understandings. These developments in quantification provided Europeans with a unique combination of the abstract and practical, the conceptual and the representational, which aided in their efforts to understand and then explore the broader world. As with his earlier studies in ecological history, Crosby sought to explain a broad phenomenon - the scientific and commercial evolution of Europe - through comprehensive and multigenerational assessments. Crosby has contributed a series of valuable studies to the growing fields of environmental, scientific, and world history. His work is sweeping in nature, seeking to find understanding in broad patterns and comparative aspects rather than in detailed studies of a specific case. As such, it carries with it all the strengths and weaknesses of bold generalizations and global analysis. Particularly through The Columbian Exchange, Ecological Imperialism, and The Measure of Reality, Crosby has attempted to explain several of the key themes in world history. While his work never claimed to provide all of the answers, Crosby did, in a manner that is both unique and vital, ask important new questions, prodding other scholars to follow his lead into promising fields of historical inquiry. It is a true measure of his impact on the historical profession that many have done just that, with scholars from many countries seeking to ascertain the applicability of Crosby ’s ideas and methods in their area of study. Ken Coa t es S e e a ls o Environmental; Imperial; Medicine; Native American; United States: Colonial; World

Biography Alfred Worcester Crosby, Jr. Born Boston, 15 January 1 9 3 1 , son of a commercial artist. Received BA, Harvard University, 19 5 2 , M A 19 56 ; PhD, Boston University, 19 6 1. Served in US Army, 19 5 2 - 5 5 . Taught at Albion College, 19 6 0 - 6 1; Ohio State University, 1 9 6 1 - 6 5 ; San Fernando Valley State College, 19 6 5 - 6 6 ; and Washington State University, 19 6 6 - 7 7 ; professor, University of Texas, Austin, from 19 7 7 . Married 1) (1 son); 2) Barbara Stevens, 19 64 (1 daughter); 3) Frances Karttunen, 19 83 (2 stepchildren).

Principal Writings A m e ric a , R u ssia , H em p , a n d N a p o le o n : A m e rica n T ra d e w ith R u ssia a n d the Baltic, 1 7 8 3 - 1 8 1 2 , 1965 T h e C o lu m b ia n E x c h a n g e : B io lo g ica l a n d C u ltu ra l C o n se q u e n c es o f 1 4 9 2 , 19 7 2 E p id e m ic a n d Peace, 1 9 1 8 , 19 76 ; in UK as A m e rica ' s Fo rgotten P a n d e m ic : T h e Influenza o f 1 9 18 , 1989 E c o lo g ic a l Im p eria lism : T h e B io lo g ica l E x p a n s io n o f E u ro p e , 9 0 0 - 1 9 0 0 , 1986 T h e C o lu m b ia n V oyages, the C o lu m b ia n E x c h a n g e , a n d T h e ir H isto ria n s , 19 87

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G er m s, Seeds, a n d A n im a ls: Stud ies in E c o lo g ic a l H isto ry , 1994 T h e M ea su re o f R e a lity: Q u an tificatio n a n d W estern Society, 1 2 5 0 - 1 6 0 0 , 19 97

Crusades The historiography of crusading is the history of crusading itself. Since Pope Urban II called the first crusade at Clermont in November 1095, each generation has redefined the purpose and identity of crusading. From the beginnings of the movement each crusade attracted much analysis. Commentators sought to show God ’s working in the events of the campaign while extolling the heroic deeds of leading warriors and giving bloody blow -by-blow accounts of battles as in the epic tradition. Although most of the commentators wrote in Latin, the language of scholarship, the crusades also inspired verse and prose works in the vernacular and by the end of the 12th century a full-blown epic “ Crusade cycle” had been composed in French verse. Some accounts were written to excuse the failure of a campaign; others set out to assess the last crusade campaign for the benefit of the next one or to assist with planning and encourage recruitment. By the late 13th century analysis was being developed further, with the writing of theoretical crusade plans. For Christians, the crusade was both a pilgrimage and a holy war, the duty of pious kings. For the Muslims likewise the war was a holy one against the enemies of God and was the duty of the pious sultan. Powerful sultans such as Saladin and Baybars were depicted by their biographers as indefatigable in their efforts to root out the Christians from Palestine. Saladin’s biographer Baha al-Din also depicted him intending to invade Europe and destroy the Christians utterly. In Europe the crusade always had its critics, but in the 16th century the concept received its most significant challenge yet from Martin Luther. In his “ Explanation of the 95 theses” (15 18 ) he stated that Ottoman attacks on Christendom were God’s punishment for Christians’ sins and that the Church authorities should not resist them by arms, only by prayer. Later in “ On war against the Turk ” (1529) he stated that it was the responsibility of the prince rather than the Church to defend the people in battle. Early Protestant historians followed him in blaming the failure of crusades on the spiritual errors of the Roman Catholic crusaders and their clergy. However, Thomas Fuller in The Historic of the Holy Warre (1639) also identified strategic and organizational flaws in the campaigns, underlining the weakness of the Christian kingdom of Jerusalem as a fundamental problem. For these writers, Islam in the form of the Ottoman Turks was still a real threat to Christendom; part of their purpose in writing was to discover how Christendom could repel that threat. By the 18th century the danger had receded and historians wrote from a position of secure detachment. To the rational historians of the Enlightenment, crusading was a regrettable expression of irrational superstition and violence, although they applauded individual heroism against what they considered to be the barbarism of Islam. For Edward Gibbon in his Decline and Fall of the Roman Empire (1776 - 88) the

crusades had “ checked rather than forwarded the maturity of Europe,” but he believed that they had at least undermined the feudal aristocracy and aided the rise of the peasants and middle classes. The 19th-century Romantic movement revived popular and academic interest in the crusades; the crusaders ’ valor was admired, although their intolerance was disliked. Nationalism also stimulated crusading studies, particularly in France where the crusades offered the reassurance of a glorious national past after the upheaval of the Revolution and the Napoleonic wars. Renewed German interest in the late 19th century also owed something to nationalist interests, reflecting an expansionist policy in the Middle East. In this era French and German scholars led the field in meticulous examination of the sources, laying the foundations of modern crusading scholarship. Between the world wars crusading studies developed on both sides of the Atlantic. In 19 35 Carl Erdmann laid down in Die Entstehung des Kreuzzugsgedankens (The Origin of the Idea of the Crusade, 1977) a theory of how the ideology behind crusading developed, which has been seriously challenged only recently by the work of John Gilchrist. The period since 1945 has seen a great expansion of crusading studies and new debates. Steven Runciman’s A History of the Crusades (19 5 1 - 5 4 ) repeated the traditional Protestant, rationalist condemnation of the crusades as “ a long act of intolerance in the name of God. ” However a new generation of crusade historians led by Jonathan Riley-Smith contends that the crusades were “ a genuinely popular devotional activity ” whose monetary costs were greater than the expected gains. These views have been challenged by Hans Mayer who argued in his Geschichte der Kreuzziige (1965; The Crusades, 1972) that hope of gain was in fact a major motivation for crusaders. Modern debate also centers on the definition and scope of crusading, tracing the continuation of crusading tradition down to the fall of Malta to Napoleon in 1798; and expanding its scope to include campaigns in Spain, the Balkans, and northeastern Europe. The field of research has also expanded to include the social and national origins of crusaders, the preaching and organization of crusades, and attitudes towards crusading, all drawing on a wide variety of source material ranging from government archives to fictional literature. Another rapidly expanding area of research is the study of the military religious orders set up to defend pilgrims traveling to the holy places and the crusader states. Led by the research of Joshua Prawer and Jean Richard, the history of the crusader states has become a separate area of study in its own right. The crusades attract much interest in the Islamic world, although western scholars complain that Islamic scholars have appeared reluctant to adopt a critical approach to the sources. Israeli scholars, seeing a parallel between the crusader states and the modern state of Israel, have been at the forefront of crusading studies. With holy wars still raging in many parts of the world it is clear that the history of the crusades has considerable contemporary relevance. H e l e n J. N i c h o l s o n

See also Burns; Byzantium; Cahen; Eastern Orthodoxy; France:

1000 - 1450; Ibn al-Athlr; Jewish; Komnene; Middle East; Orderic; Otto; Runciman; Russia: Medieval; Sybel; William of Tyre

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Further Reading Boase, T.S.R., “ Recent developments in Crusading Historiography,” History 22 (19 37), 1 1 0 - 2 5 Brundage, J., “ Recent Crusade Historiography: Some Observations and Suggestions,” C a th o lic H isto rica l R e v ie w 49 (1964), 4 9 3 - 5 0 7 Erdmann, Carl, D ie E n ste h u n g des K reu zzu g sg ed a n k en s , Stuttgart: Kohlhammer, 19 3 5 ; in English as T h e O rig in o f the Idea o f the C ru sa d e , Princeton: Princeton University Press, 19 7 7 Gabrieli, Francesco, S to rici A r a b i d elle cro ciate , Turin: Einaudi, 19 6 3 ; in English as Arab Historians o f the Crusades, London: Routledge, and Berkeley: University of California Press, 1969 Gilchrist, John, “ The Erdmann Thesis and the Canon Law, 1 0 8 3 - 1 1 4 1 , ” in Peter W. Edbury, ed., Crusade and Settlement, Cardiff: University College Cardiff Press, and Atlantic Highlands, N J: Humanities Press, 19 8 5 Gilchrist, John, “ The Papacy and the War against the Saracens, 7 9 5 - 1 2 1 6 , ” In tern ation al H isto ry R e v ie w 10 (1988), 1 7 4 - 9 7 Heath, Michael J., C ru sa d in g C o m m o n p la c e s: L a N o u e , L u cin g e , a n d R h e to ric A g a in st the T u rks, Geneva: Droz, 19 86 Holt, Peter Malcolm, T h e A g e o f the C ru sa d es: T h e N e a r E a st fro m the E le v e n th C e n tu ry to 1 5 1 7 , London and New York: Longman, 19 86 Housley, Norman, T h e L a te r C ru sa d es, 1 2 7 4 - 1 5 8 0 : F ro m L y o n s to A lc a za r, Oxford: Oxford University Press, 19 9 2 Kedar, Benjamin Z ., C ru sa d e a n d M issio n : E u ro p e a n A p p ro a c h e s t o w a r d the M u slim s, Princeton: Princeton University Press, 19 84 La Monte, J.L ., “ Some Problems in Crusading Historiography,” S p ec u lu m 15 (1940), 5 7 - 7 5 Maalouf, Amin, L e s C ro isa d e s vu es p a r les A r a b e s , Paris: J ’ ai Lu, 19 8 3 ; in English as T h e C ru sa d es thro ugh A r a b E y e s , London: Al Saqi, 19 84 ; New York: Schocken, 19 85 Mayer, Hans E., G es ch ich te d er K reu zzü ge, Stuttgart: Kohlhammer, 19 6 5 ; in English as T h e C ru sa d es, London: Oxford University Press, 19 7 2 Prawer, Joshua, T o ld o t m a m lek h et h a ’tsalbanim b e - E r e ts y Israel, 2 vols., Jerusalem: Mosad Bialik, 19 6 3; in French as H isto ire du ro y a u m e de Jé ru s a le m (History of the Kingdom of Jerusalem), Paris: Editions du Centre National de la Recherche Scientifique, 19 6 9 - 7 0 Prawer, Joshua, T h e L a tin K in g d o m o f Je ru s a le m , London: Weidenfeld and Nicolson, 19 7 2 ; as T h e C r u sa d e r s ' K in g d o m : E u ro p e a n C o lo n ia lism in the M id d le A g e s, N ew York: Praeger, 19 7 2 Prawer, Joshua, C ru sa d e r Institutions, Oxford and New York: Oxford University Press, 1980 Richard, Jean, L e C o m té d e T r ip o li sou s la d yn astie toulousaine, 1 1 0 2 - 1 1 8 7 (The County of Tripoli under the Toulouse Dynasty), Paris: Geuthner, 19 4 5 ; reprinted New York: A M S Press, 1980 Richard, Jean, L e R o y a u m e latin d e Jé ru s a le m , Paris: Presses Universitaires de France, 19 5 3 ; in English as T h e L a tin K in g d o m o f Je ru s a le m , Amsterdam: North Holland, 19 79 Riley-Smith, Jonathan, W h a t W ere the C ru sa d e s ?, London: Macmillan, and Totowa, N J: Rowman and Littlefield, 19 7 7 Riley-Smith, Jonathan, T h e First C ru sa d e a n d the Id ea o f C ru sa d in g , London: Athlone Press, and Philadelphia: University of Pennsylvania Press, 1986 Riley-Smith, Jonathan, T h e C ru sa d es: A S h o rt H isto ry , London: Athlone Press, and N ew Haven: Yale University Press, 19 8 7 Riley-Smith, Jonathan, ed., T h e O x f o r d Illu strated H isto ry o f the C ru sa d es, Oxford and New York: Oxford University Press, 1995

Runciman, Steven, A H isto ry o f the C ru sa d es, 3 vols., Cambridge and N ew York: Cambridge University Press, 1 9 5 1 - 5 4 Setton, Kenneth M ., A H isto ry o f the C ru sa d es, 6 vols., Madison: University of Wisconsin Press, 1 9 5 5 - 8 9 Siberry, Elizabeth, C riticism o f C ru sa d in g , 1 0 9 5 - 1 2 7 4 , Oxford and N ew York: Oxford University Press, 19 8 5 Siberry, Elizabeth, “ The Crusades: Tales of the Opera,” M e d ie v a l H isto ry 3 (19 93), 2 1 - 2 5

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Tyerman, Christopher, E n g la n d a n d the C ru sad es, 1 0 9 5 - 1 5 8 8 , Chicago: University of Chicago Press, 1988 Tyerman, Christopher, “ Were There Any Crusades in the Twelfth Century?” E n g lish H isto rica l R e v ie w n o (1995), 553 - 77

Cuba After 1959, with the advent of the Cuban Revolution, interest in Cuban history soared as governments and scholars sought to explain the emergence of a socialist regime ninety miles from the shores of the United States, the 20th century’s foremost imperial power. The relationship of this Caribbean island to the imperial centers of Madrid and Washington has influenced its ideological, political, social, and economic development from 1492 to the present. Historical scholarship on Cuba has focused on the explanatory power of this relationship for an understanding of the internal dynamics of its history. An early historical work demonstrating the relationship of the Cuban Revolution to renewed interest in Cuban studies was Charles E. Chapman ’s A History of the Cuban Republic. Originally proposed by the US ambassador to Cuba, Enoch H. Crowder, in the 1920s and published in 19 27, it reappeared in 19 7 1 as a response to the dearth of material on Cuba prior to the Revolution. Since the 1960s, historians examining and analyzing various aspects of Cuban history have contributed numerous studies to fill in this lacuna. Cuba under Spanish colonial rule attracted the attention of historians at the beginning of the 20th century, since it would provide the framework for understanding and justifying the US imperial role in the Caribbean after 1898. Irene A. Wright’s The Early History of Cuba, 1492 - 1586 (19 16 ) was an original contribution to the study of the Spanish discovery, conquest, and colonization of Cuba. Based on solid archival research, it remains a classic work for an understanding of the island’s formative colonial period. More recently other works have appraised the role of Cuba and the Caribbean within Spain’s empire. Kenneth R. Andrews’ The Spanish Caribbean (1978), although not exclusively about Cuba, incorporated a broad analysis focusing on the importance of the Caribbean in Spain’s early imperial policy. As a result of the crown ’s subsequent colonial policy, the Caribbean suffered economic decline and an increase in contraband and pirate activity. John Robert McNeill researched the 18th century, a period of tumultuous political, social, and economic change for Cuba, in Atlantic Empires of France and Spain (1985), which used a comparative approach that delved into the role of colonial seaports in mediating the relations between the metropolis and the colonial periphery. The author probed the process of colonial development through the interplay of 18th -century imperial policy with colonial reality. Historians have also undertaken institutional studies of the colonial military, the linchpin of imperial policy. During the 18th-century, the military emerged as a dominant institution in Cuba as a result of British imperial policy in the Caribbean. The British occupation of Havana from 176 2 to 1763 completely transformed Cuba and contributed to a pro gram of fiscal and military reforms under the Spanish king Charles III. Allan J. Kuethe evaluated how Bourbon imperial

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policy affected not only the military but also Cuban society after the British occupation in Cuba, 1 7 5 3 - 1 8 1 5 : Crown, Military, Society (1986). He demonstrated that the Bourbon monarchs maintained the loyalty of the Cuban elites through com mercial concessions even as the monarchy collapsed in Spain and mainland Spanish America challenged its rule. Historians have not only investigated the broader question of imperial policy but have also concentrated on the social history of colonial Cuba during the crucial period of the late 18th and early 19th centuries. Larry R. Jensen considered the role of the press during the period of imperial crisis in Children of Colonial Despotism (1988) which exploited a neglected primary source, the periodical press. The author scrutinized the role of the Cuban “ sugarocracy ” during the political vicissitudes of constitutionalism as reflected in the press. One of the critical questions that Jensen explored was the reason Cuba remained faithful to Spain in the midst of imperial disintegration. Economic history has received a predominant place in the study of Cuba because of the importance of sugar and tobacco in the island’s export economy. Although sugar has received considerable attention, tobacco was the leading export in Cuba ’s economy during the first three centuries of colonial rule. Fernando Ortiz ’s Contrapunteo cubano (1940; Cuban Counterpoint, 1947) examined the pivotal role that these two tropical products had on the early development of the island’s society. In the late 18th and early 19th centuries, sugar displaced tobacco as the primary export. The classic work on the development of the Cuban sugar industry from its colonial beginnings is Ramiro Guerra y Sanchez’s Azúcar y población en las Antillas (19 27; Sugar and Society in the Caribbean, 1964). For Guerra, the key to understanding Cuban social, political, and economic development was the plantation. After the Cuban Revolution, Marxist analysis penetrated the study of the sugar economy. A detailed analysis of the multifaceted nature of the sugar economy published in Cuba after the Revolution was Manuel Moreno Fraginals’ El ingenio (1964; The Sugarmilf 1976). The author probed the technical side of sugar production by studying archival and other sources made available after the Revolution. Slavery, the predominant labor system on the sugar planta tions, has been the subject of numerous inquiries by social historians. Various factors, such as the northern migration of blacks from the southern US after World War II and the decolonization process in Africa, contributed to the flourishing interest in research on slavery undertaken in the 1960s and 1970s. The influential comparative studies by Frank Tannenbaum and Stanley Elkins regarding the differences between the evolution of slavery in Latin America and the United States provided the model for the early investigations of Cuban slavery. Herbert S. Klein’s Slavery in the Americas (1967) showed how the institutional differences in Cuba ’s and Virginia ’s slave systems contributed to the divergence in subsequent developments regarding the incorporation of blacks in their respective societies after the abolition of slavery. Gwendolyn Midlo Hall’s Social Control in Slave Plantation Societies (19 7 1) also employed a comparative approach in analyzing the fundamental problem of social control in two distinct slave systems, the French and Spanish. Racism emerged in both societies as an important component for the ideological justification of the slave system and contributed to maintaining social control.

Franklin W. Knight’s Slave Society in Cuba during the Nineteenth Century (1970) provided a comprehensive view of the socioeconomic context for Cuban slave society by emphasizing the contradictions emerging from the inherent nature of a system based on unskilled labor at a time when planters introduced a technology requiring skilled technicians. Employing a demographic analysis, Kenneth F. Kiple utilized census data in Blacks in Colonial Cuba (1976) in order to clarify figures contained in the earlier works by Klein and Knight regarding Cuban slavery. Another work, applying a quantitative methodology based on the work of a research team of 24 students from Cuba and the US who gathered slave prices from notarial records and official sales tax lists, was the impressive study by Laird W. Bergad, Fe Iglesias García, and Maria del Carmen Barcia: The Cuban Slave Market (1995). This study, as well as a recent one by Rebecca J. Scott, challenged Manuel Moreno Fraginal’s assertion that after 1850 - and the introduction of technology on the sugar plantations - slavery was not prof itable. After mid-century, the demand for slaves continued, as revealed by rising slave prices, until the eve of abolition. During the 19th century, a major issue that engaged Madrid and the Cuban creole planter class was the British pressure for the abolition of slavery. The Anglo-Spanish treaty of 18 1 7 , the first significant effort to end the trade, influenced subsequent diplomacy between the British and the Spanish. Historians, engaging in extensive archival research in Spain and England, have explored the diplomacy behind the suppression and abolition of the slave trade. An early effort in understanding this diplomacy was Arthur F. Corwin ’s Spain and the Abolition of Slavery in Cuba (1967), which traced Spanish policy from 1 8 1 7 to the abolition of slavery in 1886. David Murray concentrated on British efforts to end the trade in Odious Commerce (1980). Besides the external British efforts, there were internal attempts to bring an end to the system, the most notable being the 1844 Escalera conspiracy. Inside Cuba, historians have critically examined this conspiracy for an understanding of colo nial history and the social contradictions existing in a slave society. Some have questioned the existence of the conspiracy, while others have perceived it as an aborted social revolution. The conspiracy has received far less attention outside of Cuba; Robert L. Paquette is one of the few historians in the Englishspeaking world who has critically inspected it, in Sugar Is Made with Blood (1988). Rebecca J. Scott in Slave Emancipation in Cuba (1985) also studied the slaves’ struggle for freedom. In addition, her work focused on the plantation owners’ adapta tions to the new reality emerging with abolition, by creating control mechanisms that would allow them access to labor. Another aspect of 19th -century Cuban slave society that has received attention is the life of the free colored. To understand the relationship between racism and economic exploitation, Verena Stolcke investigated the institution of marriage in Marriage, Class and Colour in Nineteenth-Century Cuba (1974). Aline Helg in a ground-breaking study explored the fate of Afro -Cubans after independence in Our Rightful Share (1995). It refuted earlier studies by Tannenbaum, Klein, and other US historians that upheld the myth of the relatively benign nature of Latin American slavery and presumed racial equality. Helg’s study, based on extensive research, exploded this myth as did the earlier works by Knight and Hall. One

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important contribution from this study was the exploration of the 19 12 racist massacre of Afro -Cubans that suppressed the Partido Independiente de Color. In academic studies it is most difficult to give a human face to the slave’s suffering. Esteban Montejo’s Biografía de un cimarrón (1966; The Autobiography of a Runaway Slave, 1968), as oral history and social document, provided a mirror into the world of a Cuban slave during the 19th century with all of its horrors and hopes. Social and economic historians have also focused on 19th century Cuba ’s rural society. The growth of the sugar industry totally transformed rural life, as capital penetrated into the countryside. The demand for land displaced many peasants. Laird W. Bergad researched this transformation in Cuban Rural Society in the Nineteenth Century (1990). As a result of the displacement experienced by the peasantry, social banditry emerged as a powerful rural protest movement against the effects of an encroaching capitalism. Influenced by the works of Eric J. Hobsbawm, historians have explored social banditry for an understanding of Cuban social and rural history. During the mid -1 9th century the impending collapse of the slave labor system, capital penetration, and the aftermath of the Ten Years’ War (1868 - 78) for Cuban independence led to social and economic breakdown in the countryside. Many peasants affected by these transformations turned to social banditry. Louis A. Pérez, Jr., in Lords of the Mountain (1989), investigated the convergence of social banditry with Cuba ’s political struggles for independence that engulfed the latter half of the 19th and early 20th centuries. Rosalie Schwartz disagreed with Hobsbawm and Pérez regarding the nature of social banditry. Whereas Hobsbawm and Pérez viewed the social bandit as emerging from a displaced peasantry, Schwartz concluded in Lawless Liberators (1989) that the social bandit operating in the Havana region had clearly political aims. The role of the United States in Cuban history during the 19th century is pivotal for an understanding of subsequent events in the 20th century. After the Cuban Revolution, historians concentrated on the political, social, and economic rela tionship between the US and Cuba in order to understand how a socialist country could emerge ninety miles from the most advanced capitalist country. Lester D. Langley’s The Cuban Policy of the United States (1968) summarized US policy towards the island from the late 18th century to the 20th century. He focused primarily on the 19th century since more documentation was available to him. One of the earliest postrevolutionary studies was Philip S. Foner’s A History of Cuba and its Relations with the United States (1962 - 65) which traced Cuban historical development from 1492 to the Second War for Independence (1895 - 98). Foner sought to interpret the inevitability of the Cuban Revolution in light of the political and economic dominance of the US over Cuban affairs. During this period southern interests in the US looked longingly toward Cuba in order to extend slavery and continue the plantation economy vital to the survival of the southern elites. Sectors of the Cuban criollo planter elite also sought annexation to the US as a solution to a declining slave system that was under assault by the British and internal abolitionist forces. Robert E. M ay ’s The Southern Dream of a Caribbean Empire (1973) analyzed this episode in the wider context of the southern US strategy of expanding into the Caribbean, primarily Cuba, Nicaragua, and Mexico, to insure the survival

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of slavery and the plantation system. Josef Opatrny examined the US and Cuban motives behind the annexationist movement in U.S. Expansionism and Cuban Annexationism in the 1850s (1990). The author argued that the movement contributed to a sense of Cuban identity as well as an understanding of armed struggle as one of the avenues for resolving the political crisis with Spain. After the Ten Years’ War, or the first War for Independence, the US continued to intervene in Cuban affairs as it sought to insure that Cuba would remain thoroughly within the US political and economic orbit after the inevitable independence from Spain. The interim period between the first and second war for Cuban independence in 1895 has also received the attention of historians. Earlier historiography on the Spanish-American War emphasized the vital US role in securing Cuban independence from Spain. Louis A. Pérez, Jr.’s Cuba Between Empires (1983) provided an analysis of the interwar period and subsequent US intervention in the second war for Cuban independence. The author contended that the Cuban patriots were on the verge of winning their struggle for independence against Spain when the US intervened. The Cuban elites sought intervention in order to avoid a social revolution. In an earlier study, Philip S. Foner investigated US intervention during the Spanish-Cuban-American war (1895 - 98), the name preferred by Cuban historians for the Spanish-American War and introduced to the English-speaking public by Samuel Flagg Bemis in 1959. This study, The Spanish-Cuban-American War and the Birth of American Imperialism (1972), continued Foner’s analysis of 19th-century US-Cuban affairs. Foner’s was a controversial revisionist appraisal because he argued for the primacy of the Cuban patriots in securing their own independence, thereby diminishing the US role. The major controversial thesis of Foner’s study is that US intervention in Cuba in 1898 marked the beginning of US imperialism as a result of monopoly capitalism and the search for markets. Foner’s was a Marxist analysis that underscored the economic roots of US policy towards Cuba. Both authors ended their historical analysis with the establishment of the Cuban republic in 1902. John L. Offner offered a diplomatic history of the period in An Unwanted War (1992.) that disagreed with Foner’s and Pérez’s slighting of the US role in winning Cuban independence. He also challenged those historians who argued that the war was inevitable, contending that neither party involved in the conflict wanted the war. Antonio Maceo and José Marti, two patriots that contributed significantly to Cuban independence, have fascinated historians. Both Foner and Pérez treated these two individuals in their analysis of Cuban independence, but biographies on Maceo and Marti abound. Foner analyzed the controversial figure of Maceo in his interpretive study Antonio Maceo: The (iBronze Titan” of Cuba's Struggle for Independence (1977). Magdalen M. Pando, in a more recent study, wrote a panegyric narrative in Cuba's Freedom Fighter (1980) that exalted Maceo’s figure and his accomplishments during the second war of independence. After the Cuban Revolution, the controversial figure of Marti, the father of Cuban independence, received the most attention from biographers, since both sides claimed him as a precursor to their respective movements. Some considered him a typical 19th-century Latin American liberal, while others cast him as a precursor to Cuba ’s M arxist revolutionary

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tradition. Representative biographies are those by Richard B. Gray and John M. Kirk. Gray’s 1962 study not only surveyed Marti’s life and thought but also traced the development of Marti as a patriotic symbol. He further charted how various political factions gained popular support by using Marti as a justification for their political actions. Kirk ’s 1983 biography, based on Marti’s extensive writings, evaluated the influences, both liberal and socialist, on the development of his political, moral, social, and economic ideas in order to clarify the debate regarding his figure. Gerald E. Poyo explored the 19th-century expatriate milieu that Cubans forged for themselves in the US in “ With Ally and for the Good of All” (1989). This expatriate community contributed to M arti ’s intellectual, political, and nationalist development. The US occupation of Cuba in 1898, treated by the works cited earlier by Foner and Pérez, has also captured the attention of historians. Although the Platt Amendment prevented annexation, Cuba entered into a dependent relation with the US. David F. Healy’s political history, The United States in Cuba (1963), examined how the occupation contributed to the rise of an informal empire in Cuba. James H. Hitchman’s Leonard Wood and Cuban Independence (19 7 1), an institutional and biographical history, provided a detailed study of the US occupation sympathetic to the memory of Governor-General Leonard Wood and his achievements on the island. On the other hand, Foner’s work, a predominantly economic analysis, questioned Wood’s role during the occupation and the subsequent creation of the Cuban Republic in 1902. Pérez’s study also demonstrated how the US made Cuba into a semicolony by promoting its dependence. In its analysis of the controversial Platt Amendment of 1902, Hitchman’s work concluded that the amendment guaranteed Cuban stability and allowed the nation to build its institutions and foster economic prosperity. Other historians disagreed with this conclusion, arguing that the amendment, which survived until 1934, marred the birth of the Cuban republic since it transformed the new nation into a US dependency. Pérez probed political life during this period in Cuba under the Platt Amendment (1986). He analyzed the relationship between the Cuban political elites and Washington, arguing that many times, due to the weakness of the government, they clashed around fundamental issues of patronage that was beneficial to the politicians but detrimental to US economic interests. Allan Reed Millett scrutinized one particular episode from this period, the second US intervention from 1906 to 1909, in The Politics of Intervention (1968). His political history emphasized the role of US army officers in influencing the Provisional Government’s policies during the occupation. Pérez continued his research on US political hegemony over Cuban affairs during the early 20th century in his monograph Intervention, Revolution, and Politics in Cuba (1978). Attempting to avoid direct military intervention, the dominant economic influence of the US guaranteed increased political and diplomatic intervention into Cuban affairs. Seeking an explanation for the 1959 Cuban Revolution, some historians considered the 19 33 Cuban Revolution an opening act for Fidel Castro’s success. It provided the framework for the subsequent revolutionary transformation of Cuba in the 1960s, as it contained the seeds of a new nationalism as well as a radical social and economic program. Luis E.

Aguilar in Cuba 1933 (1972.) traced the continuity between the ideals and aspirations of 19 33 and their subsequent realization in 1959. Samuel Farber’s Revolution and Reaction in Cuba (1976), one of the few studies of the period between 1940 and 19 52, also considered the continuities between 19 33 and 1959. He maintained that after the defeat of the 19 33 Revolution Bonapartism and populism dominated Cuban politics, considering Fulgencio Batista’s government as Bonapartist, the 1940s civilian governments as populist, and Castro ’s movement as Bonapartist. Scholars have investigated the US role in determining the course and subsequent defeat of the 19 33 Revolution. In the 1960s and 1970s, dependency theory influenced the historical analysis of Latin America. Jules Robert Benjamin’s The United States and Cuba (1977) provided a dependency analysis of Cuba which primarily concentrated on the years 19 25 - 34 . Besides examining the Cuban Revolution of 19 33 and its threat to US hegemony over the island, he also evaluated the rise of the US Good Neighbor policy. Some historians have consid ered the Good Neighbor policy as indicative of a change in US policy towards Latin America, in general, and Cuba, in particular, since the US did not engage in direct military intervention in the region. Irwin F. Gellman contradicted this position in his diplomatic history Roosevelt and Batista (1973) by stressing the continuity of intervention in Cuban affairs through diplomatic, political, and especially through economic means. Historians have not neglected the study of institutional history, fixing on one of the most important Cuban institutions, the military. Rafael Fermoselle’s The Evolution of the Cuban Military (1987) tracked the historical development of the military from the colonial period to the present revolutionary regime. Louis A. Pérez, Jr., on the other hand, focussed on the role of the military in the 20th century in Army Politics in Cuba (1976). With the occupation of Cuba in 1898, the US disbanded the Cuban independence army and created a new army out of the Rural Guard, a corrupt police force. Emphasizing the continuity of the military as an institution, Pérez analyzed the role of the military since Gerardo Machado’s regime of the 1920s. In both Batista’s and Castro ’s governments, diametrically opposed ideologically, the military played a predominant role in government. José M. Hernández also explored the US role in the rise of militarism in Cuba and the United States (1993) and concluded that the military influence in politics cannot be directly related to US policies but instead resembled the historical pattern of Latin America in general. Since the Revolution’s triumph scholars have advanced numerous explanations on its origins. An early example of this genre is Ramón Eduardo Ruiz ’s Cuba: The Making of a Revolution (1968), which argued that the Cuban Revolution culminated a struggle that had its roots in the 19th century. Its success resulted from Cuba’s revolutionary tradition, its nationalism directed against the US, and from a strong figure, Fidel Castro, who had antecedents in the nation’s past. Also, for Ruiz, Castro gained the support of the Cuban people by claiming that his movement embodied the ideals of José Marti. Diplomatic historians have also provided explanations for the Revolution by focusing on the role of nationalism. In an early study, Robert F. Smith examined the mixture of political and economic factors in determining foreign policy in The United

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States and Cuba (i960). He investigated how the conflict between Cuban nationalism and US economic interests since 1898 contributed to the Revolution. Jules Robert Benjamin ’s

The United States and the Origins of the Cuban Revolution

(1990) provided an innovative diplomatic history that explained the success of the Revolution by examining how nationalism contributed to the struggle against US political and economic domination. Its unique analysis arose from its exam ination of US hegemony as the author skilfully disentangled the roots of the institutions and culture that gave rise to that hegemony. Benjamin argued that US institutions and culture blinded the US to the contradictions its policies were producing within Cuban society as it sought stability while attempting change. The Cuban Revolution has generated a plethora of historical studies not only concentrating on its origins, but also on the revolutionary struggle itself. Scholars have focused on various of the social groups that participated in the struggle against Batista. Since events surrounding the struggle are fairly recent, many historians have made use of the various memoirs of participants as well as interviews with them. Jaime Suchlicki’s University Students and Revolution in Cuba (1969) employed interviews with Cuban exiles to trace the development of student participation in the nation ’s political struggles. He analyzed how the students from the University of Havana contributed to Batista’s overthrow by engaging in acts of urban guerrilla warfare. A different treatment of the years preceding the revolutionary victory of 1959 is The Cuban Insurrection (1974) by Ramón L. Bonachea and Marta San Martin. These two authors examined the rarely studied urban guerrilla struggle as well as those revolutionary movements not directly associated with the rural guerrilla struggle. Two newspapermen, John Dorschner and Roberto Fabricio, employed US State Department documents, secondary sources, and newspapers, and conducted numerous interviews to present a historical narrative on the final months of 1958 leading up to Castro’s victory in The Winds of December (1980). The authors also investigated a question that has perplexed scholars and laymen alike: did Castro’s Marxist-Leninist ideology emerge before or after the victory of the Revolution? Intellectual historians have also explored the roots of Cuban socialism as well as the evolution of Castro ’s ideas and their influence on the Revolution. Sheldon B. Liss explored the radical tradition in Cuban thought in Roots of Revolution (1987). He maintained that the Cuban Revolution inherited the radical program contained in the various strands of the ideology espoused by numerous Cuban thinkers. Other scholars have examined Castro’s reasons for radicalizing the primarily middle-class 1959 Revolution. The anticommunist Cuban exiles who left the island proclaimed that Castro “ betrayed the Revolution ” when he declared his MarxistLeninist leanings. Lionel Martin contended that Castro had contact with radical ideas prior to the Revolution in The Early Fidel (1978). During his student days at the University of Havana, Castro ’s involvement in student politics exposed him to radical ideas and actions. Liss investigated the profundity of Castro’s mature ideas on numerous topics in Fidel! (1994). He studied the European and Latin American intellectual background that contributed to the development of Castro’s ideas. Loree Wilkerson’s Fidel Castro’s Political Programs from

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Reformism to “ Marxism-Leninism” (1965) researched the influence of Castro’s ideology on the transition from a reform political program to one of increased radicalization in the early years of the Revolution. The transformation of the Cuban Revolution in the early 1960s attracted the attention of historians, as well as laymen, to the socialist experiment in Cuba. This fascination produced an abundance of works charting the radical course of the Revolution from the 1960s to the 1990s. The works were written from the full spectrum of political viewpoints and highlighted the polemical nature of the Revolution’s transformation. Theodore Draper presented the “ official” US position in two works, Castro’s Revolution (1962) and Castroism (1965). Draper argued, as did many others, that Castro had betrayed the original ideals of the Revolution. In keeping with the “ revo lution betrayed” thesis, Andrés Suárez disagreed with the historical explanation that the transition occurred as a result of popular pressures from below in Cuba: Castroism and Communism (1967). Motivated by foreign policy considerations regarding the benefits of Soviet nuclear power, the author suggested that Castro alone was responsible for the turn of events in Cuba. K.S. Karol also charted the transformation by concentrating on the Stalinization and militarization of the initial attempt by the Revolution to create a different model of national development in Les guérilleros au pouvoir (1970; Guerrillas in Power, 1970). Karol, initially sympathetic to the Revolution, assessed the negative role of the Soviet Union in transforming Cuban society and politics by extinguishing the liberated spirit of the early revolutionary years. Jorge I. Dominguez furnished a comprehensive analysis of the Cuban Revolution in Cuba: Order and Revolution (1978) which exposed the disorderly nature of Cuban politics, society, and economy before 1959 and the order imposed on the nation by the revolutionary government. After imposing order, the revo lutionary legislation enacted in the first two years transformed all aspects of Cuban politics, society, and economy. Economic historians and others have focused on the performance of the Cuban socialist economy as well as its dependence on the Soviet Union. Many issues associated with the performance of the Cuban economy are also polemical in nature. Some contended that the Revolution ’s emphasis on education, health, income distribution, and other social services demonstrated the overall success of the Revolution ’s goals. Others pointed to Cuban dependence on a monoculture economy, its lack of sustained economic growth, and its relationship to the USSR as evidence of the Revolution’s failure. An early work investigating the Revolution during its tenth anniversary from a sympathetic Marxist perspective was Leo Huberman and Paul M. Sweezy’s Socialism in Cuba (1969). The authors examined the political and economic problems of the Revolution in light of the policies instituted by the revolutionary government. James O ’ Connor’s The Origins of Socialism in Cuba (1970) looked at the early exultant years of the Cuban socialist experiment to the mid -1960s. Providing a brief economic background of the prerevolutionary period, the author’s primary investigation concentrated on those early years of revolutionary political and economic planning. On the other hand, Carmelo Mesa -Lago critically studied the success and failure of the Cuban economy in its first twenty years in The Economy of Socialist Cuba (19 8 1), which provided a sober analysis of the

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social and economic components of the Revolution. Another work that statistically probed the economic reality was The Cuban Economy (1989) by Andrew Zimbalist and Claes Brundenius. Sociologists and political scientists have produced works on the Revolution ’s impact on the ordinary lives of the Cubans who remained on the island. These studies will provide historians with a wealth of data for future historical studies on the development of the Cuban Revolution under Castro. In 1962 Maurice Zeitlin conducted a series of interviews with members of the Cuban working class, industrial workers who benefited from the triumph of the Revolution. In Revolutionary Politics and the Cuban Working Class (1967), which provided information on the years from the 1930s to the 1950s, the author investigated the attitudes of these workers towards the transformations they were experiencing. Influenced by the rise of feminism in the 1960s and 1970s, historians have not neglected gender studies. Seeking to understand the transformations of women’s lives under the Revolution, scholars have studied the earlier Cuban feminist movement looking for continuities with subsequent developments. The years from 1898 to 1940 saw the emergence of a Cuban feminist movement that challenged the prevailing view on the legal status of women. K. Lynn Stoner offered an analysis of this movement in From the House to the Streets (19 9 1) which traced the struggle of middle- and upper-class women for the expansion of women ’s rights. Lois M. Smith and Alfred Padula studied the impact of the Revolution on women in Sex and Revolution (1996), which explored the role of women in prerevolutionary Cuba and how, after the Revolution, state power transformed women’s lives in the polit ical, social, and economic spheres. Marifeli Perez-Stable’s social history The Cuban Revolution (1:993) investigated the prerevolutionary Cuban society previously neglected by historians in their treatment of Cuba. The author also depicted how workers responded to the call for unselfish contributions to the Revolution for the collective wellbeing of the nation. Perez-Stable concluded that the radical phase of the Revolution ended in 1970 as it became institutionalized after that year. Oral history has also made inroads into Cuban historical studies by providing insight into the ordinary lives of Cubans undergoing the radical reorganization of their society. The works by Oscar Lewis, Ruth Lewis, and Susan Rigdon are representative of this historical genre. The Revolutionary government benefited the Cuban masses by extending education and health services to those previously deprived of them. Richard R. Fagen provided a comprehensive investigation of the formal and informal educational institutions that changed the lives of the average Cuban in The Transformation of Political Culture in Cuba (1969). He studied the government’s campaign against illiteracy, the Committees for Defense of the Revolution, and the Schools of Revolutionary Instruction and their contribution to the formation of a new political culture and a new conception of citizenship. The Revolutionary government also fulfilled another promise of the Revolution by expanding health services to the masses. Ross Danielson ’s social history, Cuban Medicine (1979), dissected the social, political, and economic factors that influenced the development of Cuban medicine from the colonial period to the present socialist government. An analysis of Cuban medicine

under the Revolutionary government was Julie Margot Feinsilver’s Healing the Masses (1993), which illustrated the Cuban achievements in medicine when contrasted with the rest of Latin America and the developing world. The author concluded that Cuba is a world-class power in medicine and an example for other nations to follow. The ubiquitous US role in Cuban affairs continues to influence historical developments in the late 20th century. The Cold War conditioned the US response to the Cuban Revolution. The US perceived Cuba as a Soviet surrogate threatening hemispheric stability by exporting revolution to Latin America. Lynn Darrell Bender explored the development of the mutual hostility between the US and Cuba after the Revolution in The Politics of Hostility (1975). The hostile relationship between the two countries determined the direction of US foreign policy towards Cuba during the period of Soviet influence. Continuing the theme of US/Cuban hostility, Michael J. Mazarr ’s Semper Fidel (1988) postulated that this hostility had its roots in the mutually contradictory aims of US dominance over Cuban affairs coupled with rising Cuban nationalism. Dependency theory also influenced the study of US/Cuban relationships after the Revolution, as is clear in Morris Morley ’s Imperial State and Revolution (1987). Morley contended that the US, as a capitalist imperialist state, has historically promoted policies for capital accumulation in the interest of the multinational corporate community. When the Revolution challenged this economic model, the US reacted by attempting to isolate Cuba from the capitalist world in order to undermine this example for the rest of Latin America. Although US foreign policy towards Cuba has dominated the field of diplomatic history, Jorge I. Dominguez significantly reinforced our understanding of Cuban foreign policy in To Make a World Safe for Revolution (1989). The author deviated from those historians who perceived Cuban policy purely as an extension of Soviet policy. Granting autonomy to Cuba’s foreign policy, he argued that the nation has acted pragmatically with governments or revolutionary movements to insure the survival of the Revolution. Except for José Marti, no Cuban figure has elicited more ink from the pens of historians, political scientists, journalists, and pundits than Fidel Castro. Many have considered it necessary to understand Castro in order to understand the Revolution. A few representative works are those by Lee Lockwood, Enrique Meneses, Herbert L. Matthews, and Tad Szulc. Lockwood, a journalist, conducted a series of perceptive interviews with Castro during the summer of 1965 for his book Castro's Cuba, Cuba's Fidel (1967). As a primary source document this collection of interviews is invaluable for comprehending Castro ’s ideas on numerous topics concerning the Revolution. Along similar journalistic lines was Meneses’ 1966 biography, which offered a portrait of Castro in the Sierra Maestra in 1958, and Matthews ’ 1969 one, which provided a personal portrait of Castro. The only analytical biography written in English is Szulc’s Fidel: A Critical Portrait (1986), which was based on interviews with government officials and friends, on newspapers and on secondary sources. It gave the most thorough account of Castro ’s relationship to the Revolution before and after taking power. Robert E. Quirk, an author who has not had access to Castro, based his 1993 psychological study on an analysis of Castro’s speeches, archival research in the National

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Library of Cuba, and numerous secondary sources including declassified US government documents. By immersing Castro ’s figure in the events surrounding late 20th-century Cuba, Quirk produced a historical summary of the last few decades of revolutionary transformations on the island as well as the influence of international politics on the development of the Revolution. The Revolution stimulated historical writing on Cuba in order to discover what intellectual, political, social, and economic factors contributed to its ultimate success in the face of US opposition. Although the polemical nature of earlier studies clouded the objective analysis of these factors, the last two decades have produced a wealth of critical works. After the fall of the Soviet Union, the shifting fortunes of the Revolution have captured the attention of historians and other social scientists. In the coming decades historians will continue to explore the nation’s past in order to understand its present and prepare for its future. Car l o s

Pé r e z

See also LaFeber; Latin America: National; Moreno Fraginals; Ortiz; Pérez; Thomas, H.; Women’s History: Latin America

Further Reading Aguilar, Luis E., C u b a 1 9 3 3 : P ro lo g u e to R e v o lu tio n , Ithaca, NY: Cornell University Press, 19 7 2 Andrews, Kenneth R., T h e S p anish C a rib b e a n : T ra d e a n d Plunder, 1 3 3 0 - 1 6 3 0 , New Haven: Yale University Press, 19 78 Bemis, Samuel Flagg, A S h o rt H isto ry o f A m e rica n Fo reig n P o lic y a n d D ip lo m a c y , New York: Holt, 19 59 Bender, Lynn Darrell, T h e P olitics o f H o stility: C a stro 's R e vo lu tio n a n d U .S. P o lic y , Hato Rey, Puerto Rico: Inter-American University Press, 19 7 5 Benjamin, Jules Robert, T h e U n ited States a n d C u b a : H eg e m o n y a n d D e p en d e n t D e v e lo p m e n t, 1 8 8 0 - 1 9 3 4 , Pittsburgh: University of Pittsburgh Press, 19 7 7 Benjamin, Jules Robert, T h e U n ited States a n d the O rig in s o f the C u b a n R e v o lu tio n , Princeton: Princeton University Press, 1990 Bergad, Laird W., C u b a n R u ra l S o ciety in the N in e tee n th C e n tu ry: T h e S o c ia l a n d E c o n o m ic H isto ry o f M o n o cu ltu re in M atan zas,

Princeton: Princeton University Press, 1990 Bergad, Laird W., Fe Iglesias García, and Maria del Carmen Barcia, T h e C u b a n Sla ve M a rk et, 1 7 9 0 - 1 8 8 0 , Cambridge and New York: Cambridge University Press, 19 95 Bonachea, Ramón L., and Marta San Martin, T h e C u b a n Insurrection , 1 9 3 2 - 1 9 3 9 , New Brunswick, N J: Transaction, 19 74 Bourne, Peter G., F id e l: A B io g ra p h y o f F id e l C a stro , New York: Dodd Mead, and London: Macmillan, 1986 Bradford, Richard H., T h e “ V irg in iu s ” A ffa ir , Boulder: Colorado Associated Press, 1980 Chapman, Charles Edward, A H isto ry o f the C u b a n R e p u b lic : A S tu d y in H isp a n ic A m e rica n P o litics, New York: Macmillan, 19 2 7 ; reprinted Westport, CT: Greenwood Press, 19 7 1 Corbitt, Duvon C , “ Cuban Revisionist Interpretations of Cuba ’s Struggle for Independence,” H isp a n ic A m e rica n H isto rica l R e v ie w

43 (1963), 395 - 404

Corbitt, Duvon C., A S tu d y o f the C h in e se in C u b a , 1 8 4 7 - 1 9 4 7 , Wilmore, KY: Asbury Press, 19 7 1 Corwin, Arthur E, S p a in a n d the A b o litio n o f S la ve ry in C u b a , 1 8 1 7 - 1 8 8 6 , Austin: University of Texas Press, 19 6 7 Dalton, Thomas C., “ E v e ry th in g w ith in the R e v o lu t io n " : C u b a n Strategies fo r D e v e lo p m e n t Since i 9 6 0 , Boulder, CO: Westview Press, 19 93 Danielson, Ross, C u b a n M e d ic in e , New Brunswick, N J: Transaction, 19 79

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Dominguez, Jorge I., C u b a : O r d e r a n d R e vo lu tio n , Cambridge, M A: Harvard University Press, 19 78 Dominguez, Jorge I., To M a k e a W o rld Safe fo r R e v o lu tio n : C u b a ' s Fo reig n P o licy , Cambridge, M A : Harvard University Press, 1989 Dorschner, John, and Roberto Fabricio, T h e W in ds o f D e c e m b e r, New York: Coward McCann, and London: Macmillan, 1980 Draper, Theodore, C a stro 's R e v o lu tio n : M y th s a n d Realities, New York: Praeger, and London: Thames and Hudson, 1962 Draper, Theodore, C a stro ism : T h e o r y a n d P ra ctice, New York: Praeger, 1965 Dubois, Jules, F id e l C a stro : R e b e l - L ib e r a to r o r D ic ta to r?, Indianapolis: Bobbs Merrill, 19 59 Fagen, Richard R., T h e Tra n sfo rm a tio n o f P olitica l C u ltu re in C u b a , Stanford, CA: Stanford University Press, 1969 Farber, Samuel, R e v o lu tio n a n d R ea ctio n in C u b a , 1 9 3 3 - 1 9 6 0 : A P o litica l S o c io lo g y fro m M a c h a d o to C a stro , Middletown, CT: Wesleyan University Press, 19 76 Feinsilver, Julie Margot, H ea lin g the M a sses: C u b a n H ealth Politics at H o m e a n d A b r o a d , Berkeley: University of California Press, 1993 Fermoselle, Rafael, T h e E v o lu tio n o f the C u b a n M ilitary, 1 4 9 2 - 1 9 8 6 , Miami: Universal, 19 8 7 Foner, Philip S., A H isto ry o f C u b a a n d Its R elation s w ith the U n ited States, 2 vols., New York: International Publishers, 19 6 2 - 6 5 Foner, Philip S., T h e S p a n ish - C u b a n - A m e ric a n W ar a n d the B irth o f A m e rica n Im perialism , 1 8 9 3 - 1 9 0 2 , 2 vols., New York: Monthly Review Press, 19 7 2 Foner, Philip S., A n to n io M a c e o : T h e “ B ro n z e T it a n " o f C u b a ' s Struggle fo r In d e p e n d e n c e, New York: Monthly Review Press, 19 7 7 Gellman, Irwin E , R o o se ve lt a n d Batista: G o o d N e ig h b o r D ip lo m a c y in C u b a , 1 9 3 3 - 1 9 4 3 , Albuquerque: University of New Mexico Press, 19 73 Goizueta-Mimó, Félix, Bitter C u b a n Sug ar: M o n o cu ltu r e a n d E c o n o m ic D e p en d e n ce fro m 1 8 2 3 - 1 8 9 9 , New York: Garland, 19 8 7 Gray, Richard B., J o s é M arti, C u b a n Patriot, Gainesville: University of Florida Press, 19 6 2 Guerra y Sanchez, Ramiro, A z ú c a r y p o b la c ió n en las A n tilla s, Havana: Cultural, 19 2 7 ; in English as S u g ar a n d S o ciety in the C a rib b e a n : A n E c o n o m ic H isto ry o f C u b a n A g ricu ltu re , New Haven: Yale University Press, 1964 Hall, Gwendolyn Midlo, S o c ia l C o n tro l in S la ve P lantation Societies: A C o m p a riso n o f St. D o m in g u e a n d C u b a , Baltimore: John Hopkins Press, 19 7 1 Halperin, Maurice, T h e R ise a n d D e c lin e o f F id e l C a stro : A n E ssa y in C o n te m p o ra ry H isto ry , Berkeley: University of California Press, 19 7 2 Healy, David E, T h e U n ited States in C u b a , 1 8 9 8 - 1 9 0 2 : G en era ls, P o litician s, a n d the Search fo r P o licy , Madison: University of Wisconsin Press, 1963 Helg, Aline, O u r R ig h tfu l Sha re: T h e A fr o - C u b a n Struggle fo r E q u a lity, 1 8 8 6 - 1 9 1 2 , Chapel Hill: University of North Carolina Press, 19 95 Hernández, José M ., C u b a a n d the U n ited States: In tervention a n d M ilita rism , 1 8 6 8 - 1 9 3 3 , Austin: University of Texas Press, 1993 Higgins, Trumbull, T h e P erfect F a ilu re: K en nedy, E ise n h o w e r, a n d the C I A at the B a y o f P igs, New York: Norton, 19 8 7 Hitchman, James H., L e o n a r d W o o d a n d C u b a n In d ep en d en ce, 1 8 9 8 - 1 9 0 2 , The Hague: Nijhoff, 19 7 1 Huberman, Leo, and Paul M. Sweezy, S ocialism in C u b a , New York: Monthly Review Press, 1969 Jensen, Larry R., C h ild re n o f C o lo n ia l D e sp o tism : Press, Politics, a n d C u ltu re in C u b a , 1 7 9 0 - 1 8 4 0 , Tampa: University Presses of Florida, 1988 Karol, K.S., L es gu érillero s au p o u v o ir : l ' itin éraire p o litiq u e d e la révo lu tio n cu b ain e, Paris: Laffont, 19 70 ; in English as G u errillas in P o w e r : T h e C o u rse o f C u b a n R e vo lu tio n , New York: Hill and Wang, 1970 ; London: Cape, 19 7 1

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Kiple, Kenneth E , B la c k s in C o lo n ia l C u b a , 1 7 7 4 - 1 8 9 9 , Gainesville: University of Florida Press, 19 76 Kirk, John M., J o s é M a rti: M e n to r o f the C u b a n N a tio n , Tampa: University Presses of Florida, 1983 Klein, Herbert S., S la ve ry in the A m e ric a s: A C o m p a ra tiv e S tu d y o f V irginia a n d C u b a , Chicago: University of Chicago Press, and London: Oxford University Press, 19 6 7 Knight, Franklin W , S la ve So ciety in C u b a d u rin g the N ineteen th C e n tu ry , Madison: University of Wisconsin Press, 19 70 Kuethe, Allan J., C u b a , 1 7 5 3 - / 8 1 5 : C r o w n , M ilitary, a n d S o c ie ty , Knoxville: University of Tennessee Press, 1986 Langley, Lester D., T h e C u b a n P o lic y o f the U n ited States: A B r ie f H isto ry , New York: Wiley, 1968 Lewis, Oscar, Ruth M. Lewis, and Susan M. Rigdon, F o u r M e n : L iv in g the R e vo lu tio n , an O r a l H isto ry o f C o n te m p o ra ry C u b a ,

Urbana: University of Illinois Press, 19 7 7 Lewis, Oscar, Ruth M. Lewis, and Susan M. Rigdon, F o u r W o m en : L iv in g the R e vo lu tio n , an O r a l H isto ry o f C o n te m p o ra ry C u b a ,

Urbana: University of Illinois Press, 19 7 7 Lewis, Oscar, Ruth M. Lewis, and Susan M. Rigdon, N e ig h b o rs : L iv in g the R e vo lu tio n , an O r a l H isto ry o f C o n te m p o ra ry C u b a ,

Urbana: University of Illinois Press, 19 78 Liss, Sheldon B., R o o ts o f R e v o lu tio n : R a d ic a l T h o u g h t in C u b a , Lincoln: University of Nebraska Press, 19 8 7 Liss, Sheldon B., F id e l! C a stro 's P o litica l a n d S o c ia l T h o u g h t, Boulder, CO: Westview Press, 1994 Lockwood, Lee, C a stro ' s C u b a , C u b a ' s F id el: A n A m e rica n Jo u rn a list ' s In sid e L o o k at T o d a y ' s C u b a in T e x t a n d Pictu res,

New York: Macmillan, 19 6 7 McNeill, John Robert, A tla n tic E m p ire s o f Fra n ce a n d Sp a in : L o u is b o u r g a n d H a va n a , 1 7 0 0 - 1 7 6 3 , Chapel Hill: University of North Carolina Press, 19 85 Martin, Lionel, T h e E a r ly F id el: R o o ts o f C a stro 's C o m m u n ism , Secaucus, N J: Lyle Stuart, 19 78 Matthews, Herbert L., F id e l C a stro , New York: Simon and Schuster, 1969; as C a stro : A P o litica l B io g ra p h y , London: Allen Lane, 1969 May, Robert E., T h e So u th ern D re a m o f a C a rib b e a n E m p ire , 1 8 3 4 - 6 1 , Baton Rouge: Louisiana State University Press, 1973

Mazarr, Michael J., S e m p e r F id e l: A m e rica a n d C u b a , 1 7 7 6 - 1 9 8 8 , Baltimore: Nautical and Aviation Publishing, 1988 Meneses, Enrique, F id e l C a stro , Madrid: Aguado, 1966; in English, New York: Taplinger, and London: Faber, 1968 Mesa -Lago, Carmelo, T h e E c o n o m y o f Socialist C u b a : A T w o D e c a d e A p p ra isa l, Albuquerque: University of New Mexico Press, 19 8 1 Millett, Allan Reed, T h e P olitics o f In tervention : T h e M ilita ry O cc u p a tio n o f C u b a , 1 9 0 6 - 1 9 0 9 , Columbus: Ohio State University Press, 1968 Montejo, Esteban, B io g ra fía d e un cim a rró n , Havana: Instituto de Etimología, 1966; in English as T h e A u to b io g r a p h y o f a R u n a w a y S la ve, edited by Miguel Barnet, London: Bodley Head, 1968 Moreno Fraginals, Manuel, E l in g en io: el c o m p le jo e co n ó m ic o so cia l c u b a n o d e l azúcar, 1 7 6 0 - 1 8 6 0 , Havana: Comisión Nacional Cubana de la UN ESCO , 1964, revised in 3 vols., Havana: Editorial de Ciencias Sociales, 19 78 ; vol. 1 in English as T h e Su g arm ill: T h e S o c io e co n o m ic C o m p le x o f S u g a r in C u b a , 1 7 6 0 - 1 8 6 0 , New York: Monthly Review Press, 19 76 , London: Macmillan, 1993 Morley, Morris, Im p e ria l State a n d R e vo lu tio n : T h e U n ited States a n d C u b a , 1 9 3 2 - 1 9 8 6 , Cambridge and New York: Cambridge University Press, 19 8 7 Murray, David, O d io u s C o m m e rc e : Britain, S p a in a n d the A b o litio n o f the C u b a n S la ve T ra d e, Cambridge and New York: Cambridge University Press, 1980 O ’ Connor, James, T h e O rig in s o f S o cialism in C u b a , Ithaca, N Y: Cornell University Press, 1970

Offner, John L., A n U n w a n te d W ar: T h e D ip lo m a c y o f the U n ited States a n d S p a in o v e r C u b a , 1 8 9 3 - 1 8 9 8 , Chapel Hill: University of North Carolina Press, 19 9 2 Opatrny, Josef, U .S. E x p a n sio n ism a n d C u b a n A n n ex a tio n is m in the 1 8 3 0 s , Prague: Charles University, 1990; Lewiston, NY, and Lampeter, Wales: Mellen, 1993 Ortiz, Fernando, C o n tra p u n te o c u b a n o d e l tabaco y el a z ú ca r, Havana: Montero, 1940; in English as C u b a n C o u n te rp o in t: T o b a cc o a n d Sug ar, New York: Knopf, 19 4 7; reprinted 19 95 Pando, Magdalen M ., C u b a ' s F ree d o m Fighter: A n to n io M a c e o , 1 8 4 3 - 1 8 9 6 , Gainesville, FL: Felicity Press, 1980 Paquette, Robert L., Sug ar Is M a d e w ith B lo o d : T h e C o n sp ir a cy o f L a E sca lera a n d the C o n flict B etw e e n E m p ire s o v er S la ve ry in C u b a , Middletown, CT: Wesleyan University Press, 1988 Pérez, Louis A., Jr., A r m y P olitics in C u b a , 1 8 9 8 - 1 9 3 8 , Pittsburgh: University of Pittsburgh Press, 19 76 Pérez, Louis A., Jr., In tervention , R e vo lu tio n , a n d P olitics in C u b a , 1 9 1 3 - 1 9 2 1 , Pittsburgh: University of Pittsburgh Press, 19 78 Pérez, Louis A., Jr., “ In the Service of the Revolution: Two Decades of Cuban Historiography, 1 9 5 9 - 1 9 7 9 , ” H isp a n ic A m e rica n H isto rica l R e v ie w 40 (1980), 7 9 - 8 9 Pérez, Louis A., Jr., H isto rio g ra p h y in the R e v o lu tio n : A B ib lio g ra p h y o f C u b a n Sch o la rsh ip , 1939- 1979, New York: Garland, 19 8 2 Pérez, Louis A., Jr., C u b a B etw e e n E m p ire s, 1 8 7 8 - 1 9 0 2 , Pittsburgh: University of Pittsburgh Press, 1983 Pérez, Louis A., Jr., C u b a u n d e r the Platt A m e n d m en t, 1 9 0 2 - 1 9 3 4 , Pittsburgh: University of Pittsburgh Press, 1986 Pérez, Louis A., Jr., C u b a : B etw e e n R e fo rm a n d R e vo lu tio n , Oxford and New York: Oxford University Press, 1988 Pérez, Louis A., Jr., L o r d s o f the M o u n ta in : S o c ia l B a n d itry a n d Peasant P ro test in C u b a , 1 8 7 8 - 1 9 1 8 , Pittsburgh: University of Pittsburgh Press, 1989 Pérez, Louis A., Jr., C u b a a n d the U n ited States: Ties o f S ing ula r In tim acy, Athens: University of Georgia Press, 1990 Pérez, Louis A., Jr., E ssa y s on C u b a n H isto ry : H isto rio g ra p h y a n d R esea rch , Gainesville: University Press of Florida, 1995 Pérez, Louis A., Jr., J o s é M a r t i in the U n ited States: T h e F lo rid a E x p e rie n c e , Tempe: Arizona State University Center for Latin American Studies, 19 95 Pérez-Stable, Marifeli, T h e C u b a n R e v o lu tio n : O rig in s, C o u rse a n d L e g a c y , Oxford and New York: Oxford University Press, 1993 Poyo, Gerald E., “ W ith A ll, a n d fo r the G o o d o f A l l '' : T h e E m erg e n c e o f P o p u la r N a tio n a lism in the C u b a n C o m m u n itie s o f the U n ited States, 1 8 4 8 - 1 8 9 8 , Durham, N C : Duke University

Press, 1989 Quirk, Robert E., F id e l C a stro , New York: Norton, 1993 Riera Hernández, Mario, C u b a L ib r e , 1 8 9 3 - 1 9 3 8 , Miami: Colonial Press, 1968 Ripoll, Carlos, J o s é M arti, the U n ited States, a n d the M a rx ist Interpretation o f C u b a n H isto ry , New Brunswick, N J: Transaction, 1984 Ruiz, Ramón Eduardo, C u b a : T h e M a k in g o f a R e vo lu tio n , Amherst: University of Massachusetts Press, 1968 Schwartz, Rosalie, L a w le ss L ib e ra to rs: P olitical B a n d itry a n d C u b a n In d e p e n d e n c e, Durham N C : Duke University Press, 1989 Scott, Rebecca Jarvis, S la ve E m a n c ip a tio n in C u b a : T h e Transition to Free L a b o r, 1 8 6 0 - 1 8 9 9 , Princeton: Princeton University Press, 19 85 Smith, Lois M ., and Alfred Padula, S e x a n d R e v o lu tio n : W o m en in S ocialist C u b a , New York: Oxford University Press, 1996 Smith, Robert E, T h e U n ited States a n d C u b a : B usiness a n d D ip lo m a cy , 1 9 1 7 - 1 9 6 0 , New York: Bookman, i960 Smith, Robert E, “ Twentieth-Century Cuban Historiography,” H isp a n ic A m e rica n H isto rica l R e v ie w 44 (1964), 4 4 - 7 3 Stolcke, Verena, M arriage, C lass a n d C o lo u r in N in e te e n th - C e n tu ry C u b a : A S tu d y o f R a cia l A ttitu des a n d S e x u a l Values in a S la ve S o ciety, London and New York: Cambridge University Press,

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From the House to the Streets: The Cuban Women's Movement for Legal Reform, 1 8 9 8 - 1 9 4 0 , Durham

Stoner, K. Lynn,

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Duke University Press, 19 9 1 Stubbs, Jean, Tobacco on the Periphery: A Case Study in Cuban Labour History, 1 8 6 0 - 1 9 5 8 , London and New York: Cambridge University Press, 19 8 5 Suárez, Andrés, C u b a : C a stro ism a n d C o m m u n ism , 1 9 5 9 - 6 6 , Cambridge, M A: M IT Press, 19 6 7 Suchlicki, Jaime, University Students and Revolution in Cuba, 1 9 2 0 - 1 9 6 8 , Coral Gables: University of Miami Press, 1969 Suchlicki, Jaime, Cuba: From Columbus to Castro, N ew York: Scribner, 19 74 ; revised London and Washington, DC: Brassey’s, 1990 Szulc, Tad, Fidel: A Critical Portrait, New York: Morrow, 1986; London: Hutchinson, 19 8 7 Thomas, Hugh, C u b a : T h e P u rsu it o f F r e e d o m , New York: Harper, and London: Eyre and Spottiswoode, 1 9 7 1 ; abridged as T h e C u b a n R e v o lu tio n , Harper, 19 7 7 Turton, Peter, J o s é M a rti, A rc h ite ct o f C u b a ’s F r e e d o m , London: Zed, 1986 Welch, Richard E., Jr., R e sp o n se to R e v o lu tio n : T h e U n ited States a n d the C u b a n R e vo lu tio n , 1 9 5 9 - 1 9 6 1 , Chapel Hill: University of North Carolina Press, 19 85 Wilkerson, Loree, F id e l C a stro 's P o litica l P ro g ra m s fro m R e fo rm ism to “ M a r x is m - L e n in is m , " Gainesville: University of Florida Press, 19 65 Wright, Irene A., T h e E a r ly H isto ry o f C u b a , 1 4 9 2 - 1 5 8 6 , New York: Macmillan, 19 1 6 Zeitlin, Maurice, R e v o lu tio n a ry P olitics a n d the C u b a n W o rk in g C la ss, Princeton: Princeton University Press, 19 6 7 Zimbalist, Andrew S., and Claes Brundenius, T h e C u b a n E c o n o m y : M e a su re m en t a n d A n a ly s is o f Socialist P erfo rm a n ce , Baltimore: John Hopkins University Press, 1989

Cultural History Cultural history was formerly associated with the examination of art and intellectual activity among cultivated elites, but its scope has been broadened so that it has become the study of - as Raymond Williams puts it - “ a whole way of life,” its language, and its systems of representation. At the end of the 20th century cultural history has moved into the forefront of professional history: its practitioners may be relatively few but its visibility is high. In part, this trend in historiography reflects similar transformations in the human sciences as a whole: everywhere we are confronted with the concentration on symbolic and linguistic systems that has done much to erode the authority of older, inherited positivisms. In part, this can also be explained by the breathtaking acceleration of the culture industries, representing a quantum expansion in the symbolic worlds we all inhabit. This reordering of lived experience is reflected in the sorts of questions that historians are prompted to ask of the past, seeing new things in the past that had been previously invisible. But the revitalization of cultural history at this moment may also derive from profound questions about history itself. Essentially, history is about the relations between the past and the present. Yet reflection on the connections between past and present is hardly the preserve of professional historians. It is a process that underwrites our public cultures. And it is a process that is deeply inlaid into private, subjective lives: in this context it is called memory. The imaginative properties of both private remembering and of professional or historio -

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graphical remembering are more apparent now than a generation or two ago. The very practices of history are founded on given cultural codes. These too are now becoming visible in new ways. Those who have turned to cultural history are concerned with the manner in which, at the turn of the millennium, history itself - the relations between past and present can be most fruitfully imagined. In the traditions of modern European thought, from the time of the Enlightenment, history was conventionally cultural history. It was concerned with the issue of civilization. The job of the historian was to chart the rise and fall of civilizations. And to an important degree civilization was judged in terms of high culture. The sharpest expression of such a historiography, emanating from the putative father of cultural history, can be found in the histories of Jacob Burckhardt. And, broadly, the philosophical imprimatur for such historiography came from Hegel. The intellectual roots of contemporary cultural historiography are complex and diverse; indeed, a distinguishing feature of much of the most engaging cultural history of our own times is its willed conceptual eclecticism. In such a context generalization is dangerous. But it can be suggested that in the 20th century cultural history has been re-formed in the long, uneven break with Hegelianism. A number of dominating lines of transformation can be identified. Each, in a different manner, moves away from the totalizing ambition of classical Hegelianism. First is the route from Nietzsche. From this purview the modern world is perceived not as the realization of reason but of unreason. “ Monumental histories,” legitimating the idea of evolutionary or teleological development bringing about progress, were condemned by Nietzsche in favor of a method that was both less inscribed in the protocols of rationalist explanation and that also attempted to discover the rational core of apparently irrational behavior. There is a direct connection between Nietzsche at the end of the 19th century and Foucault at the end of the 20th. There is an entire raft of Foucauldian cultural histories in our own times that aim to turn inside-out the connotations associated with the rational founding principles of western civilization, showing how unseen relations of power have been inscribed deep inside the much-vaunted freedoms of the West. In these explora tions, the workings of culture have a privileged role. This Nietzschean perspective, revived most notably by Foucault, has been especially influential in contemporary studies of the formation of sexualities - where professional history has been confronted by the dynamics of sexual politics. Second is the tradition that was concerned with collective mentalities. This is a tradition that, in its earliest moments, can be identified with Durkheim and with Marcel Mauss, and that in the 1920s and 1930s was a formative presence in the historiography of the Annales school. The emphasis on the unconscious forms of a culture - as opposed to its conscious content - was in turn to feed into that most beguiling of 20thcentury intellectual revolutions, structuralism. In the work of structural anthropology, and most dramatically in the person of Lévi-Strauss, a structural sociology converged with structural linguistics, or semiotics. The impact of this model of structural anthropology was profound, touching every corner of the humanities. This was a theoretical approach that directly

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addressed the question of cognition itself (taken up in the wonderfully challenging cultural history of Carlo Ginzburg). And, potentially at least, it was a mode of thinking that was peculiarly fruitful for historians, for the whole drift of structuralism was to suggest that culture itself derived, not from the innate human capacities of peculiarly gifted individuals, but from social and historical convention. It is difficult to think of any historian who regards him or herself as a direct inheritor of structural anthropology in the Lévi-Strauss model, for there was much in this method that was inimical to the prac tice of history; but equally it is difficult to think of any of the great cultural historians of our own times whose very conception of culture has not been touched by this inheritance. Third, there is the route out from Hegel represented by Dilthey, and by the notion of the close immersion in a text or culture signalled by the term Verstehen (understanding). This was to open up many fields of qualitative sociology (participant observation, for example) as well, again, of anthropology (not to mention Collingwood’s philosophy of history). The methods of “ thick description,” advocated principally by Clifford Geertz, for example, can be found to have a direct correlate in the cultural historiography of Robert Darnton. Fourth, mention must be made of Freud and traditions of psychoanalysis. The connections between historiography and psychoanalysis in the 20th century have always been representative of a minority interest. But in the field of cultural history they have been innovative. The more cultural historians have investigated issues associated with the imagination, the unconscious and those fantasies that drive the inner life, the more central the psychoanalytical traditions have become. This is a necessarily schematic mapping. The interconnections between these different modes of thought are of most significance. But the effect of these (and other) perspectives has been to allow the reinvention of cultural history in our own times. Owing to the impact of, first, structuralism, and then poststructuralism, this has been identified, most frequently, as evidence of the “ linguistic turn ” in historiography - a not alto gether appropriate term to describe the very different conceptual impulses at work. Even so, two very broad tendencies can be discerned underlying the shift described. The first is a move away from the positivist inheritance of historiography, a positivism that has been in place since the institutionalization of history as an academic discipline at the end of the 19th century. The second - more complex in nature - is the move away from faith in the Hegelian notion of totality: cultural history today is as likely to be concerned with the margins as with the center; with the micro rather than with the macro; and with symbolic or “ morphological” connections rather than with strict questions of causality. This represents a palpable break. It affects, as I suggest in a moment, not only matters of content - what is appropriate for historiographical inquiry - but also, critically, the means of historiographical representation (or how the story is told). But it allows too the cultural dimension of historiography, both in terms of object of study and in terms of method of inquiry, to be more explicitly conceptualized. If one looks at the generation of British historians, for example, who were either writing or who came of age in the 1930s, one can see that time and again they insisted that whatever the scientific prop erties of history, it needed also to be “ poetic.” This difficult

formulation suggested, in metaphorical idiom, that essentially aesthetic notions - the imaginative capacities of the author, recognition of the power of the inner life on the shaping of ideas, the rhetorical power of language - all needed to be recognized as formal components of historical as much as of literary studies. Thus there are continuities as well as breaks. In the anglophone world, an important recognition of these shifts appeared in a lecture delivered by E.H. Gombrich, which was subsequently published as In Search of Cultural History (1969). Here Gombrich was explicit about the need to break from the metaphysics of Hegel, while salvaging as many of his methods, at a lower level of abstraction, as remained viable. He recognized too the “ chastening” insight that “ no culture can be mapped out in its entirety,” advocating instead the value of establishing the “ interconnectedness” of historical relations. Since the late 1960s, various manifestos for, or readers on, “ the new cultural history ” have proliferated, emanating from the English-speaking world, from Western Europe, and from Latin America (Brazil in particular, which is not without its connections to Lévi-Strauss and his intellectual milieu). More to the point, some impressively rich empirical historiography has appeared. Much of this is modest and low-key, appearing in small journals, and then forgotten in the vast tides of print that envelop all readers in this period; a handful of practitioners can boast a global reputation - one thinks of Carlo Ginzburg, Robert Darnton, or Natalie Zemon Davis. The full range of this work cannot be summarized. A final point will have to suffice. The protracted break from the positivist legacy has undermined an unadorned faith in truth and in its empirical foundations. The contingencies of historical knowledge, shifting from generation to generation and from place to place, appear now of far greater consequence than in the first half of the century. Indeed, it has been the cultural historians who have been most ready to look to literary models in order to think through the complexities of historical truth. And it has been the cultural historians who have been most daring in recasting received notions of history by inventing new narrative forms. Dominic La Capra has argued that the modernist revolu tion, which a hundred years ago swept through the imaginative arts, has come to historiography only belatedly. Narratives driven by multiple perspectives; the conscious employment of variant rhetorical strategies, carrying different voices and different tones; the suspicion of an incontrovertible, monologic conclusiveness: all these increasingly appear in the new cultural histories. They do not negate the principal methodologies (or the ethics) of the jobbing historian. Natalie Zemon Davis talks of consciously making her rhetoric work for her; and of a history that generates not so much proofs as “ historical possibilities.” This does launch, to pick up an earlier point, a new poetics of historical study, in which historical truth lies as much in form as in content. This is a historiography that is itself a new cultural form. But as we see in its most exciting manifestations, it also promises a means of representation adequate to capture those “ memories” of the past which are alive in our own culture today. Bil l

Sc h w a r z

See also Anthropology; Art; Body; Bourdieu; Braudel; Burckhardt; Burke; Chartier; Chevalier; China: Modern; Consumerism; Corbin;

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Darnton; Davis, D.; Davis, N.; Europe: Modern; Freyre; Garin; Gay; Ginzburg; Hanke; Herder; Huizinga; Hunt; Intellectual; Koprülü; Lamprecht; Mentalities; Mexico; Miliukov; Mosse; Mumford; Ozouf; Schorske; Soboul; Theatre; Thomas, K.; Thompson, E.; Vico; Vovelle; Williams, R.; Zeldin Further Reading Bederman, Gail, M a n lin ess a n d C iviliza tio n : A C u ltu ra l H isto ry o f G e n d e r a n d R a c e in the U n ited States, 1 8 8 0 - 1 9 1 7 , Chicago: University of Chicago Press, 19 95 Burckhardt, Jacob, D ie C u ltu r d er R en aissan ce in Italien, z vols., Basel: Schweighauss, i8 6 0 ; in English as T h e C iviliza tio n o f the R en a issa n ce in Ita ly , 2 vols., New York: Macmillan, and London: Swan Sonnenschein, 1904 Chartier, Roger, C u ltu ra l H isto ry : B etw e e n P ractices a n d R ep resen tation s, Ithaca, N Y: Cornell University Press, and Cambridge: Polity Press, 1988 Confino, Alon, “ Collective Memory and Cultural History: Problems of Method,” A m e rica n H isto rica l R e v ie w 10 2 (19 97), 13 8 6 - 14 0 3 Darnton, Robert, T h e G re a t C a t M a ssa cre a n d O th e r E p is o d e s in Fren ch C u ltu ra l H isto ry , New York: Basic Books, and London: Allen Lane, 19 84 Davis, Natalie Zemon, S o ciety a n d C u ltu re in E a r ly M o d e rn Fran ce: E ig h t E ssa y s, Stanford, CA: Stanford University Press, and London: Duckworth, 19 7 5 Fox, Richard Wightman, and T.J. Jackson Lears, eds., T h e P o w e r o f C u ltu re : C ritica l E ssa y s in A m e rica n H isto ry , Chicago: University of Chicago Press, 19 93 Geertz, Clifford, T h e Interpretation o f C u ltu res: Selected E ssa y s, New York: Basic Books, 19 7 3 ; London: Hutchinson, 19 75 Gilroy, Paul, T h e B la c k A tla n tic: M o d e rn ity a n d D o u b le C o n scio u sn ess, Cambridge, M A : Harvard University Press, and London: Verso, 1993 Ginzburg, Carlo, Il fo rm a g g io e i ve rm i: il c o sm o d i un m u g n aio d el ’5 0 0 , Turin: Einaudi, 19 76 ; in English as T h e C h eese a n d the W o rm s: T h e C o sm o s o f a S ix te e n th - C e n tu ry M ille r, London: Routledge, and Baltimore: Johns Hopkins University Press, 1980 Gombrich, E.H., In Search o f C u ltu ra l H isto ry , Oxford: Oxford University Press, 1969 Hunt, Lynn, ed., T h e N e w C u ltu ra l H isto ry , Berkeley: University of California Press, 1989 Schorske, Carl E., F in - d e - S ièc le V ienn a: P olitics a n d C u ltu re , New York: Knopf, 19 79 ; London: Weidenfeld and Nicolson, 1980 Schwarz, Bill, T h e E x p a n s io n o f E n g la n d : R a ce, E th n icity a n d C u ltu ra l H isto ry , London and New York: Routledge, 1996 Susman, Warren, C u ltu re as H isto ry : T h e T ra n sfo rm a tio n o f A m e rica n S o ciety in the Tw entieth C e n tu ry, New York: Pantheon, 19 8 4 Williams, Raymond, C u ltu re a n d Society, 1 7 8 0 - 1 9 5 0 , London: Chatto and Windus, and New York: Columbia University Press, 19 58 Winter, Jay, Sites o f M e m o ry , Sites o f M o u rn in g : T h e G re a t W ar in E u ro p e a n C u ltu ra l H isto ry , Cambridge and New York: Cambridge University Press, 19 95

Curti, Merle 1897-1996

U S social and intellectual historian

Perhaps the most influential American historian between the Progressive generation of the early 20th century and the Con sensus school of the 1950s, Merle Curti wrote pioneering works in American intellectual and social history, peace research, and the history of education. Curti’s remarkably long and prolific career, stretching over sixty years, is significant not only - perhaps not even primarily - for its impact on current historical

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debate. Indeed, there is no “ Curti school” or “ Curti thesis” that currently engages historians in active debate. Curti’s career uniquely illuminates the development of the American historical profession since the Progressive era, even though his actual writings are cited less frequently by historians. Perhaps due to his upbringing in the Populist-Progressive ferment of small-town midwestern America, Curti’s sympathies from the start were broadly democratic and critical of laissezfaire industrial capitalism. Curti’s oeuvre is heavily influenced by the Progressive historians, especially Charles Beard, Carl Becker, and Frederick Jackson Turner (Curti was a Turner student at Harvard College). While not a Marxist in any strict or orthodox way, he undoubtedly absorbed M arx through the Progressive historians and later through John Dewey, his colleague at Columbia University Teacher’s College in the 19 30s. In contrast to the sometimes coarse economic determinism of the Progressives, Curti leavened his historical analysis with insights gained from Dewey ’s instrumentalist approach. So while Curti’s awareness of economic interests was always keen, he avoided clumsy class struggle analyses by situating conflict within its broader social, cultural, and institutional setting. Curti’s earliest work examined the origins and development of the American peace movement. His doctoral dissertation was published in 1929 as The American Peace Crusade, 1815 - 1860; he expanded this study with Peace or War: The American Struggle, 1656 - 1956 (1936). While highly sympathetic to his subject - he was a pacifist until the rise of Hitler’s Germany convinced him otherwise - he did not let this compatibility blind him to critical social analysis. While the “ history of this [peace] crusade . . . is a stirring one,” he wrote, the middle-class constituency of the movement prevented it from taking any radical stance against “ social injustice, class conflict, and the profit motive.” Curti’s next major project came as a result of an invitation from the American Historical Association’s Commission on Social Studies in the Schools. The Social Ideas of American Educators (1935) had a profound impact on the history of education, bringing it into the mainstream of historical writing. Rather than narrowly focusing on particular institutions or educational policymaking, Curti placed the history of American education clearly within the context of American capitalism and the class interests inherent in an industrializing society. Mainly a series of intellectual-biographical sketches of such figures as Horace Mann and Booker T. Washington, Social Ideas was similar to Curti’s peace research in that he expressed sympathy with progressive reformers while recognizing the limitations class interests placed on their reforms. While Curti’s assessments of individual educators are perhaps obsolete, his emphasis on examining the social purposes of education continues to be a main feature of American historiography. Curti is known primarily as an intellectual historian, a reputation based chiefly on his masterful synthesis, The Growth of American Thought (1943, 4th edition 1982). Today readers of American Thought often underestimate the work, due in part to its encyclopedic scope and resulting lack of detailed analysis, and (by today ’s standards) its loose theoretical underpinnings. While these criticisms are legitimate enough, Curti’s achievement still commands respect; a 19 5 2 poll of American historians voted American Thought the “ most favored ” historical work

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published between 1936 and 1950, a testament to its significance. No doubt American Thought gained this status because before Curti invented it, there was no such field as American Intellectual History. While precursors such as Edward Eggleston, Bliss Perry, and Vernon L. Parrington had published works in what today is classified as intellectual history, they treated almost exclusively literary and religious figures. Curti broadened the scope of inquiry by including thinkers from across the intellectual spectrum (including scientists), serious writers as well as popularizers. Dime novels and Darwinism, Dewey as well as the advertiser Bruce Barton all met Curti’s criteria for inclusion. The Growth of American Thought is rarely used in classrooms today, and historians are more likely to use it as a handy encyclopedia or handbook than to read it as a compelling interpretation of American thought. Such use, however, does not diminish its importance. Curti’s approach, placing ideas within their economic and social contexts, is his legacy to the writing of intellectual history. The alternative approach, exemplified by Arthur O. Lovejoy in European history and Perry Miller in early American history, treats ideas autonomously, as the play of minds isolated from the social contexts in which the thinkers lived. While the Lovejoy -Miller history of ideas approach has its adherents (John P. Diggins, for example), the “ ecological” approach pioneered by Curti is today the dominant strain in American historiography. Besides its position as a founding text of intellectual historiography, American Thought brought the entire Progressive historiographical project to a crucial point. Critics of Pro gressive historiography had long objected to its relativism and presentism. American Thought clearly evinced these traits. Furthermore, while Curti displayed a mastery of material, he failed to provide a consistent theory of the role ideas played in society. For example, when progressive-democratic reforms succeeded in having an impact on society, Curti attributed their success to their rationality; when they failed, however, he tended to emphasize the stifling effect of economic and social interests. On the other hand, the presentism inherent in Progressive historiography never seemed to bother Curti. In an approving review of Becker’s Everyman His Own Historian (1935), he urged historians to “ select and emphasize those memories of the past that will impel men to seek and build a more desirable future.” The problems of rela tivism and lack of explanatory theory, however, were not so easily ignored. Fortuitously, Curti reached this impasse at the same time as the American historical profession did. To a number of American historians, the social sciences seemed to provide the theoretical model that could solve what Peter Novick called the “ objectivity problem.” To this end, the Social Science Research Council funded an investigation into employing social science methodology in historical writing, the committee of which Curti chaired. The resulting report, Theory and Practice in Historical Study (SSRC Bulletin no. 54, 1946) did not, of course, solve the “ objectivity problem ” ; nor did Curti and his committee colleagues uncritically embrace positivistic social science as a model for historical writing. But the report, with its employment of social scientific terminology (e.g., “ frames of reference” ), nevertheless drew historical practice closer to the social sciences.

The next major project Curti tackled was in some respects a natural outgrowth of his earlier work: first, because democracy had always been a central concern; second, because it examined his mentor Turner’s frontier thesis; and third, by its attempt to address the problems of objectivity and relativism raised in Theory and Practice. Written with his wife, Margaret W. Curti, and three other associates at the University of Wisconsin, The Making of an American Community (1959) is important for its enormously innovative methodology and sources. In this test case for the applicability of the frontier thesis to 19th-century Tremplealeau County, Wisconsin, Curti and his colleagues were among the first scholars to use census records, record linkage, and statistical analysis as the basis for writing social history. Never before had these sources and methods been used to test a historical hypothesis (generally confirming Turner’s view that the frontier had a democratizing influence on social structure), and The Making of an American Community became a milestone work, presaging the rise of the New Social History of the 1960s and 1970s, and blazing the trail for a generation of community studies by historians such as Philip Greven and Stephen Thernstrom. Merle Curti’s influence on American historiography can no longer be traced through current citation indexes because, more than most historians, his impact transcends his bibliography. His renown continues in other ways: the Organization of American Historians’ prize for best book in intellectual and social history bears his name; and he is remembered as an inspiring teacher who mentored more than a generation of graduate students, including Richard Hofstadter, Warren Sussman, and John Higham. For the better part of the 20th century, Curti’s career has both shaped and reflected the writing and practice of history in the United States. C h r ist o ph er

S e e a ls o

Ber k el ey

United States: Historical Writing, 20th Century

Biography Merle Eugene Curti. Born Papillon, Nebraska, 15 September 18 97. Received BA, Harvard University, 1920, M A 1 9 2 1 , PhD 19 2 7 ; additional postgraduate study at the Sorbonne, 19 2 4 - 2 5 . Instructor, Beloit College, 1 9 2 1 - 2 2 ; professor, Smith College, 1 9 2 5 - 3 7 ; and Columbia University Teachers College, 19 3 7 - 4 2 ; Frederick Jackson Turner professor of history, University of Wisconsin, Madison, 19 4 3 - 6 8 (emeritus). Married Margaret Wooster, 19 2 5 (died 19 6 1; 2 daughters). Died Madison, 9 March 1996.

Principal Writings T h e A m e rica n P eace C ru sa d e , 1 8 1 5 - 1 8 6 0 , 19 29 T h e S o c ia l Ideas o f A m e rica n E d u c a to r s , 19 3 5 ; revised 19 59 P eace o r W ar: T h e A m e rica n Stru g gle , 1 6 5 6 - 1 936, 19 36 T h e G r o w th o f A m e rica n T h o u g h t , 19 43; 4th edition 19 82 T h e R o o ts o f A m e rica n L o y a lt y , 1946

Editor, T h e o ry a n d P ractice in H isto rica l S tu d y : A R e p o rt o f the C o m m ittee on H isto rio g ra p h y , New York: Social Science Research, 1946 [Bulletin 54] With Vernon Carstensen, T h e U n iversity o f W isco n sin : A H isto ry; 1 8 4 8 - 1 9 2 5 , 2 vols., 1949 P r o b in g O u r P a st , 19 55 With Robert Daniel, Shaw Livermore, Jr., Joseph Van Hise, and Margaret W. Curti, T h e M a k in g o f an A m e rica n C o m m u n ity : A C a se S tu d y o f D e m o c ra c y in a F ro n tier C o u n t y , Stanford, CA: Stanford University Press, 1959 H u m a n N a tu re in A m e rica n T h o u g h t: A H isto ry , 1980

CU RTIN

Further Reading Dawidoff, Robert, “ T h e G r o w th o f A m e rica n T h o u g h t: A Reconsideration,” R e v ie w s in A m e rica n H isto ry 14 (1986), 4 7 4 - 8 6 Ekirch, Arthur A., Jr., A m e rica n Intellectual H isto ry : T h e D e v e lo p m e n t o f a D isc ip lin e , Washington, DC: American Historical Association, 1963 Henretta, James A., “ T h e M a k in g o f an A m e rica n C o m m u n ity : A Thirty -Year Retrospective,” R e v ie w s in A m e rica n H isto ry 16 (1988), 5 0 6 - 12 Higham, John, H isto ry : P ro fe ssio n a l S ch o la rsh ip in A m e r ic a , New York: Harper, 19 6 5 ; revised edition, Baltimore: Johns Hopkins University Press, 1989 Higham, John, and Paul K. Conkin, eds., N e w D irectio n s in A m e rica n Intellectual H isto ry , Baltimore: Johns Hopkins University Press, 19 79 Skotheim, Robert Allen, A m e rica n Intellectual H istories an d H isto ria n s , Princeton: Princeton University Press, 1966

Curtin, Philip D.

19 2 2 -

US historian o f Africa

Philip D. Curtin has led the growth of African history in the United States, defined a comparative style of world history, and contributed significantly to the development of intellectual history, historical demography, economic history, and medical and environmental history in Africa and other non-European regions. He is best known among European and American historians for his seminal quantitative assessment of the volume and directions of the Atlantic slave trade (The Atlantic Slave Trade: A Census, 1969). Curtin served as president of the (US) African Studies Association (19 7 0 - 7 1) and of the American Historical Association (1983) and represented the American historical profession nationally and internationally. Two of his books won prizes in quite distinct subfields of history: the Robert Livingstone Schuyler prize of the American Historical Association for The Image of Africa (1964) and the Welch medal of the American Association for the History of Medicine for Death by Migration (1989). Curtin made his principal contributions to African history in the United States through his development of programs in African and comparative tropical (later: world) history at the University of Wisconsin, Madison, between the early 1960s and 19 75, where - with his equally eminent colleague, Jan Vansina, and later also Steven Feierman - he trained a generation of students who became prominent in a range of subfields of African history that reflected the breadth of his own accom plishments. With Vansina and Feierman, and joined by Leonard Thompson, Curtin authored a standard African history text. He also coauthored the widely read semi-popular introduction to the study of Africa, Africa and Africans (19 71). Curtin joined the Johns Hopkins University Department of History in 19 75 and from that base he developed his long-standing professional and scholarly interests in world history through leadership of the fledgling World History Association. Like most other members of the founding generation of African historians in the 1950s, Curtin entered “ non-western ” history from a background in the history of Europe. His doctoral research at Harvard led to a first book contrasting imperial and local interests in 19th-century Jamaica, and to an enduring interest in the history of Latin America. He then

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turned to intellectual history, exploring the increasingly racist European outlook in Image of Africa (1964). His emphasis on the growth of European racist thought carried through to Africa and Africans, where he introduced beginners to the continent by identifying the racist myths in modern western culture that surround Africa. At a time when Africa’s past still seemed beyond the reach of established specializations in the historical discipline, Curtin explored the potential of Africans ’ intellectual history in two edited volumes, Africa Remembered (1967), and Africa and the West (1972). Further definitive contributions to contemporary understanding of Africa’s past came from Curtin’s demonstration that formal economic history techniques could be applied to Africa, at a time when Africans ’ “ economic rationality ” was being questioned and when few dared hope for evidence from Africa amenable to economic analysis. His Census of the Atlantic slave trade offered the first systematic research into the volume and direction of the “ odious commerce,” revealing an unsuspected quantity and variety of evidence from all sides of the Atlantic basin and narrowing the existing wide range of estimates to a statistically determined figure in the vicinity of 10 to 12 million Africans landed alive in the New World. Hundreds of subsequent studies have modified the detailed timing and geograph ical distribution of the trade, and, although a few have attempted to raise the aggregate total for the trade as high as 15 million, the scholarly consensus still takes Curtin ’s approach as a starting point. It was ironic, in view of Curtin ’s intellectual history of European racism, that other professional circles, equally dedicated to exposing the harmful effects of racial stereotyping, interpreted the aggregate totals and quantitative style in the Census as diminishing the moral heinousness of the trade, by comparison to much higher, though undocumented, earlier estimates of its scale. The patterns of Atlantic trade that Curtin defined in the Census framed his principal economic history monograph, Economic Change in Precolonial Africa (1975). In relation to the Atlantic trade, Curtin applied rational choice theory to African economic behavior in the grasslands and Saharan margins on the westernmost edge of the continent. He established a program in African economic history at the University of Wisconsin, which published the journal African Economic History. Curtin ’s emphasis on African economic inventiveness, even as slavers, encountered sustained criticism from other scholars who emphasized moral issues and the sufferings of the slaves, as well as from political economists who were simultaneously stressing Africa’s “ underdevelopment” - the thesis that Africa’s contact with the world economy had impoverished the continent through forced “ unequal exchange.” Curtin ’s interest in historical demography also contributed to the development of population history in Africa, which some of his students carried to sophisticated levels. His own work in this field remained global in scale and culminated in the appearance of Death by Migration (1989). In tracing the lethal effects of tropical pathogens on Europeans - often military men - who ventured into the tropics in the era before modern chemical medicine, this book combined population history with medical history and the history of disease to develop a subtheme that had emerged from Curtin ’s early work on European imperial history and had matured into calculations of slave mortality at sea that Curtin had appended to the Census.

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C U R T IN

The secondary emphasis on the influence of droughts and epidemics on the Senegambian desert margins in Curtin ’s Economic Change added the history of climate to Africa’s past. Environmental change, expanded to incorporate human contributions to disasters often misperceived as “ natural,” has subsequently become a prominent aspect of studies of the experiences of Africans from early times to the present. Curtin consistently, and distinctively, placed the history of Africa in its broader world-historical context. This broad vision positioned his teaching of African history, structured his textbook writing, and led his economic, population, and medical monographic research repeatedly out into the Atlantic and beyond. Curtin’s approach to world history resonated more with William McNeill’s many writings than with the highly structured political economy of André Gunder Frank or with the historical sociology of Immanuel Wallerstein that prevailed during the 1970s and 1980s. Curtin compared historical instances of similar phenomena, as he examined trading diaspora in CrossCultural Trade in World History (1984) or plantations, sugar, and slavery in The Rise and Fall of the Plantation Complex (1990). In these and several dozen essays and other shorter works, Curtin ’s career-long vision of methodologically sophisticated, rigorously documented, broad, and balanced history brought Africa ’s past onto the world stage, and has contributed significantly to the most profound and positive developments in the discipline during the second half of the 20th century. J o s e p h C. M i l l e r

See also Africa: North; Africa: West; Britain: British Empire; Imperial; Indigenous; Latin America: National; Maritime; Migration; Quantitative; Slavery: Modern; Vansina; World

Biography Philip De Armond Curtin. Born Philadelphia, 22 M ay 19 2 2. Received BA, Swarthmore College, 1948; M A , Harvard University, 1949, PhD 19 5 3 . Taught at Swarthmore College, 1 9 5 3 - 5 6 ; University of Wisconsin, Madison, 19 5 6 - 7 5 ; and Johns Hopkins University from 19 7 5 . Married Anne Gilbert, 19 5 7 (3 sons).

Principal Writings T w o Ja m a ic a s: T h e R o le o f Ideas in a T ro p ic a l C o lo n y ; 1 8 3 0 - 1 8 6 5 ,

1955

T h e Im age o f A fr ic a : B ritish Ideas a n d A c t io n , 1 7 8 0 - 1 8 5 0 , 1964

Editor, A fr ic a R e m e m b e re d : N a rra tiv e s b y W est A fric a n s fro m the E ra o f the S la ve T ra d e, 19 6 7 T h e A tla n tic Sla ve T ra d e: A C e n su s, 1969 With Paul Bohannan, A fric a a n d A fric a n s , 19 7 1 Editor, A fric a a n d the W est: In tellectual R e sp o n se s to E u ro p e a n C u ltu re, 19 7 2 E c o n o m ic C h a n g e in P re c o lo n ia l A fr ic a : S en eg a m b ia in the E r a o f the S la ve T ra d e, 2 vols., 19 7 5 With Steven Feierman, Leonard Thompson, and Jan Vansina, A fric a n H isto ry , 19 78 C ro ss - C u ltu ra l T ra d e in W o rld H isto ry , 19 84 D ea th b y M ig ra tio n : E u r o p e ' s E n c o u n te r w ith the T ro p ic a l W o rld in the N in eteen th C e n tu ry, 19 89 T h e R ise a n d F a ll o f the P lantation C o m p le x : E ssa y s in A tla n tic H isto ry , 1990

Further Reading Lovejoy, Paul E., ed., A fric a n s in B o n d a g e : S tu d ies in S la ve ry a n d the Sla ve T ra d e: E ssa y s in H o n o r o f P h ilip D. C u rtin o n the O cc a sio n o f the T w e n ty - F ifth A n n iv e rsa ry o f A fric a n Stud ies at the U n iversity o f W isco n sin , Madison: University of Wisconsin

Press, 1986

D Darnton, Robert

1 93 9 -

US historian o f France

Robert Darnton has been called a maître du livre and the description is not inaccurate. Over the past thirty years he has taken the study of the written word to new heights, proving along the way that Marshall McLuhan was correct when he stated that the medium is the message; in the case of Darnton, the medium first consisted of thousands of letters requesting books - the archives of the Société typographique de Neuchâtel, which Darnton realized created an ethnographic archive for the study of the social composition of 18th -century France. Through his work with these records, Darnton has expanded the frontiers of historical study and has enabled researchers to observe new facets of past literate cultures. Darnton has advanced this approach in his various books, such as The Literary Underground of the Old Regime (1982), but he has not restricted his interests in cultural history to the records of the Société typographique. As a graduate student in the 1960s Darnton was introduced to the vast collections of pre-revolutionary French pamphlets held by the New York Public Library, and recognized their value not only as a record of what had occurred, but also as an integral part of those actions and events. Later, to his delight, he discovered the archival collections of the Société, then a virtually untouched collection of documents including requests for specific texts, many of them outlawed within France. Drawing on the sociological tools at his disposal, Darnton used these records to discover what literate France wanted to read. In doing so his work has gone beyond that of mere deconstructionists, that is, he went beyond the literary devices used in constructing the literary work, and proceeded to demonstrate in a very real and tangible way how the desire to read these books and pamphlets reflected the social and political mores of the period. The archives of the Société contain thousands of letters from French bookdealers and booksellers from the 18th century, which Darnton immediately recognized for their potential value as a barometer of social unrest, individual longings, and, more generally, as a microcosm of literate French society. Over the following years he mined this precious lode in order to illuminate the underground world of literary France, the areas that interested the people, the topics that were popular. Using this methodological approach to the holdings of other archives and the texts of printed works, Darnton has shown

the accuracy of his perceptions of pre-revolutionary France and has made known to historians and public alike the value of understanding what the populace of a given time or place wants to read. To add to this understanding, he has also made use of anthropological tools; for example, in an essay from his collection The Great Cat Massacre (1984), “ Peasants Tell Tales: The Meaning of Mother Goose,” Darnton examined the lives of ordinary citoyens of the ancien régime through one of their more common surviving sources, the fairy tale. Employing theories and methods developed by cultural anthropologists and folklorists, such as Claude Lévi-Strauss, Antii Aarne and Stith Thompson, he provided the reader with insight into the background thoughts, emotions, and history embodied in such tales. In doing so, Darnton endeavored to portray the context of the written word, illustrating some of the complexities of 18th -century French culture. As an analyst and observer of pre-revolutionary French culture Darnton has been without peer. As a literary observer of the printed word and what it represents, he has helped place it in its proper context. As a student of culture, he has shown the value of employing anthropological tools in historical studies. And as a historian, he has greatly benefited the profession, introducing the student and the specialist to fertile areas for study and to new methodologies. D a n i e l M. G e r m a n S e e a ls o Anthropology; Chartier; Cultural; France:

14 5 0 -17 8 9 ;

France: French Revolution; Mentalities

Biography Born N ew York City, 10 M ay 19 39 . Received BA, Harvard University, i960; BPhil, Oxford University, 19 6 2 , PhD 1964. Junior fellow, Harvard University, 19 6 5 - 6 8 ; taught at Princeton University (rising to professor), from 19 72 . Married 19 63 (3 children).

Principal Writings M esm e rism a n d the E n d o f the E n lig h ten m en t in F ra n c e , 1968 T h e W id e n in g C irc le : E ssa y s o n the C ircu la tio n o f L itera tu re in E ig h te e n th - C e n tu ry E u r o p e , 19 76 T h e B u sin ess o f E n lig h ten m en t: A P u b lish in g H isto ry o f the E n c y c lo p é d ie , 1 7 7 5 - 1 8 0 0 , 19 79 T h e L ite ra ry U n d e rg ro u n d o f the O ld R e g im e , 19 8 2 T h e G re a t C a t M a ssa cre a n d O th e r E p is o d e s in F ren ch C u ltu ra l H is to ry , 19 84 T h e K iss o f L a m o u re tte : R eflection s in C u ltu ra l H is to ry , 1990 T h e C o r p u s o f C la n d estin e Litera tu re in France, 1 7 6 9 - 1 7 8 9 , 19 95 T h e F o rb id d e n B est - Sellers o f P re - R e v o lu tio n a ry F r a n c e , 19 95

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Further Reading Fernandez, James, “ Historians Tell Tales: Of Cartesian Cats and Gallic Cockfights,” Jo u r n a l o f M o d e rn H isto ry 60 (1988), 1 1 3 - 2 7 LaCapra, Dominick, “ Chartier, Darnton, and the Great Symbol Massacre,” Jo u r n a l o f M o d e rn H isto ry 6 0 (1988), 9 5 - 1 1 2 Mah, Harold, “ Suppressing the Text: The Metaphysics of Ethnographic History in Darnton’s Great Cat Massacre,” H isto ry W o rk sh o p 3 1 (19 9 1), 1 - 2 0

Daube, David

19 0 9 -

British (German - born) legal historian

David Daube is perhaps the 20th century’s foremost historian of ancient law. His work spans a 60-year period (from 19 32 to the early 1990s) and is based on a remarkably thorough, indeed dazzling, grasp of the whole of classical literature, Roman law, biblical and Near Eastern law, the Talmud, and the New Testament. It is notable for its originality and penetrating insight, as well as for its extraordinary breadth, and for the felicity, lucidity, and wit of the writing. Daube pioneered the modern study of biblical law as a subject of historical inquiry distinct from the study of biblical religion; he introduced techniques of biblical “ form criticism ” and emphasis on the original context and social situation of particular ideas and utterances into the study of Roman law; and he deployed a formidable knowledge of Rabbinic Judaism to produce profound insights both into the setting of particular pronouncements reported in the Talmud and into the back ground and significance of sayings and teachings recorded in the New Testament. Daube was the product of an orthodox Jewish upbringing and a German classical education; he was guided into legal history by the great Roman lawyer, Otto Lenel, at the University of Freiburg, and studied for a doctorate at two universities (Gottingen and Cambridge) notorious for exact critical scholarship. His earliest publications, before he left Germany in 19 3 3, concerned biblical and Talmudic law. He continued writing on biblical law in England and his early articles on the subject culminated in his first book, Studies in Biblical Law , completed in 19 43, but published only in 1947. The book marked an important new direction in biblical legal scholarship and in comparative legal history. It sounded themes typical of much of Daube’s work on biblical law: for instance, the insistence that ancient Hebrew law is a field of legal study that should be approached as such and dissociated from the religious character given to it by the priestly authors of the Bible; the recognition that the actual operation of biblical law and the development of legal thought in biblical times can be sometimes better recovered by looking at legal concepts and categories implicit in biblical narratives and at nuances to be found in the language of those narratives; and the perception that certain ideas derived from the law of the time provided patterns that came to have a profound influence on biblical theology. A notable example of the latter is the powerful effect of ancient legal practices regarding the redemption of poor kinsfolk who have been sold into slavery on the formulation of concepts of Redemption in both the Old and New Testaments - a theme to which Daube returned in detail in The Exodus Pattern in the Bible (1963).

Daube’s earliest article on Roman law, “ On The Third Chapter of the Lex Aquilia, ” was published in 1936; it presented a brilliant and original interpretation of the history of the basic Roman statute on damage to property (including slaves). It was the first of a long line of articles that brought Daube international recognition as one of the most prominent living Roman lawyers. Much of his work on Roman law has been concerned with what analysis of linguistic forms can reveal about a particular text and with the misunderstandings that arise when scholars fail to pay attention to how ideas and institutions develop (but old linguistic forms persist) in the face of changing circumstances. The concern with linguistic analysis is particularly evident in his two books on Roman law: Forms of Roman Legislation (1956) and Roman Law: Linguistic, Social, and Philosophical Aspects (1969). Daube’s first studies of the New Testament also go back to the 19 3os and initially took the form of papers prepared for C.H. Dodd ’s New Testament seminar at Cambridge. These early New Testament studies culminated in another book: the lectures The New Testament and Rabbinic Judaism delivered at the School of Oriental and African Studies of the University of London in 19 5 2 and published in 1956. Daube’s work on the New Testament emphasized its Jewish background, but a Jewish background more varied and open than ist-century Judaism is traditionally supposed to be. It is the work of a scholar steeped in Rabbinic modes of exegesis (as few students of the New Testament are) and has yielded wide-ranging and brilliant insights into the power and persistence of Jewish elements in early Christianity. In various other works, Daube has been concerned with the moral dilemmas faced by politically oppressed groups, with the position of marginalized “ have nots” and women, and with problems of tyranny, obedience, and revolt. These themes are pursued, for instance, in the lectures later incorporated into his books Collaboration with Tyranny in Rabbinic Law (1965), Civil Disobedience in Antiquity (1972), and Appeasement or Resistance, and Other Essays on New TestamentJudaism (1987). Daube’s work typically begins by focusing on a problem atic detail, often a curious mode of expression, that others have overlooked in a text or tradition. Using that to illuminate other details, it builds up - in an almost magical way to a startling, yet compelling, new view of the subject. For all its emphasis on context, however, his work has been primarily concerned with deciphering the meaning of texts rather than with the systematic reconstruction of their social setting. Daube’s is a style of scholarship that, indeed, eschews systematic exposition and seeks to read riddles and solve problems rather than survey the answers arrived at by others. Hints of the Daubean style are evident in the work of a few immediate pupils (such as Calum Carmichael and Alan Watson); but, for the most part, his work is the product of a unique and peculiarly erudite genius whose working methods have not been readily assimilable by others. E d w a r d M. W i s e

See also Watson Biography Born Freiburg, 8 February 1909. Educated at Berthold Gymnasium, Freiburg; studied law, University of Freiburg; doctor of law,

DAVIDOFF University of Gottingen, 19 3 2 ; PhD, Cambridge University, 19 36 . Fellow, Caius College, Cambridge, 19 3 8 - 4 6 ; lecturer in law, Cambridge University, 19 4 6 - 5 1 ; professor of jurisprudence, University of Aberdeen, 1 9 5 1 - 5 5 ; Regius professor of civil law, and fellow, All Souls College, Oxford University, 19 5 5 - 7 0 (emeritus); professor, School of Law, University of California, Berkeley, 19 7 0 - 7 7 (emeritus); director, Robbins Hebraic and Roman Law Collection, 19 70 - 8 9 . Married 1) Herta Babette Aufseesser, 19 36 (marriage dissolved 1964; 3 sons); 2) Helen Margolis Smelser, 1986.

Principal Writings Studies in B ib lica l L a w , 19 4 7

Editor with William David Davies, T h e B a c k g ro u n d o f the N e w Testam en t a n d Its E sc h a to lo g y , 19 5 5 F o rm s o f R o m a n L eg isla tio n , 19 56 T h e N e w Testam ent a n d R a b b in ic Ju d a is m , 19 56 Editor, Stud ies in the R o m a n L a w o f Sale: D e d ica te d to the M e m o r y o f Fran cis d e Z u lu e ta , 19 59 T h e E x o d u s P attern in the B ib le , 19 6 3 T h e S u d d e n in the S crip tu res , 19 64 C o lla b o ra tio n w ith T yra n n y in R a b b in ic L a w , 19 65 R o m a n L a w : L in gu istic, Social, a n d P h ilo so p h ica l A s p e c ts , 1969 C iv il D iso b e d ie n c e in A n tiq u ity , 19 7 2 A n c ie n t Je w is h L a w : T h ree In a u g u ra l L ec tu re s , 19 8 1 A p p e a se m e n t o r R esistance, a n d O th e r E ssa ys o n N e w Testam ent Ju d a is m , 19 8 7 C o lle c te d Studies in R o m a n L a w , edited by David Cohen and Dieter

Simon, 2 vols., 19 9 1 C o lle c te d W o rk s , vol. 1, T a lm u d ic L a w , edited by Calum M.

Carmichael, 19 9 2

Further Reading Bammel, Ernst, Charles Kinsley Barrett, and W.D. Davies, eds., D o n u m G en tilic iu m : N e w Testam ent Studies in H o n o u r o f D a v id D a u b e , Oxford: Oxford University Press, 19 78

Carmichael, Calum M ., ed., E ssa y s on L a w a n d R e lig io n : T h e B er k e le y a n d O x f o r d S y m p o s ia in H o n o u r o f D a v id D a u b e , Berkeley, CA: Robbins Collection, 19 93 Jackson, Bernard S., ed., Studies in J e w is h L e g a l H isto ry in H o n o u r o f D a v id D a u b e , London: Jewish Chronicle Publications, 19 7 4 Watson, Alan, ed., D a u b e N o s te r: E ssa y s in L e g a l H isto ry fo r D a v id D a u b e , Edinburgh: Scottish Academic Press, 19 7 4

Davidoff, Leonore 1932-

U S/British feminist historian

Leonore Davidoff is best known for Family Fortunes (1987), her ground-breaking reassessment of the making of the English provincial middle class, written in conjunction with a fellow feminist historian, Catherine Hall. By using a gendered analytical framework, they created a nuanced portrait of a particular class in England that was the product of a long-term study of class and gender in 19th -century British society based on their training in the British sociological tradition. Davidoff the sociologist moved into history early in her career because “ Edwardian, even Victorian, culture cast a long shadow over the lives of older women, as well as molding the institutions of post-war England.” Davidoff’s first book was The Best Circles (1973). A study of high society, etiquette, and the social season, it heralded Davidoff ’s main interests; domestic life, housekeeping, domestic service, domestic and family relationships, and women ’s

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employment were to be emphasized in different ways throughout her most important works. In The Best Circles she introduced intriguing views of the ways in which upper- and middle-class women maintained the fabric of “ Society” through ever-changing social rituals, particularly the etiquette of card leaving and “ calling ” that regulated social intercourse and ensured that those with higher status maintained control over social relationships. One of the most compelling aspects of the book is Davidoff’s attempt to “ look at Society in detail as a linking factor between the family and political and economic institutions.” Far from being “ private ” and ephemeral, these practices prevented the aristocracy from remaining a rigid social category. Individuals and families whose wealth was based upon the professions, commerce, and industry were carefully vetted, and often admitted to the highest social ranks. In turn, this influenced the shift to broader-based politics and culture; and economically, the etiquette rituals stimulated major shifts in patterns of consumption. While these connections were sometimes more implicit than explicit, they provided a fleeting foretaste of the monumental effort made in Family Fortunes to deconstruct the public/private divide by demonstrating their close interdependence in the growth of the middle class in Britain. But at a simpler level, this slim volume furnished splendid thumbnail sketches of the extraordinary practices of the privileged in the 19th century: of masked balls and private music parties; of ladies-in-waiting squabbling over seating order at dinner; of the stiff formality of daily family worship made absurd by the perceptions of a child. Davidoff’s eye for the telling detail that keeps the reader entranced - the mark of historians who turn their craft into art - was already keenly developed in 19 73. During the process of researching and writing Family Fortunes, Davidoff also edited in collaboration with Belinda Westover a very useful collection of articles examining aspects of women ’s work in the 20th century through the use of oral history. Our Work, Our Lives, Our Words (1986) yielded sometimes poignant reminders of both the continuities and changes in the home and work experiences of women from one generation to another. In Our Work we again see Davidoff ’s concern to break down dichotomies and boundaries: oral history she sees as a particularly important methodology for making links between work and family (the “ public” and “ private ” ) and also for drawing connections between individual life experiences and the wider historical context. Family Fortunes was widely reviewed in both history and sociology journals, being recognized immediately as an important work of synthesis between class and gender analysis. Davidoff and Hall supplied extraordinarily rich and suggestive detail about the lives of banking, trading, farming, and professional families in industrial and suburban Birmingham and rural Essex and Suffolk. We see into their churches, chapels, voluntary and charitable organizations; industrial, commercial, and farming enterprises; parlors, sickrooms, schoolrooms, and gardens; and we read of family and kinship relations at all levels of business, intimacy, and duty. Some considered the book insufficiently theoretical, but the insights were subtly embedded in the substantive material. The book accomplished brilliantly the difficult task of writing gender history rather than women ’s history: old masculinist models of what is significant for economic history were jettisoned; yet both men and

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women remained firmly within the frame of reference. The authors contended that the family was the institution central to the development of the middle class in their period. Strong domestic values motivated both women and men, and were legitimated by the strength of evangelical belief, both Anglican and Dissenting. These British capitalists pursued Mammon guided by a vision of earthly domestic bliss leading to eternal salvation. At the same time, these religious values buttressed and elaborated an already existing sexual division of labor so that on one level, the middle-class world came to be divided into increasingly segregated “ public” and “ private ” spheres, to which men and women were respectively assigned. But the mutability of these rhetorical spheres was also demonstrated. One reviewer put it perfectly: “ ‘ The public world of men’ . . . is a concept which disappears before our eyes,” as Davidoff and Hall demonstrated the ways in which the allegedly autonomous entrepreneur depended upon women and family, and the manifold ways in which women contributed to family enterprise in both direct and hidden ways. The central importance of domesticity to middle-class masculinity was also beautifully illustrated. There is much that is controversial in the book: the authors’ emphasis upon the similarities between Anglican evangelicals and Nonconformists rather than on the bitter political differences between the Established Church and Dissent; putting gender at the center of economic history; and, indeed, the use of “ separate spheres” as a significant guiding concept, to name just a few areas. As a landmark history, the book has quite rightly resulted in argument. During the years between the publication of The Best Circles and Family Fortunes Davidoff ’s work appeared as a steady stream of scholarly articles, the most important of which have been republished in the collection Worlds Between (1995). Read together, these essays make a powerful argument that domesticity as a concept and the home as a place received important new emphases in the 19th century, across all classes and in both rural and urban areas. Davidoff argued that this affected diverse areas of social and political life: religious practices (particularly within the evangelical movement); individual experiences of masculinity and femininity; desires, sexuality and reproduction; work and production; and claims for political and social inclusion and leadership that were made by various groups among the middle and working classes. If any doubt had been possible about her position on the “ public/ private ” debate after publication of Family Fortunes, this is removed by reading the collection as a whole, and the last chapter in particular where she discusses this key problem in detail. For Davidoff, “ public” and “ private ” should not be considered as conceptual absolutes, but rather as a minefield of “ huge rhetorical potential,” unstable, mutable, and shifting in meanings and implications. On the material and experien tial level, this dualism has affected our institutions, organizations, economies, language, family patterns, and psyches. But Davidoff does not see public and private as fixed, separate entities. Always in her work she is looking for the ways in which they overlap, influence each other, interpenetrate: she points out the areas of this dualism’s operation, together with its contradictions and the hidden interrelationships that belie the rhetoric. In short, her work taken as a whole explores in fascinating detail the significance of the “ public” and “ private ” as a system of meaning organizing modern English society,

while also deconstructing these notions. Far from being trapped within a redundant conceptual framework, Davidoff’s accumulated work has provided us with rich and nuanced understandings of diverse aspects of women’s and men’s lives understood in the wider context of the evolving class structure and cultural framework of modern England. M a r g a r e t L. A r n o t S e e a ls o Britain: since 1 7 5 0 ; Family

Biography Born New York City, 3 1 January 19 3 2 . Received BA, Oberlin College, 19 5 3 ; M S, London School of Economics, 19 56 ; PhD, University of Essex, 19 8 3. Research assistant, Department of Social Sciences, University of Birmingham, 19 5 6 - 5 7 ; taught at University of London Extramural Department, 19 5 5 - 6 0 ; senior member, Lucy Cavendish College, Cambridge, 19 6 4 - 6 8 ; supervisor in sociology for economics tripos, Cambridge University, 19 6 5 - 6 8 ; researcher and lecturer (rising to professor), University of Essex, from 1969. Married David Lockwood, 19 56 (3 sons).

Principal Writings T h e B est C ircle s: Society, E tiq u ette a n d the S e a so n , 19 73 Editor with Belinda Westover, O u r W o rk, O u r L iv e s, O u r W o rd s , 1986 With Catherine Hall, F a m ily F o rtu n es: M e n a n d W o m en o f the E n g lish M id d le C la ss, 1 7 8 0 - 1 8 5 0 , 19 8 7 W o rld s B e tw e e n : H isto rica l P ersp ectives on G e n d e r a n d C la ss , 19 95

Further Reading Newton, Judith, “ F a m ily F o rtu n es: ‘ New History ’ and ‘ N ew Historicism’ , ” R a d ic a l H isto ry R e v ie w 43 (1989), 5 - 2 2 Vickery, Amanda, “ Golden Age to Separate Spheres? A Review of the Categories and Chronology of English Women’s History,” H isto rica l Jo u r n a l 36 (1993), 3 8 3 - 4 1 4

Davidson, Basil 1914British historian o f A frica

Basil Davidson has grown to become one of the most recognized names in African studies. Davidson worked as a journalist from 1938 to 1962 for a number of publications including the Economist and the London Times. During World War II he served in the British Army in the Balkans. The war exposed him to the excesses of nationalism and allowed him to see several African cities when he travelled to the Balkan war theater via Africa. He returned to his career of journalism following the war, with the additional intention of writing history. His plans to study Eastern European history faded as the Cold War made access difficult, so he turned to African history in 19 5 1. Davidson was active in defining the field and was among the first to write academic histories of the continent. His early works, such as Old Africa Rediscovered (1959), and Black Mother (19 6 1, revised 1980), remain seminal works in African history. It has been said that the works of Davidson helped to usher in “ the golden age ” of African historiography. The liberation of Africans still under colonial domination was an intense interest of Davidson ’s, and explains his staunch

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support for African nationalism. He travelled in the war theaters of Angola and knew well the nationalist leaders of Portuguese Africa, Agostino Neto and Amilcar Cabral. Davidson wrote about the nationalist movements in Portuguese Africa to inform the apathetic European and American public about the real social conditions in these nations. His anticolonial thinking led to the publication of The Liberation of Guine (1969), In the Eye of the Storm (1972), The People's Cause (19 8 1) and The Black Man's Burden (1992). Davidson argued that the most important cultural event of 20th-century Africa was the culmination of nationalism and all its implications. Davidson’s activities earned him the label of a radical, a tag he has given little effort to shedding: that European imperialism was cancerous, retrogressive, and brutal have remained central to Davidson ’s thinking. As part of the nationalist school, Davidson has spent a good deal of time highlighting the glories of the African precolonial past. While interpreted today as biased and selective, nationalist historiography served a very real need in post-independence Africa. After decades of subjugation, obfuscation, and outright denial of the accomplishments of the African past by the European powers, nationalist historiography reclaimed the glory of the African past, giving back to Africans part of their sense of identity. A challenge for Davidson was to define “ glorious” so it suited Africans, not Europeans. Despite this, Davidson succeeded in selecting themes and events that appealed to Western audiences and yet at the same time asserted the greatness of the African past. One of the main features of Davidson ’s writings is his com mitment to cross-disciplinary investigation of the past. For him, the discipline of history does not have a monopoly on ways to study the past. In the early years of African historiography, when secondary writings on many subjects were scant, a synthetic researcher was a practical one. Later, Davidson’s synthetic research style became central to his writings as he investigated the interrelatedness of African societies to one another and the rest of the world. Among his studies that employ a crossdisciplinary research methodology are: The African Past (1964), The Africans (1969), Africa in Modern History (1978), Modern Africa (1983), Africa (TV series, 1984), The Story of Africa (1984), and The Search for Africa (1994). Davidson has campaigned against ignorance of Africa in the West and to destroy many of the myths surrounding Africa in today’s world; this has often led him to write on topics concerning the entire continent. This has widened his appeal to a large reading public, and his works have been translated into 17 languages. This wide appeal has also attracted criticism, yet his works are superbly written, well documented, and have provided an abundance of further research avenues. Two generations of scholars have been influenced by his works. Many Africans, Europeans, and North Americans owe a great deal of the way they see African history to Basil Davidson. T o y i n F a l o l a and J o e l E. T i s h k e n S e e a ls o

Africa: Central; Nationalism; Ogot

Biography Basil Risbridger Davidson. Born 9 November 19 14 . Served in the British Army, 19 4 0 - 4 5 , in the Balkans, North Africa, and Italy. Early career mainly as journalist: editorial staff member, the

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E c o n o m is t, 19 3 8 - 3 9 ; diplomatic correspondent, the Star, 19 39 ; Paris correspondent, the T im e s, 1 9 4 5 - 4 7 , and chief foreign leaderwriter, 19 4 7 - 4 9 ; special correspondent, the N e w Statesm an, i 9 5 ° - 5 4 ; and the D a ily H e r a ld , 19 5 4 - 5 7 ; leader-writer, D a ily M ir r o r , 19 5 9 - 6 2 . Visiting professor in Ghana, 19 64 , at University of California, Berkeley, 1 9 7 1 , and at Edinburgh, Manchester, Birmingham, and Turin universities. Married Marion Ruth Young, 19 43 (3 sons).

Principal Writings T h e A fric a n A w a k e n in g , 19 5 5 O ld A fr ic a R e d isc o v e re d , 19 59 ; also as T h e L o s t C ities o f A fric a , 1959 B la c k M o th e r : A fr ic a - the Years o f Trial, 19 6 1 ; in US as B la ck M o th e r : T h e Years o f the A fric a n Sla ve T ra d e, 19 6 1 ; revised as B la c k M o th er: A fric a a n d the A tla n tic S la ve T ra d e, 1980 T h e A fric a n Past: C h ro n icle s fro m A n tiq u ity to M o d e r n T im es,

19 64 A fr ic a : H isto ry o f a C o n tin en t, 19 66 A fric a in H isto ry : T h e m e s a n d O u tlin es, 19 6 7 E a st a n d C en tra l A fr ic a to the L a te N in eteen th C e n tu ry, 19 6 7;

revised 'as A H isto ry o f E a st a n d C en tra l A fr ic a to the L a te N in eteen th C e n tu ry, 1969 T h e A fric a n s : A n E n t r y to C u ltu ra l H isto ry , 1969; also as T h e A fric a n G e n iu s: A n In tro d u ctio n to A fric a n C u ltu ra l a n d S o c ia l H isto ry , 19 70 T h e L ib e ra tio n o f G u in e : A sp e c ts o f an A fric a n R e v o lu tio n , 1969 In the E y e o f the S to rm : A n g o la ’s P e o p le , 19 7 2 C a n A fr ic a S u r v iv e ? A rg u m en ts A g a in st G r o w th W ith out D e v e lo p m e n t, 19 74 A fr ic a in M o d e rn H isto ry : T h e Search fo r a N e w S o ciety, 19 78 T h e P e o p le ’s C a u se : A H isto ry o f G u errilla s in A fr ic a , 19 8 1 M o d e r n A fric a , 19 83 A fr ic a : A V oyage o f D isc o v e r y (TV series), 19 84 T h e S to ry o f A fric a , 1984 A fric a n C iviliza tio n R e visite d : F r o m A n tiq u ity to M o d e rn T im es,

19 9 1 T h e B la ck M a n ’s B u rd e n : A fric a a n d the C u rse o f the N a tio n - S ta te ,

19 9 2 T h e Search fo r A fr ic a : A H isto ry in the M a k in g , 19 94; in US as T h e Search fo r A fr ic a : H istory, P olitics, a n d C u ltu re , 1994

Further Reading Egerton, F. Clement C., A n g o la W ith o u t P reju d ice, Lisbon: AgencyGeneral for the Overseas Territories, 19 5 5 Eriksen, Tore Linne, M o d e rn A fric a n H isto ry : S o m e H isto rica l O b s erva tio n s , Research Report no. 55, Uppsala, Sweden: Scandinavian Institute of African Studies, 19 79 Fyfe, Christopher, ed., A fric a n Studies since 1 9 4 5 : A Trib u te to B a sil D a v id s o n , London: Longman, 19 76

Davies, Norman 1939-

British historian o f Poland

Among the foremost historians of Poland writing in the English language, Norman Davies is the author of the most satisfactory history of that country since Oskar Halecki’s 1942 History of Poland. Unlike Halecki, who specialized in late medieval and Renaissance history, Davies’ field is modern Poland. Nevertheless, Davies has, in many ways, become the intellectual successor to Halecki in that both men are able to comprehend the entire scope of the Polish past, and, of equal importance, place Polish history in its European context.

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Furthermore, both moved from an early specialization on Poland to writing more broadly on European history, in effect using the complexity of Poland’s history to help explain Europe’s past, and refocusing European history on all of Europe, not simply the westernmost portion. This is most noticeable in Davies’ Europe: A History (1996). Davies’ first book, a study of the Polish-Soviet War of 19 19 - 2 0 , was the first significant scholarship on that important conflict in English. A.J.P. Taylor described it as “ a very remark able book . . . a permanent contribution to historical knowledge and international understanding.” God ’s Playground (19 8 1), Davies’ best-known book to date, is a synthetic, 2-volume work that provides a coherent and up-to-date narrative account of the Polish past, incorporating the work of both Polish and nonPolish scholars. His third book, Heart of Europe (1984), is, perhaps, his most interesting work stylistically. It covers Polish history in a series of essays, beginning with the Solidarity era and working backward to the Middle Ages. Meant primarily for a non-Polish audience, Heart of Europe is at its best in explaining the impact of history on the Polish consciousness, and the interplay of past and present that made history supremely relevant to Poles struggling under foreign oppression. More recently, Davies has focused on topics such as the Polish community in Britain, and the impact of World War II on East Central Europe. Davies’ works often receive praise from reviewers for their scholarship as well as for the author’s command of prose. Historiographically, Davies tends to forego large, allencompassing theories in favor of description and analysis. His works are strongest in the area of politics and government policy, subjects he seems to prefer over economics. Neither of his histories of Poland spend a great deal of time on the economics of peasant agriculture or industrialization, and emigration from the Polish lands receives virtually no coverage at all. Despite his descriptive approach, however, Davies is quite capable of drawing broad conclusions from the evidence, and drawing parallels across time, something that is essential in the study of Polish history and in understanding the Polish view of history. As one of the foremost interpreters of East European history in the English-speaking world, Davies is at his most forceful in decrying the myths that many hold about Eastern Europe and its people. In a 1994 lecture he noted that despite all the attention paid to the 50th anniversary of the Allied invasion of France, World War II was primarily fought in Eastern Europe. Much of the history of that war has been written, he noted, without any accurate information about the Soviet Union - one of the war’s major players. This has led to numerous distortions and a selective remembrance of the history of World War II that overemphasizes the role of the Western Allies. Davies’ ability to point out the fallacies and myths about controversial subjects - such as Polish-Jewish relations - has occasionally resulted in his being attacked in the popular press. Despite this, however, the depth and comprehensiveness of his books and articles insures that Davies will remain the most widely read historian of Poland working in a non-Polish language. J o h n

R a d z il o w s k i

See also East Central Europe; Europe: Modern; Poland: to the 1 8th Century; Poland: since the 18th Century

Biography

Born Bolton, Lancashire, 19 39 . Studied history, Magdalen College, Oxford; University of Grenoble; and University of Sussex; doctorate, Jagiellonian University, Krakow. Research fellow, St. Antony ’s College, Oxford, 1 9 6 9 - 7 1 ; lecturer, then reader in Polish history, School of Slavonic and East European Studies, University of London, from 19 7 1 .

Principal Writings

W hite E a g le , R e d Star: T h e P o lis h - S o v ie t War, 1 9 1 9 - 2 0 , 19 7 2 “ Great Britain and the Polish Jews, 1 9 1 8 - 2 0 , ” Jo u r n a l o f C o n te m p o ra ry H isto ry 8/2 (19 73), 1 1 9 - 4 2 Editor, P o la n d , P ast a n d P resen t: A Select B ib lio g ra p h y o f W o rks on P o lish H isto ry in E n g lish , 19 7 7 G od ’s P la yg ro u n d : A H isto ry o f P o la n d , 2 vols., 19 8 1 H ea rt o f E u r o p e : A S h o rt H isto ry o f P o la n d , 19 84 S o b ie sk i ' s L e g a c y : P o lish H istory, 1 6 8 3 - 1 9 8 3 : A L ec tu re , 19 8 5 C a ta cly sm : T h e S e c o n d W o rld W ar a n d E a stern E u ro p e , 1 9 3 9 - 1 9 4 3 , 1988 “ The Growth of the Polish Community in Great Britain, 1 9 3 9 - 5 0 , ” in Keith Sword with Davies and Jan Ciechanowski, T h e F o rm a tio n o f the P o lish C o m m u n ity in G re a t B rita in, 1 9 3 9 - 5 0 ,

1989 Editor with Antony Polonsky, J e w s in E astern P o la n d a n d the U S S R , 1 9 3 9 - 4 6 , 19 9 1 E u r o p e : A H isto ry , 1996

Davies, R.W.

19 2 5 -

British historian o f Russia

R.W. Davies is the leading British economic historian of 20thcentury Russia. From 1958 he was the collaborator of E.H. Carr in his history of Soviet Russia in the 1920s, which Davies has continued into an exploration of the 1930s and collectivization, with 1936 as the projected completion point for his investigations. After war service Davies studied Russian and then turned to economics and economic history to work under the leading émigré scholar Alexander Baykov at the University of Birmingham. Apart from a brief interlude, Davies then made his career at the University of Birmingham, where he succeeded Baykov to head a newly formed Centre for Russian and East European Studies (CREES), one of a number of such centers established by the British government in the early 1960s to assist in understanding the development of the Soviet bloc. Davies remained in charge until 1979, establishing its reputation as the leading center in Western Europe. He attracted world-class scholars such as Moshe Lewin and encouraged a formidable postgraduate research program. This was financed in part by winning OECD support for a pioneering study of Soviet science policy (which developed into an innovative study of technology levels) and later by gaining British Social Science Research Council support for an investigation of Soviet economic history. This allowed the publication of CREES working papers covering major aspects of Russian social and economic history. Despite this entrepreneurialism Davies remained an accessible, enthusiastic scholar, and it was characteristic that he relinquished control in 1979 to better concentrate on his historical work and supervision. Here Davies insisted on empirical accuracy to break through the myths and the accusations of history informed by Cold

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War perspectives, something made possible by the extensive acquisition of printed primary sources in the Alexander Baykov library at the university. In the 1980s this led Davies and his team into important technical debates about Soviet economic growth, especially in the New Economic Policy period. This field had witnessed much controversy over the prospects for growth, and even sharper political debates as new work suggested that the costs of Stalinism, though horrific, had been exaggerated in some accounts. In addition to his own accounts, Davies has also made available key documents on which the new economic history of Russia is being built, and reworked earlier classic estimates of growth rates. His concern has gone beyond narrow economic history to try to unravel the interaction of economics and politics, and in this sense, despite the use of modern economic and statistical concepts, his concerns remain more those of traditional historiography. Davies, however, eschewed direct involvement in the wider debate on the nature of the USSR. When the Soviet Union invaded Hungary in 1956 he broke with the British Communist party, though he was not a part of the influential debates among ex-Communist party historians in Britain. Despite subsequent sharp criticism of the USSR and friendship with historians who fell foul of the regime, he rejected both Trotsky ’s arguments and more radical left-wing critiques and saw the system as having an element of “ socialism.” For Davies, Stalinism was a distorted “ adaptation of M arxism ” that could be overcome by reform. This led him to a positive view of perestroika, arguing at the time that “ in 1987 and 1988 we have seen nothing less than the rebirth of Soviet Marxism. The Marxist analysis of the Soviet experience is now one of the focal points of the whole debate.” He even allowed himself to speculate on the “ alluring” prospect of “ a golden Soviet future.” When this prospect did not materialize he returned to his more detailed investigations of Soviet economic history which will remain an essential part of the foundations on which a more adequate analysis of the nature of the Soviet system will be built. M ic h a e l

H a yn es

See also Carr, E; Russia: Modern Biography Robert William Davies. Born London, 23 April 19 2 5 . Educated at Westcliff High School; then served in radio communications including in Egypt for the Royal Air Force during World War II. Received BA in Russian studies, School of Slavonic and East European Studies, University of London, 19 50 ; PhD in commerce, University of Birmingham, 19 54 . Taught at University of Glasgow, 1:954 - 56; and University of Birmingham (rising to professor), from 19 56 : director, Centre for Russian and East European Studies, 1:963 - 79. Married 19 5 3 (1 son, 1 daughter).

Principal Writings T h e D e v e lo p m e n t o f the S o vie t B u d g e ta ry S y stem , 19 58 With others, S cien ce P o lic y in the U .S .S .R . , 1969 With E.H. Carr, F o u n d a tio n s o f a P la n n e d E c o n o m y , 1 9 2 6 - 19 2 9 , 2 vols., 19 6 9 - 7 8 Editor with Ronald Amann and Julian Cooper, T h e T ech n o lo g ica l L e v e l o f S o vie t In d u stry , 19 7 7 Editor, T h e S o vie t U n io n , 19 78 T h e Socialist O ffe n s iv e : T h e C ollectivisa tio n o f A g ricu ltu re,

1929-1930,

1980

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T h e S o vie t C o lle ctiv e Farm , 1 9 2 9 - 1 9 3 0 , 1980

‘“ Drop the Glass Industry’: Collaborating with E.H. Carr,” N e w L e ft R e v ie w 14 5 (May/June, 1984), 56 - 70 Editor with S.G. Wheatcroft, M aterials fo r a B a la n ce o f the S o vie t N a tio n a l E co n o m y , 1 9 2 8 - 1 9 3 0 , 19 85 T h e S o vie t E c o n o m y in Tu rm oil, 1 9 2 9 - 1 9 3 0 , 1989 S o vie t H isto ry in the G o r b a c h e v R e vo lu tio n , 1989 Editor, F ro m Tsarism to the N e w E c o n o m ic P o lic y : C o n tin u ity a n d C h a n g e in the E c o n o m y , 1990 “ Gorbachev ’s Socialism in Historical Perspective,” N e w L e ft R e v ie w 17 9 (January/February, 1990), 5 - 2 8 With J.M . Cooper and M.J. Ilic, S o vie t O ffic ia l Statistics o f In d u stria l P ro d u c tio n : C a p ita l S to ck a n d C a p ita l Investm ent, 1 9 2 8 - 1 9 4 1 , 19 9 1 Editor with Mark Harrison and S.G. Wheatcroft, T h e E c o n o m ic Tra n sfo rm a tio n o f the S o vie t U n io n , 1 9 1 3 - 1 9 4 3 , 1994 C risis a n d P ro gress in the S o vie t E co n o m y , 1 9 3 1 - 1 9 3 3 , 19 95

Further Reading Cooper, Julian, Maureen Perrie, and E.A. Rees, eds., S o vie t H istory, 1 9 1 7 - 1 9 5 3 : E ssa y s in H o n o u r o f R .W . D a v ie s, Basingstoke: Macmillan, 19 9 5

Davis, David Brion 1927-

U S cultural historian

David Brion Davis is one of the world ’s leading historians of the cultural and ideological aspects of slavery and antislavery. His first book, Homicide in American Fiction, 1798 - 1860 (1957) stemmed from an initial interest in the movement to abolish cap ital punishment. Davis gradually shifted his scholarly focus to an investigation of the origins of antislavery. The result was The Problem of Slavery in Western Culture (1966; revised 1988). In a panoramic overview, Davis demonstrated historical continuities in the tensions and rationalizations of slavery from ancient through early modern times. He then traced the breakdown of the traditional system and the accompanying rise of antislavery thought during the first three quarters of the 18th century. Never before had the arguments for and against slavery been reviewed so comprehensively or with such emphasis on the ambiguities and ironies within the traditional religious and philosophical discourse. Moving through a broadly chronological sequence of individual writers, Davis ’ methodological premise was that, in the final analysis, descriptions of general intellectual trends are only abstractions. Antislavery opinion required the specific decisions and commitments of individual men to engender the age of abolition. The Problem of Slavery was received with almost universal and unreserved acclaim, and was awarded a Pulitzer prize in 1967. Davis ’ stress on the overriding importance of individual intellectual agents as the catalysts of the age of abolition elicited one sobering critique. Classical historian Moses Finley noted that the ending of slavery in America required the translation of intellectual fervor and commitment into political and military power. Nothing was more difficult and necessary in analyzing the history of slavery than to explain how new moral perceptions became effective in action. Finley implied that Davis ’ approach had limited the relevance of his history of antislavery to the contemporary world. Davis ’ next major study, The Problem of Slavery in the Age of Revolution, 1770 - 1823 (1975) was in part a response to

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Finley’s challenge. Here Davis explicitly set himself the task of explaining the breakthrough and success of abolition in Britain during the age of the American and French revolutions. Drawing upon a combination of Freudian and Marxian models, he accounted for this first major triumph of antislavery in class terms. British antislavery ideology, argued Davis, was especially attractive to the dominant political and economic classes of Great Britain during the early stages of its Industrial Revolution. By mobilizing British culture against the horrors of the slave trade, antislavery ideology could be read unconsciously in a way that displaced attention, among all classes, from industrial chains being forged closer to home. Davis ’ hypothesis of hegemonic displacement attracted more criticism than any argument in the first volume. From this perspective, the second volume was historiographically far more stimulating and controversial than the first. Some historians objected to Davis ’ attempt to use Freudian dynamics to demonstrate the link between antislavery and class interest. Others challenged Davis ’ almost exclusive focus upon the attitudes of the dominant political and economic class in accounting for the political appeal or victo ries of British antislavery. After two decades of extended debate Davis himself reworked his analysis of the problem of capitalism and antislavery to take account of the critiques (see the revised The Problem of Slavery in Western Culture, 1988). Davis ’ third major study of antislavery, Slavery and Human Progress (1984), was a return to the first volume’s history of ideas. Davis again surveyed developments over two millennia, but with more emphasis on collective intellectual trends than on individual thinkers. In geographical scope the third volume went well beyond the Classical /Christian tradition of the first. Slavery and Human Progress cut against a previously dominant historiographical perspective. Davis envisioned the rela tionship between slavery and progress as extending far back into the pre-abolitionist era. Before the 18th century “ progress” was linked to the expansion, not to the eradication of slavery. With the rise of antislavery occurred an inversion of the traditional connection. Yet Davis also showed that even during the age of abolition the idea of progress was often used to rationalize inaction and to defend slavery against antislavery. As with Davis ’ first study of antislavery, Slavery and Human Progress, with its subtle analysis of paradoxes and rationalizations, was appreciated for its encyclopedic sweep and magisterial grasp of multiple meanings. Davis ’ impact to date is therefore a dual one. He has been the source of first resort for any analysis of antislavery thought and of its major cultural representatives, and he enormously expanded the range of theoretical perspectives that had previously been brought to bear on the history of antislavery. The scholarly debate that he stirred up is still reverberating. Se y m o u r

Dr esc h er

See also African American; Genovese; Slavery: Ancient; Slavery:

Modern; United States: Colonial; United States: American Revolution Biography Born Denver, 16 February 19 2 7. Received BA, Dartmouth College, 19 50 ; M A , Harvard University, 19 5 5 , PhD 19 56 . Taught at Dartmouth College, 1 9 5 3 - 5 4 ; Cornell University (rising to

professor), 19 5 5 - 6 9 ; Yale University from 19 72 . Married 1) Frances Warner, 1948 (marriage dissolved 1 9 7 1 ; 1 son, 2 daughters); 2) Toni Hahn, 19 7 1 (2 daughters).

Principal Writings H o m ic id e in A m e rica n F iction, 1 7 9 8 - 1 8 6 0 : A S tu d y in S o c ia l V alues , 19 5 7 T h e P ro b le m o f S la ve ry in W estern C u ltu re , 1966, revised 1988

Editor, A n te - B e llu m R e fo r m , 19 6 7 T h e Sla ve P o w e r C o n sp ir a cy a n d the P a r a n o id S tyle , 1969 T h e P ro b le m o f S la ve ry in the A g e o f R e vo lu tio n , 1 7 7 0 - 1 8 2 3 , 19 7 5 S la v e ry a n d H u m a n P ro g re ss , 19 84 F ro m H o m icid e to S la ve ry : Stud ies in A m e rica n C u ltu re , 1986 R e vo lu tio n s: R eflection s on A m e rica n E q u a lity a n d Fo reign L ib e ra tio n s , 1990

Further Reading Bender, Thomas, ed., T h e A n ti - S la v e ry D e b a te : C ap ita lism a n d A b o litio n ism as a P ro b le m in H isto rica l In terpretation , Berkeley: University of California Press, 19 9 2 Drescher, Seymour, “ The Antislavery Debate” [review essay], H isto ry a n d T h e o ry 32 (1993), 3 1 1 - 2 9 Oostindie, Gert, ed., F ifty Years L a te r: A n tislavery, C ap italism , a n d M o d e rn ity in the D u tc h O r b it , Leiden: KITLV, 19 9 5; Pittsburgh: University of Pittsburgh Press, 1996

Davis, Natalie Zemon

1928-

US historian o f early modern Europe

A brilliantly scholarly historian, grasping the interest of her reader with the artistry of her superbly written books: these words of praise encapsulate critics’ reception of Natalie Zemon Davis ’ books. With the addition of comments on her dazzling erudition, her innovative and imaginative way of exercising social history, we have the portrait of a ground-breaking historian. The key word of her approach to 16th - to 18th-century France is dialogue. In her historical practice, dialogue with the past is not a simple metaphor, but a deliberate effort of listening to the voices of men and women beyond the centuries. Her attempt to capture the lives of the common people, of those who are usually absent from the historian’s conventional archival sources, orients her methodological choices. Her frames of reference are the French school of “ mentalities” which tries to reconstruct ordinary lives in the context of their larger social schemes of behavior, and her British predecessor and counterpart E.P. Thompson with his attention to the function of ritual. Davis ’ point of observation is also the intersection of society and culture. What interests her is how collective and individual identities are constructed and transformed through cultural choices. More precisely, she wants to see how individuals shape themselves in relation to larger structures, be it the family or communities like the church. She never sees people as determined by the conditions and constraints framing their lives or limiting their actions. She presents them as actors maneuvering to cope with their conditions, and even succeeding in changing things, as she likes to show with reference to women. Such a perspective characterizes her conception of popular culture as the outcome of a constant exchange with learned

DEBO

and high culture. While others oppose static dichotomies - learned/popular, literate/illiterate, male/female - Davis observes and analyzes intersections and a dynamic process of interactions. Her method tries to answer to a double challenge. The first is to bring into relief voices heard only through the interstices of traditional sources; the second, to give an accurate account of the multidimensional character of sociocultural realities. Her originality in the latter respect also comes from her skillfulness in establishing a dialogue with and between scholarly theories. She integrates literary history and theory in the study of typical cases. To retrieve the evidence of a popular culture, she reads social and cultural events as anthropologists and folklorists do. In three of her books, she engages in multilayered analysis of case studies. Her first volume, Society and Culture in Early Modern France (1975), assembled eight essays on diverse aspects of iéth -century France. They are perfect demonstrations of the way social and cultural contexts act upon groups and individuals who, in their turn, contribute to shape them. This applies to religious dissent among male artisans or urban women or to ritual and festive traditions, particularly those involving “ carnavalesque” demeanor of turning the world upside-down. Reversals and riots accomplish more than a blowing off of steam. They have close connections with the society’s hierarchies and dominant values, and thus represent not the pathological but the normal. The Return of Martin Guerre (1983) presents the ideal test case for Davis to illustrate the interplay between the shaping of individual identities and broader social and cultural consid erations. This fascinating tale of an impostor who, for three years, took Martin Guerre’s place in his village, family, and wife’s bed, is a perfect context for Davis ’ multilayered analysis. The story presents aspects of peasants’ life with their aspira tions, constraints, property customs, and the way they manage their land. It puts into relief the value they invest in marriage and family links. The events are known through an account by Jean de Coras, doctor of laws, responsible for the case before the Parlement of Toulouse where the false Martin Guerre, Arnaud du Tihl, was tried and sentenced to death in 1560. This account gives the historian access to the way a lawyer and man of letters shaped peasants’ experience. Davis ’ third book does not totally contradict her confidence in ordinary people’s capacity for maneuvering within the constraints of their fate, in spite of the situations of violence and crime presented. Fiction in the Archives (1987) examines letters of remission. They are requests for pardon addressed to the king of France by perpetrators of homicides, from 15 2 3 until 1568. Their interest lies in the almost direct contact they provide with ordinary people’s experiences. Legal experts who shaped the narratives did not overshadow their voices nor radically change the stories told to avoid execution. Pardon letters constitute one of the best sources about the lower orders of society. Davis begins by situating the legal and political context of the pardon letters, stressing their role in enhancing the king’s power. She then devotes a chapter to stories of men killing men. They invoke as attenuating circumstances an excess of hot anger, often during ritual and festive times. By contrast, women’s crimes are said to occur after years of sufferings. However, Davis does not focus exclusively on their documentary interest. She considers them for their fictional value,

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the art with which men and women crafted their tales in comparison with contemporary literary short stories. Her technique of cross-fertilizing the reading of her sources through the interplay of different disciplines is particularly successful. Beyond sociological, political, and legal analysis, she opens new territories for the historian with her recourse to the domains of folklore studies, literary theory, and psychology. M a d e l e in e

J ea y

See also

Agrarian; Anthropology; Body; Cultural; Feminism; France: 1 4 5 0 - 1 7 8 9 ; Kantorowicz; Mentalities; Pieroni Bortolotti; Women ’s History: Europe

Biography Born Detroit, 8 November 19 28. Attended Kingswood School, Detroit; Smith College, BA 1949; Radcliffe College, M A 19 50 ; University of Michigan, PhD 19 59 . Taught history at Brown University, 19 5 9 - 6 3 ; economics, then history, at University of Toronto, 1 9 5 6 - 7 1 ; professor, University of California, Berkeley, 1 9 7 1 - 7 7 ; and, Princeton University, 19 7 7 - 9 6 . Married Chandler Davis, mathematician, 1948 (3 children).

Principal Writings “ Some Tasks and Themes in the Study of Popular Religion,” in Charles Trinkaus and Heiko Oberman, eds., T h e P ursuit o f F lolin ess in L a te M e d ie v a l a n d R en aissan ce R e lig io n : P ap ers fro m the U n iversity o f M ich ig a n C o n fe re n c e , Leiden: Brill, 19 74 S o ciety a n d C u ltu re in E a r ly M o d e rn F ra n ce: E ig h t E ssa y s, 19 7 5 T h e R etu rn o f M artin G u e rre , 19 83 Fictio n in the A rc h iv e s : P a rd o n Tales a n d their Tellers in S ixteen th C e n tu ry France, 19 8 7 “ Iroquois Women, European Women,” in Margo Hendricks and Patricia Parker, eds., W o m en , R a ce a n d W ritin g in the E a rly M o d e rn P e rio d , 1994 W o m en on the M a rg in s: Th ree S e ve n te e n th - C e n tu ry L iv e s , 19 95

Further Reading Chartier, Roger, C u ltu ra l H isto ry : B etw e e n P ra ctices a n d R ep resen tation s, Cambridge: Polity Press, and Ithaca, N Y: Cornell University Press, 1988 Diefendorf, Barbara B., and Carla Hesse, eds., C u ltu re a n d Iden tity in E a r ly M o d e rn E u r o p e ( 1 5 0 0 - 1 8 0 0 ) : E ssa y s in H o n o r o f N a ta lie Z e m o n D a v is, Ann Arbor: University of Michigan Press, 1993

Debo, Angie

18 90 -19 88

U S historian of N ative Am ericans

In the preface to her textbook on American Indians, A History of the Indians of the United States (1970), Angie Debo tells the story of searching for an Indian church in Oklahoma. “ Anybody can tell you where it is,” an Oklahoma Creek assured her. Yet finding herself lost amid the rolling hills and brush, she stopped at a schoolhouse to ask the way. The white teachers claimed never to have heard of the place. The Indian students, on the other hand, immediately pointed out the spot, which stood a mere quarter mile away, shrouded by foliage. Debo explained, however, “ there was a denser thicket in the minds of those teachers of Indian children obscuring their intellectual and spiritual view.” It was this barrier that Debo sought to remove, and her most significant contributions to American

2 92.

DEBO

history lie in her ability to explore the Native American view point without preconception or prejudice and to present the history of first Americans to a broad US audience. Debo battled two forms of prejudice as she began her career after earning her doctorate in 19 33 from the University of Oklahoma. She taught briefly at West Texas State Teachers College, but discovered that, despite her qualifications, when most universities advertised for a professorship, women need not have applied. Thus, Debo spent most of her lengthy career as a freelance historian. Moreover, her initial attempts to write an honest history of American Indians were met not with open arms, but with hostility. Her second, and to many her most significant work, And Still the Waters Run, written in 1936, clearly pointed out the greed and exploitation that motivated whites who seized Indian lands, particularly those of the “ five Civilized Tribes” removed to Oklahoma after 1830. She reserved the most biting criticism not for the military or frontiersman, but the wave of land sharks, corrupt lawyers, and politicians who followed the tribes to Indian Territory to plunder their farmlands, forests, mineral and oil resources. What resulted, Debo clearly wrote, was an orgy of exploita tion almost beyond belief. Because many of those responsible still lived in Oklahoma in 1936, publication of And Still the Waters Run did not occur until 1940, and then only by an out-of-state publisher. The result was severe censure in some cases and charges of libel in others. Nevertheless, exploitation of Native Americans was a theme Debo explored often. Her first work, for example, The Rise and Fall of the Choctaw Republic (1934) examined the impact of the US Civil War on the Choctaw people and revealed for the first time that Indians of Indian Territory also participated in that conflict, often with devastating results once the war ended. Neither did Debo entirely let the uninformed off the hook. Her works often reminded students of US history that much damage to native culture was also done by the wellmeaning missionary or the reformer with ready solutions to problems he barely understood. Through her diligent return to this theme, Debo laid much of the groundwork for the ethnohistorical study of Native Americans that began to grow in the 1980s. As such, Debo was a true pioneer of Native American historical research. In addition, Debo published a number of regional studies that veered sharply away from her exposé of white-native relations. These offer an in-depth look at frontier Oklahoma and early 20th-century communities, sometimes with a Wild West flair. One of the first, Tulsa: From Creek Town to Oil Capital (1943) was a history of the growth of a wild, booming frontier community. Thus, Debo made significant contributions to the historiography of US Western history and to the regional study of Indian Territory, or Oklahoma. Debo’s final publication, Geronimo: The Man, His Time, His Place (1976), was a return to the subject for which she will be best remembered, and in 1983, she wrote the preface to the 7th printing of A History of the Indians of the United States, a text based on a seven-week course in Indian history designed and taught by Debo for teachers of Indian children. In this final preface, Debo announced the correction of a previous error, an error made originally by negotiators of an 1804 treaty, which she unknowingly perpetuated. “ I am glad,” she wrote, “ to correct my own account.” Similarly, as a result

of Debo’s lengthy and prolific career and her absolute determination to present the history of Oklahoma Indians honestly, it can be said that she caused many historians and other Americans to correct their own mistaken accounts of their nation’s first inhabitants. K a t h l een

Eg a n

C h a m be r l a in

S e e a ls o Native American

Biography Born Beattie, Kansas, 30 January 1890. Moved with family to farm in Oklahoma, 1899. Educated at Marshall High School, Oklahoma, 1 9 1 3 ; University of Oklahoma, BA 19 18 , PhD 19 3 3 ; University of Chicago, M A 19 24. Taught at West Texas State Teachers College, 19 3 4 - 4 3 ; for most of her career was independent historian. Died Enid, Oklahoma, February 1988.

Principal Writings

T h e R ise a n d F a ll o f the C h o c t a w R e p u b lic , 19 34

A n d S till the W aters R u n : T h e B etra ya l o f the F iv e C iv iliz e d T rib e s,

1940 T h e R o a d to D isa p p e a ra n ce , 19 4 1 Tu lsa: F ro m C re e k T o w n to O il C a p ita l , 19 43 O k la h o m a , F o o t - L o o s e a n d F a n c y - F re e , 1949 T h e F iv e C iv iliz e d T ribes o f O k la h o m a : R e p o r t o n S o c ia l a n d E c o n o m ic C o n d itio n s , 19 5 1 A H isto ry o f the India ns o f the U n ited States , 19 70 G e r o n im o : T h e M a n , H is T im e , H is P la ce , 19 76

Further Reading Fey, Harold E., and D ’ Arcy McNickle, In d ia n s a n d O th e r A m e rica n s: T w o W ays o f L ife M e e t, New York: Harper, 19 59 Schrems, Suzanne H., and Cynthia J. Wolff, “ Politics and Libel: Angie Debo and the Publication of A n d Still the W aters R u n , ” W estern H isto rica l Q u a rte rly, 22 (19 9 1), 18 4 - 2 0 3

De Felice, Renzo 1929-1996 Italian political historian

Renzo De Felice was among the most controversial historians of Italian fascism. His notoriety, however, did not diminish his reputation as one of the most respected students of the subject and as the author of certainly the greatest biography of Benito Mussolini, a multivolume project for the Einaudi publishing house that, after thirty years, was on the verge of completion at the time of his death. De Felice’s first volume, Mussolini il rivoluzionario, 1883 - 1920 (Mussolini the Revolutionary, 18 8 3 - 19 2 0 ), was issued in 1965, and was followed by six more. The last, uncompleted, volume was to be a study of the dictator’s last years as head of Germany’s doomed puppet state, the Italian Social Republic. Along with the biography, De Felice wrote other important works on Italian history, from early studies on Italian Jacobinism and on the Jews under the fascist regime to II fascismo (Fascism, 1970). He also edited letters and memoirs of many important 20th-century figures such as Gabrielle D ’ Annunzio, Alceste De Ambris, and Dino Grandi. In addition, as founder and editor of the important journal, Storia Contemporanea, De Felice enjoyed considerable influence in Italian academic life.

DEGLER

Besides presenting scholars with the most ambitious biogra phy of the Duce, with its famously impressive footnotes, De Felice enriched the debate on fascism. He insisted that notions of generic fascism, although not without validity, are dangerous at some point and that important distinctions should be drawn between Italian fascism and its German cousin, National Socialism. While De Felice recognized other variations throughout Europe, he believed that a search for real fascism beyond there was a futile task. De Felice’s interpretation of fascism, particularly in its “ movement” phase, as a middle-class revolution with roots in the Enlightenment, also provoked debate. He elaborated on this thesis until he reached the conclusion that the fascist revolt of society’s middle ranks was not based on fear, but rather was an assertive bid for power by an emergent class. De Felice therefore accorded authentic revolutionary motives to Mussolini and gave fascism a certain status as a valid political idea unto itself, in the Enlightenment tradition, and not one to be explained away in what he criticized as “ simple” Marxist terms. Finally, De Felice claimed that Mussolini’s regime reached a height of genuine “ consensus” popularity in 1936 with the conquest of Ethiopia. De Felice’s interpretations of Mussolini and fascism launched a major intellectual debate in Italy. While some drew what they believed to be De Felice’s own conclusions, or apologies, from his texts, he was reluctant to label and embrace avowed interpretations. His clearest attempts to put his own synthesis in print came only in the mid - 1970s with an entry on “ Fascism ” for the Enciclopedia del novecento, a final chapter of Le interpretazioni del fascismo (1969; Interpretations of Fascism, 1977), and an interview with the American scholar, Michael Ledeen, Intervista sul fascismo (19 75; Fascism: An Informal Introduction, 1976). While the first volume of De Felice’s biography of Mussolini was noteworthy, the harshest criticisms erupted after the publication of Intervista sul fascismo. In 1975 Italy ’s fascist experience still weighed heavily on its historiography and many, particularly Marxist scholars, condemned De Felice’s and other studies that failed to exhibit explicitly antifascist view points. In his attempts to credit fascism as an authentically revolutionary movement with intellectual anchors in respectable philosophical traditions, important figures from the acad emic left such as Giuliano Procacci, Nicola Tranfaglia, and Paolo Alatri worried that De Felice had elevated apologias for fascism into serious historical discourse. De Felice answered these criticisms with accusations that Italy’s historical “ establishment” was too doctrinaire and rushed too easily to leftwing conclusions. Unfortunately his death leaves this question unresolved. Ro y

Pa l m e r

D o men ic o

See also Italy: since the Renaissance; Salvemini; Spriano Biography Born Rieti, 19 29. Studied under Delio Cantimori and Federico Chabod, University of Naples, where he was also a youthful activist in the Italian Communist party. Professor of history, Faculty of Political Sciences, University of Rome. Married Livia De Ruggiero, daughter of the historian Guido De Ruggiero. Died Rome, May 1996.

293

Principal Writings Storia d eg li eb rei italiani sotto il fa scism o (History of Italian Jews

under Fascism), 19 6 1 M u s so lin i , 7 vols., 19 6 5 - 9 2 L e interpretazion i d e l fa s cism o , 1969; in English as Interpretations o f Fa scism , 19 7 7 Il fa scism o : le interpretazion i d ei c o n tem p o ra n ei e d eg li storici

(Fascism: Interpretations of Contemporaries and Historians), 1970 Intervista su l fa s cism o , edited by Michael Ledeen, 19 7 5 ; ‘ n English

as Fa scism : A n In fo r m a l In tro d u ctio n to Its T h e o r y a n d P ra ctice, 19 76 E b r e i in un p aese a ra b o : g li eb rei nella L ib ia con tem p o ra n ea tra c o lo n ia lism o , n a zion a lism o a ra b o e sio n ism o ( 1 8 3 5 - 1 9 7 0 ) , 19 78 ;

in English as J e w s in an A r a b L a n d : L ib y a , 1 8 3 5 - 1 9 7 0 , 19 85

Further Reading Ledeen, Michael, “ Renzo De Felice and the Controversy over Italian Fascism,” Jo u r n a l o f C o n tem p o ra ry H isto ry 1 1 (1976), 26 9 - 8 3 Painter, Borden W., Jr., “ Renzo De Felice and the Historiography of Italian Fascism,” A m e rica n H isto rica l R e v ie w 95 (1990), 3 9 1 - 4 0 5

Degler, Carl N.

19 2 1-

U S historian

Carl N. Degler, one of the leading post-194 5 historians of the United States, has pursued a career which encapsulates many of the developments in American history during that period. Never a dogmatist or ideologue, in his work he represents many of the most fruitful developments of postwar liberal history, particularly the increasing emphasis given to social history and to the study of groups, once largely ignored, including ethnic minorities and women. Degler was ready to cross disciplinary boundaries and to use the insights of comparative history; he was also willing to challenge conventional pieties. His major works include a 1 -volume synthesis of United States history and substantial studies of race, the South, American women, and most recently of the role of Darwinism in American social thought. Degler’s first major work, Out of Our Past (1959), provided a readable and accessible overview of the history of the United States. It concentrated, not upon facts, dates, and narrative, but rather on the evocation of the American past through the evidence both of the social sciences and of diaries, letters, literary sources, and the accounts of foreign observers. Degler dealt extensively with the changing lives and experiences of average Americans, especially those of the working class and trade unionists, and with women, the family, immigrants, and blacks, and the social effects of urbanization and industrialization. He also suggested that the scale and scope of the changes wrought in the United States by Franklin D. Roosevelt’s New Deal amounted to a “ third American revolution,” the successor of the original revolution of the 1770s and 1780s, and the epochal Civil War. His work was an implicit answer to those historians who attempted to minimize the importance of the social and economic reforms of the 1930s. Degler’s interest in social history, coinciding as it did with the upheavals of the 1960s, led him to a comparative examination of slavery and race relations in the United States and Brazil, Neither Black nor White (19 7 1). Degler attempted to explain why it was that Brazil had by the late 19th century

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DEGLER

dismantled its segregationist legislation, whereas the United States did not do so until the 1960s. He concluded that, although racism undoubtedly existed in Brazil, the ambiguous halfway status of the mulatto moderated many of its worst effects; moreover, the hierarchical nature of Brazilian society and the lack of full democracy to some degree protected blacks. In the United States, by contrast, and particularly after universal manhood suffrage became prevalent, all Americans with some African blood were defined as black and subjected to humiliating segregatory legislation, since in a mobile and com petitive society blacks posed an economic and social threat to working-class whites. Degler followed this work with The Other South (1974), a study of 19th-century southern intellectual opponents of slavery and racism. Inevitably written with the contemporary southern situation in mind, this volume con cluded that, while a discernible white southern dissenting, antiracist and antislavery tradition existed, by the late 19th century its proponents had largely been driven out of the South, not to be replaced until the 1950s. To the debate of the 1950s and early 1960s as to whether post-World War II Americans were conformist, Degler contributed Affluence and Anxiety (1968), in which he argued that, even in the 19th century, Alexis de Tocqueville and other foreign observers had commented upon the prevalence of such traits in the United States. After tackling the topical theme of race, Degler turned to the equally timely issue of women’s rights, producing At Odds (1980), an early synthesis of the history of American women and the family, a volume largely based upon his own extensive research in this area. He argued forcefully that the demands of American women for equality and personal fulfillment were often in opposition to and hampered by the calls made upon them by their family roles, especially the bearing and raising of children, which would have to change drastically if American women were ever to achieve full equality. In some ways, the arguments that Degler put forward in his most recent and controversial work, In Search of Human Nature (19 9 1), in particular his endorsement of current theories that men and women are biologically and psychologically unalike, which implies that they naturally tend to fill different social roles, seem to contradict his previous book ’s support for greater equality, and to reflect the growing social conservatism of the Reagan-Bush years. In this new study, subtitled The Decline and Revival of Darwinism in American Social Thought, Degler once more broke new ground, as he tried to marry the insights of the new discipline of sociobiology to those of history. After detailing the original rise of Social Darwinism in the United States, and its challenge in the early 20th century by theories that culture and nurture, not nature, were responsible for most differences between human beings, Degler detailed the rise of sociobiology, the attempt to apply behavioral rules derived from the study of other animals to the human species. While praising his attempt to introduce historians and the lay reader to the concepts of sociobiology, critics charged that he was unfamiliar with all the relevant literature and had too readily accepted the theories of those who argued that most human behavior was biologically determined, while ignoring the scholarship of those who qualified or dissented from this view. Despite such caveats, in his lengthy career Degler produced some of the most stimulating, well-researched, and accessible liberal scholarship on themes of absorbing contemporary

interest, and is “ a man known for his tolerance and good sense.” His work won him substantial public and professional recognition, including a Beveridge prize (19 7 1), a Pulitzer prize (1972), and a Bancroft prize (1972), a chair at Stanford University, and service as president of both the Organization of American Historians and the American Historical Associa tion, the two major United States professional historical organizations. P r i s c i l l a M. R o b e r t s Brazil; Latin America: National; Slavery: Modern; United States: 20th Century; Women’s History: North America

S e e a ls o

Biography Carl Neumann Degler. Born Orange, New Jersey, 6 February 19 2 1 . Educated at Upsala College, New Jersey, BA 19 4 2 ; Columbia University, M A 19 4 7, PhD 19 5 2 . Taught at Hunter College, 19 4 7 - 4 8 ; New York University, 19 4 7 - 4 9 ; Adelphi College, I 9 5 ° ~ 5 I i City College of N ew York, 19 5 2 ; Vassar College (rising to professor), 19 5 2 - 6 8 ; Stanford University, 19 6 8 - 9 0 (emeritus). Married Catherine Grady, 1948 (1 son, 1 daughter).

Principal Writings O u t o f O u r P ast: T h e F o rces T h a t S h a p e d M o d e r n A m e r ic a , 19 59 ;

3rd edition 19 84 A fflu e n c e a n d A n x ie t y : 1 9 4 5 - P r e s e n t , 1968; 2nd edition as A fflu e n c e a n d A n x ie t y : A m e ric a since 1 9 4 5 , I 9 7 5 N e ith e r B la ck n o r W h ite: S la ve ry a n d R a ce R ela tio n s in B ra z il a n d the U n ited States , 19 7 1 T h e O th e r S o u th : Sou th ern D issen ters in the N in e tee n th C e n tu ry , 1974 P la ce o v e r T im e : T h e C o n tin u ity o f S o u th ern D istin ctiven ess , 19 7 7 A t O d d s : W o m en a n d the F a m ily in A m e rica fro m the R e vo lu tio n to the Present, 1980 In Search o f H u m a n N a tu re : T h e D e c lin e a n d R e v iv a l o f D a r w in ism in A m e rica n S o c ia l T h o u g h t, 19 9 1

Further Reading Boylan, Anne M ., “ The Family of Woman,” R e v ie w s in A m e rica n H isto ry 8/4 (December 1980), 4 3 1 - 3 6 Fass, Paula S., “ O f Genes and Men,” R e v ie w s in A m e rica n H isto ry 20/2 (June 1992), 2 3 5 - 4 1 Kraus, Michael, and Davis D. Joyce, T h e W ritin g o f A m e rica n H isto ry , revised edition, Norman: University of Oklahoma Press, 19 8 5 Sternsher, Bernard, C o n se n su s , C o n flict, a n d A m e rica n H isto ria n s, Bloomington: Indiana University Press, 19 7 5

Delbriick, Hans

1848-1929

Germ an m ilitary and political historian

Hans Delbriick paved the way for the investigation and study of the art of warfare, especially as it related to political history. Following completion of his university studies in Heidelberg, Greifswald, and Bonn, Delbriick volunteered for combat in the Franco-Prussian War of 18 7 0 - 7 1 (battle of Gravelotte, siege of Metz). These wartime experiences provided the basis for his later research. After the completion of his dissertation on Lambert von Hersfeld (1873), Delbriick obtained the position of tutor for

DELBRÜCK

the younger son of the crown prince of Prussia, Waldemar. This position, which Delbrück held for five years until the death of Waldemar (1879), allowed him to research and prepare himself for a university teaching career. During this period, he edited the papers of the Prussian field marshal Gneisenau and wrote his biography (1882). This work marked Delbrück’s entry into the field of military history. With Delbrück’s Habilitation (the publication necessary to gain promotion at the university) began the first major disputes of his career, since the Philosophical Faculty at the University of Berlin refused to accept his area of interest as a historical topic. In the end, it took until 1895 for him to get a professorship, and then only because the Prussian cultural minister Althof pulled strings. Delbrück remained as professor of history until his retirement in 19 2 1. Delbrück was no stranger to controversy. His first publications dealing with military-historical problems were subjected to harsh criticism. His Die Perserkriege und der Burgunderkrieg (The Persian Wars and the Burgundy War, 1887) and Die

Strategie des Perikies: erläutert durch die Strategie Friedrich des Grossen (The Strategy of Pericles Explained Through the

Strategy of Frederick the Great, 1890) were greeted with disbelief and amazement in military circles because of their com parison of historical military events greatly separated in time and place. If this was a failing of his works, Delbrück did manage to shed new light on older historical problems. By means of rational calculation, he was able to argue that the armies of antiquity were not as large as had previously been believed. In addition, Delbrück introduced the use of a new general criticism, rather than the older critical evaluation of sources, to the study of history. Because this method substantially revised the existing picture of ancient military history and, therefore, ancient history in general, he was shunned by his fellow historians and academic colleagues. Although the advantages of Delbrück’s general criticism have been viewed by many as “ incalculable,” its weaknesses are also clear. General criticism readily exposes contradictions, inconsistencies, and improbabilities in the sources that it analyzes, but cannot offer firm conclusions, only theories and hypotheses. Delbrück’s great “ mistake” in Die Strategie des Perikies was that he attacked the philosophy of the “ war of attrition” and thus implied that the German national hero Frederick the Great was unheroic. This turned the military establishment against him. Only after the storm of controversy about Delbrück’s methods and conclusions had passed was a balanced criticism of his work possible. The isolation of his work resulted not only from his methodology, especially his general criticism, but also from his historical philosophy which stood in opposition to the spirit of the Wilhelmine age. He brought rationally argued, scientific analy sis to an area of history which had previously been based on emotions. Delbrück’s point of view was in agreement with the new technological age and did not fit with the emotional war rior spirit prevalent among the soldiers and scholars of his day. Delbrück ’s major work, Geschichte der Kriegskunst im Rahmen der politischen Geschichte (1900 - 20; History of the Art of War within the Framework of Political History, 19 75 - 85), encapsulated all of his theories. Although the fourth volume continued Delbrück’s battle with his critics, it was actually the other volumes that were at the center of his contribution. History of

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the Art of War was, without a doubt, one of the most original contributions by a German historian in the 19th or 20th century, as no comparable study had been undertaken prior to it. With this work Delbrück reached the peak of his creativity. It is interesting to note that these four volumes, which established Delbrück ’s reputation as a historian, came near the end of his career. Despite its failings in the area of social history, History of the Art of War was masterful in its use of sources and in the historical questions it posed. However, this did not prevent other major historians of the age from greeting it with skepticism (Leopold von Ranke) or disregard (Theodor Mommsen). In volume 4, Delbrück differentiated between the war of attrition and the war of destruction and argued successfully that Frederick the Great embodied the first, and Napoleon the second of these concepts. Delbrück’s renewed criticism of Frederick the Great made him a national pariah, and his critics were quick to attack all the small mistakes in logic and research that he had made. Despite this controversy, Delbrück’s broad knowledge, clear writing, and original thinking established him as one of the premier historians of his age. In addition to History of the Art of War Delbrück later com pleted a 5-volume Weltgeschichte (World History, 19 23 - 28 ) based on his university lectures from 1896 onwards. Delbrück’s Weltgeschichte was the last world history written entirely by a German historian, albeit with the help and advice of colleagues for specific chapters. The scope of his Weltgeschichte was enormous. Delbrück covered general world history from its beginnings until Bismarck’s resignation as German chancellor, concentrating on difficult historical questions that attested to his mental sharpness even at the age of 70. In both History of the Art of War and Weltgeschichte, Delbrück was the first historian to undertake a study of the art of war in its relation to political history. This originality in his thinking set him apart from his contemporaries and made him a target for those who supported more traditional views of military history. Through his work, Delbrück revolutionized the process for evaluating and writing military history and almost singlehandedly established it as a modern academic discipline at the university level in Germany. Delbrück’s distance from the power politics of the military establishment may well have been the key to his eventual success. By observing military matters from the outside, he was not influenced by internal pressures and was, thus, able to offer an unbiased interpretation of events as he saw them, not as the military wanted them to be portrayed. Although many aspects of Delbrück’s work continue to be controversial, most historians today admit that without him our understanding of military-political history would be much less extensive. The strong reactions that Delbrück elicited from his contemporaries sparked historical debates that still remain important today, some 70 years after his death. G r eg o r y

Weeks

See also Germany: 1450 - 1800; Military; Napoleonic Wars Biography Hans Gottlieb Leopold Delbrück. Born Bergen auf Rügen, 1 1 November 1848. Studied history at Heidelberg, Greifswald, and Bonn. Fought in Franco-Prussian War. Tutor of German crown princes, 18 7 4 - 7 9 ; professor, University of Berlin, from 18 8 5.

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DELBRÜCK

Free-Conservative deputy, in Prussian “ Land ” Parliament, 18 8 2 - 8 5 ; Reichstag member, 18 8 4 - 9 0 . Editor with Heinrich von Treitschke, P reu ssische Ja h r b ü c h e r , 18 8 3 - 9 0 , solely, 18 9 0 - 19 19 . Married Lina Thiersch, 1884 (3 sons, 4 daughters). Died Berlin, 14 July 1929.

Principal Writings

D a s L e b e n des F eldm arsch alls G ra fe n N eith a rt v. G n eisen a u (The

Life of Gneisenau), 2 vols., 18 8 2 H isto risch e u n d P olitisch e A u fsä tze (Historical and Political Essays),

18 8 7; republished as E rin n eru n g e n , A u fsä tze u n d R e d e n (Memoirs, Essays, and Speeches), 1902

Schleier, Hans, “ Hans Delbrück,” in Gustav Seeber, ed., G esta lten d er B ism a rck z e it , Berlin: Akademie, 19 78 Schwabe, Klaus, W issen schaft u n d K rieg sm o ra l: D ie d eutschen H o ch sc h u lle h re r u n d die p olitisch en G ru n d fra g e n des E rsten W eltkrieges (Science and War Morality: The German University Teachers and the Basic Political Questions of the First World War), Göttingen: Musterschmidt, 1969 Thimme, Annelise, H a n s D e lb r ü c k als K ritiker d er W ilhelm in ischen E p o c h e (Hans Delbrück as a Critic of the Wilhelmine Epoch), Düsseldorf: Droste, 19 55 Ziekursch, Johannes, “ Hans Delbrück,” D eu tsch es B io g ra p h isch es Ja h r b u c h 1 1 (1929), 89 - 9 5

D ie P erserkrieg e u n d d er B u rg u n d e rk rie g : Z w e i k o m b in ierte kreigsg esch ich tliche S tud ien (The Persian Wars and the Burgundy War: Two Combined Military-Historical Studies), 18 8 7 D ie Strategie des P erik ies: erläutert d u rch d ie Strategie F ried rich des G ro sse n (The Strategy of Pericles Explained Through the Strategy of Frederick the Great), 1890 F ried rich , N a p o le o n , M o ltk e : Ä lte re u n d neuere Strategie (Frederick, Napoleon, Moltke: Older and Newer Strategy), 18 9 2 D ie P o len fra g e (The Poland Question), 1894 G es ch ich te d er K rieg sk u n st im R a h m e n d er p olitisch en G e s c h ic h te , 4 vols., 19 0 0 - 20 ; in English as H isto ry o f the A r t o f W ar w ith in the F ra m e w o rk o f P o litica l H is to ry , 4 vols., 19 7 5 - 8 5 N u m b e r s in H isto ry : H o w the G re e k s D efe a te d the P ersians, the R o m a n s C o n q u e re d the W o rld , the Teutons O v e rth re w the R o m a n E m p ire , a n d W illiam the N o r m a n T o o k P ossession o f E n g la n d , 1 9 13 B ism a rck s E r b e (Bismarck’s Inheritance), 19 1 5 L u d e n d o rffs Selbstp o rträt (Ludendorff’s Self-Portrait), 19 2 2 G o v e rn m e n t a n d the W ill o f the P e o p le : A c a d e m ic L ec tu re s , 19 2 3 W eltgeschichte , 5 vols., 19 2 3 - 2 8

Vor u n d nach d em W eltkrieg: p o litisch e u n d histo rische A u fsä tze, 1 9 0 2 - 1 9 2 5 (Before and after the World War: Political and Historical Essays), 1926 D e r F ried e vo n Versailles (The Peace of Versailles), 19 30

Further Reading Bucholz, Arden, H a n s D e lb r ü c k a n d the G e r m a n M ilita ry E sta b lish m en t: W ar Im ages in C o n flic t , Iowa City: University of Iowa Press, 19 85 Christ, Karl, “ Hans Delbrück,” in his Von G ib b o n zu R o sto vtz e ff: L e b e n u n d W erk fü h re n d e r A lth isto rik e r d er N eu ze it (From Gibbon to Rostovtzeff: The Life and Work of the Leading Ancient Historians of Modern Times), Darmstadt: Wissenschaftliche Buchgesellschaft, 19 72 Craig, Gordon A., “ Delbrück: The Military Historian,” in Edward M. Earle, ed., M a k e rs o f M o d e rn Strategy: M ilita ry T h o u g h t fro m M a c h ia v e lli to H itle r , Princeton: Princeton University Press, 19 4 1 Daniels, Emil, Karl Lehmann, and Gustav Roloff, eds., D e lb r ü c k Festschrift (Delbrück Festsch rift ), Berlin: Stilke, 1908 Daniels, Emil, and Paul Rühlmann, eds., A m W ebstu h l d er Z e it : E in e E rin n eru n g sg a b e, H a n s D e lb rü c k d em A ch tzig jä h rig en vo n F reu n d en u n d Sch ü lern d a rg eb ra ch t (A Festschrift for Hans

Delbrück), Berlin: Hobbing, 19 28 Deutsche Staatsbibliothek, D e r N a ch la ss H a n s D e lb r ü c k s (The Papers of Hans Delbrück), Berlin: Deutsche Staatsbibliothek, 1980 Gut, G., S tud ien zu r E n tw ic k lu n g H a n s D e lb r ü c k s als p o litisch er H isto rik e r (Studies on the Development of Hans Delbrück as a Political Historian), dissertation, Free University of Berlin, 19 5 1 Harnack, A. von, “ Hans Delbrück als Historiker und Politiker (Hans Delbrück as Historian and Politician), N e u e R u n d sch a u 63 (19 52 ), 4 0 8 - 2 6 Meinecke, Friedrich, “ Nachruf ” (Obituary), H istorisch e Z e itsch rift 140 (192.9h 70 2 - 0 4 Rassow, Peter, “ Hans Delbrück als Historiker und Politiker” (Hans Delbrück as Historian and Politician), D ie S a m m lu n g 4 (1949), 13 4 - 4 4

Delisle, Léopold

1826-1910

French historian, archivist/librarian, and paleographer

Delisle was a key agent of the transition in history from antiquarianism to a modern academic discipline. As a founder of the modern Bibliothèque Nationale and organizer of its manuscript collections he shaped technical and methodological approaches in France and beyond. His main work in the 1850s and early 1860s centered on the Bibliothèque’s Latin manuscripts. He was largely responsible for more than doubling the number (static for over a century) of catalogued manuscripts, and then launched himself upon the French manuscripts. This brought him the directorship of the manuscript department in 18 7 1, and further promotion thereafter. These cataloging activities were of such historiographical importance as to make him a central figure in his profession very early. No medievalist was in a better position to monitor and mine the Bibliothèque’s hitherto confused collections. His humble position at the Bibliothèque, where promotion was largely by seniority, long contrasted with a growing academic reputation. His debut Etudes sur la condition de la classe agricole en Normandie au Moyen Age (Studies in the Condition of the Agrarian Class in Medieval Normandy, 18 5 1) was an early contribution to the emerging genre of rural economy. It won the Prix Gobert and secured him remarkably exalted provincial job-offers. Membership of the Institut de France at the age of 3 1 was consequent upon publication of Classe agricole (The Agrarian Class, 18 5 1), Notice sur Orderic Vital (Notice on Orderic Vitalis, 1855), and Catalogue des actes de Philippe Auguste (Catalog of the Acts of Philip Augustus, 1856). The last of these works showcased his skills as a diplomatist. Its importance lay in establishing a basic classification of the procedures of the French royal chancery in the forty years either side of 1200. Delisle went on to repeat the feat for the reigns of Philip VI and Charles V. His Mémoire sur les actes dTnnocent III (Essay on the Acts of Innocent III, 1857) was the point of departure for comparable descriptions of the papal chancery which would culminate in the Ecole Française de Rome ’s publication of 13th - and 14th -century papal registers. His Recueil des actes de Henri II roi d*Angleterre (Acts of Henry II, King of England) began the work of dating the acts of that king, a lifelong interest. Delisle was a prolific editor of primary sources, and his history was notable for a relentless insistence on documentary basis. In combination with his extraordinary output, this made

D ELISLE

him a miniaturist, but also in larger matters a difficult polemicist to confront. The access he could command to archives extended well beyond public collections: his Histoire du château et des sires de Saint Sauveur le Vicomte (History of the Castle and Lords of Saint-Sauveur-le-Vicomte, 1867) is an example of work drawing heavily on private sources, some of which have not again seen the light of day. His Mémoire sur les opérations des templiers (Essay on the Operations of the Templars, 1889) showed how the order developed as a financial network. At the head of the Bibliothèque Delisle was adept at manip ulating a propagandist rivalry with the British Museum to secure funds for reorganization - although it was upon practice at London that the key reforms in the management of collections were modeled. In aggressive campaigns against the market in stolen manuscripts he combined scholarship with political and strategic sense - notably in respect of the Ashburnham collection. He became a predator of the auction rooms as expenditure on acquisitions rose by over 50 per cent. He also earned a reputation as an assiduous wooer of gifts and bequests - and on occasion integrated his academic work with strategies of acquisition. Delisle’s outstanding achievement was an extension of his career among the manuscript collections. It was under his direction that the vast enterprise of cataloging the Bibliothèque’s 1.5 million printed volumes was undertaken, although it was to be 1897 before the first volume appeared. It was this career that led Pottier to ascribe to Delisle “ a genius for bibliography.” For him there was no distinction between his bibliographical work, historiography, diplomatic studies, and art history. All were rooted in skills that earned him the reputation of the greatest paleographer of the late 19th century. In Le Cabinet des manuscrits de la Bibliothèque Impériale (Cabinet of Manuscripts of the Bibliothèque Impériale, from 1868), he laid out a history of the book - writing, calligraphy, binding - and the book market at Paris in the medieval centuries. By the 1880s he was becoming interested in new technologies of reproducing manuscripts, perhaps as a consequence of his failure to acquire for the Bibliothèque the Vatican’s first register of Philip Augustus, which he produced in facsimile in 1883. He went on to pioneer heliographic reproduction. He became skilled at pressuring publishers into producing costly editions of illustrated manuscripts, increasingly in tandem with exhibitions. Delisle’s interest in medieval art and design was of long standing, and naturally focused on illuminators. Beginning with his Psautier de la reine Ingeburg femme de Philippe Auguste (Psalter of Queen Ingeburg, Wife of Philip Augustus, 1867), he sought to give ascription on stylistic bases a viable documentary underpinning. It was Delisle who attributed the Très Riches Heures du Duc de Berry to the Limbourg brothers. He also identified or elaborated upon a string of other illuminators of the 14th century in Paris and the Netherlands. The effect of a large number of major and minor treatises was to generate a new vitality in the study of French art in the 13th and 14th centuries, which climaxed in the 1904 exhibition of Primitifs français at the Pavillon de Marsan and Bibliothèque Nationale. From the Bibliothèque Delisle established a degree of influence over the French historiographical professions not seen again until the heyday of Annales. The sheer scale of his

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bibliography obstructs a full appreciation of his career: at his death some 2,10 2 items were attributed to him, a figure that excludes the pseudonymous or unsigned notes he contributed routinely to newspapers and local learned journals. This testa ment to a ferocious application defies specialization, though a certain emphasis on his native Normandy and on the i2th - i4 th centuries may be detected. Delisle’s work was not of the kind that develops an explicit polemical or philosoph ical stance, but his career makes him the incarnation of the positivist moment in historiography. G a r et h S e e a ls o

Pr o sser

France: 1000 - 1450; Orderic

Biography Léopold Victor Delisle. Born 24 October 18 26 . Privately educated, Valognes, Manche; studied at the Ecole des Chartes, 18 4 6 - 50 ; member, Institut de France 18 5 7 ; member, Conseil de Perfectionnement, Ecole des Chartes, 18 58 : président, 18 78 . Offered but declined post of archivist, Archives Départementales of SeineInférieure, Rouen, 1 8 5 1 ; entered Bibliothèque Nationale 18 52 : e m p lo y é p rem ière classe 18 5 7 ; bib lioth écaire 1866; in the absence of his predecessor (retired) took responsibility for preserving the manuscript collections through the siege and revolution of 1 8 7 0 - 7 1 , at some personal risk: the Commune voted his removal but fell before the decision could be implemented; the Versailles government formalized his position as con servateu r en c h e f of the manuscript department; a d m inistra teu r - général at the Bibliothèque Nationale, 18 74 ; forcibly retired by vote in the National Assembly, 1905. Married Laure Burnouf, daughter of the linguist and Orientalist Eugène Burnouf, 1 8 5 7 (died 1905). Died Chantilly, 22 July 19 10 .

Principal Writings Monograph E tu d e s su r la c o n d itio n d e la classe agricole en N o r m a n d ie au M o y e n A g e (Studies in the Condition of the Agrarian Class in

Medieval Normandy), 18 5 1

Critical Editions

N o t ic e su r O rd e ric Vital (Notice on Orderic Vitalis), 18 5 5 C ata lo g u e des actes d e P h ilip p e A u g u ste (Catalog of the Acts of

Philip Augustus), 18 56 M é m o ire su r les actes d ’ in n o c en t III (Essay on the Acts of Innocent

III), 18 5 7 Inventa ire des m an uscrits des fo n d s latin de la B ib lio th è q u e Im p éria le ou N a tio n a le (Inventory of the Manuscripts of the

Latin Collections of the Imperial or National Library), 1 8 6 3 - 7 1 R e c u e il des historiens d es G a u les et d e la Fran ce (Sources on the

History of Gaul and of France), vols. 2 2 - 2 4 , 18 6 5 - 19 0 4 R o u le a u x d es m orts d u X l e au X V e siècles , 1866 P sau tier d e la reine In g e b u rg fe m m e d e P h ilip p e A u g u ste (Psalter of

Queen Ingeburg, Wife of Philip Augustus), 18 6 7 H isto ire d u château et des sires de S a in t - S a u ve u r - le - V ico m te (History

of the Castle and Lords of Saint-Sauveur-le-Vicomte), 18 6 7 L e C a b in e t des m an uscrits de la B ib lio th è q u e Im p éria le (Cabinet of

Manuscipts of the Bibliothèque Impériale), 18 6 8 - 8 1 ; reprinted as C a b in e t des m an uscrits d e la B ib lio th è q u e N a tio n a le , 19 74 N o te s su r q u elq u es m an uscrits de la b ib lio th è q u e d e To urs (Notes on Some Manuscripts in the Tours Library), 1868 A cte s n o rm a n d s d e la C h a m b re des co m ptes sou s P h ilip p e d e Valois ( 1 3 2 8 - 1 3 5 0 ) (Norman Acts of the Treasury of Philip of Valois),

18 7 1 C h ro n iq u e d e R o b e rt d e To rig n i , a b b é d u M o n t - S a in t - M ic h e l

(Chronicle of Robert de Torigni, Abbot of Mont-Saint-Michel), 2 vols., 1 8 7 2 - 7 3

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D ELISLE

M a n d em en ts et actes d ivers d e C h a rles V ( 1 3 6 4 - 1 3 8 0 ) (Various

Mandates and Acts of Charles V ) 18 74 In ven ta ire gén éral et m é th o d iq u e des m anuscrits fra nçais d e la B ib lio th è q u e N a tio n a le (Methodical General Inventory of French

Manuscripts in the Bibliothèque Nationale), 2 vols., 18 7 6 - 7 8 N o t ic e su r un livre à pein tures ex écu té en 12 5 0 d ans l ’a b b a y e de S a in t - D e n is (Notice on a Book of Paintings Done in the Abbey of

Saint Denis in 1250 ), 18 7 7 B ib le d e T h é o d u lp h e (Théodulphe’s Bible), 18 79 L iv r e d ’ H eu res d ’A illy (Ailly ’s Book of Hours), 18 79 Trois m anuscrits d e la b ib lio th è q u e d e L e y d e (Three Manuscripts

from the Leyde Library), 18 79 M éla n ges d e P a léo g ra p h ie et d e b ib lio g ra p h ie (A Collection of

Paleography and Bibliography), 1880 L e P re m ie r registre d e P h ilip p e - A u g u ste (The First Register of Philip

Augustus), facsimile edition, 18 8 3 “ Les livres d ’ Heures du duc de Berry ” (The Duke of Berry’s Book of Hours), G azette des B e a u x - A r t s , 1884 L e s C o llectio n s d e B a sta rd d ’E sta n g à la B ib lio th è q u e N a tio n a le

(The Collections of Bastard d’ Estang at the Bibliothèque Nationale), 18 8 5 A lb u m p a lé o g ra p h iq u e ou recueil d es d o cu m en ts im po rtants relatifs à l ’histoire et à la littérature nationales (Paleographic Album or

Collection of Important Documents Relating to National History and Literature), facsimile collection, 18 8 7 L e s m anuscrits d es fo n d s L ib r i et B a rro is (The Manuscripts of the Libri and Barrois Collections), 1888 M é m o ire su r les o p érations des tem pliers (Essay on the Operations of the Templars), 1889 C ata lo g u e g én éra l d es livres im p rim és d e la B ib lio th è q u e N a tio n a le

(Catalogue of Books Published by the Bibliothèque Nationale), 18 9 7 R e ch e rch e s su r la libra irie d e C h a rle s V (Research on Charles V ’s Library), 3 vols., 19 0 7 R e c u e il des actes d e H en ri I L ro i d ’A n g leterre et d u c de N o rm a n d ie , con cern a n t les p ro vin ce s fra nçaises et les affaires de Fran ce (The

Acts of Henry II, King of England and Duke of Normandy, Concerning the French Provinces and the Affairs of France), edited by Elie Berger, 3 vols., 19 0 9 - 2 7

Further Reading Lacombe, Paul, B ib lio g ra p h ie d es tra va u x de M . L é o p o ld D e lisle (A Bibliography of the Work of Léopold Delisle), Paris: Imprimerie National, 19 0 2; and S u p p lém en t, 1 9 0 0 - 1 9 1 0 , Paris: Leclerc, 1 9 1 1

Delumeau, Jean

19 2 3 -

French social historian o f early modern religion

Jean Delumeau is a French annaliste, primarily concerned with the Reformation and Catholic or Counter-Reformation in France and the world. Focusing on the spiritual deficiencies of the Middle Ages, including theological confusion and the lack of a respectable and educated priesthood, Delumeau consid ered how the actions of Luther and his contemporaries made necessary changes in the way theology was taught and religion was practiced, within the Catholic church and outside it. Delumeau’s view of early modern Catholicism was essentially negative: reform and renewal could not have occurred without the catalyst of the Protestant Reformation. However, this Reformation was preventable: had there been an ecumenical council on the scale of Trent before 1 5 1 7 , a more organized response on the part of Rome, and an acceptance of the role of councils in doctrinal policy, there would have been no Reformation at all. Instead, by the time the Council of Trent

was called, prevention was impossible. The significance of that council was to give “ those who remained faithful to Rome what all western Christians aspired to at the threshold of the modern age: a catechism and pastors.” The common ground among reformers of all religious persuasions - the need for better understanding of the faith - is at the center of Delumeau’s thesis. In the 16th and 17th centuries, Christian society “ on both sides of the confessional abyss ” was preoccupied with sin and the fear of God. Delumeau used retrospective sociology to examine a culture that could produce such fear and such a punitive interpretation of religion; thus, his source base was particularly influential. He examined pastoral visitations, private parish records, registers of ecclesiastical and lay courts, synodal statutes, devotional literature, and geographical distributions of sodalities, confessions, pilgrim ages, and confraternities, and extrapolated what he called the characteristics of devotion. He studied how popular attitudes toward superstitions changed as Christianity adapted and camouflaged folk rituals and beliefs rather than suppressing or superseding them. As the “ two Christian Reformations” became more established and accepted on the popular levels, fear of the devil diminished, a claim that William Monter later quantified. Delumeau attributed the decline to the scientific revolution and the emergence of a new pastoral elite and a new mentality that left everyone more reassured, because the people felt “ better protected by the Bible (especially in Protestantism), the sacraments (especially in Catholicism), and the catechism (in both).” The Catholic church institutionalized the separation between priest and parishioner by policing the morals and behavior of the clergy and by building seminaries. The new priests were to convert the masses in more ways than one: missionaries were sent to rural areas to preach to the public, using processions, book burnings, and hymns in the vernacular set to popular tunes. Once the average person was shocked into belief, the parish priest taught him or her how to assimilate the belief into everyday life. Delumeau argued that medieval Europe was never properly converted to Christianity, but rather practiced a superstitious folk religion that looked Christian. He pointed to the lack of contact the average believer had with the formal doctrines of his or her religion, the testimony of contemporaries regarding the merits of certain clerics, and the continuance of superstitions and magical practices among uneducated believers. He traced a heightened awareness of and preoccupation with the deadly sins, as well as the clergy ’s desire to introduce a guilt mentality, to engender anguish in the population, to convert them or to strengthen their beliefs. This was at the root of the Reformation crisis and demonstrated that Enlightenment Europe was not “ deChristianized” because Europe had never been Christianized. Critics have suggested that Delumeau reached this conclusion because of his ignorance of medieval history; an excellent rehearsal of these arguments is found in John van Engen’s “ The Christian Middle Ages as an Historiographical Problem ” (1986). A.N. Galpern and Louis Chatellier based their challenges to Delumeau not on medieval history, but on the French context. Chatellier demonstrated the existence of a Catholic society by 175 0 , when Delumeau saw it as only beginning. Galpern argued that Delumeau judged the religiosity of the Reformation era by later standards and postulated too large a gulf between elite and peasant. J.K . Powis noted that Delumeau

DEM OGRAPHY

failed to consider outside forces, for example the crises of the 14th century, the Muslim threat, and the Protestant Reformation, all of which all led to great fear and a feeling of human responsibility, thus resulting in greater clerical control. According to Powis and Keith Luria, Delumeau exaggerated the evidence, using the clergy as a barometer of what people thought and believed, rather than what they were taught to believe. André Vauchez criticized Delumeau for ignoring the individual and positive aspects of piety and not acknowledging the rather obvious possibility that mentalités might differ, thus leading to different levels or types of Christianization. Delumeau’s controversial theses do have supporters; for example, Thomas Tentler and Steven Ozment both argued that during the late Middle Ages the Catholic church exerted great social control by priest-confessors who were given the power of absolution in the sacrament of penance. This created anxiety in Christians and focused on confession, producing a flawed and unsatisfying piety and a feeling of betrayal in the believer. A.D. Wright showed that Delumeau responded to earlier detractors by a more critical approach, and lauded Delumeau’s talent for comparisons between Catholic and Protestant developments. Delumeau characterized the Catholic Reform movement as a long-term process, from Luther to Voltaire, extending beyond the traditional boundary of the Peace of Westphalia (1648). In writing a broad history of Christianity, Delumeau considered three main themes: sin, guilt, and reassurance. He interpreted medieval church history as an “ evolution toward a culture of guilt,” which significantly expanded the powers of the clergy by imposing compulsory confession on each Christian. This idea of social control revisited, somewhat more positively, Henry C. Lea ’s A History of Auricular Confession and Indulgences in the Latin Church (1896), which suggested a confrontation between priest and penitent, in which confession was rather like torture. Delumeau’s impact on the historical understanding of the late Middle Ages and Reformation era is profound and lasting: a broadened source base, an integration of world history into the study of a European phenomenon, and a focus on questions of personal responses to changes in the practice of faith. Even his detractors recognize his importance: he created and maintained a series of historical debates concerning the type and depth of religious belief in premodern Europe. K a t h l een

C o m er f o r d

Biography Born Nantes, 18 June 19 2 3. Studied at Institut Fénelon, Grasse; Lycée Masséna, Nice; Lycée Thiers, Marseilles; Lycée Henri IV, Paris; agrégation in history, Ecole Normale Supérieure, 19 4 7 , PhD 19 5 5 . Served in French Army, 19 4 4 - 4 6 . Taught at lycées in Bourges, 19 4 7 - 4 8 , Rome, 19 4 8 - 5 0 , and Rennes, 19 5 0 - 5 4 ; attached to Centre Nationale du Recherche Scientifique (CNRS), 19 5 4 - 5 6 ; taught at University of Rennes, 1 9 5 7 - 7 0 ; director of studies, Ecole Pratique des Hautes Etudes, from 19 6 3; professor of history, University of Paris I, from 1970 ; and Collège de France, from 19 74 . Married Jeanny Le Goff, physician, 19 4 7 (2 sons; 1 daughter).

Principal Writings Vie é co n o m iq u e et sociale d e R o m e d ans la seco n d e m oitié d u X V I e siècle (Economie and Social Life of Rome in the Second Half of

the 1 6th Century), 2 vols., 19 57 - 59 (Alum in Rome, I5th - i9th

L A l u n d e R o m e , X V e - X I X e siècle

Centuries), 19 6 2

299

N a issa n ce et affirm ation de la réfo rm e (Birth and Establishment of

the Reform), 1965 With others, L e M o u v e m e n t d u p o rt d e S a in t - M a lo , 1 6 8 1 - 1 7 2 0 , bilan statistique (The Activity of the Port of Saint-Malo, 1 6 8 1 - 1 7 2 0 : A Balance Sheet), 1966 L a C ivilisa tio n d e la R en aissan ce (The Civilization of the Renaissance), 19 6 7 Editor, H istoire d e la B reta gn e (History of Brittany), 1969 L e C a th o licism e entre L u th e r et Voltaire , 1 9 7 1 ; in English as C a th o licism B etw e e n L u th e r a n d V oltaire: A N e w V ie w o f the C o u n te r - R e fo rm a tio n , 19 7 7 Editor, D o cu m e n ts d e l ’ histoire de la B reta gne (Documents on the History of Brittany), 19 7 1 R o m e au X V I e siècle (Rome in the 16th Century), 19 75 L a M o r t d es p a ys d e C o c a g n e : co m po rtem en ts collectifs d e la R en aissan ce à l ’âge classique (The Death of the Land of Plenty: Collective Behavior of the Renaissance and the Classical Age), 19 76 L e C h ristian ism e va - t - il m o u rir? (Is Christianity Dying?), 19 7 7 L a P e u r en O ccid e n t, X I V e - X V H I e siècles: une cité assiégée (Fear in the West, I4th - i8 th Centuries: A City Surrounded), 19 78 L e D io c è se de R en n es (The Diocese of Rennes), 19 79 H isto ire vécue d u p eu p le chrétien (History as Lived by the Christian People), 2 vols., 19 79 U n C h em in d ’ histoire: chrétienté et christianisation (One Path of History: Christianity and Christianization), 19 8 1 L e C a s L u th e r (The Case of Luther), 1983 L e P é c h é et la p eu r: la cu lp ab ilisa tio n en O cc id e n t, X l I I e - X V I l î e siècles , 19 8 3; in English as Sin a n d Fear: T h e E m erg e n c e o f a W estern G u ilt C ultu re, 1 3 t h - ! 8th C en tu ries , 1990 C e q u e je crois (What I Believe), 19 85 L e s M a lh eu rs des tem ps: histoire des fléaux et des calam ités en F ra n ce (The Misfortunes of Time: History of Plagues and

Disasters in France), 19 8 7 L ’A v e u et le p a rd o n : les difficultés de la con fession X l I I - X V I I e siècle (Admission and Pardon: The Difficulties of Confession),

1990 Editor with Daniel Roche, H istoire des pères et d e la p aternité (History of Fathers and Paternity), 1990 U n e H isto ire d u p a ra d is , 2 vols, to date, 19 9 2 - ; partially translated as A H isto ry o f P aradise: T h e G a rd e n o f E d e n in M y th a n d T ra d itio n , 19 95 L a R elig io n d e m a m ère: les fem m es et la transm ission de la fo i

(My Mother’s Religion: Women and the Transmission of Faith), 19 9 2 A re z z o , espace et sociétés, 7 1 5 - 1 2 3 0 : recherches su r A re z z o et son c o n ta d o du V i l l e au d éb u t d u X l l l e siècle (Arezzo, Space and

Society 7 1 5 - 1 2 3 0 : Research on Arezzo and Its Contado from the 8th through the Beginning of the 13th Century), 1996 L ’ H isto rien et la fo i (The Historian and Faith), 1996 H o m o R eligiosu s (Religious Man), 19 9 7

Further Reading Powis, J.K., “ Repression and Autonomy: Christians and Christianity in the Historical Works of Jean Delumeau,” Jo u r n a l o f M o d e rn H isto ry 64 (1992), 3 6 6 - 7 4 van Engen, John, “ The Christian Middle Ages as an Historiographical Problem,” A m e rica n H isto rica l R e v ie w 91 (1986),

519-52

Demography Interest in the demographic trends of the past developed out of the growing field of economic history. Economic historians wanted to improve their understanding of the population implications of industrial and agricultural revolution within the

300

DEMOGRAPHY

British context. Rising population was seen as part of the expla nation for the momentous and self-perpetuating epoch of the Industrial Revolution in the 18th century, notwithstanding the suggestions by contemporary commentators that the popu lation was falling. The earliest attention focused on mortality because of the supposed connections with an improving food supply and standard of living. In particular, McKeown argued that mortality fell in the 18th century due to increased resistance to disease through improved nutrition. This thesis has subsequently been discredited, most forcefully by Livi-Bacci. It was in continental Europe that most attention was given to developing methods of historical demography. Here the focus was on ascertaining the “ natural fertility ” of communities. Louis Henry was significant in drawing up rules of family reconstitution as a method of linking together information on individuals and families from registers of baptism, marriage, and burial. This provided information on age at marriage, remarriage, birth intervals, average life expectancy, and infant and child mortality. A social historian, Pierre Goubert, looked at early modern subsistence crises and suggested that the price of wheat could be seen as a barometer of demographic change. Historians of the Annales school were also interested in repro duction as an insight into mentalité. Some countries already had very high quality statistical sources, for example, in Sweden listings of inhabitants, called husfôrhôrslàngder, which gave information on literacy levels and migrations, were collected from the late 17th century and state organized from 1740. In Britain, Tony Wrigley adopted the family reconstitution method for his study of the parish of Colyton in Devon. After the formation of the Cambridge Group for the History of Population and Social Structure in 1964, the efforts of large numbers of local historians who carried out reconstitutions for parishes with good quality records dating back into the 16th century were coordinated. Some pitfalls remain with the family reconstitution method. It is still most effective for small communities and the results are inhibited by the extent of migration. Marriage irregularities were certainly more preva lent in the early modern period, and nonconformity in a community can distort the results. The Cambridge Group have augmented the reconstitution picture by simultaneously developing a large dataset of high quality Anglican registers for aggregate analysis. Over the past thirty years, historical demography has become more sophisticated in a number of ways. The use of computers has become vastly more effective, and carrying out reconstitutions by computer has immensely speeded up what was previously an extremely time-consuming task of nominal linkage by hand. Demographic historians have also developed far more understanding of the drawbacks of sources which were not originally designed for demographic purposes, such as parish registers and the census. Their methods now range from the construction of model life tables, to the subjection of aggregative data to methods of back projection that take account of migration to produce estimates of population size. From the extensive research which has been carried out, Wrigley and Schofield have argued that three quarters of popu lation growth in the English case was due to the rapid rise in fertility, although this took place within the context of falling

mortality. Couples needed a threshold of income to be able to marry and Wrigley and Schofield linked the age of marriage data they produced to real wage indexes. However, it was notably female marriage ages that showed most variation, falling by an estimated 3 .1 years in the long 18th century. Wrigley and Schofield have been criticized for excessive economic determinism and failure to make satisfactory links with the economic and social context, for example, the long lags of up to forty years in their explanation between wage changes and demographic adjustment are now thought unconvincing. Nevertheless, the work of historical demographers has produced an entirely new insight into population changes over time in England which has changed the historical understanding of many other aspects of society. The late 16th and early 17th centuries emerge as a period of population growth that was birthrate led, but by contrast the late 17th century saw population stagnation. Illegitimacy and prenuptial pregnancies were found to follow similar trends to marital fertility. There also appeared to be significant changes in celibacy although non-marriage is difficult to measure. It may have changed from some 20 per cent in late 17th -century England to just 3 - 4 per cent in the early 19th century. These discoveries have been influential in developing an increased historical awareness of the shape of past households. Michael Anderson’s work, for example, has been influential in exploring demographic influences on the lifecycle. Hajnal argued that Western Europe was characterized by both a high age of marriage and celibacy. However, attempts to define a uniform Western European demographic pattern in terms of birth and death rates have now been abandoned. As more information has become available it has become apparent that individual countries had very different population regimes. Indeed, the well-studied English pattern contrasts with other countries where mortality generally seems to hold more sway than fertility. Scandinavian countries in general seem to have had a falling death rate along with a stable or slowly falling birth rate. It is also the case that similar scenarios sometimes had contrasting outcomes. Late 18th-century Ireland and France both had predominantly Catholic populations and peasant economies, but whereas population pressure in Ireland led to cataclysmic famine in 184 5 - 46 , France was the first country where people controlled their reproduction. Large-scale demographic history investigations have ranged from the Princeton project on the European demographic transition post-1850 (from a high to a low regime of both fertility and mortality) to analysis of the changing historical patterns of the French Canadian population. There is still a need to develop ways of looking at population change in less well recorded countries. Eastern European countries did not have censuses until the end of the 19th century and very little is known about Southern Europe. Recently more attention has been paid to historical demography in Asia and Africa. Pa m e l a

Sh a r pe

See also Annales School; Aries; Barkan; Beloch; Borah; Brenner;

Cambridge Group; Computing; Curtin; Family; Fiigedi; Habakkuk; Henry; Latin America: Colonial; Le Roy Ladurie; Malin; Marriage; Migration; Quantitative; Sexuality; Tilly, L.; Wrigley

DENING Further Reading Anderson, Michael, P o p u la tio n C h a n g e in N o rth - W e ste rn E u r o p e , 1 7 5 0 - 1 8 5 0 , London: Macmillan, 1988 Anderson, Michael, “ The Social Implications of Demographic Change,” in F.M.L. Thompson, ed., T h e C a m b rid g e S o cia l %H isto ry o f B ritain, 1 7 5 0 - 1 9 5 0 , vol. 2, Cambridge and New York: Cambridge University Press, 1990 Coale, Ansley J., and Susan Cotts Watkins, ed., T h e D e c lin e o f F ertility in E u r o p e , Princeton: Princeton University Press, 1986 Cook, Sherburne F., and Woodrow Borah, E ssa y s in P o p u la tio n H isto ry : M e x ic o a n d the C a rib b e a n , 3 vols., Berkeley: University of California Press, 1 9 7 1 - 7 9 de Vries, Jan, E u ro p e a n U rba n iza tio n , 1 5 0 0 - 1 8 0 0 , Cambridge, M A: Harvard University Press, and London: Methuen, 19 84 Duben, Alan, and Cem Behar, Ista n b u l H o u se h o ld s: M a rria g e, F a m ily a n d Fertility, 1 8 8 0 - 1 9 4 0 , Cambridge and N ew York: Cambridge University Press, 19 9 1 Dyson, Tim, ed., I n d ia ’s H isto rica l D e m o g ra p h y : Studies in F a m in e , D isea se a n d S o c ie ty , London: Curzon Press, 1989 Gillis, John R., Louise A. Tilly, and David Levine, T h e E u ro p e a n E x p e r ie n c e o f D e c lin in g Fertility, 1 8 5 0 - 1 9 7 0 , Oxford and Cambridge, M A: Blackwell, 19 9 2 Hajnal, John, “ European Marriage Patterns in Perspective,” in D.V. Glass and D.E.C. Eversley, eds., P o p u la tio n in H isto ry : E ssa y s in H isto rica l D e m o g r a p h y , London: Arnold, and Chicago: Aldine, 1965 Hanley, S., “ The Influences of Economic and Social Variables on Marriage and Fertility in Eighteenth and Nineteenth Century Japanese Villages,” in Ronald D. Lee, ed., P o p u la tio n P atterns in the P a st , New York: Academic Press, 19 7 7 Heywood, C., “ The Growth of Population,” in Pamela M . Pilbeam, ed., T h e m e s in M o d e r n E u ro p e a n H istory, 1 7 8 0 - 1 8 5 0 , London and N ew York: Routledge, 1995 Higman, B.W., Sla ve P o p u la tio n s o f the B ritish C a rib b e a n , 1 8 0 7 - 5 4 , Baltimore: Johns Hopkins University Press, 19 84 Ho, Ping-ti, Studies o n the P o p u la tio n o f C h in a, 1 5 6 8 - 1 9 5 5 , Cambridge, M A: Harvard University Press, 19 59 Houston, Robert Allan, T h e P o p u la tio n H isto ry o f B rita in a n d Irela n d , 1 5 0 0 - 1 7 5 0 , London: Macmillan, 19 9 2 Knodel, John, D e m o g ra p h ic B e h a v io u r in the P ast: A S tu d y o f Fo u rteen G e r m a n Village P o p u la tio n s in the E igh teen th a n d N in e tee n th C en tu ries, Cambridge and New York: Cambridge

University Press, 1988 Landers, John, D e a th a n d the M e tro p o lis: Studies in the D e m o g ra p h ic H isto ry o f L o n d o n , 1 6 7 0 - 1 8 5 0 , Cambridge and N ew York: Cambridge University Press, 1993 Livi-Bacci, Massimo, P op o lazio n e e alim entazione: saggio sulla storia dem ografia europea, Bologna: Mulino, 19 87; in English as Pop ulation a n d N u tritio n : A n E ssa y on E u ro p e a n D e m o g ra p h ic H istory,

Cambridge and N ew York: Cambridge University Press, 19 9 1 McKeown, Thomas, T h e M o d e r n R ise o f P o p u la tio n , London: Arnold, and N ew York: Academic Press, 19 76 Malthus, Thomas, A n E ssa y on the P rin cip le o f P o p u la tio n , London: Johnson, 179 8 Reher, David, T o w n a n d C o u n try in P re - In d u stria l S p a in : C u en ca , 1 5 4 0 - 1 8 7 0 , Cambridge and N ew York: Cambridge University Press, 1990 Reher, David, and Roger S. Schofield, O ld a n d N e w M e th o d s in H isto ric a l D e m o g ra p h y , Oxford: Oxford University Press, 19 93 Rotberg, Robert I., and Theodore K. Rabb, eds., H u n g er a n d H isto ry : T h e Im p a c t o f C h a n g in g F o o d P ro d u c tio n a n d C o n su m p tio n P atterns on S o ciety, Cambridge and New York: Cambridge University Press, 19 8 3 Schofield, Roger S., David Reher, and Alain Bideau, eds., T h e D e c lin e o f M o rta lity in E u r o p e , Oxford and N ew York: Oxford University Press, 19 9 1 Smith, R., “ Fertility, Economy and Household Formation in England over Three Centuries,” P o p u la tio n a n d D e v e lo p m e n t R e v ie w 7 (19 8 1), 5 9 5 - 6 2 2

3OI

Viazzo, Pier Paolo, U p la n d C o m m u n itie s: E n v iro n m e n t, P o p u la tio n a n d S o c ia l Structure in the A lp s since the Sixteen th C e n tu ry,

Cambridge and New York: Cambridge University Press, 1989 Vinovskis, Maris A., ed., Studies in A m e rica n H isto rica l D e m o g ra p h y , N ew York: Academic Press, 19 79 Woods, Robert I., T h e P o p u la tio n o f B rita in in the N in eteen th C e n tu ry, London: Macmillan, 19 9 2 Wrigley, E.A., P o p u la tio n a n d H isto ry , London: Weidenfeld and Nicolson, and N ew York: M cGraw Hill, 1969 Wrigley, E.A., and Roger S. Schofield, T h e P o p u la tio n H isto ry o f E n g la n d , 1 5 4 1 - 1 8 7 1 : A R eco n stru ctio n , London: Arnold, and Cambridge, M A : Harvard University Press, 19 8 1 Wrigley, E.A., “ The Growth of Population in Eighteenth-Century England: A Conundrum Resolved,” Past a n d P resen t 98 (19 83), 12 1-5 0

Dening, Greg

1 93 1-

Australian ethnohistorian o f the Pacific

A central member of the “ Melbourne group ” of ethnohistorians, Greg Dening is significant in that he began the rescue of the peoples of the Pacific from anthropology, and that he helped rescue the discipline of history, especially in Australia, from the empiricists. Dening inherited his love of the sea from his father, a ship radio operator based in Fremantle after World War I. Dening finds an inner peace in contemplating the ocean: “ waves are my worry- beads.” Coastlines and beaches are a constant theme in his writing. Dening attended Jesuit schools in Perth and Melbourne and entered the Order himself at age 16 ; he left the priesthood in 1968 after a disagreement with church authorities. His time as a priest taught him the importance of “ performance” : the rhythms and the silences of a well-sung Mass Dening sees as transferable to the theatricality of historywriting and lecturing. It is this common interest in “ performance” that he sees as linking the history he studied at Melbourne and the anthropology he undertook at Harvard. His view of history enraged many of the traditionalists in Australia: one spoke of “ the viper in our midst” after Dening’s inaugural professorial lecture at Melbourne in 19 7 1; another retorted after Dening’s famous “ History as a Social System ” address that “ Dening is too subtle for me.” Dening persevered and during his 20 years at Melbourne gathered a school around him across several local universities, including LaTrobe, Monash, and Victoria. The Pacific has been Dening’s main research area. Having originally trained as a Jesuit himself, he understood the difficulties faced by the missionaries heading off to the South Seas. They and the beachcombers like Edward Robarts fascinated him because they “ crossed the beach” from one culture into another. Dening wanted to understand why some people “ go native,” that is, adopt the customs and practices of exotic cultures. The discipline of history, in which he had been trained, should also “ go native,” in his view, leaving the comforts of its familiar surrounds and attempting to understand the cultures of the Other. Hence his interest in the contact history of the Pacific, which Dening began to see as a “ twosided history,” a tragic and devastating tale worthy of a wider audience. His first project was the Marquesas, the isolated island group in the southeast Pacific.

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Dening’s first publication, the edited journal of Robarts, failed to win a large readership, but this did not deter him from his task of bringing the Marquesan story to the Englishlanguage reading publics on either side of the Pacific. Islands and Beaches (1980) is the main product of this project, a book which wove the Marquesan story into a larger historiographical framework of how history ought to be pursued in the postmodern era. The “ natives” and the “ strangers” not only met in tragic circumstances, but constructed “ performances” for each other. Little did the foreign sailors realize, for example, that the Marquesan girls who swam onto their ships and performed exciting dances were not naive harlots but had in fact carefully practiced their routines on makeshift dancefloors designed to resemble ship-decks. Dening then applied this approach to a commissioned account of his alma mater, Xavier College, a fashionable Jesuit school in Melbourne. The elaborate rituals of elite schools make them ideal candidates for ethnohistory, of course, and this work stands out from the more conventional institutional histories. Personally the project enabled Dening to interrogate his own scholarly and religious origins more carefully, and also to challenge the sentimentality that dominates Irish-Australian historiography. His third major project was a novel account of the Bounty. Dening’s argument is that Bligh was not as tyrannical as the typical captains of his period, and that the famous mutiny should be understood as a highly political “ performance.” While this thesis may not have won over all readers, it is clear that Dening’s interest in ritual is very helpful in understanding the routines of shipboard life. His fourth main project, an ethnographic account of the killing of astronomer William Gooch at Oahu in 179 2, is partly autobiographical. Dening describes Gooch’s socialization at Cambridge University as if he were talking anthropologically of a “ native.” The importance of Dening and the Melbourne Group is the linking together of an anthropology focused on ritual processes with a history concerned to reposition Pacific peoples as agents rather than mere victims. The ethnohistorians want to describe what “ actually ” happened rather than what “ really ” occurred. Ro ber t

Pa s c o e

S e e a ls o Pacific

Biography Gregory Moore Dening. Born Newcastle, New South Wales, 29 March 1 9 3 1 . Studied history, University of Melbourne, BA 19 5 7 ; theology, Canisius College, New South Wales, 19 5 7 - 6 3 ; and anthropology, Harvard University, M A and PhD, 19 7 2 . Taught history and anthropology, University of Hawaii, 1968; lectured in sociology and history, LaTrobe University, 1 9 6 9 - 7 1 ; professor of history, University of Melbourne, 1 9 7 1 - 9 1 (emeritus). Married Donna Merwick, American historian, 19 7 1 (1 son deceased).

Principal Writings “ History as a Social System,” H isto ric a l Studies 15 (19 73), 6 7 3 - 8 5 Editor, T h e M a rq u e sa n Jo u r n a l o f E d w a r d R o b a r ts , 19 74 X a v ie r : A C en ten a ry P o rtra it , 19 78 Isla n d s a n d B ea ch es: D isc o u rse o n a Silen t L a n d , M a rq u e sa s, 1 7 7 4 - 1 8 8 0 , 1980 T h e D ea th o f W illiam G o o c h : A H is t o r y ’s A n t h r o p o lo g y , 1988

Mr. B lig h ’s B a d L a n g u a g e : P assion, P ow er, a n d T h eatre on the B o u n ty , 19 9 2 P e rfo rm a n c e s , 1996

Further Reading Cathcart, Michael et a l ., M issio n to the S o u th Seas: T h e Voyag e o f the D u ff, 1 7 9 6 - 1 7 9 9 , Melbourne: Melbourne University History Monograph n o .n , 1990 Merwick, Donna, ed., D a n g e ro u s L ia iso n s: E ssa y s in H o n o u r o f G r e g D e n in g , Melbourne: Melbourne University History Monograph no. 19, 1994

De Sanctis, Francesco 1817-1883 Italian literary historian and critic

The most famous literary historian of 19th -century Italy, Francesco De Sanctis has remained a seminal force in the study of Italian literature. He epitomized the politically engaged Romantic intellectual, and his many books and essays reflected the liberal aspirations of the era. It is impossible to separate his political involvements from his monumental scholarly achievements. De Sanctis grew up in Morra Irpina, near Naples, in a society only just beginning to emerge from feudalism. Although belonging to the relatively privileged class of small landowners and professionals, De Sanctis came to think of this reactionary society as the negative pole of history from which Italy should distance itself as rapidly as possible. From his youth onwards, De Sanctis sided wholeheartedly with the cause of modernization, which he understood as the struggle for progressive liberal ideas about education, politics, and economics. A gifted student, De Sanctis began to teach and to publish while still in his teens. As a result of his involvement in radical politics and in the failed 1848 revolution in Naples, De Sanctis lost his teaching position, spent 30 months in prison, and then suffered banishment. The exiled scholar, further radicalized by his traumatic experiences, eventually reached Piedmont, a gath ering place for political refugees from all over Italy. In Piedmont from 1853 to 1856, De Sanctis taught Italian in a girls’ school and continued with his scholarly writing on Italian literature. Still progressive in general outlook, De Sanctis for pragmatic reasons began to moderate his political views and became a supporter of the Piedmontese monarchy. He moved to Zurich in 1856 and began teaching Italian literature at the polytechnic there. As his time in Turin had transformed his southern Italian outlook into a national one, so the four years that he spent in Zurich made him more cosmopolitan in a European sense. De Sanctis returned to Italy in i860 after Garibaldi’s invasion of Sicily dramatically accelerated the process of unification. For the next few years he busied himself with politics, a period that culminated in his election to Parliament and a brief period as minister of public instruction. Frustrated and disillusioned by the growing conservatism of Italian governments, De Sanctis withdrew from politics. He had married in 18 6 3, ^ut not happily. His financial situation, which had always been precarious, grew worse. In this troubled political and personal frame of mind, he returned to scholarly

DESIGN HISTORY

research and writing as his principal activity. During an intense six -year period, 18 6 6 - 72, De Sanctis published the books that secured his fame as one of the great literary critics and historians of modern Italian history. The first of these books, Saggi critici (Critical Essays, 1866), contained the newspaper articles that he had written during his exile. The Saggio critico sul Petrarea (Critical Essay on Petrarch, 1869), also based on work that he had done in exile, displayed his mature thought about literary criticism: a rich eclectic mix ture of Enlightenment, Romantic, Vichian, and Hegelian ideas coupled with an insistence that no single systematically applied theory could do full justice to the infinite variety of literature, which at its highest level issued not from erudition at all, but from a spontaneous act of the imagination. In his masterpiece, Storia della letteratura italiana (18 7 0 - 7 1; The History of Italian Literature, 1930), De Sanctis applied the critical ideas of the Petrarch book to Italian literature as a whole. He took a fundamentally Hegelian view of the country’s great literary achievements, which in a dialectical way both reflected and promoted the cultural, civic, and moral progress of the Italian people. The dialectic moved slowly and uncertainly, to be sure. Retrograde periods often followed the most perfect literary manifestations of the sublime. Yet at every stage of the country ’s literary history, great figures, on the world-historical order of Hegelian theorizing, had appeared. His critical method became centered on the analysis of the origins, the evolution, and the climax of each stage. Machiavelli stood out as the most heroic figure in all of Italian literature, for the Florentine chancellor alone at the time of freedom’s collapse in Italy clearly had understood the reasons for the country ’s weakness and had proposed a resolute plan of reform along the lines of civic humanism. De Sanctis downplayed the notorious moral issues that, in his judgment, had obscured Machiavelli’s real worth as a coolly astute analyst of Italy’s eternal problems. Italy still needed Machiavelli’s program of civic humanism, as all of the country ’s greatest citizens and writers from that day to this had come, often by very different ways, to realize. In 18 7 1, the University of Naples offered De Sanctis a chair in comparative literature, and he taught there for the next four years. He continued to maintain a heavy schedule of scholarly publishing, particularly on the theme of realism in literature, understood not in the sense then in vogue as result of Zola ’s novels, but as “ the ideal set in the real,” and its importance in the modernization of Italian culture as a whole. Also during the years at the University of Naples, De Sanctis resumed political activity, but soon became disillusioned anew by the country’s failure to undertake serious reforms. In 1878, De Sanctis did agree to serve for a second time as minister of public instruction. A serious eye ailment forced him out of office in 1880. He then began to dictate the memoirs that were left uncompleted at the time of his death in Naples in 1883. Although famous and admired throughout Italy in his lifetime, De Sanctis wrote against the positivist grain of the age. Other scholars often attacked him for deficient research, and negative critical judgments marred the initial reception of his books, including The History of Italian Literature. Full critical rehabilitation and elevation to canonical status came toward the end of the century. As a result of Benedetto Croce’s admiring reappraisal, De Sanctis became a totemic figure for

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the idealists who dominated Italian culture after 1900. More support came from the paladin of Italian Marxism, Antonio Gramsci, who in the posthumously published Quaderni del carcere (19 4 8 - 5 1; Selections from the Prison Notebooks, 19 7 1) hailed De Sanctis as an exemplar for politically and morally engaged writers. From abroad, where knowledge of him had been slight, De Sanctis attracted increasing attention in the postwar period. His life and work continue to be the subject of a vast scholarly literature. R ic h a r d

D r a ke

See also Cantimori; Guicciardini; Villari Biography Born Morra Irpina, Avellino, 28 March 1 8 1 7 , to a gentry family. Taught in Naples, 18 3 9 - 4 8 ; Turin, 1 8 5 4 - 5 5 ; Zurich, 18 5 6 - 6 0 ; and Naples, 1 8 7 1 - 7 6 . Imprisoned as a supporter of Mazzini, Naples, 18 5 0 - 5 3 ; exiled 1 8 5 3 - 6 1 . Served as minister of public instruction, 18 6 2, 18 79 - 8 0 . Married Maria Testa, 18 6 3. Died Naples, 29 December 18 8 3.

Principal Writings Sagg i critici (Critical Essays), 1866; selections in English as D e Sanctis o n D a n te , 19 5 7 Sagg io critico su l Petrarca (Critical Essay on Petrarch), 1869 Storia della letteratura italiana, 1 8 7 0 - 7 1 ; in English as T h e H isto ry o f Italian L itera tu re , 2 vols., 19 30

Further Reading Breglio, Louis Anthony, L ife a n d C riticism o f F ra n cesco D e S an ctis , New York: Vanni, 19 4 1 Croce, Benedetto, G li scritti d i F ra n cesco D e Sanctis e la lo ro fo rtu n a : Saggio bib liografica (The Writings of Francesco De Sanctis and Their Critical Fortunes: A Bibliographical Essay), Bari: Laterza, 1 9 1 7 Croce, Elena, and Alda Croce, F ra n cesco D e S an ctis , Turin: UTET, 19 64 Prete, Antonio, Il realism o d i D e Sanctis (The Realism of De Sanctis), Bologna: Cappelli, 19 70 Russo, Luigi, F ra n cesco D e Sanctis e la cultura napoletana, 1 8 6 0 - 1 8 8 5 (Francesco De Sanctis and Neapolitan Culture, 18 6 0 - 18 8 5 ), Venice: Nuova Italia, 19 28 Villari, Pasquale, S tu d ies: H isto rica l a n d C ritic a l , London: Unwin, and New York: Scribner, 19 0 7 Wellek, René, A H isto ry o f M o d e r n C riticism , vol. 4: T h e L a te r N in e tee n th C e n tu ry , New Haven: Yale University Press, 19 6 5; London: Cape, 1966

Design History Design history is an academic discipline that applies a crossdisciplinary approach to the study of design. This stands apart from “ history of design” which is more appropriately seen as an aspect of the discipline of design history. Design history is object-led, yet it is more than an examination of the object within a chronology. Rather, it is concerned with understanding and finding explanations of the past and present by evaluating, selecting, and ordering data with reference to the object or product. The role played by design is summarized in Design in Context (1987) where Penny Sparke writes that the “ product

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DESIGN HISTORY

is the mediator between manufacture and the consumer, and its design is the container of the message that is mediated.” Nonetheless, design remains a complex concept, for not only has it been assigned different meanings at different periods of history, but it is both the heuristic process (conception and/or sketch or model) and the result of that process (the endproduct). A continuum within descriptive literature is that design has been recognized as the intellectual or rational part of a work of art and is therefore capable of influencing society. Whether one examines the writings of the Renaissance art theorist Giorgio Vasari or the 19th -century social historian John Ruskin, one finds the assumption that “ good ” design is capable of having a positive effect or, perhaps more meaningfully, “ bad ” design a negative influence on society. Thus the Design Reform movement of the mid -1 9th century held that design was fraught with moral implications and could serve as a powerful vehicle for social reform. More recently advertisers would have us believe that adding the label “ design” to an object (e.g., designer jeans, designer drugs) signifies social status or style. Recognizing that every element of a product has been “ designed” and is, by definition, a construction with numerous voices, encourages contextualization. This leads to an examination of the underpinnings of the society, the ideologies, and the practices that promote specific choices and encourage final acceptance or rejection of a product. Design historians are often engaged in discourse analysis as they attempt to come to terms with reading the ideas and theories embodied within the objects. With the physical object at the center of a series of relationships, the design historian is therefore interested in any of a myriad of processes: the initial conception, the selection of materials, manufacturing, marketing, taste, and consumption. Even after initial consumption the object continues to gain semiotic weight as it communicates new meanings and values. As an area of study, design history developed in the 1960s within Britain’s art colleges and polytechnics in answer to the growing demand for an art history that addressed the specific needs of craft and industrial design students as well as those in fashion and graphics. These new courses, confusingly titled History of Design and/or Design History, were meant to focus on design issues rather than following a traditional art history format that prioritized the fine arts. If art history was the birthing chamber for the new discipline it was a very public arena, for art history was also undergoing profound changes. Traditional methods of interpreting art were being questioned and the revisionist views adopted as the New Art History made inroads into even the most conservative of campuses (Attfield). The academic roots that anchor the discipline of design history, while less established, are also in place in the United States, Canada, and Australia; however, in many European countries, the related associations and publications have traditionally reflected an industrial design bias. Design History’s mixed heritage is evident in the choice of models scholars have applied to it. The most cited of the early texts is art and architectural historian Nikolaus Pevsner’s Pioneers of the Modern Movement (1936) which introduced the student to designers and their ideas. While ground-breaking as a chronology of designers, it said little about the objects and it is generally agreed that it was Sigfried Giedion who first wrote about design from a societal rather than an individual

perspective. In Mechanization Takes Command (1948) Giedion attempted to investigate the relationship between design and societal change. Despite the possibilities of this new approach most authors were content to identify the designers and study what they thought and did. An interesting result of this traditional form of scholarship was the creation of a market for goods by prominent designers. A watershed in design history came in 19 72 with the Open University’s course History of Architecture and Design, 18 9 0 - 19 3 0 . For many this was the first opportunity to consider the role design played in everyday life, as topics such as the electric home, raised by Adrian Forty, were addressed. The growing interest in design is reflected in the formation of the Design History Society (1977), the publication of Design Issues (Chicago, 1984), the Journal of Design History (London, 1988), and in 1989 the opening of the Design Museum in London. However as design history continued to draw freely from other fields (anthropology, social history, art history, sociology, women’s studies, archaeology) its identity was questioned. “ [I]n the sense of a single, organized discipline with defined aims and objects, [design history] does not exist,” Clive Dilnot argued in “ The State of Design History ” (1984). Nevertheless, the majority rejoiced in the discipline’s crossdisciplinary and proposed democratic nature. The use of methods from philosophy, political economy, linguistics, psychoanalysis, and cultural studies were recognized as an important intellectual stimulus to the discipline and found voice in cross-disciplinary journals such as Block (Middlesex, 1979). John A. Walker’s Design History and the History of Design provides an excellent overview of the discipline as well as outlining the shift away from production towards the themes of “ consumption, reception and taste” as the focus of scholastic endeavor. It is perhaps symptomatic of postmodern and postcolonial thought that throughout the 1990s design historians have continued to broaden the boundaries that they have only so recently set for themselves. This has been done through the continual questioning of the dominant value systems - most recently the roles of gender and ethnicity (identity) in the production and consumption of the designed object. J e n n i f e r E. S a l a h u b

See also Art; Cultural Further Reading Attfield, Judy, “ Form/female Follows Function/male: Feminist Critiques of Design,” in John A. Walker, D esig n H isto ry a n d the H isto ry o f D e sig n , London: Pluto Press, 1989 Banham, Reyner, T h e o r y a n d D e sig n in the First M a c h in e A g e , London: Architectural Press, and New York: Praeger, i960 Barthes, Roland, M y th o lo g ie s, Paris: Seuil, 19 5 7 ; selections in English as M y th o lo g ie s, London: Cape, 19 7 2 , New York: Hill and Wang, 19 7 3 Bayley, Stephen, Taste: A n E x h ib itio n a b o u t Values in D e sig n , London: Victoria and Albert Museum, 19 83 Conway, Hazel, ed., D esig n H isto ry : A S tu d e n ts ' H a n d b o o k , London and Boston: Allen and Unwin, 19 8 7 Dilnot, Clive, “ The State of Design History,” parts 1 and 2, D esig n Issues: H istory, T h eory, C riticism 1/1 (1984), 3 - 2 3 and 1/2 (1984), 3 - 2 0 Forty, Adrian, O b je cts o f D e sire : D e sig n a n d Society, 1 7 5 0 - 1 9 8 0 , London: Thames and Hudson, and New York: Pantheon, 1986

DEUTSCHER

G ie d io n , Sigfried , M ech a n iza tio n Ta kes C o m m a n d : A C o n trib u tio n to A n o n y m o u s H isto ry , N e w Y o rk : O x fo rd U n iversity Press, 1948 H eb d ige, D ick , “ O b je ct as Im age: T h e Italian Sco o ter C y c le , ” B lo c k

5 (19 8 1), 4 4 - 6 4 Margolin, Victor, ed., D esig n D isc o u rse : H isto ry ; T h eo ry, C ritic ism , Chicago: University of Chicago Press, 1989 Pevsner, Nikolaus, P ion eers o f the M o d e r n M o v e m e n t fro m W illiam M o rr is to W alter G r o p iu s , London: Faber, 19 36 ; as P ion eers o f M o d e r n D e sig n , New York: Museum of Modern Art, 1949 Sparke, Penny, D e sig n in C o n te x t , London: Bloomsbury, 19 8 7 Sparke, Penny, A s L o n g as I t ’s P in k : T h e S e x u a l P o litics o f Taste , London: Pandora, 1995 Walker, John A., D e sig n H isto ry a n d the H isto ry o f D esig n , London: Pluto Press, 1989 Woodham, Jonathan M ., “ Redesigning a Chapter in the History of British Design: The Design Council Archive at the University of Brighton,” Jo u r n a l o f D esig n H isto ry 8 (1995), 2 2 5 - 2 9

Deutscher, Isaac 1907-1967

Polish - born historian o f R ussia

Isaac Deutscher was a historian, biographer, and prolific essayist and commentator on developments in the communist world until his unexpected death from a heart attack. Deutscher’s outstanding contribution is his 3-volume life of Trotsky based on a detailed reading of Trotsky ’s works and privileged access to the Trotsky archive at Harvard. This work remains a fundamental reference point for the study of 20thcentury Russia and the equal of any historical biography in any language. Unfortunately, the quality and timelessness of much of the rest of Deutscher’s work is more questionable. An understanding of this is best found in an analysis of Deutscher’s ambiguous political relationship to Trotsky himself. Deutscher was born near Krakow in Poland. Revolting against a strict Jewish upbringing, he turned to poetry and literary criticism before joining the then banned Polish Communist party (PCP) in 1926. Vigorous political activity led him to a deeper study of history and the social sciences. Disappointed by a visit to Russia in 19 3 1 and further alienated by the “ third period ” policies of the Third International which treated social democracy as as big an enemy as fascism, Deutscher was expelled from the PCP as part of a small anti-Stalinist opposition in 19 32. Thereafter he was a “ freelance” figure on the left, sym pathetic to Trotsky, but now hounded both by the authorities and the Stalinist Communist party. He fled to England in April 1939 and learned the language so quickly and thoroughly that he was soon able to establish himself as a journalist and eventually to write history of high literary quality, inspired in part by his reading of Gibbon and Macaulay. He married his wife Tamara Lebenhaft in 1947 and she acted as his researcher and editor, continuing after his death. Trotsky had argued that Stalin’s rule represented the “ betrayal of the revolution.” At first, Trotsky had seen this as a product of a political degeneration, but during the 1930s he increasingly stressed the deeper social roots of Stalin’s system while denying that it had yet overturned the economic base of socialism in the form of nationalized property. This analysis produced powerful but contradictory insights. Trotsky papered over the contradictions by suggesting that the regime was unstable and would not survive World War II. Socialists had therefore to organize for an anticapitalist revolution in the

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West and a revolution in the East that would restore a genuine socialism. The strengthening of the position of the Soviet Union as a result of World War II put a huge questionmark over this analysis. Orthodox Trotskyism turned Trotsky ’s ideas into dogma, defending the letter of his last writings. Less orthodox Trotskyists revised the argument, suggesting either that Russia had become a form of state capitalism or a new class society, neither capitalist nor socialist. Deutscher could accept neither of these positions and effectively solved the problem by retreating from the sharpness of Trotsky ’s late 1930s critique of the Soviet Union. This was reinforced by his doubts about the capacity of the working class for independent action, and the value of organized political engagement at a time when the choice seemed to be to line up either with Moscow or with Washington. He famously described his general intellectual position as being an “ honorable ” withdrawal to the “ watchtower” from which the world could be observed “ with detachment and alertness . . . audessous de la melee.” He also saw himself as a Jewish heretic in the tradition of Spinoza, Heine, M arx, Trotsky, and Freud, being both an intellectual and a physical exile from much of the Jewish tradition as well as that of the then orthodox left. This attitude was reflected in his increasing lack of sympathy with Trotsky’s positions in the last volume of his biography. In Deutscher’s wider writing it was reflected in his hopes that the ruling bureaucracies within the communist bloc would generate an internal momentum for reform to complete what he called in 1967 “ the unfinished revolution.” This optimism was continually disappointed and it undermined much of his commentary where he showed himself credulous to gossip and insufficiently self-critical. The resulting contradictions were exposed during his lifetime in essays by Leopold Labedz from the right, and, even more ruthlessly from the left, by Tony Cliff. At the time however these made little impression on Deutscher’s admirers who continued immediately after his death to praise and republish his essays. The critiques, however, seem to have better stood the test of time. Deutscher hoped that his 1949 biography of Stalin, the trilogy on Trotsky, and an unfinished biography of Lenin, of which only fragments have been published, would constitute “ a single essay in a Marxist analysis of the revolution of our age.” But aside from the Trotsky trilogy Deutscher’s legacy has contributed little to our understanding of Soviet history or wider discussions in western Marxism, and this despite the influence of “ history from below ” on the analysis of the Stalin years. M ic h a e l

H a yn es

See also Broue Biography Born near Krakow, Poland, 3 April 19 07, son of a printer. Educated in Krakow. Journalist in Poland, 19 2 4 - 3 9 ; member, Communist party of Poland, 1 9 2 6 - 3 2 ; expelled from party for leading an antiStalinist opposition, 19 3 2 ; Polish correspondent in London, 19 39 ; editorial staff member, the E c o n o m is t , 19 4 2 - 4 9 , and the O b s e r v e r (pen-name Peregrine), 19 4 2 - 4 7 ; roving European correspondent, 19 4 6 - 4 7 ; independent author. Served in Polish Army, 19 2 9 - 3 0 , 19 4 0 - 4 1. Married Tamara Lebenhaft, 19 4 7 (1 son). Died Rome, 19 August 19 67.

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DEUTSCHER

Principal Writings

Stalin: A P olitical B io g r a p h y , 1949 S o vie t T ra d e U n io n s: T h e ir P lace in S o vie t L a b o u r P o lic y , 19 50 R u ssia after Stalin , 19 5 3 T h e P ro p h e t A r m e d : Trotsky, 1 8 - 7 9 - 1 9 2 1 , 19 5 4 H eretics a n d R en eg a d es, a n d O th e r E ssa y s, 19 5 5 T h e P ro p h e t U n a rm e d : Trotsky, 1 9 2 1 - 1 9 2 9 , 19 59 T h e G re a t C o n test: R u ssia a n d the W est, i 9 6 0 T h e P ro p h e t O u tca st: Trotsky, 1 9 2 9 - 1 9 4 0 , 19 63 Iro n ies o f H isto ry : E ssa y s on C o n te m p o ra ry C o m m u n ism , 1966 T h e U n fin ish ed R e v o lu tio n : R u ssia, 1 9 1 7 - 1 9 6 7 , 19 6 7 T h e N o n - Je w is h J e w , edited by Tamara Deutscher, 1968 L e n in ’s C h ild h o o d , 19 70 R u ssia, C h in a a n d the W est: A C o n te m p o ra ry C h ro n icle, 1 9 5 3 - 1 9 6 6 , edited by Fred Halliday, 19 70 M a rx ism in O u r T im e , edited by Tamara Deutscher, 19 7 1 T h e G re a t P u rges, edited by Tamara Deutscher, 19 84 M a rx ism , W ars a n d R e vo lu tio n s: E ssa y s fro m F o u r D e c a d e s, edited

by Tamara Deutscher, 1984

Further Reading Beilharz, Peter, “ Isaac Deutscher: History and Necessity,” H isto ry o f P o litica l T h o u g h t 7 (1982), 3 7 5 - 9 2 Cliff, Tony, “ The End of the Road: Deutscher’s Capitulation to Stalinism,” in his N e ith e r W ashin gton n o r M o s c o w : E ssa y s on R e vo lu tio n a ry So cia lism , London: Bookmarks, 19 8 2 Horowitz, David, ed., Isaac D e u tsc h er: T h e M a n a n d his W o rk , London: Macdonald, 19 7 1 Labedz, Leopold, “ Isaac Deutscher: Historian, Prophet, Biographer,” S u r v e y 3 0 /1 - 2 (March 1988), 3 3 - 9 3 Rosenberg, J., “ Isaac Deutscher and the Lost History of International Relations,” N e w L e ft R e v ie w 2 1 5 (January/February 1996), 3 - 1 5

de Vries, Jan

19 4 3-

US (Netherlands - born) economic historian o f early modern Europe

Despite being interested in economic factors, many historians have found scholarship in economic history difficult to apply to their own work. As the divide between the disciplines of history and economics has widened, Jan de Vries has stood out as a scholar able to speak to both sides. Fully conversant with economic theory, he has still demonstrated a sensitivity to historical complexity, a capacity for archival research, and, perhaps most impressively, a felicitous and witty writing style few can match. Trained and employed as a historian, he holds a joint appointment as a professor of economics and history at Berkeley and has been chosen president of the Economic History Association, a group largely composed of economists. De Vries’ scholarly contributions fall into two major categories, although both types of scholarship aim towards the same end. First, his work on the Netherlands in the early modern period has argued that the Dutch economy was both highly advanced and yet static. Second, his wide-ranging, synthetic interpretations of early modern European economic history have portrayed the period as the crucial foundation for the Industrial Revolution. His concern in both kinds of writing has been to rethink the transition that western Europe made from a pre-industrial to an industrial way of life. Through the 1960s, most economic

history focused on the Industrial Revolution of the 19th century as a decisive break, one characterized by new technology, the rise of great cities, and a distinctive capitalist ethos. De Vries has been part of what he himself terms the “ revolt of the early modernists” who, beginning in the 1970s, have demonstrated the importance of the changes that occurred before the 19th century. At the same time, de Vries has argued against the view that economic development happened at a constant rate. Instead, parts of the European economy reached high but stationary levels of economic sophistication. Many regions declined while only a few made the later transition into industrialization. Widespread migration, the growth of the state, and immense pressure on the family were all, de Vries has suggested, costs accompanying early industrialization. In his studies of the Netherlands, de Vries has argued that the Dutch created a highly capitalist economy in the early modern period without moving toward industrialization. The Netherlands had already reached a very high level of agricultural productivity in the 16th century. Similarly, using their intricate system of canals, the Dutch had succeeded in moving goods and people extremely efficiently for an economy without railroads. At the same time, de Vries has argued, an intricate web of institutional controls and cultural habits prevented the modernity of early modern Netherlands from jumping into continuous, sustained growth and an industrial revolution. Guilds, town and provincial councils, and merchant compa nies maintained great power, taxes remained very high, and investors preferred safe investments rather than commerce or industry. Yet, until the mid -19th century with full-scale industrialization in Britain, de Vries estimates, the Netherlands prob ably was the wealthiest country in Europe. The Dutch achieved a relatively high level of economic development, but once they reached that level they elected not to make the necessary institutional and cultural changes that were probably necessary to expand still further. De Vries’ work is part of a larger debate by European and American scholars on the Dutch economy. He has played a major role in international efforts to reconstruct the long term growth rates for the Netherlands. The exact lines of growth play a major role in the debate over de Vries’ argument. Earlier historians suggested that the Dutch economy boomed in the 17th century and then declined. De Vries argues that the Netherlands had a large amount of growth already early in the 1 6th century and that the economy declined only in relative, not absolute terms in the 1 8th century. At the same time, however, de Vries has also sought to go beyond arguing that industrialization grew out of a high rate of earlier growth. As he has maintained in his interpretations of the European economy as a whole, the critical changes in the early modern period that lay the foundation for later industrialization did not necessarily create growth in the short run for the overall economy. Rather, he argues, change in form and function laid the foundation for the industrialization that would follow. Older economic history scholarship has argued that in preindustrial Europe the fundamental problem was that supply did not meet demand. Societies were poor and could not produce the goods that the populace wanted. Much of this older scholarship has suggested that new technology, urbanization, and a freeing of market forces broke this pre-industrial pattern. De

DÍAZ DEL CASTILLO

Vries has argued that the decisive forces were not technology first of all but new commercial links between regions, not largescale urbanization but rural industry, and not the market per se but actions of the state and changes in consumption. The new commercial links, the importance of rural industry, and the role of the state can all be seen, de Vries argues, in the unique pattern of urbanization that arose during the early modern period. The innovation of the early modern period was the creation of an “ urban system” : a few large cities concentrated in northwestern Europe - England, northern France, and the Netherlands - which directed the flows of capital and raw materials between rural industrial or proto industrial areas. Between 1600 and 1750 , de Vries has shown, 80 per cent of all urban growth in Europe occurred in just 38 out of approximately 200 cities and of these 38, thirty were political capitals, ports, or both. The capitals were the cities growing most consistently. The state concentrated capital and commerce in a relatively few cities, and then, in turn, merchants in these cities reorganized the rural industrial regions of Europe in order to achieve a higher level of productivity. This urban system, in turn, led to the other innovation of the early industrial revolution, one which almost all previous scholars before de Vries missed: the growth of a large number of small towns, whose economy had been based on rural industry, into larger industrial towns. Industrialization began, in other words, “ from below.” Only later, with the full impact of the railroad and the inventions of the second Industrial Revolution was industrialization, according to de Vries, accom panied by the relative growth of large cities. De Vries also attacks the earlier focus on the relation of supply and demand by employing the more pragmatic concept of effective demand. The problem in pre-industrial Europe was how consumers could translate their preferences into concrete actions in a market. De Vries suggests that during the early modern era many ordinary western Europeans abandoned some of their fatalism and began working harder in order to obtain more and better goods. The result was a gradual, but important rise in demand that helped stimulate a growth in commercial and industrial capitalism. The expansion of rural industry and com mercial agriculture was, in de Vries’ telling, an “ industrious revolution ” which was perhaps as important as the later Industrial Revolution. One of the intriguing aspects of de Vries’ concept of “ industriousness” is that it puts women at the center of the story. Often, it was their work and their decisions about saving and consumption which determined how households would allocate their labor, production, and savings. C a r l St r i k w e r d a

See also

Demography; L o w Countries; Religion; Urban

Biography Born Duivendrecht, the Netherlands, 14 November 19 4 3. Studied at Columbia University, AB 19 6 5; Yale University, PhD 1970 . Taught at Michigan State University, 19 7 0 - 7 3 ; professor of economics and history, University of California, Berkeley, from 19 7 3 . Married Jeannie Grace Green, 1968 (1 son, 1 daughter).

Principal Writings “ On the Modernity of the Dutch Republic,” J o u r n a l o f E c o n o m ic H isto ry 33 (19 73), 1 9 1 - 2 0 2

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T h e D u tc h R u ra l E c o n o m y in the G o ld e n A g e , 1 5 0 0 - 1 7 0 0 , 19 74 E c o n o m y o f E u r o p e in an A g e o f C risis, 1 6 0 0 - 1 7 5 0 , 19 76 B arges a n d C ap ita lism : P assen ger T ran sp ortation in the D u tch E c o n o m y , 1 6 5 2 - 1 8 5 9 , Utrecht: HES, 19 8 1 “ Poverty and Capitalism,” T h e o r y a n d S o ciety 12 (1983), 2 4 5 - 5 5 “ The Decline and Rise of the Dutch Economy, 1 6 7 5 - 1 9 0 0 , ” in Gary Saxonhouse and Gavin Wright, eds., Tech n iq u e, Sp irit a n d F o rm in the M a k in g o f the M o d e rn E c o n o m ie s , R esearch in E c o n o m ic H isto ry , supplement 3, 1984 E u ro p e a n U rba nization , 1 5 0 0 - 1 8 0 0 , 1984

“ The Population and Economy of the Preindustrial Netherlands,” Jo u r n a l o f Interd iscip lin a ry H isto ry 15 (19 85), 6 6 1 - 8 2 “ Welvaren Holland ” (Holland of Prosperity), B ijd ra g e n en m edelingen betreffen d e de gesch ied en is d er N e d e rla n d e n 10 2 (1987), 2 2 9 - 3 9 Editor with Ad van der Woude and Akira Hayami, U rba n ization in H isto ry : A P ro cess o f D y n a m ic In teractio n s , 1990 Editor with David Freedberg, A r t in H istory, H isto ry in A r t : Studies in Seventeenth C e n tu ry D u tch C u ltu re , 19 9 1 “ Between Purchasing Power and the World of Goods: Understanding the Household Economy in Early Modern Europe,” in John Brewer and Roy Porter, eds., C o n su m p tio n a n d the W o rld o f G o o d s , 1993 “ The Industrial Revolution and the Industrious Revolution,” Jo u r n a l o f E c o n o m ic H isto ry 54 (1994), 2 4 9 - 70 With Ad van der Woude, N e d e rla n d , 1 5 0 0 - 1 8 1 5 : D e eerste ro n d e van m o d ern e e co n o m isch e g ro e i, 19 9 5 ; in English as T h e First M o d e rn E c o n o m y : Success, Failure, a n d P ersevera n ce o f the D u tc h E co n o m y , 1 5 0 0 - 1 8 1 5 , 1996

Further Reading Strikwerda, Carl, “ The City in History Revisited: New Overviews of European Urbanization,” Jo u r n a l o f U rb a n H isto ry 13 (1987), 4 2 6 -50

Diaz del Castillo, Bernal

c .1 4 9 2 - 1 5 8 4

Spanish historian

Bernal Diaz del Castillo is unusual in that he came to history late in his life. Earlier he had been a conquistador who took park in three expeditions to Mexico between 1 5 1 7 and 15 19 . His most famous campaign was the conquest of the Aztec empire by Hernando Cortés in 15 19 . In 1568, at the age of 76, he wrote a memoir of his exploits called the Historia verdadera de la conquista de la Nueva España (published c .15 7 5 ; The Conquest of New Spain, 1963). He wrote his work as a rebuttal to the published work of Cortés’ confessor, Francisco López del Gomara, which gave a history of Cortés’ conquests of Mexico. Diaz del Castillo felt that López de Gomara had distorted the facts of Cortés’s conquest over the Aztecs, and wrote his memoirs to set the record straight. This work has great historical importance since Diaz del Castillo was an eyewitness to the capture and destruction of the Aztec capital of Tenochtitlán. Diaz del Castillo had no formal historical training, and con structed a simple narrative of events. Since he did not consider himself a historian, he did not worry about being objective in his work. With this latitude in style and content, Diaz del Castillo was able to write in a very personal manner that overlooked little. One of the strengths of his work is that he showed a great deal of curiosity. Diaz del Castillo chronicled events and

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described objects that a “ professional” historian might have overlooked as insignificant. This attention to the minute and the commonplace makes this work important, since few other accounts of the society he described remain. The work is important on many levels. It is the only eyewitness account of the contact between the Spanish and the Aztecs. It is also an insight into the thinking and the mindset of the Spanish who set out to conquer the New World. By his own admission, Diaz del Castillo was no scholar, but a conqueror of New Spain. How the Catholic Spaniards viewed their place in the world and how they viewed the indigenous people they came into contact with are dealt with in detail in this work. The True History gives an insight into the nature and manner of warfare in the early 16th century in the New World. The various battles between the Spanish and the Aztecs are described in some detail. More importantly, from a historical standpoint, one of the greatest contributions of Diaz del Castillo’s work is that it offers one of the few descriptions of the Aztec people and their city of Tenochtitlán. Diaz del Castillo provided a vivid narrative of the layout of the city, describing in detail the royal residence of the Aztec emperor Montezuma and the various religious buildings around Montezuma’s court. Diaz del Castillo also supplies a vivid description of some aspects of daily life in Aztec society, describing food, clothing, and rituals. Particularly interesting are his accounts of human sacrifice as practiced by the Aztecs. Perhaps the most poignant aspect of the book is the description of the final destruction of the Aztec capital by the armies of Cortés. As important as The True History is in understanding the Spanish conquest, the work is not without its weaknesses. One of the most obvious is that it was written fifty years after the fact, and mainly from memory. Nonetheless, Diaz del Castillo’s work is still one of the most important chronicles of the period of Spanish history. The True History is the de facto standard reference for histories on the Spanish conquest. D r e w Ph il ip H a l ev y S e e a ls o

European Expansion; Latin America: Colonial

Biography Born Medina del Campo, Spain, c .149 2. Went to the Indies, eventually serving as a conquistador with several expeditions, most notably that of Cortés in 1 5 19 . Returned to Spain twice to claim compensation, 15 4 0 and 1550 . Eventually settled in Guatemala, where he married Teresa Becerra, daughter of a fellow conquistador, retired to his e n c o m e n d e ro , and wrote his memoirs. Died Santiago de los Caballeros, Guatemala, 3 February 158 4 .

Principal Writings H isto ria verd a d era d e la conq uista d e la N u e v a E sp a ñ a , written

15 6 8 , published c .15 7 5 ; in English as T h e D is c o v e r y a n d C o n q u e st o f M e x ic o , 1 5 1 7 - 1 5 2 1 , 19 28, and as T h e C o n q u e st o f N e w S p a in , 1963

Further Reading A d o r n o , R o le n a , “ T h e D iscu rsive En co u n ters o f Spain and A m e rica : T h e A u th o rity o f E yew itn ess T estim o n y in the W ritin g o f H isto ry , ” W illiam a n d M a ry Q u a rte rly 49 (1992), 2 10 - 2 8 C e rw in , H erb ert, B ern a l D ia z : H isto ria n o f the C o n q u e st , N o rm a n : U n iversity o f O k lah o m a Press, 19 63

Hagen, Victor Wolfgang Von, R ecia gu erra : D ia z d e l C a stillo escrib e su H istoria d e la C o n q u ista (Stout War: Diaz del Castillo Writes the History of the Conquest), Mexico City: Mortiz, 1969

Dickens, A.G.

I 9 IO -

British historian o f the Reform ation

The distinguished career of A.G. Dickens as historian may be conveniently divided into three phases - Oxford, Hull, and London. His studies at Magdalen College, Oxford were followed by a period as fellow and tutor of Keble College, interrupted by five years’ war service. From 1949 to 1962 he was professor of history at the University of Hull. Since 1962 he has been based in London, first as professor of history at King’s College, and second, as director of the Institute of Historical Research from 1967 to 19 77. Since then he has enjoyed a very active and productive retirement. These career movements were intimately related to Dickens’ research prior ities and to his sense of historical vocation. A Yorkshireman by birth, he turned to research into Tudor Yorkshire as early as 19 32, with (by his own account) two major objectives - “ to study on all the social levels one partic ular crisis in our history: the English Reformation and its sequels” and “ to build up local and biographical studies into regional histories which in turn would some day help to augment and reshape our national history.” His preference was “ to examine the nation’s grass roots rather than its political and institutional pinnacles.” In this way he defined himself as a social historian long before the term became fashionable. Reflecting later on this early period he recorded the pleasure of his discovery that “ the middle and lower orders of society had mental and even cultural lives, which included personal responses to religion.” A number of individual publications during the 1930s and in the period immediately after World War II culminated in 1959 in the book Lollards and Protestants in the Diocese of York, 15 0 9 - 15 5 8 , published a decade after his return from Oxford to Yorkshire to take up the chair of history at Hull, a move which had both symbolized and cemented his leadership in the field of northern regional history. Widely regarded as one of Dickens’ most enduring contributions to historical writing, this work was in essence a general history of early Protestantism in Yorkshire and Nottinghamshire, and one of its principal effects was to encourage many younger scholars to pursue parallel local and regional research. A biographical study, Thomas Cromwell and the English Reformation (1959), was followed shortly by The English Reformation (1964) which quickly established Dickens’ reputation as the most authoritative interpreter of the English movement. Rejecting the traditional notion that the English Reformation could be summed up as “ an act of state,” he was concerned to delineate the development of genuine Protestant conviction in English society both before and after Henry VIII’s conflict with the papacy, and criticized the tendency of earlier historians to allow ordinary men and women “ to fall and disappear through the gaps between the kings, the prelates, the monasteries and the prayer books.” With characteristic balance, however, he acknowledged that “ governments and

DILTHEY

leaders remain important” and that “ the story will not cohere in their absence.” From the mid 1960s Dickens increasingly turned his attention beyond England to the Reformation on the European continent, and a number of works swiftly flowed from his pen - a biography of Luther and textbooks on the Protestant and Catholic Reformations. Unlike his studies of England, these were not based on personal archival research, but they demonstrated his considerable ability to absorb a vast body of research and to reinterpret it for an English-speaking audience in lively and readable style. The most important of these works was the 1974 volume The German Nation and Martin Luther which placed Luther’s movement firmly in the context of German society, especially the dynamic urban environment which had become the cutting edge of Reformation research. This European interest was entirely congruent with the new direction that Dickens’ career took after his appointment in 1967 to the directorship of the Institute of Historical Research, the largest institution for postgraduate historical studies in Britain and a key focal point in the international scholarly network. Building on personal contacts established in Germany after the war, and strengthened by his appointment as foreign secretary of the British Academy, Dickens played a major role for the next decade in promoting joint international conferences and other fruitful scholarly contacts for academics and students. It was his firm conviction that no position of leadership in the historical arena was more important or influential than the directorship of the Institute that led him to decline a number of opportunities to return to the more rarefied world of Oxford. From the mid - 1970s, Dickens had been planning to undertake the daunting task of writing a comprehensive historio graphical study of the Reformation. A fortuitous meeting with an Australian scholar engaged in a similar enterprise led to eight years of collaborative research and culminated in the publication in 1985 (with John Tonkin) of The Reformation in Historical Thought, now a standard reference work on the subject. While this achievement might have seemed an appropriate conclusion to a life of prolific publication, much more was to come. The massive output of scholarly research and writing in more than two decades since the 1964 publication of The English Reformation, and some trenchant criticisms of Dickens’ interpretation by younger scholars, led him in his mid-seventies to accept the challenge of producing a new edition. Two important articles in 1987 answered his critics on key points, while the second edition of The English Reformation in 1989 was far more than a reissue of a classic. New and rewritten chapters brought it genuinely up-to-date. Dickens patiently corrected his critics’ misconceptions while qualifying his own views where necessary in the light of new research. The essential perspective of the earlier work was emphatically restated for a new generation, with the caveat that “ for every historian who embarks upon so great a theme, humility must become at once the alpha and omega.” In his early eighties Dickens took up one further task which had been on his agenda for two decades - a substantial study of Erasmus, which was written jointly with Whitney Jones and published in 1994. By then he could look back on an extra ordinarily prolific career in which he had made a vast and

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complex subject his own and presented it with flair and lucidity to an international and multilingual audience. J o h n

To n k in

See also Britain: 148 5 - 1750; Counter-Reformation; Protestantism; Reformation

Biography Arthur Geoffrey Dickens. Born Yorkshire, 6 July 19 10 . Educated at Hymers College, Hull; Magdalen College, Oxford, BA 19 3 2 , M A 19 36 . Served in the British Army, 19 4 0 - 4 5 . Fellow/tutor, Keble College, Oxford, 1 9 3 3 - 4 9 , and university lecturer, 19 4 1 - 4 9 ; taught at Hull University, 19 4 9 - 6 2 ; and King’s College London, 19 6 2 - 6 7 ; director, Institute of Historical Research, University of London, 19 6 7 - 7 7 . Married Molly Bygott, 19 36 (died 19 78 ; 2 sons).

Principal Writings L o lla rd s a n d Protestants in the D io c e se o f Y o rk , 1 5 0 9 - 1 5 5 8 , 19 59 T h o m a s C r o m w e ll a n d the E n g lish R e fo rm a tio n , 19 59 T h e E n g lish R e fo rm a tio n , 1964; 2nd edition 1989 R e fo rm a tio n a n d S o ciety in S ix te e n th - C e n tu ry E u r o p e , 19 66 M a rtin L u th e r a n d the R e fo rm a tio n , 19 6 7

Editor with Dorothy Carr, T h e R e fo rm a tio n in E n g la n d : T o the A cc e ssio n o f E liz a b e th I, 19 6 7 T h e C o u n te r R e fo rm a tio n , 1968 T h e A g e o f H u m a n ism a n d R e fo rm a tio n : E u r o p e in the Fo urteenth, Fifteen th a n d S ixteenth C en tu ries, 19 7 2 T h e G e r m a n N a tio n a n d M artin L u th e r, 19 7 4

Editor, T h e C o u rts o f E u r o p e : P olitics, P atro n age a n d R oyalty, 1 4 0 0 - 1 8 0 0 , 19 7 7 C o n te m p o ra ry H istorian s o f the G erm a n R e fo rm a tio n , 19 79 R e fo rm a tio n Stud ies [collected articles], 19 82 With John Tonkin, T h e R e fo rm a tio n in H isto rica l T h o u g h t, 19 85 “ The Early Expansion of Protestantism in England, 1 5 2 0 - 1 5 5 8 , ” A r c h iv fu r R e fo rm a tio n sg esch ich te 28 (1987), 1 8 7 - 2 2 1 “ The Shape of Anticlericalism and the English Reformation,” in E.I. Kouri and Tom Scott, eds., P olitics a n d S o cie ty in R e fo rm a tio n E u r o p e , 19 8 7 With Whitney Jones, E ra sm u s the R e fo rm e r, 19 94 L a te M o n a sticism a n d the R e fo rm a tio n [collected articles], 1994

Further Reading Brooks, Peter Newman, ed., R e fo rm a tio n P rin cip le a n d Practice: E ssa y s in H o n o u r o f A rth u r G e o ffr e y D ic k e n s, London: Scolar, 1980 Dickens, A .G ., and John Tonkin, T h e R e fo rm a tio n in H isto rica l T h o u g h t, Cambridge, M A: Harvard University Press, and Oxford: Blackwell, 19 8 5: chapter 3 O ’ Day, Rosemary, T h e D e b a te on the E n g lish R e fo rm a tio n , London: Methuen, 1986

Dilthey, Wilhelm

1833-1911

Germ an philosopher and historian

In the history of Western thought the possibility of knowledge in general and of historical knowledge in particular has been con tinuously called into question by various schools of skepticism. While Kant in his Critique of Pure Reason endeavored to put our knowledge of the physical world on the “ secure path of science,” Wilhelm Dilthey’s lifelong ambition was to escape skepticism by providing the same epistemological foundation for our

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knowledge of the human-historical world. This latter project presupposed a clear distinction between the natural sciences (Naturwissenschaften) and the human sciences (Geisteswissenschaften). In his Einleitung in die Geisteswissenschaften (1883; Introduction to the Human Sciences, 1989), Dilthey took the position that the distinction was justified on the basis of their different subject matter. The first deals with the general, the universal, and the law -like; the second with the particular, the individual, and the unique. Later he revised this view and suggested that at the basis of the distinction lay two different modes of experiencing reality: “ outer sensory experience” (Erfahrung) versus an “ inner lived experience” (Erlebnis). In other words, the foundation of the human sciences turned out to be psychology, the same discipline that his neo-Kantian rivals, such as Wilhelm Windelband and Heinrich Rickert regarded as one of the natural sciences. It was Dilthey’s contention that nature as a datum is “ closed ” to us, not accessible via immediate and concrete expe riential awareness, whereas the mental world of society, culture, and history is known to us from “ inside” as lived experience. Extending the fundamental Kantian question, “ How is experience in general possible?” Dilthey asked how meaningful experience was possible. In answering this he argued that the primary datum of lived experience was not a mass of disconnected facts, or “ sensations,” or “ impressions,” as the positivists would have it, but units of meaning, that is, facets of life already organized, interpreted, and, therefore, meaningful. The principles by which we organize our social and historical experience are the “ categories of life” such as value through which we experience the present, purpose through which we anticipate the future, and meaning through which we recall the past. Dilthey shared the premise of the German historical school (for example, Droysen and Ranke) that there was no such thing as a universal subject, only historical individuals. He rejected Hegelian speculative philosophy which assigned the meaning of history to a transcendental subject coming to absolute selfconsciousness. “ Behind life we cannot go, ” he insisted. History is neither the forward march of reason nor the unfolding of a divine plan. The first condition of the possibility of a science of history is that we ourselves are historical beings. We, humans, study the history we ourselves make. The Geisteswissenschaften have a common subject matter: humanity. For Dilthey, history assumes the central role among the human sciences because in his view all human manifesta tions are part of a historical process and should be interpreted, or explained in historical terms. This, combined with his further tenets that different ages and individuals can be understood only by an imaginative assimilation to their specific point of view, and that the historian’s point of view is always the product of his own age, amount to historicism, a position with which Dilthey is most commonly associated today. It is important to note that the path he cut for himself in the intellectual wilderness of 19th -century speculative philosophy and positivism eventually led him far away from the “ clearing” of Kantian critical philosophy. For Dilthey’s project of a critique of historical reason, although meant to be a completion of Kant’s work, entailed not merely the notion that a special variety of reason is employed in historical thinking but also that reason itself is historical. Contrary to

the conclusion of the Critique of Pure Reason, the very conditions of knowledge, historical or otherwise, are subject to historical change. In spite of this demonstration of intellectual independence Dilthey thought of himself as belonging to a Kantian genera tion. He also benefited from the ideas of Husserl whose analysis of “ structure” and “ significance” made a profound impression on him. His own discussion of temporality left a clear mark on Heidegger’s Being and Time, and his writings on psychology clearly affected Jaspers ’ thinking. Others influenced by Dilthey include M ax Weber, Ernst Troeltsch, Karl Löwith, Georg Lukács, Hans-Georg Gadamer, and Jürgen Habermas. Dilthey left many unfinished writings behind him and was unable to work his ideas into a definitive system. This may have been to do with his suspicion of rationally constructed edifices of theory. A more likely explanation, however, is the unresolved tension between his sympathy for historicism and his equally strong concern for valid criteria of knowledge. If all consciousness is historically conditioned then the only permanent feature connected with both the natural and the human sciences is the philosopher’s frustration in trying to provide an epistemological foundation for them. Ja n o s a ls o Begriffsgeschichte; Castro; Cultural; Hourani; Intellectual; Protestantism; Religion

See

Sa l a m o n

Historiology;

Biography Wilhelm Christian Ludwig Dilthey. Born Biebrich, Hesse, 19 November 18 3 3 . Attended school at Wiesbaden; studied theology at the University of Heidelberg, and philosophy and history at the University of Berlin, PhD 1864. Appointed as extraordinarius in philosophy at University of Basel, 1866; professor of philosophy, University of Kiel, 1 8 6 8 - 7 1 ; University of Breslau, 1 8 7 1 - 8 2 ; and as successor to Lotze, University of Berlin, 18 8 2 - 19 0 5 . Died Seis bei Basen, 1 October 1 9 1 1 .

Principal Writings E in le itu n g in d ie G eiste sw isse n sch a fte n , 18 8 3; m English as In tro d u ctio n to the H u m a n Scien ces, 1989 D e r A u fb a u d e r g eschichtlich en W elt in d en G eiste sw isse n sch a fte n ,

19 10 ; in English in H erm en eu tics a n d the S tu d y o f H isto ry , 1996 [Selected W o rk s, vol. 4]

Further Reading Betti, Emilio, D ie H erm en eu tik als allgem eine M e th o d e d er G eistesw issen sch a ften (Hermeneutics as a General Method of the Humanities), Tübingen: Mohr, 19 7 2 Ermarth, Michael, W ilhelm D ilth e y ; T h e C ritiq u e o f H isto rica l R e a s o n , Chicago: University of Chicago Press, 19 78 Habermas, Jürgen, E rk e n n tn is u n d Interesse, Frankfurt: Suhrkamp, 1968; in English as K n o w le d g e a n d H u m a n Interests, Boston: Beacon Press, 1 9 7 1 , London: Heinemann, 19 7 2 Heussi, Karl, D ie K risis des H isto rism u s (The Crisis of Historicism), Tübingen: Mohr, 19 3 2 Johach, Helmut, H a n d e ln d e r M e n sc h u n d o b jek tiv er G e ist: Z u r T h e o r y d er G eistes - u n d So zia lw issen sch a ften b ei W ilhelm D ilth e y

(Man of Action and Objective Spirit: On Dilthey’s Theory of Spiritual and Social Studies), Meisenheim: Hain, 19 74 Plantinga, Theodore, “ Commitment and Historical Understanding: A Critique of Dilthey,” F id es et H istoria 14 (1982), 2 9 - 3 6 Rickman, H.P., M e a n in g in H isto ry : W ilhelm D ilt h e y ’s T h o u g h ts on H isto ry a n d S o cie ty , London: Allen and Unwin, 19 6 1

DIODORUS

Dio Cassius

se e

Cassius Dio

Diodorus Siculus

C .IO 4-C .20B C E

Greek historian

Diodorus Siculus undertook probably the most ambitious project in historiography known from the ancient world: to compile the history of the world, from the origins of human culture to his own day. After incurring censure from 19th century commentators, his reputation for discrimination in use of sources and for soundness of historical judgment has begun to be rehabilitated. Diodorus has often been criticized for not doing what he never intended to do. His choice of the unique title Bibliotheke Historike (Historical Library) indicates his purpose and ack nowledges the work’s limitations. His koinai praxeis (general events) or koinai historiai (general histories) were to provide a sourcebook for “ those who are more able ” as historians; he expressly distanced himself from the “ expert in one w ar ” such as Thucydides with whom he has been unfavorably compared as an analyst of events. The experiment in universal history had been tried before, for example by Ephorus, one of Diodorus’ most reliable sources, but by Diodorus’ standards no predecessor was truly universal. He insisted that the mythological period before the Trojan War and the legends of non-Greek peoples should be included for completeness, despite the difficulties involved. Of the forty books of the Bibliotheke Historike, books 1 - 5 - containing legends and customs of early Egypt, the Near and Middle East, India, and Africa; myths and legends of the Greek gods and early heroes; the Western islands and their peoples - are com plete, as are books 1 1 - 2 0 , containing Mediterranean history from 480 to 302. Books 6 - 10 (from the Trojan War to 480) and books 2 1 - 4 0 (from 301 - 60/59) are fragmentary, although a complete copy is said to have been extant in Constantinople until as late as 14 5 3 , when the city was sacked by the Turks. In his general introduction, Diodorus outlines a rationale and overall plan for his work, partly to forestall “ pirates” who might publish his material prematurely without acknowledgement, or mutilate it as part of their own compilations. For books 1 - 6 his approach was ethnographical and topographical; for the historical period he uses a double-referenced chronological system, attempting to combine parallel treatment of events across the nation-states, within an annalistic framework of Greek Olympiads and Archon years, synchronized as closely as possible with Roman consular years. This excessively com plex arrangement militated against the production of either an accessible account or accurate causal analysis. As a basic structure he used the Chronology of Apollodorus of Athens, supplemented by that of Castor of Rhodes for the mythological period and the years after 12 0 / 119 , where Apollodorus ends. Diodorus ’ usual working method seems to have been, like Livy ’s, to follow what he considered to be the most reliable source until that source ran out, but occasionally to supplement it from as many as four further sources, sometimes resulting in a confusion which Diodorus does not deem it necessary or possible to unravel. For the years after 4 1 1 he was using sources now no longer extant, except in fragments. Since the discovery

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in 1906 of a papyrus fragment of the “ Oxyrhynchus Historian ” (Hellenica Oxyrhynchia), estimates of Diodorus’ sources and his use of them have been revised in his favor. The close correspondence between Diodorus and the Oxyrhynchus Historian, Ephorus’ own source, has reassured scholars that Diodorus recognized and was faithful to the best available. He echoed Polybius in stressing the necessity of firsthand information and claimed to have visited a substantial part of Europe and Asia, although there is no evidence that he went further than Egypt, Sicily, and Rome where, apparently having learned Latin in Sicily, he was able to consult the abundant records. More than any other Hellenistic historian, Diodorus reflects the Stoic tenet that history should be profitable as a source of moral examples, rather than merely pleasurable. This antithesis can be traced back at least to Plato, was discussed by Thucydides, evident in Xenophon, and appeared to be resolved by Polybius who declared that the serious student will natu rally take pleasure in what is morally beneficial. Diodorus was also concerned that the role of divine providence should be recognized in events, seeing divine intervention or retribution where others would not. However, he explicitly rejected his contemporaries’ other besetting passion - overblown rhetoric - in all its forms. Diodorus has rightly been valued as a mine of information on long-lost historians, but he is much more. For several periods he is our only or most important source: early Egypt, Sicily (a tribute to his birthplace), and the years 480 - 430 and 362 - 302. As an annalist, he often filled gaps left by more specialist historians and provided important supplementary information on, for example, Greek mythology and early Rome. He is indispensable to any student of the life of Alexander, preserving a version that has features in common with Quintus Curtius and Justinus - the so-called Vulgate or Peripatetic Tradition - but is substantially at variance with Arrian and Plutarch. This “ immense labor ” produced, as Diodorus intended, “ a great fountain for those who are fond of study.” Whatever his shortcomings as compiler and analyst, Diodorus showed an extraordinary breadth in both his concept of history and his vision of the universal nature of humanity. Diodorus may have been influenced here by the Stoic doctrine of the brotherhood of humankind, but he was far ahead of his time in offering such clear and full evidence of it. M a r il y n n e

Br o m l e y

See also Egypt: Ancient; Machiavelli Biography Born Agyrium, Sicily, c. 104 BCE. Traveled in Egypt, c. 6 0 - 5 6; settled in Rome, c.56. Died c .20 BCE.

Principal Writings

Bibliotheke Historike (Historical Library), completed c. 30 Works (Loeb edition), translated by C.H. Oldfather et al., 12 vols., 19 33-6 7 Further Reading

Barber, Godfrey Louis, The Historian Ephorus, Cambridge: Cambridge University Press, and Chicago: Ares, 19 3 5

31 2

DIODORUS

Burton, Anne, D io d o ru s Sicu lu s , Leiden: Brill, 19 7 2 Drews, Robert, “ Diodorus and His Sources,” A m e rica n Jo u r n a l o f P h ilo lo g y 83 (1962), 3 8 3 - 9 2 Hammond, Nicholas Geoffrey Lempriere, T h ree H istorian s o f A le x a n d e r the G re a t: T h e S o - C a lle d Vulgate A u th o rs: D io d o ru s, Ju s tin a n d C u rtiu s , Cambridge and New York: Cambridge

University Press, 1983 Pavan, M ., “ La teoresi storica di Diodoro Siculo ” (The Historical Theory of Diodorus Siculus), R e n d ic o n ti d elV A cc a d e m ia dei L in c e i 16 (19 6 1) Sacks, Kenneth, D io d o ru s Siculu s a n d the First C e n tu ry , Princeton: Princeton University Press, 1990 Spoerri, Walter, Sp athellenistische B erich te iib er W elt, K u ltu r u n d G ô tte r (Late Hellenistic Accounts of Society, Culture, and Religion), Basel: Reinhardt, 19 59 Verdin, H., G. Schepens, and E. de Keyser, eds., P u rp o ses o f

Moreover, Dionysius’ misunderstanding of the origins of Roman politics, religion, and social classes may have been obvious to his contemporaries. Modern classicists and historians can appreciate Dionysius’ quotation of source documents. Instead of footnotes, he addresses the reader directly saying that he has consulted many sources. While scholars have dismissed Dionysius’ Roman Antiquities as rhetoric or fiction, his robust, cynical attitude remains fresh, as does his struggle to remain objective while fighting the inherent tendency of the historian to personalize a historical text. His methods of addressing this problem differ from those of the contemporary scholar and the reader will see that he did not always win this struggle. N a n c y

Pippen

Ec k er ma n

H isto ry : Studies in G re e k H isto rio g ra p h y fro m the 4 th to the 2 n d centuries B C , Louvain: Catholic University, 1990 Vuillemin, Jules, N éce ssité ou con tin g en ce: Vap o rie d e D ia d o re et les systèm es p h ilo so p h iq u e s , Paris: Minuit, 1984; in English as N e c e ssity o r C o n tin g e n c y ? T h e M a ster A rg u m e n t a n d Its P h ilo so p h ica l S o lu tio n s , Cambridge: Cambridge University Press, 1995

Dionysius of Halicarnassus cr.6o - after 7 B C E Greek historian

Little is known of Dionysius’ life other than he came to Italy around 30 BCE from Halicarnassus (now Bodrum) in Caria, Asia Minor. His arrival in Rome coincided with the end of the civil war between Augustus and Antony. He taught rhetoric to the sons of wealthy Roman families. Scholars regard his critical works on rhetoric and his literary criticism as his best efforts, rather than his historical work. Dionysius’ 20 -book history of Rome from prehistoric times to the beginning of the First Punic War in 265 B C E, The Roman Antiquities, is a valuable source of the history of early Rome. Only 10 of the 20 books are extant. Most of the other books have survived in fragments and in Plutarch’s biography of Camillus. Classicist Richard Jebb characterized Dionysius’ Roman Antiquities as an introduction to Polybius’ history of Rome. Roman Antiquities exhibits Dionysius’ skills in literary criticism and rhetoric. However, the premise of the work is prob lematic. His object in writing the history was to acquaint the Greeks with the origins of Rome. He felt that by doing so he could reconcile the Greeks, who believed that a race of barbarians had conquered them, to the Roman domination of the Mediterranean. Dionysius claimed Roman victory was due to the piety and righteousness of the Romans; Roman success proved that they had the approval of the gods. He linked the Romans culturally and ethnically with the Greeks, making the Etruscans an amalgam of Greek peoples coming together in Italy. Earlier this century some historians gave credence to this theory of the origins of the Etruscans. Roman Antiquities was never a popular history. Several reasons for the history’s lack of a readership are apparent. Dionysius was the champion of the Attic style of writing rather than the popular, flowery Asiatic style. Livy related most of the stories Dionysius tells without the moralizing and rhetoric.

S e e a ls o Beloch

Biography Born Halicarnassus, c. 6 0 BCE. Settled in Rome to write and teach rhetoric, c.29. Died after 7 BCE.

Principal Writings T h e R o m a n A n tiq u ities (Loeb edition), translated by Earnest Cary,

7 vols., 1 9 3 7 - 5 0

T h e C ritica l E ssa y s (Loeb edition), translated by Stephan Usher,

2 vols., 19 7 4 - 8 5

Further Reading Bonner, Stanley Frederick, T h e L ite ra ry Treatises o f D io n y s iu s o f H alicarn assu s: A S tu d y o f the D e v e lo p m e n t o f C ritica l M e th o d , Cambridge: Cambridge University Press, 19 39 Bowersock, Glen Warren, A u g u stu s a n d the G re e k W o rld , Oxford: Oxford University Press, 19 6 5; Westport, CT: Greenwood Press, 19 8 1 Breisach, Ernst, H isto rio g ra p h y: A n cien t, M e d ie va l, a n d M o d e r n , Chicago: University of Chicago Press, 19 8 3; revised 1994 Fox, Matthew, “ History and Rhetoric in Dionysius of Halicarnassus,” Jo u r n a l o f R o m a n Studies 83 (1993), 3 1 - 4 8 Gabba, Emilio, D io n ig i e la storia d i R o m a arca ica , Paris: Actes IXe Congrès, 19 74 ; in English as D io n y s iu s a n d the H isto ry o f A r c h a ic R o m e , Berkeley: University of California Press, 19 9 1 Klotz, Alfred, L iv iu s u n d seine Vorgan eger (Livy and His Predecessors), Amsterdam: Hakker, 1964 Schwartz, Eduard, G rie ch isch e G esch ich tssch re ib er (Greek Historians), Leipzig: Tiibner, 19 4 0 - 4 1

Diop, Cheikh Anta

19 2 .3-19 8 5

Senegalese historian of A frica

A Senegalese scholar whose work became a central pillar of the Afrocentric movement, Cheikh Anta Diop was a committed Pan-Africanist who argued that the origins of ancient Egypt were African and that Black Africa possessed a fundamental cultural unity. He pushed his commitment beyond the realm of scholarship and was a key figure in the Senegalese political opposition from the early 1960s until his death in 1985. Labelling Diop as a scholar is not an easy task. Although his books deal with history and argue that the histories of Africa and the West need to be understood in light of the African origins of civilization, many historians have found it difficult to

DIOP

accept his work. Diop himself wrote of a key text, L’Afrique noire précoloniale (i960; Precolonial Black Africa, 1987), that

it was “ not, strictly speaking, a history book, but an auxiliary tool indispensable to the historian.” Further complications arise when considering Diop ’s polymathic training and publications: history, archaeology, Egyptology, linguistics, and physics were all fields that he studied and in which he published. His reputation first developed among French-speaking Africans and Africanists during the 1950s and 1960s; in the 1970s African American scholars in the United States began translating his books into English, thus facilitating the growth of his reputa tion as one of the seminal thinkers in Afrocentricism. Diop formulated his ideas while studying at the Sorbonne in the late 1940s and early 1950s. Postwar Paris was an exciting place for African intellectuals as the Négritude literary movement associated with the poets Léopold Senghor and Aimé Césaire was in full swing and the journal Présence africaine was establishing itself as a premier forum for the discussion of African political, artistic, and historical issues. Diop was very active in anticolonial activities organized by African students, and produced articles for Présence africaine. In 1954, he turned to the journal to publish his doctoral thesis on the Egyptian origin of African civilization after it was rejected by his committee. Nations nègres et culture (Negro Nations and Culture) appeared in 1955 and created an immediate sensation among French-speaking African intellectuals. The book critiques previous scholarship and assumptions concerning ancient Egypt and asserts that all available sources prove without a doubt that the ancient Egyptians were a Black African people. By denying this, European scholarship had stripped Black Africa of its cultural heritage. Diop cited similarities in concepts of totem, circumcision practices, monarchy organization, cosmological beliefs, caste systems, and matriarchal social structure as evidence for Africa’s Egyptian ancestry. He then turned to comparative linguistics to argue for a genetic relationship between the language of ancient Egypt and the Senegalese language, Wolof. Diop was a noteworthy participant in two international congresses organized by Présence africaine and in i960 obtained his doctorate from the Sorbonne after a memorable thesis defense. He returned to Senegal to assume a research post at the Institut Fondamental d ’ Afrique Noire (IFAN) where he established a radiocarbon laboratory to pursue his interests in archaeology and physics. In the meantime, he published his most controversial book, L’Unité culturelle de l’Afrique noire (1959; The Cultural Unity of Black Africa, 1962). Here Diop draws from 19th-century European debates about the origins of civilization to argue that there existed northern and southern cradles of civilization. The northern cradle was located in Eurasia; it was marked by patriarchy, nomadism, and pastoralism. The southern cradle was found in Africa and was in essence matriarchal, sedentary, and agricultural. The two came into contact in the Mediterranean and this cross-fertilization led to the rise of the ancient Greece. Historians have criticized the sweeping nature of this kind of argumentation, asserting that it inaccurately represents rather more complex historical realities. Several French scholars writing in the early 1960s considered Diop’s work politically useful in that it promoted African unity, but at the same time derided its lack of scholarly objectivity. Diop responded that his

313

scholarship was objective and that his books were misunderstood because European and African historians had different concerns when it came to writing African history. The Senegalese scholar believed that African historians must be concerned with finding synthesis in African history and that they should be writing “ History ” from a macro-perspective. This was in contrast to the detailed microhistorical studies of Western historians “ whose goal seems to be to dissolve collective African historical consciousness in the pettiness of details.” In the 1970s, Diop’s reputation grew as English translations of his books were integrated into African American scholarly traditions long concerned with exploring the links between ancient Egyptian and African civilization. His wide learning and unwavering belief that “ Egypt is to the rest of Black Africa what Greece and Rome are to the West” had a profound impact among the group of African American intellectuals who developed Afrocentrism in the 1980s. Diop and his most important disciple, the Congolese historian Théophile Obenga, were key contributors to the multivolume UNESCO General History of Africa. At a 1974 UNESCO -sponsored conference in Cairo on the peopling of ancient Egypt, Diop and Obenga created a stir by forcefully arguing that the first inhabitants of the Nile were Black Africans; several French Egyptologists were persuaded that the evidence from comparative linguistics was not fortuitous and should be pursued further. Diop published an elaboration in 19 77, Parenté génétique de l’égyptien pharaonique et des langues négro-africaines (Genetic Relation ship of Pharaonic Egyptian and Negro -African Languages). Diop’s contribution to the UNESCO collection, “ Origin of the Ancient Egyptians” in Ancient Civilizations of Africa (vol.2 of the General History), was not acceptable to all the members of the editorial committee and thus a note was appended to the text indicating this disagreement. Diop died in February 1985 just as his international reputation was reaching its peak. In Senegal, IFAN and the National University were renamed in his honor. His books continue to appear in new editions and serve as essential texts for students of Afrocentrism and African intellectual history. C h r ist o ph er

S e e a ls o

G r a y

Africa: North; Bernal

Biography

Born Diourbal, Senegal, 19 2 3. Studied at the Sorbonne, received doctorate 1960. Returned to Senegal to take up a research post at the Institut Fondamental d ’ Afrique Noir. Founded Bloc des Masses Sénégalaises and Front National Sénégalais; both parties later outlawed by the government. Died Dakar, 7 February 19 85.

Principal Writings N a tio n s nègres et cultures, 19 5 5 , revised as 2 vols., 19 79 ; selections

translated in T h e A fric a n O rig in o f C iviliz a tio n : M y th o r R e a lity , 1974 L U n i t é culturelle d e VA fr iq u e no ire: d o m a in es d u p atriarcat et du m atriarcat d ans V antiquité cla ssiq u e , 19 59 ; in English as T h e C u ltu ra l U n ity o f B la c k A fric a : T h e D o m a in s o f P atria rch y a n d o f M a tria rch y in C la ssica l A n tiq u ity , 19 6 2 L A fr iq u e n o ire p ré co lo n ia le , i960; in English as P re c o lo n ia l B la c k A fr ic a : A C o m p a ra tiv e S tu d y o f the P o litica l a n d S o c ia l System s o f E u r o p e a n d B la c k A fric a , fro m A n tiq u ity to the F o rm a tio n o f M o d e r n States, 19 8 7

314

DIOP

L e s Fo n d em en ts culturels tech niques et industriels d ' u n fu tu r état fé d éra l d ' A f r iq u e n o ire , i960; revised as L e s fo n d em en ts éco n o m iq u e s et culturels d ' u n état féd éra l d ' A f r iq u e n o ire , 19 74 ;

in English as B la ck A fr ic a : T h e E c o n o m ie a n d C u ltu ra l B asis fo r a F e d era ted State, 19 78 A n té rio rité des civilisa tio ns nègres: m yth e ou vérité h isto riq u e ?,

19 6 7; in English as T h e A fric a n O rig in o f C iviliza tio n : M y th or R e a lity, 19 74 P arenté gén étiq u e d e l ' ég yp tien p h a ra o n iq u e et des langues n ég ro africain es: p ro cessu s d e sém itisation (Genetic Relationship of

Pharaonic Egyptian and Negro -African Languages), 19 7 7 C ivilisa tio n ou ba rb a rie: a n th ro p o lo g ie sans co m p la isa n ce, 19 8 1 ; in

English as C iviliza tio n o r B a rb a rism : A n A u th e n tic A n th r o p o lo g y , 19 9 1 “ Origin of the Ancient Egyptians,” in G. Mokhtar, ed., A n c ie n t C iviliza tio n s o f A fr ic a , 19 8 1 [UN ESCO General History of Africa, vol. 2] E g y p te a n cienn e et A fr iq u e n o ire (Ancient Egypt and Black Africa), 1989 A le rte sou s les tro p iq u es: articles, 1 9 4 6 - 1 9 6 0 : cultu re et d év elo p p e m e n t en A fr iq u e no ire (Alarm in the Tropics: Articles,

19 4 6 - 19 6 0 : Culture and Development in Black Africa), 1990

Further Reading Asante, Molefi Kete, K em et, A fro ce n tricity , a n d K n o w le d g e , Trenton, N J: Africa World Press, 1990 Bernal, Martin, B la c k A th e n a : T h e A fro a sia tic R o o ts o f C lassical C iviliza tio n , vol. 1: T h e F a brica tio n o f A n c ie n t G re e c e , 1 7 8 5 - 1 9 8 5 , London: Free Association Press, and New Brunswick, N J: Rutgers University Press, 19 8 7 Ela, Jean -Marc, C h e ik h A n ta D io p , ou , l ' h o n n e u r d e p en ser (Diop; or, The Honor of Thinking), Paris: L’ Harattan, 1989 Gray, Chris, C o n ce p tio n s o f H isto ry in the W o rks o f C h eik h A n ta D io p a n d T h é o p h ile O b e n g a , London: Karnak House, 1989 “ Hommage à Cheikh Anta Diop,” P résen ce africain e 1 - 2 (1989) [special issue] Obenga, Théophile, L ' A fr iq u e d ans l ' a n tiq u ité: E g y p te p h a ra o n iq u e, A fr iq u e n o ire (Africa in Antiquity: The Egypt of the Pharaohs and Black Africa), Paris: Présence africaine, 19 73 Saakana, Amon Saba, A n c ie n t E g y p t a n d B la c k A fr ic a : A S tud ent 's H a n d b o o k fo r the S tu d y o f A n c ie n t E g y p t in P h ilo so p h y, L in g u istics a n d G e n d e r R ela tio n s, London: Karnak House, 19 9 2 Samb, Djibril, C h e ik h A n ta D io p , Dakar: Nouvelles Editions Africaines du Sénégal, 19 9 2 Van Sertima, Ivan, and Larry Williams, eds., C h e ik h A n ta D io p , New Brunswick, N J: Transaction, 1986

Diplomatic History/International Relations Diplomatic history or international history is essentially the study of the history of international relations. It is concerned with the analysis of all forms of political interaction between states, including treaties, wars, and trade. Strictly speaking, diplomatic history is different from international history, as it is possible to write a diplomatic history of a single country’s foreign policy, while the latter by definition deals with the complex interplay of relations between two or more countries. The discipline of international relations is different again in that it is concerned primarily either with the study of contemporary diplomacy or the formulation of theoretical models that seek to explain the workings of the international system.

The study of diplomatic history as a distinct type of history had its origins in the 19th century with the work of Leopold von Ranke and his disciples. From Ranke came two of the most traditional aspects of the discipline: first, that the research should be based on official archival material, and second, that it should provide a detached, objective, and non-judgmental account of events. At first, however, the work on diplomacy was largely an offshoot of political history, and it was not until the start of the 20th century that the discipline took on more distinctive features. It was at this point that it began to focus on more recent events, a tendency that began with a series of books on early 19th -century diplomacy. Probably the most important of these volumes was Charles Webster’s The Congress of Vienna (19 19 ), but this period also saw a series of influential monographs on 19th -century European diplo matic history by historians such as H.W.V. Temperley, A.F. Pribram, R.H. Lord, and B.E. Schmitt. These books, building on Ranke ’s legacy, set the tone for much of the work that followed. However, there were in addition books that dealt with even more recent events such as the Franco-Prussian War and the origins of World War I. The writing of such volumes was inspired by the publication by states of official diplomatic correspondence. The increasing willingness of governments to publish documents, such as the French publication from 19 10 of documents on the origins of the Franco-Prussian War, was a particularly important development for the discipline. This more than anything else allowed diplomatic history to generate one of its most notable characteristics, which is that in contrast to other branches of history, it has always shown an interest in the recent past. This trend was most evident in the years following World War I, when various participants in the conflict published volume upon volume of their diplomatic correspon dence from the period before August 19 14 . Germany led the way in this field, closely followed by Britain, when the diplo matic historians G.P. Gooch and H.W.V. Temperley were asked to edit the series. The publication of the German and British documents helped to spark a debate about the origins of World War I, and encouraged the publication of a number of works on the subject, such as S.B. Fay’s Origins of the First World War (1928), B.E. Schmitt’s The Coming of the War (1930), and Luigi Albertini’s Le origini della guerre del 1914 (19 42 - 4 3; The Origins of the War of 19 14 , 19 52 - 57). The tendency in the debate, fitting the objective tone of diplomatic history, was that no one power was guilty for causing the war; it was rather the result of universal miscalculation. The works that appeared in the next three decades largely followed the limited methodology outlined above. It soon became clear that the problem with this approach was that it led to vastly detailed histories which often lacked an analytical edge and which did little to explain how foreign policy was constructed in the first place. This was, however, not true of all the writers in the field, for some were capable of producing memorable work that tackled broader concepts such as the ideas of a balance of power. Most notable in this respect were the works of A.J.P Taylor, and in particular his The Struggle for Mastery in Europe (1954). Also important were books by historians such as W.N. Medlicott, Pierre Renouvin, and W.L. Langer. It was, however, clear that diplomatic history was in danger of becoming a cul de sac in which orthodox views

DIPLOM ATIC HISTORY

held too great a sway; this became even more evident when historians started to consider the origins of World War II. Even before the end of World War II, the study of the origins of that conflict had been started by E.H. Carr’s The Twenty Years' Crisis (1939), and after the war the trickle became a flood. This trend was encouraged once again by the almost immediate publication of government documents, but also significant was the appearance of the first part of Winston Churchill’s war memoirs, The Gathering Storm (1948), which set in stone an orthodox view on war origins that damned the British and French appeasement of an insatiable Nazi Germany. It did not take long for this orthodoxy to be challenged. In 19 6 1 A.J.P. Taylor produced his The Origins of the Second World War, which postulated that the war over Poland in 1939 was the result of diplomatic blundering rather than part of Hitler’s blueprint for world domination. Taylor’s work caused intense debate, and it opened the gates for others to follow. In partic ular the 1960s and 1970s saw historians such as D.C. Watt, David Dilks, and George Peden begin to analyze the motives behind British appeasement of Germany and to demonstrate that military, economic, and financial factors had been as important for Britain as diplomatic concerns. In addition, such studies displayed an increasing interest in the way both public and private perceptions were formed, which led in turn to new offshoots from purely diplomatic history such as the study of intelligence and propaganda. It became clear that the discipline was becoming more sophisticated. Another important reason for the shift in diplomatic history from the 1960s onwards was the influence of the changes that were going on in history as a whole, as the discipline moved away from political history towards social, economic, cultural, and intellectual history. In particular the new history of the Annales school raised a challenge as it was overtly hostile to diplomatic history, regarding it as a nothing more than a history of elites. This criticism rang home, for diplomatic history was still overwhelmingly concerned with high politics and was based primarily on the documents of foreign ministries and their ambassadors. In order to overcome the limitations of diplomatic history some of its practitioners started to devote attention to the economic, social, cultural, and military factors that influenced foreign policymaking. The most significant of such scholars was the West German historian Fritz Fischer who, in his book Griff nach der Weltmacht (19 6 1; Germany's Aims in the First World War, 1967), reopened the debate about the origins of that conflict by demonstrating how Germany’s economic and colonial ambitions had contributed to the outbreak of war. Fischer’s thesis provoked a bitter debate, but away from the specifics of his subject matter his approach showed that to study foreign policy in isolation from domestic factors was a grave error. In addition, a similar influence was exerted by the rise of international relations as a discipline within political science. The application of a social science methodology to relations between states showed that it was possible to move away from complete empiricism towards more theoretical explanations. Historians such as F.H. Hinsley and Christopher Thorne took up the challenge from international relations and showed how broader frameworks of analysis could be applied to diplomatic history. In addition to influences from inside the discipline of history, external factors also had a role in changing the agenda of

3 15

diplomatic history. One key fact was that, unlike World War I, World War II had been a truly global conflict involving war in the Pacific as well as Europe. This meant that for virtually the first time a non-European subject, the origins of the Pacific War, became of concern for diplomatic historians, and this in turn helped to open up interest in the history of diplomatic relations between the East Asian states and the West. In particular, an interest in Japan was to be seen in works by such historians as Chihiro Hosoya, Ian Nish, and Akira Iriye. World War II was also significant because by weakening the European states and their colonial empires it shifted the spotlight of world events away from Europe towards the newly independent states of Southeast Asia and the Middle East. The complex history of decolonization in these areas and the subsequent diplomatic maneuverings of the Cold War rivals, the Soviet Union and the United States, opened up new uncharted arenas for diplo matic historians. Contemporary events could also be influential in affecting the diplomatic history agenda. The most obvious postwar example was the effect of the Vietnam War on the way in which historians approached the history of America’s foreign relations. Opposition to the war led a number of historians to move away from straightforward accounts of diplomatic history to an attempt to understand the motivations and ideology that lay behind American foreign policy. The result was a number of books on subjects such as American imperialism at the end of the 19th century, the role of the United States in East Asia in the 20th century, and the origins of the Cold War, which utilized some of the tools of economic, social, and cultural history. Once again the result was to cause a major debate within the discipline which continues to reverberate with undiminished vigor to the present day, particularly in the pages of Diplomatic History, the journal of the Society of Historians of American Foreign Relations. Diplomatic history is thus in a position, after a time of external criticism and self-doubt, to produce once again interesting and challenging work. The field has benefited enormously from the influx of ideas of social history and international relations and from the ending of its former Eurocentricity. Sa h o

M a t su mo t o

See also Ambrose; Annales regni; Butterfield; Chabod; Droysen; Elliott; Europe: Modern; Fischer; Gilbert; Intelligence; Jelavich; Kedourie; Kennedy; Kolko; LaFeber; Mattingly; Mayer; Motley; Renouvin; Rodrigues; Taylor; Vagts; Williams, W.

Further Reading

Albertini, Luigi, L e orig in i della gu erre d el 1 9 1 4 , 3 vols., Milan: Bocca, 19 4 2 - 4 3 ; in English as T h e O rig in s o f the W ar o f 1 9 1 4 , 3 vols., London: Oxford University Press, 1 9 5 2 - 5 7 Carr, E.H., T h e T w e n ty Y ea rs ' C risis , 1 9 1 9 - 1 9 3 9 : A n Intro d u ctio n to the S tu d y o f Internation al R e la tio n s , London: Macmillan, 19 39 ; New York: St. Martin ’s Press, 19 6 2 Churchill, Winston, T h e S e co n d W o rld W ar , vol. 1: T h e G a th e rin g S to rm , London: Cassell, and Boston: Houghton Mifflin, 1948 Dilks, David, “ ‘ We Must Hope for the Best and Prepare for the Worst’ : The Prime Minister, the Cabinet and Hitler’s Germany, i 9 3 7 - i 9 3 9 , ” P ro ceed in g s o f the B ritish A c a d e m y 73 (1987), 3 0 9 -5 2 Fay, Sidney Bradshaw, O rig in s o f the First W o rld W a r , 2 vols., New York: Macmillan, 19 28

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DIPLOM ATIC HISTORY

Fischer, Fritz, G r i f f n a ch d er W eltm acht: die K riegszielp olitik des kaiseriichen D e u tsch la n d , 1 9 1 4 - 1 8 , Düsseldorf: Droste, 19 6 1; in English as G e r m a n y ’s A im s in the First W o rld W ar , London: Chatto and Windus, and New York: Norton, 19 6 7 Gooch, G.P., B e fo re the W ar: Stud ies in D ip lo m a c y , 2 vols., London: Longman, 19 36 Hinsley, Francis Harry, P o w e r a n d the P ursuit o f P eace: T h e o r y a n d Pra ctice in the H isto ry o f R elatio n s B etw een States , Cambridge: Cambridge University Press, 19 63 Hogan, Michael J., ed., A m e rica in the W o rld : T h e H isto rio g ra p h y o f A m e rica n Fo reig n R ela tio n s sin ce 1 9 4 1 , Cambridge and New York: Cambridge University Press, 1995 Hosoya, Chihiro, “ Miscalculations in Deterrent Policy: Japanese -US Relations, 1 9 3 8 - 1 9 4 1 , ” Jo u r n a l o f P eace R esea rch 2 (1968), 9 7 -115 Hunt, Michael H., Id e o lo g y a n d U S F o reign P o lic y , New Haven: Yale University Press, 19 8 7 Iriye, Akira, P o w e r a n d C u ltu re: T h e Ja p a n e se - A m e ric a n War, 1 9 4 1 - 1 9 4 $ , Cambridge, M A: Harvard University Press, 19 83 Joli, James, E u r o p e sin ce 1 8 7 0 : A n In ternation al H isto ry , London: Weidenfeld and Nicolson, and New York: Harper, 19 73 Langer, William Leonard, E u ro p e a n A llia n ce s a n d A lig n m en ts, 1 8 7 1 - 1 8 9 0 , New York: Knopf, 1 9 3 1 ; revised 19 50 Lord, R.H., T h e S e c o n d P artition o f P o la n d : A S tu d y in D ip lo m a tic H is to ry , Cambridge, M A: Harvard University Press, 19 1 5 Mayer, Arno J., P o litica l O rig in s o f the N e w D ip lo m a cy, 1 9 1 7 - 1 9 1 8 , New Haven: Yale University Press, 19 59 Medlicott, W.N, B ism a rc k , G la d sto n e a n d the C o n ce rt o f E u r o p e , London: Athlone Press, 19 56 Nish, Ian Hill, A llia n c e in D e c lin e: A S tu d y in A n g lo - Ja p a n e se R elation s, 1 9 0 8 - 2 3, London: Athlone Press, 19 7 2 Peden, G., British R e a rm a m e n t a n d the Treasury, 1 9 3 2 - 1 9 3 9 , Edinburgh: Scottish Academic Press, 19 79 Pribram, A.F., A u stria n Fo reig n P olicy, 1 9 0 8 - 1 9 1 8 , London: Allen and Unwin, 19 2 3 Renouvin, Pierre, L a C rise e u ro p éen n e et la gra n d e guerre, 1 9 0 4 - 1 9 1 8 (The European Crisis and the Great War), Paris: Allan, 19 3 4 Robertson, Esmonde M ., ed., T h e O rig in s o f the S e c o n d W o rld W ar: H isto rica l In terpretation s , London: Macmillan, 19 7 1 Schmitt, Bernadotte E., T h e C o m in g o f the War, 1 9 1 4 , New York: Scribner, 19 30 Taylor, A.J.P., T h e Strug gle fo r M a ste ry in E u ro p e , 1 8 4 8 - 1 9 1 8 , London and New York: Oxford University Press, 19 54 Taylor, A.J.P., T h e O rig in s o f the S e c o n d W o rld W ar , London: Hamish Hamilton, and New York: Atheneum, 19 6 1 Temperley, H.W.V., T h e Fo reig n P o lic y o f C a n n in g , 1 8 2 2 - 1 8 2 7 : E n g la n d , the N e o - H o ly A llia n c e , a n d the N e w W o rld , London: Bell, 19 2 5 Thorne, Christopher, B o r d e r C ro ssin g s: Studies in Internation al H is to ry , Oxford and New York: Blackwell, 1988 Watt, Donald Cameron, H o w W ar C a m e : T h e Im m ed ia te O rig in s o f the S e c o n d W o rld War, 1 9 3 8 - 1 9 3 9 , London: Heinemann, and N ew York: Pantheon, 1989 Webster, C.K., T h e C o n g re ss o f Vienna, 1 8 1 4 - 1 5, London and New York: Oxford University Press, 19 19

Documentary Film Since its inception film has acted both as an instrument of information and as a source of entertainment. The documentary film, a term not popularized until the 1920s, began with the origins of film technology. The documentary film, however, has changed over time, shifting along with the technological as well as political, social, and culture landscape.

As filmmaking emerged in the 1890s, the documentarists distinguished their work from other filmmakers by their focus on real people and real events. In the 20th century’s first decade, the “ nickelodeon” era, in which single reel films lasted from one to ten minutes, the film of fact gave way to entertainment. The documentary’s rebirth resulted from distinct American and Soviet impulses. The first great American documentarist, Robert Flaherty, began as an explorer and prospector in northern Canada, but soon filming dominated his trips. In 19 22 he released, Nanook of the North. While private benefactors financed Nanook, Flaherty’s second film, Moana (1926), about Polynesian culture, received American commercial film studio support. In the same period, Dziga Vertov and other Soviet documentarists glorified their new order. Three traditions predominated in the 1920s: the American romantic tradition; the Soviet propaganda style; and continental realism. In reviewing Flaherty’s Moana, John Grierson, a documentarist employed by the British government’s film unit, popu larized the term documentary to describe an “ actuality-based” work. Grierson, who had just embarked on a decades-long career as a director and producer of government-sponsored documentaries in Britain, sought to promote filmmaking outside of the commercial film industry, believing that films should educate the public. Debate raged, however, about whether documentaries captured “ truth.” Documentarists like Vertov believed a film remained authentic even if the artist conveyed a generalized poetic feeling from facts. Grierson later altered his definition to account for the creative interpretation (as opposed to treatment) of actuality. Filmmakers and critics agreed that documentaries mixed social and artistic sensibilities and thus transcended mere fact or mere entertainment. American filmmakers, unlike their European counterparts, did not receive state support, until the Depression and the New Deal altered the American status quo. During the 1930s the US government subsidized projects that captured the American experience. Pare Lorentz created two famous documentaries, The Plow That Broke the Plains (1936), and The River (1937), for a New Deal agency. Lorentz’s films fit into a larger docu mentary impulse sweeping the nation’s artistic communities. During the anxious years of depression, the documentary gained importance as a means of national propaganda. In Nazi Germany Leni Riefenstahl’s Triumph of the Will (1935) and Olympia (1938) stood as powerful artistic statements celebrating the fascist state. War temporarily institutionalized the docu mentary as propaganda. In Britain, for example, just a short step carried Grierson from making movies that explained the British economy, Housing Problems (1935), to ones that showcased the Royal Air Force, The Lion Has Wings (1939). American commercial film director Frank Capra produced the Why We Fight series under the eye of the American government. During the 1930s a parallel documentary tradition, the newsreel, surged. At times, more than 20 million people a month viewed Time-Life Inc.’s March of Time series, which began in 19 35 . The newsreel tradition dated from film’s earliest days, but they had their strongest appeal during the war. Technological factors shaped the newsreel style. Because of the limitations in recording live events (especially battles), newsreel producers opted for a reportial style and they re-enacted key events. Until 1945, and the introduction of 16mm safety

D O M ÍN G U E Z ORTIZ

film, filmmakers could not shoot uninterrupted for more than ten minutes. In the 1 9 50s the newsreel continued on a new medium, television. In postwar America, corporations sponsored documentarists. Standard Oil of New Jersey invested $175,0 0 0 in Flaherty’s Louisiana Story (1948), which dramatized the arrival of oil exploration in the Louisiana bayou. Film sponsorship by big business, big charities, government, and television brought commercial styles into the field. While in some cases television’s sponsorship moderated the tone and restricted the selection of topics, television also widened the audience for coverage of compelling issues, such as McCarthyism and the civil rights movement. Television’s immediacy gave viewers a sense of being there amidst the action. The cultural shift augmented technological innovations, such as small lightweight hand-held cameras with portable tape recorders that made it easier to capture action and sound and lessened the need for large crews, further altering documentary technique. As part of a widespread search for “ truth” during the 1960s, documentarists attempted to capture life without preconceived notions. An early example of the cinéma-vérité style, Richard Leacock’s Primary (i960), chronicled the i960 Democratic presidential primary. In seeking to dramatize current events, the cinéma-vérité docu mentarists acted as the story’s catalyst, provoking reactions to create their story. More versatile cameras and easier editing also eased the return of the feature-length documentary. The confrontational style proceeded into the 1970s, a decade marked by the emergence of women filmmakers. Barbara Kopple’s Harlan County, USA (1976), captured the gritty essence of a coal miners’ strike. The Vietnam War provided material for scores of films, reinforcing the documentarist’s role as social critic. This was even more striking with the postwar confrontation of the Holocaust, from Alain Resnais’ elegant Nuit et brouillard (Night and Fog, 1955), to Claude Lanzmann’s epic Shoah (1985), and Marcel Ophuls’ investigation into French complicity with its Nazi invaders in Le Chagrin et la pitié (The Sorrow and the Pity, 19 7 1). The documentary continues to evolve. Commercial docudramas, an unsteady mixture of fiction and fact, and public rela tions films have corrupted the documentary’s expository legacy. In attempting to explain weighty topics, historical documentaries, such as Ken Burns’ Civil War and baseball films on American public television, rely on extant footage, archival sources, and expert commentary. No longer just a chronicle of current events, documentaries also function as an oracle of history. The encroachment upon the historian’s turf has ignited the old debate about whether filmmakers document or distort the truth. C h r ist o ph er

M a c G r eg o r

Sc r ib n e r

See also Film; Media Further Reading Barnouw, Erik, D o c u m e n ta ry : A H isto ry o f N o n - F ic t io n F ilm , London and New York: Oxford University Press, 19 7 4 ; revised 19 83 Barsam, Richard, N o n fic tio n F ilm : A C ritic a l H isto ry , New York: Dutton, 19 7 3 , London: Allen and Unwin, 19 74 ; revised 19 9 2

3 17

Campbell, Craig, R e e l A m e rica a n d W o rld W ar I: A C o m p re h e n siv e F ilm o g r a p h y o f M o tio n Pictures in the U n ited States , 1 9 1 4 - 1 9 2 0 , Jefferson, N C : McFarland, 19 85 Jacobs, Lewis, ed., T h e D o cu m e n ta ry T ra d itio n , New York: Hopkinson and Blake, 1 9 7 1 ; revised 19 79 Pronay, Nicholas, and David W. Spring, eds., P ro p a g a n d a , P o litics , a n d F ilm , 1 9 1 8 - 4 j , London: Macmillan, 19 8 2 Smith, Paul, ed., T h e H istorian a n d F ilm , Cambridge and New York: Cambridge University Press, 19 76 Swann, Paul, T h e B ritish D o cu m e n ta ry Film M o v e m e n t , 1 9 2 6 - 1 9 4 6 , Cambridge and New York: Cambridge University Press, 1989

Dominguez Ortiz, Antonio

1909 -

Spanish historian

Born in Seville in 1909, with university degrees in history from Seville and Madrid, Antonio Dominguez Ortiz is one of the foremost specialists of early modern Spanish history and one of the truly great Spanish historians of this century. He belongs to a generation of historians which blossomed during the regime of Francisco Franco, receptive to much of the innovative historical scholarship being undertaken outside the Spain in the French and Anglo -Saxon worlds, yet still distinctly Spanish in their choice of topics and the way they analyzed them. Far removed from the penchant for macro-explanations of the development of Spanish history - so characteristic of the great historians and thinkers of the first half of this century (Claudio Sánchez Albornoz, Américo Castro, José Ortega y Gasset, among others) - Dominguez Ortiz’s work, like that of others in his generation, has been centered on the more modest but equally important goal of enlarging our understanding of Spanish history a little bit at a time. In a sense this work is less ambitious than the preceding generation’s, but far more fruitful because it has helped lay out the path which many social, economic, and political historians have followed up until the present. Throughout his long and extraordinarily prolific career, Dominguez Ortiz has concentrated on the history of Spain between the reign of the Catholic kings and the end of the ancien régime, from the late 15 th century to the late 18th. He has made significant contributions to our understanding of many aspects of the Spanish past ranging from population development to intellectual history. It is in his studies of Spanish society, however, that the work of Dominguez Ortiz has been most fruitful. He is a social historian in the best possible sense, open to advances in the social sciences and keenly interested in how society works, how different social groups are structured, and how they interact. His work is basically non-quantitative and is firmly grounded in his own archival work and in a vast knowledge of both contemporary and historical accounts of past events, processes, and characters. His approach to history is also decidedly non-ideological. His shadow has been a long one among younger generations of historians, not only because of the way he has written history, but also because many of the subjects and interpretations he emphasized have subsequently gained favor among younger historians. It is impossible to research early modern Spanish history today without being keenly aware of his legacy. Dominguez Ortiz’s work continues to constitute the point of

3l 8

D O M ÍN G U E Z ORTIZ

departure for most serious research on a wide range of social groups and institutions of ancien régime society in Spain. His classic studies of 17th - and 18th -century Spanish society - La sociedad espanola en el siglo XVIII (18th -Century Spanish Society, 1955) and La sociedad espanola en el siglo XVII (17th Century Spanish Society, 1963 - 70) are arguably his two most influential works. In them Dominguez Ortiz pointed to a society that was a nexus of interest groups, each with specific interests of its own which were played out in given structural contexts which constrained their actions. Money and economic position were central to the way each group developed in society, but so were prestige, honor, lineage, and the prevailing levels of social and religious tolerance. This way of approaching society was strongly influenced by many of the advances made by the social sciences during the central decades of this century, although Dominguez Ortiz seldom emphasized this point. The way he dealt with the nobility and the clergy was characteristic of this approach. With the nobility, his work was one of the first to treat it as a specific social group. It was a group whose position within the society of the ancien régime was based on status (honor, prestige, social consideration, privilege) rather than merely on wealth; although within the nobility itself, more often than not wealth, especially rents, was the key to its own internal hierarchy. When studying the clergy, the basic approach remained the same. Both clergy and nobility were estates, because their social position was based on tradition and legal privilege, yet both revealed very sharp internal differences defined mainly by wealth. Priests and nobles wielded considerable social, political, and economic influence within the sphere of Spanish society, although this influence was conditioned by their position within each estate. The work of Dominguez Ortiz on minority groups has also had a far-reaching influence on Spanish historiography. Of particular importance was his pioneering study of converts from Judaism (conversos) during the early modern period

(La clase social de los conversos en Castilla en la Edad Moderna (The Social Class of the conversos in Early Modern

Castile, 1955). He was one of the very first to treat them not as crypto-Jews but rather as a heterogeneous social group, urban-based, often elite but with no established position in an estate society bent on protecting its own vested interests and on excluding any sign of religious or social divergence. In his work on the moriscos (Muslim converts to Christianity), which began in 1949 and which culminated in his Historia de los moriscos (History of the moriscos, 1978, written with Bernard Vincent), Dominguez Ortiz explored the social makeup of the morisco minority, the difficulties of their assimilation into Spanish society and the reasons for and consequences of their expulsion, first from Granada, and then from Spain in 1609. Typically he was concerned more with the way they fit into society than he was with the political or religious debates involving their expulsion. Dominguez Ortiz’s research has led him to study other minority groups in society (slaves, foundlings, Gypsies), periods of civil unrest (especially during the 17th century), urban history (especially of his native Seville), popular religion, Bourbon reformism, the fiscal policy of Philip IV, different aspects of the Enlightenment in Spain, the population history both of his native Andalusia and of Spain as a whole, the role of doctors in society, and a host of other subjects all of which related to his pervasive interest

in the makeup and the way premodern Spanish society functioned. Although he is one of the most eminent Spanish historians, it is ironic that Dominguez Ortiz never became a university faculty member. How a historian of his stature could spend his entire teaching career in secondary education is one of those mysteries of Spain that is near impossible to fathom. Yet the true stature of an historian is not given by his institution but by his work, and the work of Dominguez Ortiz stands high indeed. His studies of 17th - and 18th -century Spanish society, clearly written yet laced with vast but unpretentious erudition (so uncommon among more contemporary historians), are an unending source of pleasure and understanding of the way Spanish society worked. It is unfortunate that more of his work is not available in English. Da v id

S e e a ls o

R eh er

Spain: Imperial

Biography Born Seville, 1909. Received degrees in history from universities of Seville and Madrid. Taught geography and history in Seville, Granada, and Madrid. Retired 19 79.

Principal Writings O rto y o caso d e Sevilla (Rise and Decline of Seville), 19 46 ; 2nd

edition, 19 7 4 L a clase so cia l d e lo s co n verso s en C astilla en la E d a d M o d e rn a

(The Social Class of the co n v erso s [Converts] in Early Modern Castile), 19 5 5 L a so c ie d a d esp añ ola en el siglo X V l l l (18th -Century Spanish Society), 19 5 5 ; revised as S o c ie d a d y E s ta d o en el siglo X V I I I e sp a ñ o l (Society and State in 18th -Century Spain), 19 76 P olítica y h a cien da d e F elip e I V (Politics and Finances of Philip IV), i9 6 0 L a so c ie d a d esp añola en el siglo X V I I (Spanish Society in the 17th Century), 2 vols., 19 6 3 - 7 0 ; reprinted 19 9 2 C risis y d ecad en cia en la E sp a ñ a d e los A u stria s (Crisis and Decadence in Habsburg Spain), 1969 T h e G o ld e n A g e o f Sp a in , 1 5 1 6 - 1 6 5 9 , 19 7 1 L o s ju d e o co n v e rso s en E sp a ñ a y A m é rica (The Jewish co n v erso s in Spain and America), 19 7 1 A ltera cio n es a n daluza s (Andalusian Upheavals), 19 7 3 E l A n tig u o R é g im e n : los R e y e s C a tó lico s y los A u stria s (The A n d e n R ég im e: The Catholic Kings and the Habsburgs), 19 73 L a s clases p rivileg ia d a s en el A n tig u o R ég im en (The Privileged Classes during the A n d e n R é g im e ), 19 7 3 H e c h o s y figuras d e l siglo X V I I I esp a ñ o l (Events and Personalities of 18th -Century Spain), 19 7 3 D e sd e C a rlo s V a la P a z d e lo s P irin eo s , 1 5 1 J - 1 6 6 0 (From Charles V to the Peace of the Pyrenees, 1 5 1 7 - 1 6 6 0 ) , 19 7 4 With Francisco Aguilar Piñal, E l b a rro co y la ilu stración (The Age of the Baroque and the Enlightenment), 19 76 With Bernard Vincent, H istoria d e los m o ris co s: vid a y tragedia de una m in o ría (History of the m o risco s: Life and Tragedy of a Minority), 19 78 P olítica fiscal y c a m b io so c ia l en la E sp a ñ a d e l siglo X V I I I (Fiscal Policy and Social Change in 18th -Century Spain), 19 84 H isto ria de S evilla : la S evilla d e l sig lo X V I I (History of Seville in the 17th Century), 19 84 Instituciones y so c ie d a d en la E s p a ñ a d e lo s A u stria s (Institutions and Society in Habsburg Spain), 19 85 E stu d io s d e historia e co n ó m ica y so cia l d e E sp a ñ a (Studies in the Social and Economic History of Spain), 19 8 7

DOPSCH

C a rlo s I I I y la E sp a ñ a d e la Ilustració n (Charles III and the Spain

of the Enlightenment), 1988 Editor, H isto ria d e E sp a ñ a (History of Spain), 1 2 vols., 19 8 8 - 9 1 L o s ju d e o co n v e rso s en la E sp a ñ a m o d e rn a (The Jewish c o n verso s in Early Modern Spain), 19 9 2

Further Reading “ La historia social a España a partir de l’obra de D. Antonio Dominguez Ortiz” (The Social History of Spain from the Works of Dominguez Ortiz), M a n u scrits: R evista d ’ H istoria M o d e rn a 14 (January 1996), 1 5 - 1 1 8

Dopsch, Alfons

1868 - 1953

Austrian social and economic historian

Alfons Dopsch was an eminent social and economic historian noted for his spirited revision of Western European medieval history and his love of lively academic debate. He based his work not on economic or sociological theory but on comparative archaeology supplemented by literary sources. Evidence obtained from archaeological excavations particularly appealed to him because it allowed historians to survey longer periods of time than was possible using literary sources. Many earlier medievalists, using only written sources, had developed a legal and constitution methodology that treated each historical period as distinct from its predecessor. Their work admitted little or no historical continuity, but Dopsch maintained that, viewed from the perspective of economics and society, continuity not separation accurately characterized cultural change. In 1904 Dopsch first attracted attention as a promising scholar with the publication of Austrian land registers, Die Landesfürstlichen Urbare (Austrian Domainal Feudal Land Registers), that he had edited. His first monograph, Die ältere Sozial- und Wirtschaftsordnung der Alpenslawen (The Early Economic and Social Order of the Alpine Slavs, 1909), established his revisionist bent by proving that historians had understated the number of Slavs living in the Alpine region. For his second major work, Die Wirtschaftsentwicklung der Karolingerzeit (The Economic Development of the Carolingian Age, 1 9 12 - 13 ) , he broadened his inquiries to include the entire area of the Roman empire affected by the German invasions. In this work and later in Naturalwirtschaft und Geldwirtschaft in der Weltgeschichte (Natural Economy and Money Economy in World History, 1930) he attacked Karl Bücher’s closed economy (geschlossene Hauswirtschaft) theory. Bücher, a practitioner of the legal and constitutional methodology, assumed that economic systems owed little or nothing to their predecessors, and argued that the decline of towns, and with them trade and money, had forced early medieval Europeans to base their economy on self-sufficient agricultural estates. Dopsch countered that the Germans had trickled into the Roman empire and destroyed neither town life, trade, nor the use of money during the 6th and 7th centuries. Furthermore, rather than a peasantry attached to large manorial estates, numerous free peasant holdings persisted during these years. From this evidence and the conclusions he derived from it came Dopsch’s crowning blow to the historical status quo. In the pages of his most important work, Wirtschaftliche und

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soziale Grundlagen der europäischen Kulturentwicklung aus der Zeit von Cäsar bis auf Karl den Grossen (19 18 - 2 0 ; abridged as The Economic and Social Foundation of European Civilization, 1937), he proclaimed that the fall of the Roman

empire in Western Europe was not the catastrophic destruction (Katastrophentheorie) of advanced Roman civilization by German barbarians. On the contrary, the Middle Ages had evolved in an orderly fashion because the Germans preserved and absorbed Roman culture. Armed with this thesis, he rehabilitated the much maligned Merovingians by arguing that the Carolingian Renaissance only completed what the Franks had begun during the 5th and 6th centuries. In his last major study, Herrschaft und Bauer in der deutschen Kaiserzeit (Lord and Peasant during the Medieval German Empire, 1939), Dopsch extended his uninterrupted economic evolution thesis to the early modern era. During the nearly seventy years that have passed since Dopsch published his last major work, medievalists have significantly altered many of his conclusions, partly because new archaeological research has cast doubt on some of the evidence he employed, and partly because his thesis exaggerated and oversimplified the origins and development of the Middle Ages. While the contemporary literary sources magnified the cata strophic impact of the Germans on the Roman empire, Dopsch understated the regional differences involved in the process. For example, the Rhinelands suffered an economic decline worse than most other parts of the Roman empire. Ruralization was also more widespread than Dopsch maintained. Towns declined to villages in most cases except for those few located on the main trade routes. Finally, Dopsch ’s strong advocacy of continuity forced him to underemphasize the important German contributions to medieval culture. Nevertheless, Dopsch had a significant effect on medieval studies by forcing historians to give more consideration to economic and social factors and to the issue of continuity. Ro ber t

S e e a ls o

F. F o r r e s t

Power; Sänchez-Albornoz; Srbik

Biography Born Lobositz, Bohemia, 14 June 1868. Studied at Institut für Österreichische Geschichtsforschung. Professor, University of Vienna, 18 9 8 - 19 3 6 . Married Marie Ficker, 1900 (1 son, 1 daughter). Died Vienna, 1 September 19 5 3 .

Principal Writings D ie ältere Sozia l - u n d W irtsch a ftso rd n u n g d er A lp e n s la w e n (The

Early Economic and Social Order of the Alpine Slays), 1909 D ie W irtsch a ftsen tw ick lu n g d er K a rolingerzeit , v o rn e h m lich in D e u tsc h la n d (The Economic Development of the Carolingian Age, Particularly in Germany), 2 vols., 1 9 1 2 - 1 3 W irtsch aftliche u n d sozia le G ru n d la g e n d er eu ro p ä isch en K u ltu re n tw ic k lu n g aus d er Z e it vo n C ä sa r b is a u f K a rl d en G ro sse n (Economic and Social Foundations of European Civilization from Caesar to Charlemagne), 2 vols., 1 9 18 - 2 0 ; abridged in English as T h e E c o n o m ic a n d S o c ia l F o u n d a tio n o f E u ro p e a n C iviliz a tio n , 19 3 7 N a tu ra lw irts ch a ft u n d G eld w irtsc h a ft in d er W eltgeschichte (Natural Economy and Money Economy in World History), 19 30 H errsch a ft u n d B a u e r in d er d eu tsch en K aiserzeit (Lord and Peasant during the Medieval German Empire), 19 39

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DRESS

Dress The history of dress has its origins in the cataloging of the appearance, apparel, and customs of people of different nationalities and localities. The encyclopedic works which these antiquarian practices first produced continue to comprise a significant portion of the literature of the field. Influenced perhaps by conventional perceptions of dress itself as the purview of the “ feminine” segment of society, the study of dress has until recently been perceived by the academy as comparable to the study of the so-called lesser genres - portraiture, still-life, landscape - within the academy of the fine arts. Despite the fact that during the early part of the 20th century the study of dress increasingly incorporated its social and economic contexts, only rarely did scholars in the field focus on the dress of the work ing or middle classes, or consider in any depth the implications of dress in the politics of gender and race. The history of dress continued to be primarily concerned with the decorous, upperclass, haute couture inhabitants of the drawing room and high society, until the scholarship of the last twenty to thirty years embraced the revisionist influences of outside disciplines such as gender studies, material culture studies, and social history, bringing to the study of dress not only new methodologies, but also the element of cross-disciplinary collaboration. The informal beginnings of the history of dress can be traced as far back as the engraved costume books of the 16th and 17th centuries. These books were printed in Western Europe by such artists as Jost Amman and Cesare Vecellio in a period of extensive transcontinental exploration and anthropological curiosity about the habits and appearances of people in foreign lands. Olian has described the books, which illustrated and commented upon the dress worn in various segments of society throughout the known world, as “ geographies and histories of clothing and manners.” They established what was to be a primary framework for the discussion of dress well into the 20th century: that of nationalism. Other early works, including a history of “ Male and Female Costume” attributed to George Bryan (Beau) Brummell (1822), took up the study of the dress of historical cultures as the basis of a critique of that of their own time and nationality. Brummel proposed thereby to influence current trends in taste and style and to document the changes that resulted: “ to make regular half-yearly additions to the work, in each of which an accurate drawing and a critical description of the actual progress of the public taste in costume will be given.” His work elab orated on the post-Renaissance construction of the Englishman - notorious for adopting the fashions of a patchwork of European nations - as lacking a sense of national identity and presenting a ludicrous amalgam of foreign eccentricities. Nineteenth-century works spawned by British and American movements for dress reform would likewise appeal to the simpler, more organic dress of the past in contrast to the limitations of the fashionable dress of the day for both men and women. In the wake of the publication of Diderot’s influential Encyclopédie (17 5 1 - 6 5 ) - which devoted considerable attention in its volumes to the production of textiles and apparel - and promoted, perhaps, by the passion for taxonomy that thrived in late 18th - and 19th -century Europe, a number of encyclopedic works dealing with dress were generated during

the latter half of the 19th century. Once again, the strong association of modes of dress with national identity played its part. These works either studied monographically the history of a single country’s dress (see, for example, both Fairholt and Quicherat) or divided broader surveys according to national and local trends. Particularly notable in this latter category is Planché’s A Cyclopedia of Costume (1876 - 79), the format and ambitions of which were carried on in such standard reference works of the 20th century as Millia Davenport’s The Book of Costume (1948) and François Boucher’s Histoire du costume en Occident (1965; 20,000 Years of Fashion, 1967). The Eurocentric agenda of the earlier works was perpetuated by Davenport and Boucher, who noted Asiatic and Middle Eastern customs and costume only by way of background for the scrutiny of those of the West; references to African, South American, and Eastern European dress were few. Euro- and Anglo-centrism continue to dominate the field to this day. In museums throughout the Western world, Asiatic costumes tend to be collected and retained under the auspices of departments of Asiatic arts, and African costumes under those of African and Oceanic artifacts, rather than by departments of textiles and costumes. The study of ethnographic costume has more often fallen under the rubric of ethnography than that of the history of dress. Juxtaposed with the taxonomical and antiquarian works that launched the discipline as such, works of scholars concerned with the social history of dress also emerged at the turn of the 20th century. Among the most influential of these scholars, M ax von Boehn, whose multivolume set Die Mode (19 0 7 - 19 ; Modes and Manners, 1909 - 27) was written in the first decade of the 20th century and reprinted and translated numerous times during the following fifty years, addressed the course of fashion as one element of the social, artistic, and nationalistic agendas of each chronological period in the modern history of Western Europe. The American economist Thorstein Veblen, in his best-known work, The Theory of the Leisure Class (1899), indicted fashionable dress as a sign of conspicuous consumption and thereby complicit in perpetuating a culture driven by the inequitable distribution and display of wealth. Indeed, Veblen’s construction of the woman in this “ pecuniary culture” as the enforcedly indolent site of her husband’s “ vicarious leisure” echoed the battle cry of many a 19th -century advocate for dress reform and woman’s enfranchisement, who argued that the physical constraints of fash ionable dress (corsetted waists, weighty skirts, and tightly-fitted bodices) both enforced and emblematized women’s societallyprescribed uselessness. Veblen’s social and economic critiques engendered the support of Quentin Bell in his 1947 work On Human Finery, in which he described Veblen’s work as “ undoubtedly the most valuable contribution yet made to the philosophy of clothes . . . [though] strangely neglected by our historians of fashion; his works contain a challenge which, in this country [England] at all events, has been ignored.” Bell declared it the “ purpose and the justification” of his own book to “ represent” Veblen’s work. The historians of dress who dominated the discipline at the time Bell wrote his defense of Veblen included several affiliated with the Victoria and Albert Museum in London, an institution devoted to the collection and preservation of the decorative, as well as the fine, arts. In this milieu, James Laver, keeper of the

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Department of Prints and Drawings and of Paintings at the museum from 1938 through 1959, wrote of the aesthetics of, and changing tastes in, fashionable dress, as well as of its documentation and representation in paintings and prints. Laver ’s social and aesthetic history of dress was revisionist for its time. He and his colleagues, however - as Bell pointed out - con tinued to concern themselves with the interrelationships between visual imagery provided by court portraits and documentation of the dress of the well-to-do, apparently regardless of such questions as Veblen had raised about the role played by dress in asserting and perpetuating class, gender, and economic distinctions. Laver’s colleague at the Victoria and Albert Museum, John L. Nevinson, annotated various reprint editions of historical texts concerning the manners, morals, and practicalities of dress from the Renaissance forward. By the 1960s, Nevinson became the first scholar to study and write on the origins, early history, and social influence of fashion plates, an area of research taken up during the 1970s by Madeleine Ginsburg, another member of the Victoria and Albert Museum curatorial staff. Nevinson distinguished between fashion plate images and those provided by painted or engraved portraits, proposing that fashion plates were viewed by those who produced and consumed them as portraits of costume in which the particular human figure was conceived as of secondary importance. Nevinson ’s work implicitly cautioned against the difficulties inherent in seeking documentary evidence of dress from images that privileged the human figure, face, or identity, defining a methodological break with earlier historians in the field. With the rise of museology in the late 19th century, archaeological, artifact-centered scholarship in the history of dress came into its own. Indeed, much of the scholarly work in the field today continues to be associated with museum collections and exhibitions, and is carried out by historians linked in some way with the museum milieu. The scholarship of the latter half of the 20th century is generally distinguished from that of earlier periods, which commonly sought its “ evidence” in the images of dress supplied by contemporary visual arts, by a new insistence upon the integration of the material evidence of surviving garments themselves with the corollary contexts of literary and visual documents. This increased emphasis on material culture within the field parallels an increased legitimation of material culture studies in other areas of historical scholarship during the last twenty to thirty years. The works of Norah Waugh, which diagrammed and analyzed the cut and construction of a range of Western European men’s and women’s clothing in the context of excerpts from contemporary documents, comprised the first “ practicum ” in this material approach to the history of dress. Studies from the 1950s by English costume historians C. Willett Cunnington and Phillis Cunnington had contributed to this realignment of priorities, elevating the pragmatics of dress - cut, construction, fabrication - to the stature of socially and economically significant elements in their own right and of prime importance to the understanding of the outward appearance on which von Boehn had focused in his influential works. The legacy of the Cunningtons was carried on by such scholars as Anne Buck, who both collaborated with Phillis Cunnington and continued to negotiate the pragmatics of English and European dress in works of her own on the 18th and 19th centuries. It was not, however, until the publication

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of Waugh’s works and the subsequent works of Janet Arnold that the archaeological aspects of the discipline and the pursuit of the tangible artifact received first priority. Scholars associated with the History of Dress department at the Courtauld Institute of Art have, for the past twenty to thirty years, fortified the relationship between the work of the museum and the work of historians of dress. Aileen Ribeiro, the program’s current director and a specialist in 17th - and 18th -century European dress, has been instrumental in reformulating that relationship. As has been said, from the 19th through the mid-20th centuries, historians of dress derived much of the information for their work from the visual arts, conceiving of painted and engraved images as reliable, contemporary documents of changing fashions. Ribeiro and other members of the Courtauld school have posited instead that, while individual works of art may indeed supply evidence of certain broadly-based vogues of dress, these representations are subject to the filters of sitter / artist intention and convention which must be taken into account in appealing to such representations for chronologically “ accurate” testimony on the specifics of contemporary dress. Indeed, representations of dress in portraits, just as in history paintings, may be intended in some cases to be viewed purely iconographically, playing on intentional anachronisms or elaborations of historical ideals (as Ribeiro pointed out, for instance, in her 19 75 dissertation on the interrelationships between depictions of women in fancy dress in 18th -century English portraits and the fancy dress worn at masquerades during the same period). Ribeiro and her colleagues have generated a new discourse between historians of art and historians of dress. Historians of art have come to rely on their cross-disciplinary counterparts in resolving questions of dating, provenance, and attribution that can be clarified by knowledgeable analysis of the works in the context of the current state of research on dress. The pages of recent fine art exhibition catalogues attest to this shift of priority, often including scholarly essays on the social history of dress and its particular ramifications for the works of art on view. The conventional exclusion of middle- and working-class topics from the canon of the discipline (although the early costume books referred to at the beginning of this article were generally consistent in representing the burgher and even peasant archetypes of the localities they explored) can be attrib uted in part to the dearth of extant material and documentary evidence of the clothes worn by these classes. Yet scholarly initiatives in gender and class studies have prompted new research in these areas by historians of dress and their collab orators in the last twenty years. It may therefore be that the conventionally “ decorous” nature of the discipline until recently tended to exercise certain restrictions upon the subjects it comfortably treated. While certain sectors of the American community of historians of dress maintain earlier antiquarian agendas, advances in broadening the discipline’s parameters to encompass the previously disenfranchised topics of working-class dress and the politics of dress, to name just two, as well as revisionist methodologies, have been particularly strong in the United States. Claudia Kidwell, associated with the National Museum of American History of the Smithsonian Institution, has emphasized these areas in her exhibitions and publications of the last

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twenty years. Valerie Steele, an American historian associated with the Museum Studies program of the Fashion Institute of Technology (FIT) in New York, has collaborated with Kidwell and, in her own work, has revisited conventionally studied subjects such as the lives and output of couturières and the social history of dress in the Jazz Age (treated by Laver in 1964) from feminist and psychoanalytic points of view. Richard Martin, previously Steele’s colleague at FIT and now at the Metropolitan Museum of Art, a historian of art by training, has similarly transgressed canonic bounds of decorum within museum walls, turning on its head the conventional notion of dress as a lesser genre, subordinate to the fine arts, with such exhibitions as Fashion and Surrealism (1987), which reconsidered the collaborations of 20th-century couture designers and fine artists as a means of understanding the designers themselves as fine artists. He has irreverently undercut the traditional decorum of the discipline with exhibitions on Jocks and Nerds (1989), revolving around menswear, and on Infraapparel (1993), a history of underwear. As an academic discipline, the history of dress owes its recent evolution largely to the outside influences of parallel disciplines. Disciplines such as gender studies, the study of material culture, and social history have contributed to the strength and breadth of the study of dress through its reformation as an interdisciplinary enterprise. Su sa n

Sh if r in

Further Reading Arnold, Janet, Patterns o f F a sh io n : E n g lish w o m e n ' s D resses a n d T h e ir C o n stru c tio n , 2 vols., London: Wace, 19 6 4 - 6 6 ; New York: Drama Book, 19 7 2 Arnold, Janet, P atterns o f F a sh io n : T h e C u t a n d C o n stru ctio n o f C lo th e s fo r M e n a n d W o m en , c . i 5 6 0 - 1 6 2 0 , London: Macmillan, and New York: Drama Book, 19 85 Arnold, Janet, A H a n d b o o k o f C o stu m e , London: Macmillan, 19 7 3 ; N ew York: Drama Book, 19 85 Baines, Barbara Burman, F a sh io n R e viv a ls fro m the E liza b eth a n A g e to the P resen t D a y , London: Batsford, 19 8 1 Barthes, Roland, L e Systèm e d e la m o d e , Paris: Seuil, 19 6 7; in English as T h e F a sh io n S y stem , N ew York: Hill and Wang, 19 8 3; London: Cape, 19 85 Bell, Quentin, O n H u m a n F in e ry, London: Hogarth Press, 19 4 7, N ew York: Wyn, 19 49; revised 19 76 Boehn, M ax von, D ie M o d e : M e n sc h e n u n d M o d e n im achtzehnten Ja h rh u n d e rt, 4 vols., Munich: Bruckmann, 19 0 7 - 1 9 ; in English as M o d e s a n d M a n n e rs, 4 vols., London: Harrap, and New York: Putnam, 19 0 9 - 2 7 Boucher, François, H isto ire d u costu m e en O c c id e n t, de l ' A n tiq u ité à nos jo u rs, Paris: Flammarion, 19 6 $ ; in English as 20,000 Years o f F a sh io n : T h e H isto ry o f C o stu m e a n d P e rso n a l A d o rn m e n t, New York: Abrams, 19 6 7 , and as A H isto ry o f C o stu m e in the W est, London: Thames and Hudson, 19 8 7 Breward, Christopher, T h e C u ltu re o f Fa sh io n : A N e w H isto ry o f Fa sh io n a b le D re ss, Manchester: Manchester University Press, 1995

Brummel, Beau [George Bryan], M a le a n d Fem a le C o stu m e : G re cia n a n d R o m a n C o stu m e , British C o stu m e fro m the R o m a n In va sio n un til 18 2 2 , a n d the P rin cip les o f C o stu m e A p p lie d to Im p ro v e d D re ss o f the P resen t D a y , edited by Eleanor Parker, written c.18 20 , first published New York: Doubleday, 19 3 2 ; reprinted 19 78 Buck, Anne, D re ss in E ig h te e n th - C e n tu ry E n g la n d , New York: Holmes and Meier, and London: Batsford, 19 79 Callahan, Colleen, “ Dressed For Work: Women’s Clothing on the Job, 19 0 0 - 19 9 0 , ” L a b o r ' s H erita ge 4 (1992), 2 8 - 4 9

Challamel, Augustin, H isto ire d e la m o d e en F ra n ce: la toilette des fem m es d ep u is l ' é p o q u e g a llo - ro m a in e ju s q u ' à nos jo u rs , Paris: Bibliothèque du Magasin aux Demoiselles, 18 7 5 ; m English as T h e H isto ry o f F a sh io n in F ra n ce; or, T h e D re ss o f W o m en fro m the G a llo - R o m a n P e rio d to the Presen t T im e, London: Low

Marston, and New York: Scribner, 18 8 2 Cunnington, Cecil Willett, and Phillis Cunnington, H a n d b o o k o f E n g lish C o stu m e in the Seventeenth C e n tu ry, London: Faber, and Philadelphia: Dufour, 19 5 7 Cunnington, Cecil Willett, and Phillis Cunnington, T h e H isto ry o f U n d erclo th es, London: Joseph, 1 9 5 1 ; reprinted London: Faber, 19 8 1 , New York: Dover, 19 9 2 Davenport, Millia, T h e B o o k o f C o stu m e , New York: Crown, 1948 De Marly, Diana, W o rk in g D re ss : A H isto ry o f O cc u p a tio n a l C lo th in g , New York: Holmes and Meier, and London: Batsford, 1986 Diderot, Denis et a l., E n c y c lo p é d ie , ou, D ictio n n a ire raisonn é des sciences, des arts et des m étiers (The Encyclopedia; or, Dictionary of the Sciences, the Arts, and the Professions), 1 7 vols., Paris, 17 5 1-6 5 Ewing, Elizabeth, E v e r y d a y D ress, 1 6 5 0 - 1 9 0 0 , London: Batsford, 19 84 ; New York: Chelsea House, 1989 Fairholt, Frederick William, C o stu m e in E n g la n d : A H isto ry o f D re ss fro m the E a rliest P e r io d till the C lo se o f the E igh teen th C e n tu ry, London: Chapman and Hall, 1846 Garber, Marjorie, Vested Interests: C r o ss - D r e s sin g a n d C u ltu ra l A n x ie ty , New York: Routledge, 19 9 2; London: Penguin, 1993 Hollander, Anne, Seein g T h ro u g h C lo th e s, New York: Viking, 19 78 Kidwell, Claudia Brush, and Margaret C. Christman, Suitin g E v e r y o n e : T h e D e m o cra tiza tio n o f C lo th in g in A m e rica ,

Washington, DC: Smithsonian Institution Press, 19 74 Kidwell, Claudia Brush, and Valerie Steele, eds., M e n a n d W o m en : D re ssin g the P art, Washington, DC: Smithsonian Institution Press, 1989 Kunzle, David, F a sh io n a n d Fetish ism : A S o c ia l H isto ry o f the C orset, T ig h t - L a c in g a n d O th e r F o rm s o f B o d y - S c u lp tu re in the W est, Totowa, N J: Rowman and Littlefield, 19 8 2 Laver, James, Taste a n d F a sh io n , fro m the Fren ch R e v o lu tio n to the P resen t D a y , London: Harrap, 19 3 7 ; N ew York: Dodd Mead, 19 3 8 ; revised 19 4 5 Laver, James, W o m en 's D ress in the Ja z z A g e , London: Hamish Hamilton, 19 64 Laver, James, T h e A g e o f Illu sio n : M a n n e rs a n d M o ra ls, 1 7 5 0 - 1 8 4 8 , London: Weidenfeld and Nicolson, 1966; New York: McKay, 19 7 2

Laver, James, T h e A g e o f O p tim ism : M a n n ers a n d M o ra ls, 1 8 4 8 - 1 9 1 4 , London: Weidenfeld and Nicolson, 1966 Laver, James, A C o n cise H isto ry o f C o stu m e , London: Thames and Hudson, and New York: Abrams, 1969; revised as C o stu m e a n d F a sh io n : A C o n cise H isto ry , London: Thames and Hudson, and N ew York: Oxford University Press, 19 83 Laver, James, M o d e s ty in D re ss : A n In q u iry into the Fu n d am en tals o f F a sh io n , London: Heinemann, and Boston: Houghton Mifflin, 1969 Lurie, Alison, T h e L a n g u a g e o f C lo th e s, New York: Random House, and London: Heinemann, 19 8 1 Maeder, Edward, ed., A n E le g a n t A r t : F a sh io n a n d Fa ntasy in the E igh teen th C e n tu ry, Los Angeles: Los Angeles County Museum of Art, and N ew York: Abrams, 19 83 Martin, Richard, F a sh io n a n d Su rrealism , New York: Rizzoli, and London: Thames and Hudson, 19 8 7 Martin, Richard, and Harold Koda, Jo c k s a n d N e r d s : M e n ' s Style in the Tw entieth C e n tu ry, N ew York: Rizzoli, 1989 Martin, Richard, and Harold Koda, In fra - a p p a rel, New York: Metropolitan Museum of Art, 1993 Martin, Richard, and Harold Koda, O rien talism : V isions o f the E a st in W estern D re ss, New York: Metropolitan Museum of Art, 1994 Nevinson, J.L., “ Origin and Early History of the Fashion Plate,” U n ited States N a tio n a l M u s eu m B u lletin 250 (1967)

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O lian , J o A n n e , “ Sixte en th - C e n tu ry C o stu m e B o o k s , ” D re ss: T h e Jo u r n a l o f the C o stu m e So ciety o f A m e rica 3 (19 77), 20 - 48 Planché, Ja m e s R o b in so n , A C y clo p a e d ia o f C o stu m e , or, D ic tio n a ry o f D re ss In c lu d in g N o tic e s o f C o n tem p o ra n e o u s F a sh io n o n the C o n tin e n t , L o n d o n : C h a tto an d W in d u s, 18 7 6 - 7 9 ; N e w Y o rk : B o u to n , 18 7 7

Quicherat, Jules, H isto ire d u costum e en Fran ce d ep u is les tem ps les p lu s reculés ju s q u ’à la fin du X V I l i e siècle (The History of Costume in France from the Most Distant Times to the End of the 18th Century), Paris: Hachette, 18 7 5 Ribeiro, Aileen, T h e D ress W orn at M a sq u era d es in E n g la n d , 1 7 3 0 to 1 7 9 0 , a n d Its R ela tio n to F a n c y D re ss in P o rtra itu re , New York: Garland, 19 84 Ribeiro, Aileen, D re ss a n d M o ra lity , London: Batsford, and New York: Holmes and Meier, 1986 Ribeiro, Aileen, F a sh io n in the Fren ch R e v o lu tio n , London: Batsford, and New York: Holmes and Meier, 1988 Ribeiro, Aileen, T h e A r t o f D re ss: F a sh io n in E n g la n d a n d France, 1 7 3 0 to 1 8 2 0 , New Haven: Yale University Press, 19 95 Roberts, Helene E., “ The Exquisite Slave: The Role of Clothes in the Making of the Victorian Woman,” Sign s: Jo u r n a l o f W o m en in C u ltu re a n d S o ciety 2 (19 77), 55 4 - 6 9 Squire, Geoffrey, D ress, A rt, a n d Society, 1 3 6 0 - 1 9 7 0 , New York: Viking, and London: Studio Vista, 19 74 Steele, Valerie, Fa sh io n a n d E ro ticis m : Ideals o f Fem in in e B ea u ty fro m the V ictorian E ra to the J a z z A g e , New York and Oxford: Oxford University Press, 19 85 Steele, V alerie, Paris F a sh io n : A C u ltu ra l H isto ry , O x fo rd and N e w Y o rk : O x fo rd U n iversity Press, 1988 Steele, V alerie, W o m en o f F a sh io n : T w e n tie th - C e n tu ry D e sig n e rs , N e w Y o rk : R izzo li, 19 9 1 Strutt, Joseph, A C o m p le te V ie w o f the D ress a n d H a b its o f the P e o p le o f E n g la n d , fro m the E sta b lish m en t o f the S a x o n s in B rita in to the P resen t T im e , 2 vols., London: Bohn, 18 4 2 Veblen, Thorstein, T h e T h e o r y o f the L eisu re C la ss: A n E c o n o m ic S tu d y in the E v o lu tio n o f Institution s , New York: Macmillan, 1899; London: Allen and Unwin, 19 2 4 Waugh, Norah, C o rsets a n d C rin o lin e s , New York: Theatre Arts, and London: Batsford, 19 54 ; reprinted 19 9 1 Waugh, Norah, T h e C u t o f M e n ’s C lo th es, 1 6 0 0 - 1 9 0 0 , New York: Theatre Arts, and London: Faber, 1964 Waugh, Norah, T h e C u t o f W o m e n ’s C lothes, 1 6 0 0 - 1 9 3 0 , New York: Theatre Arts, and London: Faber, 1968

Droysen, J.G.

1808 - 1884

Germ an historian

J.G . Droysen ’s scholarly career was marked by major publications in two seemingly disparate fields. In the 1830s, as a philologist become historian, he published a life of Alexander the Great and a 2-volume history of Hellenism that combined intellectual and political history in a strongly positive and orig inal interpretation of Hellenism. A decade later, after the disappointment of his hopes during the 1848 revolution, he began to write Prusso-German history as a means of showing the necessity of German unification under and by Prussia. These two periods are linked by his political efforts in the 1840s and the historical theory behind them. His work as a student at the University of Berlin, where he supported himself as tutor to Felix Mendelssohn and as a translator of classical Greek, is very helpful in understanding his later work. His chief teachers were August Boeckh (178 5 - 18 8 6 ) and Friedrich August Wolf (1759 - 18 2 4 ), both of whom pioneered the study of texts and, thereby, of major ideas in historical

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context. Droysen learned better from them the historical methods needed for his later work than he would have from such history faculty as the young Leopold von Ranke - whom Droysen always detested for his conservatism - or the less celebrated Friedrich Wilken or Friedrich von Raumer. Droysen’s philosophical training was as important as his philological. He found G.W.F. Hegel’s ideas deeply exciting. Over three years, he followed Hegel’s entire lecture series (Droysen’s notes were detailed and meticulous enough to be used by Kuno Fischer in editing the definitive edition of Hegel’s works). His poetic inclination, not exhausted in writing occasional lyrics for Mendelssohn’s Lieder, was also strong. Droysen’s first publications were his translations. His still revered rendering of Aeschylus appeared in 18 3 2 and his Aristophanes translation in 1836. The appendix to the Aeschylus translation offered his first overview of the place of ancient Greece in world history. This view informed his very successful Geschichte Alexanders des Grossen (Life of Alexander the Great, 1833) and the sequel Geschichte des Hellenismus (History of Hellenism, 1836 - 43). The content of his argument was original, though its shape remained Hegelian; the ancient Greeks had discovered freedom, but not in a stable form. In consequence, Hellenic freedom undercut itself, but first produced universal ideas spread east by Alexander the Great’s armies after 3 3 1 BCE This made Hellas (not Judaea) ancestral to the Christianity Droysen revered, and meant, crucially, that Hellenism was historically progressive, and furthermore meant that Christianity received the agenda for creating stable, enduring human freedom. Droysen elaborated these ideas in his insightful but tendentious modern historical writings while at Kiel, in SchleswigHolstein, after he became professor there in 1840. The move was good for him. The agitation over the national status of the duchies Schleswig-Holstein launched him into national politics, and Droysen wrote and spoke for their Germanization. At the same time, his solo teaching of the service course in modern European history forced him to reconfigure the modern past. The results of this reconfiguration appear in his published Vorlesungen über die Freiheitskriege (Lectures on the Wars of Freedom, 1836 - 43). Briefly stated, modern history was a progressive evolution, destined by God, away from absolutist “ powers” (Mächte) to free “ states” (Staaten). The Reformation and the peculiar political interests of Hohenzollern Prussia assured that Prussia would one day create a unified German “ state,” steeped in Protestant truth, that would lead a peaceful, liberated Europe. During the Revolution of 1848, as an influential and outspoken deputy from Kiel to the National Assembly in Frankfurt, Droysen was able to work for the realization of this program. As a leader in the right center Casinopartei and member of the Constitution Committee, Droysen saw history being made. Rudolf Hübner collected Droysen’s diary and incidental writings in Aktenstücke und Aufzeichnungen (1924), while Droysen’s minutes of constitutional committee meetings appeared in 1849. The series of political defeats between March 1849 (when Frederick William IV of Prussia declined to be German monarch) and November 1850 (when the Convention of Olmütz between Austria and Prussia ended the last effort at Prussian national leadership) forced Droysen and other nationalist liberals to rethink both strategy and

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tactics. Predictably, his re-evaluation of politics profoundly changed his historiography. Changes appeared in three ideas, present before 1848 in his thinking, but now greatly emphasized. First, Droysen saw that human inclinations decided events and used history to provide heroes and villains for imitation and avoidance. This commonplace didacticism is marked in his Das Leben von Feldmarschall Graf York von Wartenburg (Life of Fieldmarshal York von Wartenburg, 18 5 1 - 5 2 ) in which he celebrated as he detailed the life of Wartenburg, who shifted Prussia to the anti-French alliance at a key moment after Napoleon’s defeat in Russia in 18 12 . Second, Droysen, always aware of self-interest in politics, now acknowledged that this play might lead to merely relatively happy outcomes. He hoped to teach political players never to the lose the good in the hopeless pursuit of the best. Finally, his reliance on Prussia as the only possible unifier of Germany became complete. All three elements combine in his monumental, never completed, and surely little read, 14 -volume Geschichte der preussischen Politik (History of Prussian Politics, 1855 - 86). This became his life’s work, and in it he tried to show that Prussia’s rulers, in chasing their particularist Prussian state interest, had consistently acted in the German self-interest as well. Meticulously researched in the Prussian archives he loved, the contents are narrowly diplomatic and military. Droysen ’s imagination did not fail him, however. He remained a gifted prose writer and a popular lecturer at Jena, where he went after Kiel, and later at the University of Berlin, where he returned as full professor. There he taught and wrote when unification did come in 1866 and 18 7 0 - 7 1, and there he felt deep ambivalence about Germany ’s new-found status. There, too, he annually delivered lectures on the philosophy of history in the last three decades of his career. These are published as his Historik (the outline of which is published in English as Outlines of the Principles of History) and in them he developed and explicated his notion that historians properly merge scholarship and partisanship by seeking “ to understand through research” (forschend zu verstehen). This is a suitable motto for his career. Ro ber t

Fa i r b a i r n

So u t h a r d

Dilthey; Germany: 1800 - 1945; Gilbert; Greece: Ancient; Hintze; Historiology; Meyer; Mommsen, T.; Savigny; Sybel; Wilamovitz-Mollendorff

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Biography Johann Gustav Bernhard Droysen. Born Treptow, Pomerania, 6 July 1808, son of an army chaplain. Studied classics at the Stettin Gymnasium, and University of Berlin. Taught school in Berlin, 18 2 9 - 3 5 ; gave formal lectures on classical philology, University of Berlin, 18 3 5 - 4 0 ; professor of history, University of Kiel, SchleswigHolstein, 18 4 0 - 5 1 ; University of Jena, Thuringia, 1 8 5 1 - 5 9 ; and University of Berlin, 18 5 9 - 8 4 . Married 1) Marie Mendel, 18 3 5 (died 1847); 2) Emma Michaelis, 1849 (2 sons, 1 daughter). Died Berlin, 19 June 1884.

Principal Writings G es ch ich te A le x a n d e r s des G ro sse n (Life of Alexander the Great),

18 3 3 G esch ich te des H ellen ism u s (History of Hellenism), 2 vols., 18 3 6 - 4 3 V orlesungen u b e r d ie F reih eitskriege (Lectures on the Wars of

Freedom), 2 vols., 18 3 6 - 4 3

Verfassungsausschuss (Minutes of Constitutional Meetings), 1849 D a s L e b e n vo n F eld m a rsch a ll G r a f Y ork vo n W a rten b urg (Life of

Fieldmarshal York von Wartenburg), 2 vols., 1 8 5 1 - 5 2 G esch ich te d er preu ssisch en P o litik (History of Prussian Politics),

14 vols., 18 5 5 - 8 6 G ru n d riss d er H isto rik , 1868, revised 18 8 2; abridged in English as O u tlin e o f the P rin cip les o f H isto ry , 1893 A k ten stü c k e u n d A u fz e ich n u n g e n zu r G esch ich te d er Fra n k fu rter N a tio n a lve rsa m m lu n g (Diary and Incidental Writings on the

History of the Frankfurt Assembly, 1849), edited by Rudolf Hübner, 19 24

Further Reading Birtsch, Günther, D ie N a tio n als sittliche Id ee: D e r N a tio n a lsta a tsb e g riff in G e sch ich tssch re ib u n g u n d p o litisch er G e d a n k e n w e lt Jo h a n n G u s ta v D ro yse n s (The Nation as Moral Idea: The National State Concept in the Historical Writing and Thinking of Johann Gustav Droysen), Cologne: Bohlau, 1964 Bravo, Benedetto, P h ilo lo g ie , H istorie, P h ilo so p h ie de V H istoire: étude su r J . G . D ro y s e n , H istorien d e VA n tiq u ité (Philosophy, History, Philosophy of History: Studies on Droysen, Historian of Antiquity), Wroclaw: Zaklad Narodowy, 1968 Gilbert, Felix, Jo h a n n G u sta v D ro y se n u n d d ie p re u ssisc h - deu tsch e Frage (Johann Gustav Droysen and the Prussian German Question) Berlin: Oldenbourg, 19 3 1 Rüsen, Jörn, B eg riffen e G esch ich te : G en esis u n d B eg rü n d u n g d er G esch ich tsth eo rie ] . G . D ro yse n s (History Comprehended: Genesis and Foundation of the Historical Theory of J.G . Droysen), Paderborn: Schöning, 1969 Southard, Robert Fairbairn, D ro y se n a n d the F o rm a tio n o f the Prussian S c h o o l , Lexington: University of Kentucky Press, 1995

Dubnov, Simon

18 6 0 -19 4 1

Russian - born Jew ish historian and thinker

One of the pioneers of Jewish history, Simon Dubnov (or Dubnow) wrote a number of monumental works on the Jewish past and in so doing developed and articulated a secular Jewish nationalism. As historian, ideologist, literary critic, and journalist, Dubnov put forward the idea that the Jewish people were more than just coreligionists, but in fact constituted a people whose common bond was a shared culture. His work influenced nearly every historian of the Jewish people who came after him, even though the vital intellectual world of East European Jewry, in which Dubnov was such an important figure, was destroyed by German Nazism and Soviet Communism. Born into a line of distinguished religious scholars, Dubnov received his early education in Talmudic studies, but at the age of 14 began attending a state school, and soon came to reject his religious upbringing. He received little training beyond the secondary level, but read widely and deeply in many areas. Like many of his contemporary Russian counterparts, Dubnov was captivated by positivism, and the works of Comte, J.S. Mill, and their allies, which reached Russia in the late 19th century by way of Germany, proved to be a major influence. He was a strong adherent of the Jewish Enlightenment (Haskalah). Even though his views on religion moderated greatly as he grew older, Dubnov was a confirmed secularist who never gave up his belief in the promise of 1789 and the attainability of liberty and equality under the law. Like many contemporary historians, Dubnov

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was influenced too by the prevailing Darwinian views of human development as applied to nations. Nevertheless, Dubnov saw human evolution as overcoming the need for and the effectiveness of brute force as a factor in human affairs. Instead, the survival of nations and peoples would be increasingly based on advances in culture and learning. Even the horrors of the Kishnev pogroms, World War I, and the Russian Revolution (in Which Dubnov lost faith after it failed to produce true democracy in Russia) did not shake his fundamental belief in human evolution. Although Dubnov wrote numerous short articles for Russian -Jewish newspapers and journals, along with textbooks and shorter works, he is perhaps best known for two large multi volume works - Istoriia evreiskogo naroda na vostoka (1903; History of the Jews in Russia and Poland, 19 16 - 2 0 ) and Die Weltgeschichte des jüdischen Volkes (19 25 - 30 ; History of the Jews, 19 67 - 73) - and a collection of essays, Pis’ma o starom i novom evreistve, 1897 - 1907 (1907; Nationalism and History: Essays on Old and New Judaism, 1958). In these works, Dubnov developed his theory of secular Jewish nationalism - which he called autonomism. Although he was not the first to conceive of diaspora nationalism, he emerged as its most articulate and scholarly proponent. After the destruction of the Jewish state in 70 CE and the subsequent diaspora, the Jewish people, Dubnov believed, had remained a nation, despite being scattered. The Jews were “ a people whose home is the entire world.” This provided a basis, Dubnov felt, for Jews to claim minority rights in the nations where they lived, without compromising loyalty to the state or assimilating. Thus, to be a Jew was more than a matter of religion, and this led Dubnov to reject assimilation. At the same time, he keenly felt the need to reform Jewish religious practices and modernize the Jewish people - particularly the conservative communities of Eastern Europe - in order for them to take their rightful place among the nations. There is also some evidence that Dubnov felt this approach to nationalism could work for other stateless peoples as well. For Dubnov, the development of nations followed a clear, three-part course: first, tribal; second, political-territorial; and finally, cultural-historical. The Jewish people, Dubnov believed, had reached the third state. “ We have seen many examples . . . of nations that have disappeared from the scene after they had lost their land and become dispersed . . . We find only one instance, however, of a people that has survived for thousands of years despite dispersion and loss of homeland . . . the people of Israel.” This was due, he felt, to the Jews having attained the highest level of nationhood - that of the “ spiritual nation.” The ideal of the spiritual nation was one Dubnov saw as “ the anchor for all progressive Jew s. ” As a result, Dubnov strongly opposed Zionism and the move to create a territorial Jewish homeland which, in his worldview, would be a step backwards for the Jewish people. Although Dubnov’s work tended to focus on large historical processes and the actions of the rulers rather than the ruled, and his direct influence on Jewish historiography was lessened by the impact of the Holocaust and the establishment of the state of Israel, his works continue to be a primary reference point for Jewish history, and his philosophy of Jewish existence is still very relevant to modern Jewish life. Jo h n

R a d zil o w sk i

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Biography Simon Markovich Dubnov (Semon Dubnow). Born Mstislavl, Russia (now Belarus), 18 September i860. Self-taught; lived (sometimes illegally) in St. Petersburg, Mstislavl, Vilna, and Odessa, 18 8 0 - 19 0 6 . Lecturer on Jewish history, Institute for Jewish Studies, St. Petersburg, 1908. Founder, Jewish Historical-Ethnographical Society; editor, Je w r e ls k a la Starin a , 19 0 8 - 18 . Organized Folkspartei, 1906. Moved to Berlin after promised chair of Jewish history in Kowno, Lithuania (promise not fulfilled), 19 2 2 ; lived in Berlin, 1 9 2 2 - 3 3 , then in Riga, Latvia. Participated in conference on protection of Jewish rights, 19 2 7 . Married Ida Freidlin, 18 8 3 (2 daughters, 1 son). Murdered by a Nazi soldier in the Riga ghetto, 8 December 19 4 1.

Principal Writings C h to takoe evreiska ia istoriia , 18 9 6 - 9 7 ; in English as Je w is h H isto ry : A n E s s a y in the P h ilo s o p h y o f H isto ry , 1903 Istoriia evre isk o g o n a ro d a na v o sto k a , 19 0 3; in English as H isto ry o f the J e w s in R u ssia a n d P o la n d , 3 vols., 19 1 6 - 2 0 P i s ’m a o starom i n o v o m evreistve , 1 8 9 7 - 1 9 0 7 , 19 0 7; N a tio n a lism a n d H isto ry : E ssa y s o n O ld a n d N e w Ju d a is m , 19 58 A n O u tlin e o f Je w is h H isto ry , 3 vols., 19 2 5 D ie W eltgeschichte des jü d isch e n V olkes, 1 0 vols., 19 2 5 - 3 0 ; in

English as H isto ry o f the J e w s , 5 vols., 19 6 7 - 7 3 K n ig a zh izn i [autobiography], 3 vols., 19 30 - 4 0 A S h o rt H isto ry o f the Je w is h P e o p le , 19 36

Further Reading Dubnov-Erlich, Sophie, T h e L ife a n d W o rk o f S .M . D u b n o v : D ia s p o r a N a tio n a lism a n d Je w is h H isto ry , Bloomington: Indiana University Press, 19 9 1 Goodman, Saul, “ Simon Dubnow: A Revaluation,” C o m m e n ta ry 30 (i960), 5 1 1 - 1 5 Niger-Charney, Samuel, “ Simon Dubnow as Literary Critic,” Y I V O A n n u a l o f Je w is h S o c ia l Scien ce 1 (1946), 3 0 5 - 1 7 Pinson, Koppel S. “ The National Theories of Simon Dubnow,” Je w is h S o c ia l S tu d ies 10 (1948), 3 3 5 - 5 8 Steinberg, Aaron, ed., S im o n D u b n o w ; L ’ h o m m e et so n o e u v re : p u b lié à l ’ o cca sion d u centenaire d e sa naissance ( 1 8 6 0 - 1 9 6 0 )

(Simon Dubnow, The Man and His Work: A Memorial Volume on the Occasion of the Centenary of His Birth (18 6 0 - 19 6 0 ), Paris: World Jewish Congress, 19 63

Du Bois, W.E.B.

186 8-19 6 3

U S scholar and activist

Author of more than twenty books and more than a hundred scholarly articles, editor of the Crisis, and tireless civil rights advocate, William Edward Burghardt Du Bois is one of the dominant figures in 20th-century African American history. Along with Carter G. Woodson, Du Bois was one of the first scholars to explore the black experience in the United States in a serious and systematic way. Du Bois was a graduate of Fisk University and the first black to be awarded a PhD from Harvard (1895); his doctoral dissertation on the suppression of the Atlantic slave trade moved almost immediately into print and started him on a promising academic career. He commenced with a brief stint as an instructor at the University of Pennsylvania, where he researched his

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landmark sociological study, The Philadelphia Negro (1899). In 1897 he moved to Atlanta University, where he presided over the annual conferences of historians and sociologists that resulted in several path-breaking studies of contemporary black life. Collectively known as the Atlanta University Publications on the Study of Negro Problems, these volumes remain indispensable tools for students of black history. Never wholly comfortable within academia, Du Bois brought black history to a wider audience through a constant stream of articles in popular journals such as the Atlantic Monthly, Nation, New Republic, Horizon, Chicago Defender, Pittsburgh Courier, Amsterdam News, and Negro Digest. His concern with the black masses led to political engagement as well. Between 1905 and 19 10 , he emerged as a leader and key public voice of the Niagara movement, a group of African American intellectuals and journalists dedicated to the full integration of blacks into the nation’s social and economic life. This goal, and the Niagara movement’s outspoken opposition to all forms of racial discrimination, contrasted sharply with the emphasis of Du Bois’ main rival, Booker T. Washington, upon vocational training and acquiescence to segregation and disfranchisement. Du Bois’ most important work in this period of his long career was Souls of Black Polk (1903), probably the most well-known and enduring of his many publications. It was in this collection of essays that he first articulated many of the ideas and concepts to which he later returned and elaborated upon, including the metaphor of black life existing behind a “ veil,” invisible to the dominant white society but vibrant, culturally dynamic, and invaluable to America nonetheless. Du Bois’ increasing commitment to the black freedom struggle pulled him out of university life. A founder of the National Association for the Advancement of Colored People (NAACP), Du Bois moved in 19 10 to New York City, to edit that organization ’s influential monthly organ, The Crisis. For the next 24 years his primary role was, in the words of one biographer, a “ propagandist of protest.” Often embroiled in controversy, Du Bois led the NAACP to national prominence in this era. He also grew interested in anticolonial struggles, taking part in the first three Pan-African Congresses, and working tirelessly to bring African issues to the attention of his readers. A 1934 dispute with the NAACP ’s directors over tactics in the fight against segregation led to his resignation and return to Atlanta University. This temporary retreat allowed Du Bois to research and pub lish his most important historical work, Black Reconstruction (1935). A detailed, eloquent dissent from the racist orthodoxy of the time, Black Reconstruction firmly rejected the notion that the post-Civil War treatment of the defeated South had been a “ tragic mistake,” a doomed experiment in racial equality undone by corrupt northern business interests and the freedpeople’s inability to grasp the responsibilities of citizenship. The book anticipated the revisionist scholarship of the 1960s and 19 70s by placing the activity of black slaves at the center of the Civil War drama and by stressing the achievements and limitations of the Reconstruction experiment. Rather than focus upon national politics or congressional initiative, the book highlighted the ways in which emancipation and Reconstruction unfolded at the grass roots level, exploring the changing relationship between poor whites and blacks at a time when

few historians considered ordinary people worthy of serious study. Its lyrical style - treading a fine line between poetry and prose for several hundred pages - and its passion further distinguished it from contemporary historical writing. A final chapter, entitled “ The Propaganda of History ” excoriated pro fessional historians for distorting of this era of southern history in order to justify the segregation and disfranchisement that followed on its heels. Understandably, this combative stance won Du Bois few allies. For the most part, the book was ignored by the major historical journals of the day, a reflection of the marginal status of black scholars and African American history at the time. “ Rediscovered” in the 1960s, Black Reconstruction is now acknowledged as one of the masterpieces of American historical literature. Returning to the NAACP in 1944 as director of special research, Du Bois continued to write about black history. In the postwar era, he increasingly turned his attention to Africa and the new nations emerging on that continent. Following the publication of The World and Africa (1947), another pioneering work in which he reacted against the widely-held notion that the “ dark continent” had always been underdeveloped, Du Bois, now 79 years old, devoted his still formidable talents to the domestic campaign against the Cold War. Politically, he moved close to the Communist left, running in 1950 as a candidate for the US Senate on the American Labor Party ticket. Harassed mercilessly by federal authorities in the 1 9 50s, Du Bois left the United States in 19 6 1 to reside in Ghana at the invitation of president Kwame Nkrumah. At the time of his death in August 19 6 3, he was working on his last great project, the Encyclopedia Africana, a projected multivolume survey of African anthropology, politics, and history sponsored by Nkrumah ’s government. The project was never completed. R ic k H a l pe r n African American; African Diaspora; Foner, P.; James; Lewis, D.; Stampp; United States: 19th Century; United States: Historical Writing, 20th Century

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Biography William Edward Burghardt Du Bois. Born Great Barrington, Massachusetts, 23 February 1868. Studied at Fisk University, BA 18 8 8 ; Harvard University, BA 1890, M A 1 8 9 1 , PhD 18 9 5 ; University of Berlin, 18 9 2 - 9 4 . Taught at Wilberforce University, 18 9 4 - 9 5 ; instructor in sociology, University of Pennsylvania, 18 9 6 - 9 7 ; professor of economics and economic history, Atlanta University, 1 8 9 7 - 1 9 1 0 , where he coordinated the annual Atlanta University Studies Conferences and edited its publications. Cofounder and general secretary, Niagara movement, 19 0 5 - 10 ; member, board of directors of the National Association for the Advancement of Colored People (NAACP): director of publicity and research, and editor of T h e C risis, 1 9 1 0 - 3 4 . Professor of sociology, Atlanta University, 19 3 4 - 4 4 . Director of special research, N AACP, 19 4 4 - 4 9 . Active in Council on African Affairs, 19 4 9 - 5 4 . Left US and settled in Ghana, 19 6 1. Married 1) Nina Gomer, 18 96 (died 19 50 ; 1 son, 1 daughter); 2) Shirley Lola Graham, 1 9 5 1 . Died Accra, Ghana, 27 August 19 6 3.

Principal Writings T h e S u p p ressio n o f the A fr ic a n Sla ve T ra d e to the U n ited States o f A m e ric a , 1 6 3 8 - 1 8 7 0 , 1896 T h e P h ila d elp h ia N e g r o : A S o c ia l S tu d y, 1899

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So u ls o f B la c k F o lk : E ssa y s a n d Sk e tch e s, 1903 J o h n B r o w n , 1909 D a r k w a te r: Voices fro m w ith in the Veil, 1920 T h e G if t o f B la c k F o lk : N e g ro e s in the M a k in g o f A m e rica , 19 2 4 B la c k R e co n stru ctio n : A n E ssa y T o w a r d a F listo ry o f the P art W h ich B la c k F o lk P la y e d in the A tte m p t to R eco n stru ct D e m o c ra c y in A m e r ic a , 1 8 6 0 - 1 8 8 0 , 19 3 5 ; as B la ck R eco n stru ctio n in A m e rica , 19 64 B la c k F o lk , T h e n a n d N o w : A n E s s a y in the F listo ry a n d S o c io lo g y o f the N e g r o R a ce , 19 39 D u sk o f D a w n : A n E s s a y T o w a r d an A u to b io g r a p h y o f a R a ce C o n ce p t, 1940 T h e W o rld a n d A fr ic a : A n In q u iry into the P art W h ich A fric a H as P la y e d in W o rld H isto ry , 19 4 7 T h e A u to b io g r a p h y o f W .E .B . D u B o is : A S o lilo q u y on V ie w in g M y L ife fro m the L a st D e c a d e o f Its First C e n tu ry, 1968

Further Reading Andrews, William L., ed., C ritic a l E ssa y s on W .E .B . D u B o is, Boston: Hall, 19 85 Aptheker, Herbert, ed., A n n o ta te d B ib lio g ra p h y o f the P u b lish e d W ritings o f W .E .B . D u B o is, Millwood, NY: Kraus, 19 73 Horne, Gerald, B la c k a n d R e d : W .E .B . D u B o is a n d the A fr o A m e rica n R e sp o n se to the C o ld War ; 19 4 4 - 19 6 3 , Albany: State University of N ew York Press, 1986 Lester, Julius, ed., T h e Seven th S o n : T h e T h o u g h t a n d W ritings o f W .E .B . D u B o is, 2 vols., New York: Random House, 19 7 1 Lewis, David Levering, W .E .B . D u B o is : B io g ra p h y o f a R a ce , 1 8 6 8 - 1 9 1 9 , New York: Holt, 19 93 Marable, Manning, W .E .B . D u B o is : B la ck R a d ic a l D e m o cra t, Boston: Twayne, 19 86 Moore, Jack B., W .E .B . D u B o is, Boston: Twayne, 19 8 1 Rampersad, Arnold, T h e A r t a n d Im agin a tio n o f W .E .B . D u B o is, Cambridge, M A: Harvard University Press, 19 76 Rudwick, Elliott M ., W .E .B . D u B o is : A S tu d y in M in o rity G r o u p L e a d e rsh ip , Philadelphia: University of Pennsylvania Press, i960

Duby, Georges 1919-1996

French social and economic historian

Widely regarded as one of the most outstanding postwar medieval historians, Georges Duby has offered theories on n th - and 12th -century French society, the rise of knighthood, changes in family structure, and the development of the medieval economy that have become accepted dogma to such an extent that the younger generation of historians are sometimes apt to accept them uncritically as fact. Duby was originally inspired by the writings of Marc Bloch, although the two never met. Consequently his work reflects the influence of the so-called Annales school of history which developed from Bloch ’s and Lefebvre’s journal of that name: an interdisciplinary approach which may borrow from anthropology, sociology and economics, art and culture as well as the history of ideas in the cause of historical analysis, and which concentrates on problems and themes rather than historical narrative. His focus was always on French society in the n t h and 12th centuries, which he regarded as a period of fundamental change; but his range was wide, as was demonstrated by collab orative histories such as Histoire de la vie privée (19 85 - 87; A History of Private Life, 19 8 7 - 9 1). He sprang to fame with the publication in 19 53 of his first major work, La Société aux XIe et XIle siècles dans la région

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mâconnaise (Society in the n t h and 12th Centuries in the

Mâcon Region); which was, in the Annales tradition, a detailed analysis of a small area applied to large historical problems. His research built on and consolidated much of Bloch ’s work on feudalism, although in the process he also amended Bloch’s conclusions. Most importantly, he showed that the knightly class was recognized as being part of the nobility by the midn t h century. He traced the practice of granting land to vassals in return for military service, a fundamental factor in the development of feudalism. He also studied the origins of the aristocracy of the 12th -century Maçonnais and concluded that, although Bloch had seen them as a “ new ” nobility, they were actually descended from the great families of Carolingian times. However, marriage and inheritance were now tightly controlled in order to retain the patrimony intact and so preserve the family ’s wealth and nobility. This study has been so influential in modern research into medieval society that it is astonishing that no English edition has yet been published. Much of Duby ’s subsequent work stemmed from his initial discoveries in the Maçonnais, notably the essays published in English as The Chivalrous Society (1977) on the nature and development of knighthood, and his research into the changing status of noble marriage and noblewomen. Some of his conclusions on the development of knighthood were later superseded by his own research and the research of his pupil Jean Flori, which revealed that the position of knighthood in the Maçonnais was exceptional; elsewhere knights did not begin to claim nobility until the late n t h century or much later. In Fiefs and Vassals (1994) Susan Reynolds questioned Duby ’s use and interpretation of evidence for the development of the fief. Duby developed his exploration of the growth of the feudal aristocracy in his UEconomie rurale et la vie des campagnes dans VOccident médiéval (1962; Rural Economy and Country Life in the Medieval West, 1968) and Guerriers et paysans (19 73; The Early Growth of the European Economy, 1974). He concluded that the feudal lords’ need for money was the crucial factor in stimulating economic growth, rather than the growth of trade, as had been argued by Henri Pirenne. Initially lords accumulated capital as booty from feudal wars; then, as private warfare became less profitable, they turned to encouraging peasant production, creaming off their profits in tolls and dues. Duby’s work opened up research into the medieval economy and commercial growth, although much remains to be explained. Duby did not limit himself to traditional historical areas, also examining mental attitudes, culture, and ideologies. In Le Dimanche de Bouvines (19 73; The Legend of Bouvines, 1990), he discussed not only the course of a decisive battle but also the changing mental representations of that battle. This radical approach to history is only now becoming widely accepted by medieval historians. In 1978 Duby published Les Trois Ordres, ou, Vimaginaire du féodalisme (The Three Orders, 1980), hailed by Jacques Le Goff as “ one of the major historical works of our time.” This is a treatment of the medieval concept, previously studied by Le Goff and others, that society was divided into three orders: those who pray, those who fight, and those who work. Duby asked why this concept was expressed at certain times and not others, and who articulated it. This work has become a classic, yet in a 1986 article Elizabeth

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Brown noted serious shortcomings: the study was so limited geographically and chronologically as to be misleading to the unwary reader, and it would be more useful to tackle the fundamental problem of why medieval people were so concerned to devise these ideological concepts. Duby was most severely criticized for his work on medieval marriage and the changing status of women, particularly his apparent assumption that all women were always regarded as passive figures inferior to men. As Kimberly LoPrete pointed out, this approach is unbalanced and misleading and appears to ignore evidence from and about women. She concluded: “ Duby has yet to confront what may well be deforming ideological structures at the core of his own readings of historical texts.” It would be ironic if this progressive historian who did so much to reshape our understanding of the Middle Ages was himself limited by his own fundamental preconceptions. H el en

J.

N ic h o l so n

S e e a ls o Annales School; Braudel; Europe: M odern; France: to

Further Reading Brown, Elizabeth A.R., “ Georges Duby and the Three Orders,” V iator 17 (1986), 5 1 - 6 4 Ditcham, B.G.H., “ The Feudal Millennium? Social Change in Rural France circa 1000 in Recent French Historiography,” M e d ie v a l H isto ry 3 (19 93), 86 - 99 Flori, J., L ’E s s o r d e la ch evalerie: X l e - X I I e siècles (The Development of Chivalry, n t h - i2 t h Centuries), Geneva: Droz, 1986 Le Goff, Jacques, “ Les Trois Fonctions au Moyen Age ” (The Functions of the Three Orders in the Middle Ages), A n n a le s 34 (1979), 1 1 8 7 - 1 2 1 5 LoPrete, Kimberly, “ Review of Georges Duby: L o v e a n d M a rria g e in the M id d le A g e s , ” Sp ecu lu m 70 (1995), 607 - 09 Moore, R.I., “ Duby ’s Eleventh Century,” H isto ry 69 (1984), 3 6 - 4 9 Oexle, Otto Gerhard, “ Die ‘ Wirklichkeit’ und das ‘ Wissen’ : ein Blick auf das Sozialgeschichtliche Oeuvre von Georges Duby ” (Reality and Knowledge: A Look at the Sociohistorical Work of Georges Duby), H isto risch e Z e itsch rift 2 3 2 (19 8 1), 6 1 - 9 1 Reynolds, Susan, Fiefs a n d Vassals: T h e M e d ie v a l E v id e n c e R ein terp reted , Oxford and New York: Oxford University Press, 1994

10 0 0 ; France: 1 0 0 0 - 1 4 8 5 ; Hilton; M arriage; Mentalities; Poland: to the 1 8th Century; Sexuality; Urban; Vovelle; Women’s History: Europe

Biography Georges Michel Claude Duby. Born Paris, 7 October 19 19 . Educated at Lycée de Mâcon, then received his agrégation and doctorate. Taught at University of Lyon, 19 4 4 - 5 0 ; University of Besançon, 1 9 5 0 - 5 1 ; University of Aix-Marseille, 1 9 5 1 - 7 0 ; and Collège de France, 19 70 - 9 6 . Elected to the Académie Française, 19 87. Married Andrée Combier, 19 4 2 (1 son, 2 daughters). Died Aix-en-Provence, 2 December 1996.

Principal Writings L a So ciété a u x X l e et X I le siècles d ans la région m âcon n aise (Society

in the n th and 12th Centuries in the Mâcon Region), 19 5 3 L ’ E c o n o m ie rurale et la vie d es cam pa gn es d ans l ’ O cc id e n t m é d iéva l: F ra n ce, A n g le terre , E m p ir e , I X - X V siècles , 19 6 2 ; in English as R u ra l E c o n o m y a n d C o u n try L ife in the M e d ie v a l W est , 1968 L e D im a n ch e d e B o u v in e s: 2 7 ju illet 1 2 1 4 , 19 7 3 ; in English as T h e L e g e n d o f B o u v in e s: War, R elig io n , a n d C u ltu re in the M id d le A g e s , 1990 G u e rrie rs et p a ysa n s, V l I e - X I I e siècle: p re m ier esso r de l ’ éco n o m ie eu ro p é e n e , 19 7 3 ; in English as T h e E a r ly G r o w t h o f the E u ro p e a n E c o n o m y : W arriors a n d Peasants fro m the Seven th to the T w e lfth C e n tu ry , 19 74 T h e C h iva lro u s S o cie ty , 19 7 7

Editor with Jacques Le Goff, Fa m ille et p arenté d ans l ’ O cc id e n t m é d ié va l (Family and Kinship in the Medieval West), 19 7 7 M e d ie v a l M a rria g e: T w o M o d e ls fro m T w e lfth - C e n tu ry F ra n ce, 19 78 L e s Trois O rd re s, ou , l ’ im agin aire d u fé o d a lism e, 19 78 ; in English

as T h e T h re e O rd e rs : F e u d a l S o cie ty Im a g in ed , 1980 Editor, H isto ire d e la Fra n ce u rba in e (A History of Urban France), 5 vols, 19 8 0 - 8 3 L e Chevalier, la fe m m e et le p rêtre: le m ariage d ans la Fran ce fé o d a le, 19 8 1 ; in English as T h e K nigh t, the L a d y , a n d the Priest: T h e M a k in g o f M o d e rn M a rria g e in M e d ie v a l Fran ce, 19 83 Editor with Philippe Ariès, H isto ire d e la vie p riv é e , 5 vols., 19 8 5 - 8 7 ; in English as A H isto ry o f P rivate L ife , 5 vols., 19 8 7 - 9 1 M â le M o y e n A g e : d e l ’a m o u r et autres essais, 19 88; in English as L o v e a n d M a rria g e in the M id d le A g e s, 1994 Editor with Michelle Perrot, Storia d elle d o n n e in O cc id e n te , 5 vols., 19 9 0 - 9 2 ; in English as A H isto ry o f W o m en in the W est, 5 vols., 1992. - 94 L ’ H isto ire co ntinu e, 19 9 1; in English as H isto ry C o n tin u e s, 1994

Duhem, Pierre

18 6 1-19 16

French historian of science

The historical writings of Pierre Duhem are notable for their pioneering attempt to situate the history of science in its wider historical context and for their recognition of the real interest of the Middle Ages for the historicizing of science. Duhem was also an early proponent of the view that Christianity had a positive role in the development of modern science. All of this, however, came late in a career spanning some three decades, and like the philosophical writings they are hardly to be separated from, they were the outgrowth of his main and continuing interests in theoretical physics. Like many scientists before and since, Duhem felt it appropriate to use history in defence of his scientific positions. But this is not to say that his works are purely propaganda or devoid of non-scientific interest; his wide interests in philosophy and theology became more pronounced as his career progressed, particularly in the volu minous works on medieval science for which he is now best known. His work is best regarded as falling into three distinct phases, notwithstanding the inevitable overlaps between them. His early work consisted largely of brilliant essays in a sort of philosophical history. The phrase “ historical and critical” often appeared in their subtitles, and their style bore a strong resemblance to that of Duhem ’s Austrian contemporary, Ernst Mach. The topics of these essays cover Duhem’s main interests in the theory of heat, physical chemistry, the theory of light, and electricity. The philosophy underpinning this species of critical history is somewhat reminiscent of positivism but is indebted to many other sources - its relation to positivism has been thoroughly explored by Maiocchi. These essays provided the epistemological framework that controls a highly normative, though subtle and sensitive, treatment of the historical material. At this stage there was no trace of the interest in medieval science that was to be basis of his later fame. The next phase can be dated to the middle of November 19 0 3, when, perhaps as a result of a postcard from Paul

DUHEM

Tannery, Duhem discovered what he took to be genuine medieval physics in the work of Jordanus de Nemore. This discovery led to what seems like an orgy of indiscriminate facthunting under extraordinarily difficult conditions, conducted with little apparent regard for overall consistency. When he made this discovery Duhem had been working on a 2-volume study of statics. In it he first denied that there had been any worthwhile science in the Middle Ages and then went on to give the evidence to the contrary. From the same period is the even more famous Etudes sur Léonard de Vinci (Studies on Leonardo da Vinci, 19 0 6 - 13 ), in reality explorations of putative medieval antecedents of Galileo’s mechanics. Here in the chaos of new facts and fluctuating judgments, we meet Duhem’s historiographic prejudices - his loyalty to the Catholic church, and his loyalty to France - rather than his considered judgments. To this period also belongs his Sozein ta phain-

omena: Essai sur la notion de théorie physique de Platon à Galilée (1908; To Save the Phenomena, 1969), the brilliant

short essay on the history of astronomy that superficially reads like a direct normative application of Duhem’s philosophical principles to a reassessment of the Galileo case, and foreshadows the incomplete multivolume Le Système du monde ( 19 13 - 5 9 ; abridged as Medieval Cosmology, 1985) of the final phase of Duhem’s career. It is in this latter work that Duhem finally found his bearings, though this fact has not been visible to historians because it was incomplete at the time of his death in 19 16 , and because half of what was finished remained unpublished for some 40 years. In it Duhem offered a coherent model of what science as intellectual history could be: integrated into the philosophical, theological, and political background so that their mutual relations could be seen. There is no longer any trace of the positivist model of science as an autonomous discipline, independent of philosophy and theology, that dominated his earlier writings. Instead we have the historical question as to what the relations of science to philosophy and theology actually are. This is not the type of social history that became fash ionable in the 1970s and 1980s, but broad-band intellectual history of the type developed by Alexandre Koyré and his pupils in the postwar period, though from a different standpoint. In this work Duhem also developed his view that the intellectual climate of the Christian Middle Ages was not purely Aristotelian - far from it, the resistance of the ecclesiastical authorities to dogmatic Aristotelianism paved the way for modern science. This and other claims still reflected his prejudices, but on examination his works are much less favorable to the Aristotelianizing scholasticism favored by the Catholic authorities than many commentators believed, or than some of Duhem’s earlier remarks would have led the reader to expect. The true nature of his final commitments is still open for debate, and remains controversial. The user of his work needs to be aware of these commitments, for, whatever else he aban doned of his earlier historiographical attitudes, he continued to adhere to the critical history he had learned in his youth, rejecting the pretence of the objective description of neutral historical fact in favor of critical engagement with the material. R .N .D . M a r t i n S e e a ls o

Mach; Sarton; Science

329

Biography Pierre M a u rice M a rie D uh em . B orn Paris, 1 0 Ju n e 1 8 6 1 , son o f a co m m ercial traveler. E d u cated C o llè g e Stanislas an d E co le N o rm a le Supérieure, 1 8 8 2 - 8 7 , d octo rate 1 8 8 7 . T au g h t at universities o f Lille 1 8 8 7 - 9 3 ; Rennes 1 8 9 3 - 9 4 ; an d B o rd e au x 1 8 9 4 - 1 9 1 6 . D ied C ab ré sp in e , A u d e , 1 4 Septem ber 1 9 1 6 .

Principal Writings L e M ix te et la c o m b in a iso n ch im iq u e (M ix tu re an d C h em ical C o m b in atio n ), 1 9 0 2 L e s T h é o rie s électriqu es d e ] . C lerk M a x w e ll (T h e Electrical T h eo ries o f J . C lerk M a x w e ll), 1 9 0 2 L ' E v o lu t io n de la m é ca n iq u e , 1 9 0 3 ; in En glish as T h e E v o lu tio n o f M e ch a n ics , 1 9 8 0 L e s O rig in es d e la statiq ue , 2 vo ls., 1 9 0 5 - 0 6 ; in E n glish as T h e O rig in s o f Statics, 1 9 9 1 E tu d e s su r L é o n a r d d e V in ci (Studies on L e o n ard o da V in ci), 3 vo ls., 1 9 0 6 - 1 3 L a T h é o rie p h y siq u e , son o b jet et sa stru cture , 1 9 0 6 ; in English as T h e A im a n d Structure o f P h ysic a l T h e o ry , 1 9 5 4 S o zein ta p h a in o m e n a : E ssa i su r la n o tio n d e théorie p h y siq u e de P la to n à G a lilée , 1 9 0 8 ; in En glish as To S a ve the P h en o m e n a : A n E s s a y on the Idea o f P h ysic a l T h e o r y fro m P lato to G a lileo , 19 6 9 L e Systèm e du m o n d e : histoire d es d octrin es co sm o lo g iq u e s d e P lato n à C o p e rn ic , 1 0 vo ls., 1 9 1 3 - 5 9 ; ab rid ged in English as M e d ie v a l C o s m o lo g y : T h eo ries o f Infinity ; Place, T im e, Void, a n d the P lurality o f W o rld s, 1 9 8 5 L a Scien ce allem an de, 1 9 1 5 ; in En glish as G e r m a n Scien ce: S o m e R eflection s on G e r m a n Scien ce a n d G e r m a n V irtues, 1 9 9 1 L a C h im ie est - elle une science fra n çaise? (Is C h em istry a French Scien ce?), 1 9 1 6 N o t ic e su r les tra va u x scientifiques d e D u h e m (R e p o rt on D u h e m ’ s A ca d e m ie W o rk s), M é m o ire s d e la Société d es S cien ces P h ysiq u e s et N a tu relles de B o r d e a u x , j h

(19 17 ), 7 1 -1 6 9

P rém ices p h ilo so p h iq u e s (Philosophical First Fruits), edited by Stan ley L . Ja k i, 1 9 8 7 E ssa y s in the H isto ry a n d P h ilo so p h y o f Scien ce, edited by R o g e r A r ie w an d Peter Barker, 1 9 9 6

Further Reading A rie w , R oger, and Peter Barker, eds, P ierre D u h e m : H isto ria n a n d P h ilo so p h e r o f Scien ce, S ynthèse 8 3 ( 1 9 9 0 ) , 1 7 7 - 4 5 3 D u h em , H élène, 1 9 3 6 , U n Sa va n t français . .

P ierre D u h e m (A

Fren ch Scientist), Paris: Plon, 1 9 3 6 Ja k i, Stan ley L ., U n ea sy G en iu s: T h e L ife a n d W o rk o f P ierre D u h e m , T h e H ag u e : N ijh o ff, 1 9 8 4 [includes biblio grap h y] Ja k i, Stan ley L ., R elu cta n t H ero in e : T h e L ife a n d W o rk o f H élèn e D u h e m , Ed in b u rgh : Scottish A ca d e m ic Press, 1 9 9 2 Jo rd a n , E ., “ D uh em , P ierre, ” M é m o ire s [Société des Sciences P hysiques et N a tu re lle s de B o rd eau x] 7 ( 1 9 1 7 ) , 3 - 4 0 M a io c c h i, R o b e rto , C h im ic a e filosofia, scienza, ep istem ologia , storia e religione nelV op era d i P ierre D u h e m (C h em istry and Philosophy, Ep istem o lo gy, H isto ry an d R eligio n in the W o rk o f Pierre D u h em ), Florence: N u o v a Italia, 1 9 8 5 [includes bib lio grap h y] M a rtin , R .N .D . P ierre D u h e m : P h ilo so p h y a n d H isto ry in the W ork o f a B elie vin g P h ysicist, L a Salle, IL : O pen C o u r t, 1 9 9 1 M iller, D .M ., “ D u h em , Pierre M a u ric e M a r ie , ” D ic tio n a ry o f Scientific B io g ra p h y , vo l. 4 , N e w Y o rk : Scribner, 1 9 7 1 P aul, H a r ry W ., T h e E d g e o f C o n tin g e n c y : F ren ch C a th o lic R ea ctio n to Scien tific C h a n g e fro m D a r w in to D u h e m , G ain esville: U n iversity Presses o f F lo rid a , 1 9 7 9

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DUNNING

Dunning, William A. 1857-1922 U S historian o f the Am erican South

Retrieving the issue of post-Civil War Reconstruction from the prerogative of amateur and politically motivated historians, William A. Dunning initiated a field of inquiry which provoked waves of acceptance and reaction well into the 1960s. In partic ular, Dunning’s Reconstruction: Political and Economic (1907) set forth a historical interpretation that dominated the professional discussion throughout the first half of the 20th century. The “ Dunning school,” embodied in a generation of graduate students and intellectual heirs, expanded this powerful interpretation and offered a vision of Reconstruction from the state level. These works, however, began to gather significant threads of opposition by the 1930s, and faced an increasingly hostile reception thereafter. By the mid -1960s, the revolution against the Dunning thesis was complete, as Kenneth M. Stampp’s synthetic account, The Era of Reconstruction, 18 6 5 - 18 7 7 (1965), reflected new consensus in the field. Though discredited, Dunning’s work yet retains a monumental place in the history of Reconstruction, as the first and prevailing interpretation for several generations of historiography. Dunning’s early writings coalesced around the issue of the Constitution in the post-Civil War period, which he portrayed as increasingly powerful on the national level. Asked to write the volume on Reconstruction for the American Nation series, Dunning sought to offer a newly holistic account of the period: westward expansion, economic growth and change, racial policy, foreign affairs, constitutional issues, and partisan politics embodied within a single narrative. A lack of primary research by Dunning, however, led to an over-reliance on secondary sources and on the writings of his students. Positing that the course of Reconstruction had been overthrown in the aftermath of Lincoln’s assassination and the acerbic 1866 elections, Dunning regarded the rise of Radical Reconstruction (1867 - 73) as the ominous forerunner of tumult in the South. With northern carpetbaggers and southern scalawags aligned against southern institutions, according to this thesis, the policies of the national government and black-controlled state legislatures in the South effectively crippled the prevailing political and social order. Only in the intervention of the Panic of 1873 and white resurgence in the South was the resumption of “ home rule” finally possible, as “ Redeemers” successfully restored order to the region. By 1877, according to Dunning, the dark period in US history had ended, and the South had reclaimed its own sovereignty and respect. The interpretive framework thus advanced by Dunning was bolstered by numerous state studies completed by his graduate students at Columbia University. The works of James Garner, Walter Fleming, J.G . de Roulhac Hamilton, C. Mildred Thompson, and Charles Ramsdell were at the core of the “ Dunning school” of historiography, and offered considerable sympathy for white southerners. Still, Dunning and his “ school” proved valuable correctives for one another: while Dunning sought a national and political approach, his students’ tendencies toward regional and social history furnished depth to the interpretation. As a professor, Dunning demanded his students perform at the highest standards of critical inquiry,

but responded with a genial friendship in return. Evidence of their significant relationship is revealed not only in their shared vision of Reconstruction, but also in three separate historical volumes to Professor Dunning, which his students warmly dedicated to “ the Old Chief.” Active in professional organizations for both history and political science, Dunning achieved a prominence that reflected the enduring respect of his contemporaries. President first of the American Historical Association (19 13 ) and later of the American Political Science Association (1922), he opposed the increasing disjunction between the fields. He likewise saw the fragmentation brought on by historical monographs as an unfortunate seed of division. Nonetheless, Dunning’s books in political science were heralded by an audience different from that of his histories, though with much the same positive reception. His three-volume History of Political Theories (1902 - 20), the particular intellectual and personal preoccupation of Dunning’s career, gathered significant acclaim among political scientists and stands as perhaps his most important work of scholarship, if largely ignored by historians. Associated with Columbia University for nearly fifty years - from college matriculation in 18 7 7 until his death in 19 22 - Dunning led one of the most respected history departments of his era. He was devoted to the scientific inquiry of the past, and students noted that his books were written slowly, but with few later changes. His primary concern was to be seen as neither prejudiced nor reckless in his conclusions. It is ironic, then, that this scholar who had hoped especially to eliminate the prejudice in interpretation that had characterized Reconstruction history would be seen by later genera tions as the author of a particularly racist historiographic tradition. The Dunning interpretation of Reconstruction, powerful in its time, no longer remains viable. It is, however, the powerful legacy of an influential professor and his intellectual heirs, who together comprised a “ school” of United States historiography. Da v id

T.

Bu r r e l l

See also African American; Foner, E.; Litwack; Phillips; Stampp; United States: 19th Century Biography W illia m A rch ib a ld D un n in g. B orn Plainfield, N e w Jersey, 1 2 M a y 1 8 5 7 . N e w s p a p e r reporter, N e w Y o rk C ity, 1 8 7 5 - 7 7 . A tten d ed D artm o u th C o lle g e briefly before being exp elled fo r a p ran k ; received B A , C o lu m b ia U niversity, 1 8 8 1 , M A 1 8 8 4 , P h D 1 8 8 5 . T au g h t (rising to pro fesso r), C o lu m b ia U niversity, 1 8 8 6 - 1 9 2 2 . M a rrie d C h arlo tte E. L o o m is, 1 8 8 8 (died 1 9 1 7 ) . D ied 2 5 A u g u st 19 2 2 .

Principal Writings E ssa y s on the C iv il W ar a n d R eco n stru ctio n a n d R e la ted T o p ic s , 1 8 9 8 ; reprinted 1 9 6 5 H isto ry o f P o litica l T h e o rie s, 3 vo ls., 1 9 0 2 - 2 0 R e co n stru ctio n : P o litica l a n d E c o n o m ic , 1 8 6 6 - 1 8 7 7 , I 9 ° 7 ; reprinted 19 6 8 T h e B ritish E m p ir e a n d the U n ited States: A R e v ie w o f T h e ir R elation s d u rin g the C e n tu ry o f P eace F o llo w in g the T rea ty o f G h e n t, 1 9 1 4 ; reprinted 1 9 6 9 Truth in H istory, a n d O th e r E s s a y s , 1 9 3 7 ; reprinted 1 9 6 5

DYOS

Further Reading C u rren t, R ich ard N ., ed., R eco n stru ctio n in R etro sp ect: V iew s fro m

the Tu rn o f the C e n tu ry , B ato n R o u g e : L o u isian a State U n iversity

Press, 1 9 6 9 H am ilto n , J .G . de R o u lh a c, In trodu ction to W illia m A . D un n in g, Truth in H isto ry ; a n d O th e r E s s a y s , N e w Y o rk : C o lu m b ia U n iversity Press, 1 9 3 7 ; reprinted Po rt W ash in gto n , N Y : K en n ik at Press, 1 9 6 5 H arper, A la n D ., “ W illia m A . D un n in g: T h e H isto rian as N e m e sis , ” C iv il W ar H isto ry 1 0 ( 1 9 6 4 ) , 5 4 - 6 6 H osm er, Jo h n H are lso n , “ W illia m A . D un n in g: ‘ T h e G reatest H isto ria n , ’ ” M id - A m e r ic a 6 8 ( 1 9 8 6 ) , 5 7 - 7 8 M uller, Philip R ., “ L o o k B a ck W ith o u t A n g e r: A R e ap p raisal o f W illia m A . D u n n in g , ” Jo u r n a l o f A m e rica n H isto ry 6 1 ( 1 9 7 4 ) , 325-38 Pressly, T h o m a s J . , “ R acia l A ttitu d es, Sch o larsh ip , an d R econ stru ctio n : A R e v ie w E s sa y , ” J o u r n a l o f So u th ern H isto ry 3 2 (19 6 6 ), 8 8 -9 3 Stephenson, W en dell H o lm e s, Sou th ern H isto ry in the M a k in g : P io n e er H isto ria n s o f the S o u th , B ato n R o u ge: L o u isian a State U n iversity Press, 1 9 6 4

Dutt, R.C. 1848-1909

Indian historian and politician

R.C. Dutt’s career spanned scholarship, literature, the Indian Civil Service, and later politics, and he wrote at a time when much of the Indian elite did not envisage an end to British rule in India. Dutt’s early writings never set out to subvert the British position and it was his moderate stance that made him acceptable to many British commentators. In his later works Dutt was developing as a political thinker and he began to challenge the “ divine right of conquerors,” helping to establish the foundations of India’s nationalist movement in the 20th century. Dutt’s first book, Three Years in Europe (1872), revealed his great powers of observation and evinced his strong belief in the plight of the poor in all nations. This continued with The Peasantry of Bengal (1874) in which he described the growing discontent of an agrarian population who were suffering under Zamindar overlordship. Although most of Dutt’s works were published in English, he did contribute to the growth in Bengali literature pioneered by Bankim Chunder Chatterjee. Influenced by Chatterjee, Dutt wrote six historical novels between 1870 and 189 3, three of which were later translated into English. In 1885 Dutt translated the Rig Veda into Bengali much to the despair of the Hindu religious elite who were in consternation at the thought of a non-Brahmin handling the ancient Hindu scriptures. Dutt’s first solely historic work was a broad description of the development of Hindu civilization, and, although con taining no new analysis, History of Civilization in Ancient India (1889 - 90) grew from his conviction that most historians were producing few works for the general reader. With the publication of England and India: A Record of Progress during 100 Years (1897) Dutt’s writings became more politically charged: he called for an extension of the popular share in legislation and administration in India and was very critical of the effects that mass- produced British goods had on India’s domestic industries. This book stands out as the first

331

academic work by an Indian that sought to analyze critically the economic consequences of British rule and to challenge the orthodox view that imperial economic policy was increasing Indian prosperity. Famines in India (1900) contained five “ open letters” to Lord Curzon, the British viceroy of India, suggesting changes in government policy that would alleviate the persistent threat of famine. Dutt argued for a relaxation of the heavy tax burden placed on some of India ’s poorest producers; however, colo nial officials dismissed much of Dutt’s evidence as inaccurate. Perhaps seeking to vindicate his own views Dutt continued his analysis in The Economic History of British India (1902), covering 17 5 7 to 18 3 7 , and India in the Victorian Age (1904). These works were regarded by many Indian nationalists as documentary proof of the exploitation inherent in British rule. Although Dutt remained a constitutional nationalist, his later works were an important contribution to a growing critique of British rule in India. The “ drain of wealth theory,” pioneered by writers such as Dadabhai Naoroji, came to be a foundational precept of the India’s nationalist movement in the early 20th century. Bil l y

Fr ank

Biography R om esh C h u n d er D utt. Born C a lc u tta , 1 3 A u g u st 1 8 4 8 . E d u cated at H a r e ’s Sch o o l; Presidency C o lle g e , C alcu tta ; U n iversity C o llege, L o n d o n ; passed Indian C iv il Service e xam in atio n , En g la n d , 1 8 6 8 ; studied law , M id d le T em p le, 1 8 7 1 : called to the Bar. R etu rn ed to India, an d entered Indian C ivil Service, 1 8 7 1 ; assistant m agistrate, later m agistrate, rural Bengal, 1 8 7 1 - 8 1 ; collector, 1 8 8 1 - 9 4 ; com m issioner, 1 8 9 4 - 9 7 ; resigned an d settled in E n g la n d , 1 8 9 7 ; lecturer, U n iversity C o lle g e , L o n d o n , 1 8 9 8 - 1 9 0 4 ; returned to India, 1 9 0 4 ; revenue minister, B a ro d a , 1 9 0 4 - 0 9 . M a rrie d 1 8 6 4 (5 d au ghters, 1 son). D ied B a ro d a , 3 0 N o v e m b e r 1 9 0 9 .

Principal Writings T h re e Years in E u r o p e , 1 8 7 2 ; revised and e xp an d ed , 1 8 9 6 T h e P easa ntry o f B en gal, B ein g a V ie w o f T h e ir C o n d itio n u n d er the H in d u , the M a h o m e d a m a n d the E n g lish R u le , 1 8 7 4 H isto ry o f C iviliza tio n in A n c ie n t In d ia , 2 vo ls., 1 8 8 9 - 9 0 E n g la n d a n d In d ia : A R e c o r d o f P ro gress d u rin g 1 0 0 Years, 17 8 5 -1 8 8 5 , 18 9 7 Fa m in es in In d ia , 1 9 0 0 T h e E c o n o m ic H isto ry o f British In d ia : A R e c o r d o f A g ricu ltu re a n d L a n d Settlem ents, Tra d e a n d M a n u fa ctu rin g Industries, Fin a n ce a n d A d m in istra tio n , fro m the R ise o f the British P o w e r in 1 7 5 7 to the A cc e ssio n o f Q u e e n Victoria in 1 8 3 7 , 1 9 0 2 In d ia in the Victorian A g e : A n E c o n o m ic H isto ry o f the P e o p le , 19 0 4

Dyos, H.J.

19 2 1-19 7 8

British urban historian

H.J. Dyos was the founder of the modern study of urban history. His only monograph was Victorian Suburb (19 6 1), which was the first evocative portrait of what he christened “ suburbania,” and which drew upon his own childhood knowledge of London south of the Thames. The great metropolis always remained at the center of his interests, but his inexhaustible energies were

332.

DYOS

poured into collaborative and editorial enterprises to draw together the many existing disciplines which had separately contributed to an understanding of the history of towns and cities. Dyos himself encouraged urban historians to learn established disciplines, even while he made them tributary to his own. His training at the London School of Economics after his wartime service was as an economic historian; he was appointed to a lectureship in the subject at University College, Leicester in 19 52, and went on make the new University of Leicester, with its strengths in local history and Victorian studies, a highly con genial base for the rest of his career. Dyos had begun by elucidating the impact of railway building on housing in Victorian London, not least in the mass displacement of the city’s poor, and he retained a special love of transport history. He encouraged the development of quantitative and statistical methods of study, as in computerizing census data, though he rejected the abstract inhumanity of some its practitioners, and his work was always informed by an economist’s sense of the financial systems underlying the 19th -century building and housing industries in London especially, and of how these dictated the exploitation of urban land and space, and shaped the formation of both slum and suburb. Dyos, however, also had a humanist’s concern for both social reform (especially in the matter of housing) and for the present and future of the city, as lying at the heart of the present and future of humanity, and he achieved an international and a theoretical view of his subject as the study of the city as a whole. He was, however, the least dogmatic of men, and his views were always based in the Anglo-Saxon manner on close empirical study, not least on the city ’s study of itself. While he ascribed a decisive role in the emergence of a global urbanism in the 19th century to the development of industrial technology, he was equally alive to the interaction of such processes with inherited tradition, religious and secular, and took a vital interest in how the modern urban experience had both created new kinds of consciousness and re-created old ones. Dyos convened the first meeting of the Urban History Group as part of the con ference of the Economic History Society in 1963; his typed and cyclostyled Urban History Newsletter, much of which he wrote himself, was followed by the Urban History Yearbook (in 1974). The discipline could he said to have been fairly launched with a conference in Leicester in September 1966, whose pro ceedings were edited by Dyos as The Study of Urban History (1968). Dyos also founded the series Studies in Urban History,

Themes in Urban History, and Explorations in Urban Analysis. The subject attained an early maturity in the beautifully pro duced 2-volume work The Victorian City (edited with Michael Wolff, 1973). He had a strongly developed aesthetic sense and a love of 19th -century architecture, and succeeded Sir Nikolaus Pevsner as Chairman of the Victorian Society in 1976. Dyos was a great hunter of new talent among the young, and his sudden and premature death at the very height of his powers deprived the world he had created of a genial and kindly patron and promoter, and it orphaned a generation of young scholars. He gave the study of urban history in Britain its multiform and multidisciplinary character, while, by his very generosity of spirit and lack of egotism and of selfishness, he centered all its activities upon himself. No single scholar in the field of urban studies has since arisen to succeed him. Sh er id a n

S e e a ls o

G il l ey

Briggs; Britain: since 1750; Urban

Biography H a ro ld Ja m e s D y o s. Born L o n d o n , 1 9 2 1 . Served in R o y a l A rtillery, W o rld W a r II. R eceived B A , L o n d o n Sch o o l o f E co n o m ics, U n iversity o f L o n d o n , 1 9 4 9 , P h D 1 9 5 2 . T au g h t (rising to p ro fesso r), U n iversity C o lle g e , Leicester, later U n iversity o f Leicester, 1 9 5 2 - 7 8 . M a rrie d O live D y o s (1 dau ghter). D ied Leicester, 2 2 A u g u st 1 9 7 8 .

Principal Writings Victorian S u b u r b : A S tu d y o f the G r o w th o f C a m b e rw e ll, 1 9 6 1 Editor, T h e S tu d y o f U rba n H isto ry , 1 9 6 8 W ith D erek H . A ld c ro ft, B ritish T ra n sp o rt: A n E c o n o m ic S u r ve y fro m the Seventeenth C e n tu ry to the Tw en tieth , 1 9 6 9 E d ito r w ith M ich a e l W o lff, T h e V ictorian C ity : Im ages a n d Realities, 2 vo ls., 1 9 7 3 E x p lo r in g the U rb a n Past: E ssa y s in U rb a n H isto ry , edited by D a v id C an n ad in e and D a v id Reeder, 1 9 8 2

Further Reading M a n d e lb a u m , Sey m o u r J ., “ H a ro ld Ja m e s D y o s an d British U rb an H isto ry , ” E c o n o m ic H isto ry R e v ie w 3 8 ( 1 9 8 5 ) , 4 3 7 - 4 7 Reeder, D a v id , “ Intro du ctio n : H . J . D y o s and the U rb an P ro ce ss ” and D av id C an n ad in e , “ U rb an H isto ry in the U nited K in g d o m : T h e ‘ D y o s Phen o m en o n ’ and A fte r, ” in D a v id C an n ad in e and D a v id Reeder, eds., E x p lo r in g the U rba n Past: E ssa y s in U rb a n H isto ry b y H .J. D y o s , C a m b rid g e and N e w Y o rk : C a m b rid g e U n iversity Press, 1 9 8 2

E East Central Europe

emphasize historical links with the West (in the case of Poland, Hungary, and Bohemia), or to explain why the nation has failed to develop properly (as in the case of Romania). Traditionalists, by contrast, have sought roots of national development in the distant tribal past or in the strength of idealized peasant folkways. The differences between these two groups (who are similar to the better-known Slavophiles and Westernizers in Russian historiography) have been the least pronounced in nations with the strongest links to the West, such as Poland and Hungary. Historians in East Central Europe have, moreover, been far more involved in the making of history than elsewhere, and this sense of political immediacy adds an edge to the historiography of the region. Historians in this region have had a front-row seat, unfortunately, for many of the 20th century’s most terrible wars and atrocities. The region has long been a highway for powerful foreign armies. In Poland, for example, historians struggled painfully in the aftermath of the partitions and various national uprisings, to explain why their nation was subject to such disasters and tragedies. The role of historians as keepers of their nations’ collective memories has imposed special burdens on the regions’ scholars. Historians (and other academics) came to the fore in great numbers after the collapse of communism in 1989. Viewed as honest brokers after the end of party hegemony, historians headed governments in Poland and Hungary, while a playwright led Czechoslovakia (and later the Czech Republic) and a musician was president of Lithuania. Since 1989, historians from both inside and outside East Central Europe have again emphasized the region as an integral part of Europe. (Whether historians of Western Europe take notice is another matter.) The old, Cold War notion of Eastern Europe as a distinct region encompassing everything from the southern Baltic littoral (including eastern Germany but not Lithuania) to the Balkans (exclusive of Greece) has fallen out of favor, in part because it had little historical basis and was predicated on a political situation that proved quite transitory. The recent work of Wandycz, Norman Davies, and others harkens back to the earlier writings of Oskar Halecki and Francis Dvornik, who conceived of east central Europe as a political and cultural transitional zone between Germany and Russia. Indeed, Wandycz’s East Central Europe, although it has varied drastically in size over the centuries, now seems a far more durable concept than the Cold War concept of “ Eastern Europe.”

The terms “ East Central Europe ” or “ Eastern Europe,” used to describe the lands between Germany and Russia (or the former USSR) are curious, considering that the region is close to the geographic center of the European continent. The latter term is the more recent of the two, having appeared at the beginning of the Cold War to describe a series of formerly independent states under Soviet domination. (The term was further applied to Yugoslavia, but not to Greece.) The former term came into use after World War I, particularly among Polish historians. It has come reflect a historiographic emphasis on the links this region shares with Western Christendom. By contrast, the term Eastern Europe seemed to symbolize the separation of these lands from Europe proper. Piotr Wandycz has defined east central Europe as Poland, Hungary, and Bohemia/Czechoslovakia, so that this cultural/geographic region has at sometimes been very large and other times quite small. Most historical surveys of “ Europe ” or “ Western Civilization ” ignore east central Europe, or, at best, treat it as peripheral to the main streams of European history. This stems, in part, from the turbulent history of the region during the past two centuries and the resulting political importance attached to competing historical interpretations of past events. During the 19th century, at a time when the discipline of history was becoming increasingly scientific and professional, many of these nations had lost their independence and despite periodic national uprisings, such as in Poland in 18 30 and 186 3, and in Hungary in 1848, they remained largely submerged until after World War I. The prime interpreters of the histories of these nations were often Germans or Russians, who had a vested interest in demonstrating that once-powerful nations like Poland-Lithuania were historical failures, and who invoked prevailing Darwinian theories of national development to drive home their arguments. Native historians, by contrast, were influenced by their respective nationalisms, and often, sought to present heroic or even messianic views of the past. Debates over historical events - even those in the distant past - were highly charged with contemporary meaning. Each nation in East Central Europe has developed its own distinctive historiography, sometimes quite old, as in the case of Poland and Hungary, and sometimes quite new, as in case of Slovakia and Bulgaria. Nevertheless, a few common themes run through all of their historiographies. Westernizers have looked to Western Europe for historical models, either to

Jo h n

333

Ra d zil o w sk i

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EAST C E N T R A L EUR O PE

See also

B a lk a n s ;

B urk e;

C e n tr a l

E u ro p e ;

D a v ie s , N . ;

F is c h e r ;

T o d o ro v a , M a r ia , “ H isto rio g ra p h y o f the C o u n tries o f Eastern Eu ro p e:

American Historical Review 9 7 ( 1 9 9 2 ) , 1 1 0 5 - 1 7 Eastern Europe: An Historical Geography, 1815 - 1945, L o n d o n and N e w Y o rk : R o u tled ge, 1 9 8 9 W alters, E. G a rriso n , The Other Europe: Eastern Europe to 1989, B u lg a ria , ”

H a le c k i; P o la n d : to the 1 8 t h C e n t u r y ; R o t h s c h ild ; S u g a r

T u rn o ck , D a v id ,

Further Reading B a n ac, Ivo , “ H isto rio g ra p h y o f the C o u n tries o f Eastern Eu ro p e:

American Historical Review 9 7 ( 1 9 9 2 ) , 1 0 8 4 - 1 1 0 4 Berend, T ib o r Ivan , an d G y o rg y R an k i, Khozep-Kelet-Europa gazdasagi fejlodese a 19-20 szazadban, B udapest: K o n y v k ia d o , 1 9 7 6 ; in En glish as Economic Development in East-Central Europe in the Nineteenth and Twentieth Centuries, N e w Y o rk : Y u g o s la v ia , ”

C o lu m b ia U n iversity Press, 1 9 7 4 B urke, Peter, A n to n i M ^ c z a k , and H en ry k S am so n o w icz, ed s.,

Central Europe in Transition: From the Fourteenth to the Seventeenth Century, C am b rid g e and N e w Y o rk : C am b rid g e

East-

U n iversity Press, 1 9 8 5 A p p r o a c h , ” A m e rica n H isto rical A sso ciatio n Pam phlet 4 2 5 , 1 9 7 3

Eastern Europe in the Twentieth Century,

London:

R o u tled ge, 1 9 9 4 D av ie s, N o r m a n ,

Heart of Europe: A Short History of Poland,

N ew

Y o rk and O x fo rd : O x fo rd U n iversity Press, 1 9 8 4 D av ie s, N o r m a n ,

Europe: A History,

O x fo rd and N e w Y o rk :

O x fo rd U n iversity Press, 1 9 9 6 D e ak , Istvan , “ H isto rio g ra p h y o f the C o u n tries o f Eastern Eu ro p e:

American Historical Review 9 7 ( 1 9 9 2 ) , 1 0 4 1 - 6 5 The Making of Central and Eastern Europe,

H u n g a ry , ”

D v o rn ik , Fran cis,

L o n d o n : Polish R esearch C en tre, 1 9 4 9 ; G u lf Breeze, F L : A ca d e m ic International Press, 1 9 7 4 D v o rn ik , Fran cis,

The Slavs: Their Early History and Civilization,

Bo sto n : A m e rica n A c a d e m y o f A rts and Sciences, 1 9 5 6

The Magic Lantern: The Revolution of ’ 89 Witnessed in Warsaw, Budapest, Berlin, and Prague, N e w Y o rk :

G a rto n A s h , T im o th y,

R a n d o m H o u se , 1 9 9 0

The Limits and Divisions of European History,

H ale ck i, O skar,

L o n d o n and N e w Y o rk : Sheed an d W ard , 1 9 5 0

Borderlands of Western Civilization: A History of East Central Europe, N e w Y o rk : R o n ald Press, 1 9 5 2

H ale ck i, O skar,

H ale ck i, O skar, “ Ja d w ig a o f A n jo u an d the R ise o f E a st C en tral E u ro p e , ”

Polish Review

19 (19 7 4 ), 1 5 7 - 6 9

H itch in s, K eith, “ H isto rio g ra p h y o f the C o u n tries o f Eastern

American Historical Review

E u ro p e : R o m a n ia , ” 10 6 4 -8 3

K a n n , R o b e rt A ., an d Z d e n e k D a v id ,

Habsburg Lands, 1526 - 1918 ,

9 7 (19 9 2),

The Peoples of the Eastern

Seattle: U n iversity o f W ash in gto n

Press, 1 9 8 4

The Crucial Decade: East Central European Society and National Defense, 1859 -1870 , N e w Y o rk : B ro o k lyn

K iraly, Bela K ., ed.

C o lle g e Press, 1 9 8 4 K o ra lk a , Jiri, “ H isto rio g ra p h y o f the C o u n tries o f Eastern Eu ro p e: C z e c h o s lo v a k ia , ”

American Historical Review 9 7 ( 1 9 9 2 ) , 1 0 2 6 - 4 0 Historical Atlas of East Central Europe,

M a g o c s i, Paul R o b e rt,

Seattle: U n iversity o f W ash in gto n Press, 1 9 9 3 R o th sch ild , Jo se p h ,

Wars,

East Central Europe Between the Two World

Seattle: U n iversity o f W ash in gto n Press, 1 9 7 4

Return to Diversity: A Political History of East Central Europe since World War II, O x fo rd and N e w Y o rk :

R o th sch ild , Jo se p h ,

O x fo r d U n iversity Press, 1 9 8 9 ; revised 1 9 9 3 Sedlar, Je a n W .,

1000-1500,

East Central Europe in the Middle Ages,

Seattle: U n iversity o f W ash in gto n Press, 1 9 9 4

Seto n - W atso n , H u g h ,

1918 - 1941.

Eastern Europe Between the Wars,

C am b rid g e : C a m b rid g e U n iversity Press, 1 9 4 5 ; 3rd

edition, 1 9 6 2

East Central Europe during World War I: From Foreign Domination to National Independence, 2 vols.

Sukien n icki, W ik to r,

Boulder, C O : E a st E u ro p e a n M o n o g ra p h s, 1 9 8 4

Culture and Nationalism in Nineteenth-Century Eastern Europe, C o lu m b u s, O H : S la vica ,

S u ssex, R o la n d , an d J . C . E a d e , eds., 19 8 3

Lands of Partitioned Poland, 1795 - 1918,

Seattle:

U n iversity o f W ash in gto n Press, 1 9 7 5 W a n d y cz , Piotr S ., “ H isto rio g ra p h y o f the C o u n tries o f Eastern Eu ro p e: P o la n d , ”

American Historical Review

9 7 (19 9 2 ),

10 11-2 5

Price of Freedom: A History of East Central Europe from the Middle Ages to the Present, L o n d o n and N e w

W a n d y cz , Piotr S .,

Y o rk : R ou tled ge, 1 9 9 2

B u rk s, R ich ard V o y le s, “ E ast E u ro p ean H isto ry: A n Eth n ic C ra m p to n , R .J.,

Syracu se, N Y : S yracu se U n iversity Press, 1 9 8 7 W a n d y cz , Piotr S .,

Eastern Orthodoxy The Eastern Orthodox church numbers around 250 million members throughout the world, but especially in Eastern Europe, the former Soviet Union, and along the coasts of the Mediterranean. It constitutes a family of local, self-governing churches, each of which follows identical doctrine, discipline, and spiritual practices. The Orthodox church is an Eastern church in the sense that it is the product of Middle Eastern, Hellenic, and Slavic history and culture. The term “ Eastern ” extends beyond geographical or cultural conditions, signifying rather the identity of the Orthodox church with the tradition and centers of the early church. The term “ Orthodox ” is a qualification that describes much more than the form of this church, implying rather its integrity in terms of both doctrine and liturgy. Constantine, the first Roman emperor to put an end to the age of persecution and martyrdom, espoused the Christian faith in the early part of the 4th century and rendered Christianity a state religion. He founded a new capital for the empire, Constantinople, which was to rival and replace the “ Old Rome ” in splendor and significance. This empire played a dominant role in the history of the Eastern Orthodox church for more than a thousand years. Historiography flourished during this early period, in the form of both formal history and informal chronicle, although the Byzantines themselves never clearly distinguished between the two. Two main types of history may be discerned: the genre of church history, as it was created by Eusebius in the 4th century (with his Ecclesiastical History), and the more secular story, as it was told by Procopius and Agathias in the 6th century (with their writings on wars). Eusebius of Caesarea (c.260 - 339) experienced and described the persecution of Christians by Diocletian. His history covered events from the foundation of the church to 324. He greatly admired Constantine, whose biography he composed. Eusebius was the first to adapt to Christian thought the ancient Hellenistic theory of the monarch as the image of God. His objective was to show the heroic progress of Christianity. For him, history acquired a dimension of providence (pronoia) and teleology. Time was perceived as linear, not circular; it looked towards Christ’s parousia or Second Coming. Geographically, historians were normally concerned with the territory within the Byzantine empire. Later church historians such as John of Ephesus and Evagrius introduced more secular material. Evagrius Scholasticus (536 - 600) wrote an ecclesiastical history in six books, a sequel to the apologetic histories of Gelasius of Caesaria, Philostorgius,

EASTERN O RTH O D O XY

Socrates, Sozomen, and Theodoret, covering the years from 4 3 1 to 593. The first full-length chronicle appeared in the 6th century and was written by John Malalas. Written in simple Greek, it comprises an uncritical compilation of biblical, mythical, and historical material. This work was extremely popular and was used by all subsequent chroniclers. It too adopted the linear concept of time, varying in its approach from the strictly chronological to the more biographical. A series of councils convened by the emperor - seven of them between 325 and 787 - enabled the bishops to examine false teachings and to express fundamental truths of the church. These decisions - enforced as law in the Eastern Roman empire - confirmed the principle of honor and order of prestige among the influential cities: Rome and’ Constantinople (the capitals of the Western and Eastern parts of the empire respectively), followed by Alexandria, Antioch, and Jerusalem. With the conversion of the Slavs in the 10th century, Moscow would later seek to be added to this hierarchical list. The iconoclastic controversies of the 7th and 8th centuries caused a break in historiography until the early 9th century. In his Bibliotheca (The Library of Photius /), patriarch Photius outlined many historical works lost during this period. At this time, the estrangement between East and West became more marked, aggravated by rivalry over missionary jurisdiction and controversy over theological issues. About this time, George Synkellos devised chronological tables, and Theophanes the Confessor began a detailed chronicle. The purpose was increasingly for the religious edification and education of readers. In fact, historiography of the 10th century was again narrowly apologetic and partisan (see, for example, the chronicle of Symeon Magistros). The 10th-century history of Leo the Deacon is more objective in its approach, based on eyewitness accounts, and more inclusive in its scope. The growing tension between East and West in both civil and church matters inevitably led to divergence, ultimately ending in division (1054). In spite of formal and informal attempts at reunion two significant councils were held in Lyon (1274) and in Florence (1438 - 39) - the rift was never healed, especially after the indelible mark left by the crusaders in the Middle East (1098 - 99) and in Asia Minor (1204). The Eastern Orthodox church was not only both in tension and in dialogue with the Western church over the centuries, but from the 7th century it also found itself in conflict with Islam. This tension became the focus of attention in the historical literature that followed. The leading intellectual of the n t h century was Michael Psellos, who revealed fresh possibilities in Byzantine historiography. This learned and literary tradition of historiography was furthered in the writings of Nikephoros Bryennios (with his history), John Kinnamos (with his Epitome), and the rhetorical Niketas Choniates. The only woman historian that Byzantium produced comes from this period. Anna Komnene ( 10 8 3 - 115 3 ) was the daughter of Emperor Alexios I and the wife of Nikephoros Bryennios. In her forced retirement, she devoted herself to scholarship and to the composition of her celebrated Alexiad, a panegyric of her father’s reign. It is a gem of Byzantine literature, written in an erudite Greek by an astonishingly cultured woman. Very personal and scarcely impartial, this work nonetheless remains our major source of information regarding

335

the empire’s revival and its confrontation with the crusaders and the Seljuk Turks. Historical works of this period in the Slavic tradition include the Povesf vremennykb let (The Russian Primary Chronicle, 1953), attributed to the nth - century Kievan monk Nestor, and an account from the 12th -century ruler Vladimir Monomakh. The various saints ’ lives also assume great historiographical significance. During the 12th century there were three major, and largely rhetorical, chroniclers: John Zonaras, Constantine Manasses, and Michael Glykas. The first of these was a court official in Constantinople, later tonsured a monk. His world chronicle spans from Creation to the year 1 1 1 8 ; it is characterized by a certain sophistication. Zonaras provided unique details, as well as a valuable check on the Alexiad. The works of the next century were less fanciful, but it was during the 14th century that the Eastern Orthodox church saw a flowering in historiography. Kallistos Xanthopoulos returned to the Eusebian genre of history, with his ecclesiastical history based on earlier church historians and some hagiographical texts. Nikephoros Gregoras (d .136 1), one of the greatest polymaths of his time, was an opponent of the Hesychast revival and as a result fell out with his friend, John Kantakouzenos. He was condemned by the church in 1 3 5 1 , but his Historia Rhomaike (Byzantine History) is a major source for the period between 13 2 0 and 1359 . Emperor John VI Kantakouzenos (d.1383) had many ideas for the revival of his empire. Distrusted, however, by his people, he was forced to retire and wrote several theological treatises, as well as a history composed in the form of memoirs, an apologia for his career between 13 2 0 and 13 5 7 . Secular historiography survived until the end of the Eastern empire in 14 5 3: the leading historians were John Kananos and George Sphrantzes, the latter even witnessing the fall of the imperial city. The fall of Constantinople (1453) marked the beginning of a period of decline in Eastern Orthodoxy: it was a time of geographical and intellectual confinement. Under Islam, the church was not entirely extinguished especially since the Koran recognized Jesus as “ a great prophet,” and his followers as another “ people of the Book ” - but its dynamism was based more on lay piety and monastic spirituality. The classic texts on prayer and the spiritual life were compiled during this period by St. Nikodemus the Hagiorite (1749 - 1809) in his Philokalia (The Philokalia, 1979 - ). Orthodox Christians were in effect segregated from mainstream social and political life. Their religious attitude became narrow, their lifestyle defensive, and their doctrine apologetic in tone. Their theological discourse was deeply marked by conservatism and westernization. In terms of church life and administration, the situation was still more disheartening, presenting a picture of degradation and decadence. Patriarchs were removed and reinstated at whim with bewildering rapidity. The church became corrupt under Turkish oppression, and it was also humiliated and persecuted. This was the age of the “ new martyrs.” Eyewitness accounts of these martyrdoms are given in Papadopoulos and Lizardos ’ translation, New Martyrs of the Turkish Yoke (1985). Paradoxically, the patriarch ’s position and prestige were strengthened as he was invested with civil and church power. This permitted some degree of organization, as well as an

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extended jurisdiction over the faithful adherents of Eastern Orthodoxy. The ethnarchic system introduced by the Ottomans thus brought most of the autocephalous Orthodox churches under the authority and direction of Constantinople. Yet the outward conditions remained deplorable, allowing for neither stability in church life nor missionary growth. Independence from the Turkish yoke in the 19th century, accompanied by the general growth of national consciousness in Europe at the time, resulted in the creation of the modern national churches. The first of these, the Church of Greece, was recognized by the Ecumenical Patriarchate of Constantinople in 1850. Serbia claimed control in 1879, Romania in 1885, Bulgaria in i860. This in turn led to a parallel interest in local historiography. Scholarship during this period in the area of church history was influenced by Western methodology. Major works appeared by K. Kontogiannis, and by Philaretos Vapheides of the Halki Theological School in Constantinople. A.D. Kyriakos produced a church history in three volumes. Historiographical literature during this dark period generally lacked the vigor and versatility of the early and Byzantine eras. The approach was often restrictive in terms of confessional understanding, of ecclesiastical jurisdiction, and of national background. The schools and seminaries - predominantly, although not only in Greek-speaking regions - encouraged education and growth, but the historiography of Eastern Orthodoxy largely declined in quality, even after the establishment of printing presses. (Representatives of this period are Laonikos Halkokondylis in the 15th century, Patriarch Dositheos of Jerusalem in the 16th, Meletios of Athens who wrote an ecclesiastical history in three volumes in the 17th, the encyclopaedist Evgenios Voulgaris in the 18th, and Patriarch Konstantios I in the 19th century.) As in the early centuries of Christianity, history was largely written out in blood, not in ink during these years. The Slavic churches also witnessed a revival at this time, particularly in Russia. P. Alexieff (d.1801) composed a multivolume history of the Greco-Russian church, and metropolitans Plato and Evgeny further produced significant works. Arch bishop Philaret of Moscow (178 2 - 18 6 7) published a history of the Russian church, as did both Makarios and Golubinsky. Just as the Byzantine empire was falling to the Moslems, the seeds of the Russian empire were taking root in Moscow, marking the beginning of a remarkable spiritual and liturgical renewal. Russia freed itself from dependence on Constantinople (effectively from as early as 1448) and of subjection to Mongol invaders. There developed an almost messianic mentality. In the early 18th century, Peter the Great endeavored to bring the traditional ways of the Russian church into greater conformity with Western European ways. Yet, while Orthodox Russia alone escaped the fate of the rest of Eastern Orthodoxy during the four hundred years of Ottoman rule, in the 20th century it was fiercely persecuted. For the Russian church, the 20th century has proven to be, until only recently, a time of gradual and methodical strangulation of church policy and polity. Of all the Eastern Orthodox churches that gained new independence when the Turks yielded their sovereignty to Christian rulers, only the Church of Greece found itself free of communist repression. During the 20th century numerous historical publications both in the form of collected volumes and monographs have

been produced. Academicians in Greece presented more “ scholarly ” work: Vasileios Stephanides (1878 - 19 58) and Gerasimos Ioannou Konidaris (1905 - 87). The more “ political” approach was espoused in Russia and Paris by Antonii Kartashev (1875 - 19 6 0 ). A more “ institutional” profile is offered by Vasil Istavridis of the Halki Theological School. In recent years, Georges Florovsky combined a keen sense of history, a profound depth of theology, and a sincerely irenic attitude. Florovsky proved greatly influential on other contemporary Church historians, such as John Meyendorff and Vlasios Pheidas. J o h n

See

a ls o

B y z a n tiu m ;

C am ero n ;

C ru sad es;

C h r y s s a v g is

E u s e b iu s ;

G reece:

M o d e r n ; K o m n e n e ; O t t o m a n ; P s e llo s

Further Reading Bidez, Joseph, and Léon Parmentier, eds., T h e E cclesia stica l H isto ry o f E v a g r iu s w ith the S c h o lia , London: Methuen, 1898; reprinted Amsterdam: Hakkert, 19 64 , New York: A M S Press, 19 79 Bryennios, Nicephorus, H istoria (History), written early 12th century Cameron, Averil, A g a th ia s , Oxford: Oxford University Press, 19 70 Cameron, Averil, P ro co p iu s a n d the S ixth C e n tu ry , London: Duckworth, and Berkeley: University of California Press, 19 85 Chalkokondyles, Laonikos, H isto ria ru m , written 15th century; reprinted as L a o n ik o u C h a lk o k o n d y lo u A p o d e ix is H istorian D e k a (History: The Ten Books), in P atro log ia e cursus co m p le tu s , series Graeca [P atro lo g ia G ra e ca ], edited by J.-P. Migne, v ol.159, Paris, 1866 Choniates, Niketas, C h ro n ik e D ieg esis, written before 12 0 4 ; in English as O C ity o f B y z a n tiu m : A n n a ls o f N ik e ta s C h o n ia te s , Detroit: Wayne State University Press, 1984 C o r p u s scrip to ru m historiae B yz a n tin a e , 50 vols., Bonn, 18 2 8 - 9 7 Croke, Brian, and Alanna Emmett, eds., H isto ry a n d H isto ria n s in L a te A n tiq u ity , Oxford and New York: Pergamon Press, 19 83 Drake, Harold Allen, In P raise o f C o n sta n tin e: A H isto ric a l S tu d y a n d N e w Translation o f E u s e b iu s ' Tricen n ia l O ra tio n s , Berkeley: University of California Press, 19 76 Ellis, Jane, T h e R u ssia n O r t h o d o x C h u rc h : A C o n te m p o ra ry H isto ry , London: Croom Helm, and Bloomington: Indiana University Press, 1986 Eusebius of Caesarea, H istoria ecclesiastica , written 3 1 1 - 2 5 ; in English as T h e E cclesia stica l H isto ry and T h e H isto ry o f the C h u rc h fro m C h rist to C on stan tin e

Evagrius Scholasticus, H isto ria ecclesiastica , written 6th century; in English as E cclesia stica l H isto ry , London: Methuen, 18 98 ; New York: A M S Press, 19 79 Filaret [Philaret] of Moscow, Istoriia ru ssk o i tserkvi (History of the Russian Church), Moscow, 18 4 8 - 5 3 ; in German as G esch ich te d er K irch e R u ssla n d s , 2 vols., Frankfurt: Baer, 18 7 2 Florovsky, Georges, P uti ru ssk o g o b o g o slo v iia , Paris: Y M C A Press, 19 3 7 ; in English as W ays o f R u ssian T h e o lo g y , Belmont, M A: Nordland, 19 7 2 Geanakoplos, Deno John, M e d ie v a l W estern C iviliza tio n a n d the B yza n tin e a n d Isla m ic W o rld s: Interactio n o f T h re e C u ltu re s , Lexington, M A: Heath, 19 79 Georgios Synkellos [Georgius Syncellus], E k lo g e C h ro n o g ra p h ia s (Selections from the Chronographers), edited by Alden Mosshammer as E c lo g a C h ro n o g ra p h ic a , Leipzig: Teubner, 19 84 Glykas, Michael, B ib lo s c h ro n ik e (World Chronicle), written 12th century Golubinskii, Evgenii, Istoriia ru ssk o i tserkvi (History of the Russian Church), 2 vols, in 4, 18 8 0 - 8 1 ; reprinted The Hague: Mouton, 1969 G r e g o r a s , N i k e p h o r o s , H isto ria R h o m a ik e (B y z a n t in e H i s t o r y ) ,

37 vols., written c. 1 3 5 1 - 5 8

EASTERN O RTH O D O XY

Heisenberg, August, Q u e lle n u n d Stu d ien zu r sp a tbyzan tinischen G esch ich te (Sources and Studies in Later Byzantine History), London: Variorum, 19 7 3 Henry, René, ed., P h o tiu s: B ib lio th è q u e , 9 vols., Paris: Belles Lettres, 19 5 9 -9 1 Hunger, Herbert, D ie h o ch sp ra ch lich e p ro fa n e L ite ra tu r der B yza n tin e r (The Literate Secular Literature of the Byzantines), 2 vols., Munich: Beck, 19 78 Hussey, Joan M ., T h e O r t h o d o x C h u rc h in the B yza n tin e E m p ir e , Oxford: Oxford University Press, 19 86 John of Ephesus, C o m m e n ta rii d e beatis orien ta lib u s , written 6th century; in English as L iv e s o f the E a stern Sain ts , edited by E.W. Brooks, Paris: Firmin-Didot, 1 9 2 3 - 2 5 Kaegi, Walter Emil, B yza n tiu m a n d the D e c lin e o f R o m e , Princeton: Princeton University Press, 1968 Kananos, John [Cananus, Joannes], D e C o n sta n tin o p o lis o b sid io n e (On the Siege of Constantinople), written 14 2 2 ; reprinted as Jo h a n n is C a n a n i de C o n sta n tin o p o lis o b sid io n e , edited by E. Pinto, Naples: Scientifica, 1968 Kantakouzenos, Ioannes [John Cantacuzenus], H isto ria , written c. 13 6 2 - 6 9 Karayarmopoulos, John [Karagiannopoulos, I.E.], and Giinter Weiss, Q u e lle n k u n d e zu r G esch ich te vo n B y z a n z ( 3 2 4 - 1 4 5 3 ) (Sources of Byzantine History, 3 2 4 - 1 4 5 3 ) , 2 vols., Wiesbaden: Harrassowitz, 19 8 2 Kartashev, Anton Vladimirovich, O c h e r k i p o istorii ru ssk o i tserkvi (Essays on the Russian Church), 2 vols., Paris: Y M C A , 19 59 Kinnamos, John, E p ito m e (Résumé), written 1 1 8 0 - 8 3 ; m English as D e e d s o f J o h n a n d M a n u e l C o m n e n u s , New York: Columbia University Press, 19 76 Komnene [Comnena], Anna, T h e A le x ia d , written 1 1 3 8 - 4 8 ; in English as T h e A le x ia d o f A n n a C o m n e n a , Harmondsworth and Baltimore: Penguin, 1969 Konidares, Gerasimos Ioannou, E k k le sia stik e historia (General Ecclesiastical History), 2 vols., Athens, 19 5 4 - 7 0 Kyriakos, A. Diomedes, G esch ich te d er orien talischen K irch en vo n 1 4 5 3 - 1 8 9 8 (History of the Eastern Church from 14 5 3 to 1898), Leipzig: Deichart, 19 02 Leo the Deacon [Diakonos Leon], H isto ria (History), written before 992 Magoulias, Harry J., ed. and trans., D o u k a s : D e c lin e a n d F a ll o f B yza n tiu m to the O tto m a n T u rk s: A n A n n o ta te d Translation o f “ H isto ria T u rc o - B y z a n tin a , ” Detroit: Wayne State University Press, 19 7 5 Malalas, John, C h ro n o g ra p h ia , written 6th century; in English as T h e C h ro n ic le o f J o h n M a la la s: A T ran slation , Melbourne: University of Melbourne Press, 1986 Maloney, George, A H isto ry o f O r t h o d o x T h e o lo g y since 1 4 5 3 , Belmont, M A: Nordland, 19 76 Manasses, Constantine, S y n o p sis h isto rik e , written 12th century; in English as T h e C h ro n ic le o f C on sta n tin e M an asses fro m the C rea tio n o f the W o rld to the R e ig n o f C on stantin e the G re a t , Washington, DC: Dumbarton Oaks, 19 95 Mansi, Giovanni Domenico, S a cro ru m co n cilio ru m n o va et a m p lissim a co llectio (The N ew and Most Complete Collection of the Sacred Councils), 3 1 vols., 17 5 9 - 9 8 [reprinted and continued by L. Petit and J.B. Martin, 53 vols., Paris: 1 9 0 1 - 2 7 ] Meletios of Athens, E k k lisia s tik e historia (Ecclesiastical History), 2 vols., Vienna, 17 8 3 Meyendorff, John, L ’ E g lise o rth o d o x e : h ier et a u jo u r d ’h u i , Paris: Seuil, i960, revised 19 9 5 ; in English as T h e O r t h o d o x C h u rc h : Its P a st a n d R o le in the W o rld T o d a y , London: Darton Longman and Todd, and N ew York: Pantheon, 19 6 2 Nestor, P o v e s t ’ vre m e n n y k h let , completed 1 0 1 3 - 1 5 ; in English as T h e R u ssia n P rim a ry C h ro n ic le : L a u ren tia n T e x t , Cambridge, M A : Mediaeval Academy of America, 19 53 Nicol, Donald M ., T h e L a st C entu ries o f B yza n tiu m , 1 2 6 1 - 1 4 5 3 , London: Hart Davis, and New York: St. Martin ’s Press, 19 7 2

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Nikodemus the Hagiorite, Saint, P h ilo k a lia , compiled 18th century; in English as T h e P h ilo k a lia : T h e C o m p le te T e x t , London: Faber, 19 7 9 Papadopoulos, L., and G. Lizardos, trans., N e w M a rty rs o f the Tu rkish Y o k e , Seattle: St. Nectarios Press, 19 85 Pheidas, Vlasios, E k k le sia stik e historia tes R o ssia s, 9 8 8 - 1 9 8 8 (Ecclesiastical History of Russia, 9 8 8 - 19 8 8 ), Athens: Apostolike Diakonia tes Ekklesias tes Hellados, 1988 Philippides, Marias, E m p e ro r s, Patria rch s, a n d Sultans o f C o n sta n tin o p le, 1 3 7 3 - 1 5 1 3 : A n A n o n y m o u s G re e k C h ro n ic le o f the Sixteenth C e n tu ry , Brookline, M A: Hellenic College, 1990

Photius, Patriarch, B ib lio th e c a , written 9th century; in English as T h e L ib r a r y o f P h o tiu s I: Sain t P atriarch o f C o n sta n tin o p le , London: SPCK, 19 20, and as T h e B ib lio th e c a : A S electio n , London: Duckworth, 19 94 Pospielovsky, Dimitry, T h e R u ssian C h u rc h u n d e r the S o vie t R egim e, 1 9 1 7 - 1 9 8 2 , 2 vols., Crestwood, N Y: St. Vladimir’s Seminary Press, 19 84 Psellos, Michael, C h ro n o g ra p h ia , c. 10 5 9 - 7 8 ; in English as T h e C h ro n o g ra p h ia o f M ic h a e l P se llu s , N ew Haven: Yale University Press, 19 5 3 , revised as Fo u rteen B yza n tin e R u le rs , 1966 Roberson, Ronald G., T h e E a stern C h ristian C h u rc h e s: A B r ie f S u r v e y , 5th revised edition, Rome: Pontifical Oriental Institute, 1995

Runciman, Steven, T h e G re a t C h u rc h in C a p tivity: A S tu d y o f the Patriarchate o f C o n sta n tin o p le fro m the E v e o f the Tu rkish C o n q u e st to the G re e k W ar o f In d e p e n d e n c e , Cambridge: Cambridge University Press, 1968 Schmitt, John, ed., T h e C h ro n ic le o f M o re a : A H isto ry in P o litica l Verse, R ela tin g the E sta b lish m e n t o f Feu d a lism in G re ec e b y the F ra n k s in the T h irteen th C e n tu ry , Groningen: Bouma, 19 6 7; New

York: A M S Press, 19 79 Schwartz, Edward, ed., A cta c o n cilio ru m o e c u m e n ic o ru m , 1 2 vols., Berlin: de Gruyter, 1 9 1 4 - 8 4 Sphrantzes, George, C h r o n ik o n , written 1450s; in English as T h e F a ll o f the B yza n tin e E m p ir e : A C h ro n ic le , Amherst: University of Massachusetts Press, 1980 Stavrides, Vasileios [Istavridis, Vasil], H istoria tou O ik o u m e n ik o u P a tria rch eiou (History of the Ecumenical Patriarchate), Athens, 19 6 7 Stephanides, Vasileios [Basilius], E k k lisia s tik e historia (Ecclesiastical History), Athens: Aster, 1948 Theophanes the Confessor, C h ro n o g ra p h ia , written 8 1 0 - 1 4 ; in English as T h e C h ro n ic le o f T h e o p h a n es C o n fe sso r : B yza n tin e a n d N e a r E astern H istory, a d 2 8 4 - 8 1 3 , Oxford and New York: Oxford University Press, 19 9 7 Vapheides, Philaretos, E k k le sia stik e historia: a p o tou K yrio u em on Iesou C h risto u m ech ri ton kath em as c h ro n o n (Ecclesiastical History: From Our Lord Jesus Christ to Our Times), Constantinople: Voutyra, 18 8 4 Vlasto, A.P., T h e E n t r y o f the Sla vs into C h riste n d o m : A n In tro d u ctio n to the M e d ie v a l H isto ry o f the S la v s , Cambridge: Cambridge University Press, 19 70 Ware, Timothy, T h e O r t h o d o x C h u r c h , Harmondsworth and Baltimore: Penguin, 19 6 3; revised 19 94 Ware, Timothy, E ustra tio s A rg e n ti: A S tu d y o f the G r e e k C h u rc h u n d e r Tu rkish R u le , Oxford: Oxford University Press, 1964 Wilson, Nigel Guy, Sch o lars o f B y z a n tiu m , London: Duckworth, and Baltimore: Johns Hopkins University Press, 19 83 Xanthopoulos, Nikephoros Kallistos [Callistus], E cclesiasticae historiae (Ecclesiastical History), written 14th century; reprinted in P atro lo g ia e c u rsu s , series Graeca [P a trolog ia G ra e ca ], edited by J.-P. Migne, vols. 1 4 5 - 4 7 Zonaras, Joannes, C h r o n ik o n , 18 books, written 12th century; in English as Z o n a r a s ’ A c c o u n t o f the N e o - F la v ia n E m p e r o r s : A C o m m e n ta ry , Ann Arbor, MI: University Microfilms International, 1977

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Eaton, Richard Maxwell 1940-

US social historian o f South Asia and Islam

Richard Maxwell Eaton has devoted his career to understanding and explaining the process by which over a quarter of the population of South Asia converted to Islam, comprising over a third of all Muslims in the world today. His control over the relevant primary texts, particularly his extensive use of Persian language sources, has enabled him to explain the process of conversion to Islam during the i3th - i8 th centuries in particularly nuanced ways. For several regions of Pakistan, India, and Bangladesh, he has analyzed the interrelationships among the policies of Muslim rulers, the diverse roles of Muslim religious institutions and individuals, and the socio economic transformations concomitant with conversion to Islam. Eaton’s work sheds much light on the contested issue of what being “ Muslim ” means in South Asia. Muslim identity has been highly politicized in the troubled development of nationalism in India, Pakistan, and Bangladesh. The idea that Muslims comprised a distinct nation led the British to “ partition ” India and Pakistan in 1947, leaving between 10 and 15 million dead or homeless. Subsequently, within Pakistan itself, regional identities have frequently outweighed Islamic nationalism, leading to bloody civil wars. The most decisive of these conflicts culminated in 19 7 1, when eastern Bengal split off as Bangladesh. For its part, India continues to be wracked by communal conflict over the place of Muslim identity in a predominantly Hindu country. By studying conversion to Islam in regions in each of these countries, Eaton has done much to help us understand the roots of these conflicts. The issue of Muslim identity has also divided scholars. Aziz Ahmad, S.M. Ikram, Ayesha Jalal, I.H. Qureshi, Francis Robinson, and Farzana Shaikh, among others, emphasize - in different ways - Muslim national identity. Through case studies across South Asia, Eaton demonstrates the complexity of conversion to Islam, showing it to be the result not of state policy by Muslim rulers but rather of the assimilation of local traditions with Islamic rituals, cosmologies, and literatures, creating a distinctly regional synthesis. Paralleling his approach, scholars such as Imtiaz Ahmad, Christopher Bayly, Paul Brass, Ashgar Ali Engineer, Peter Hardy, Mashirul Hasan, and Mattison Mines stress the regional component in South Asian Muslim communities. Eaton ’s early work concentrated on the place of Muslim holy men in society and politics in the Deccan region (southcentral India). His doctorate became the basis of his first monograph: Sufis of Bijapur, 13 0 0 - 17 0 0 (1978). His “ Sufi Folk Literature and the Expansion of Indian Islam ” (1974) analyzed songs about women’s domestic work as a medium for the transmission of Islamic values. His Fimzabad with George Mitchell (1990), specifically explored the architectural expressions of Islamic religious and political institutions. His forthcoming Social History of the Deccan (in The New Cambridge History of India series) will survey scholarship on the premodern history of this region. In the 19 70s, Eaton undertook an intensive study of the vital province of Punjab in the upper Indus plain. His pathbreaking work on this region demonstrated how non-Muslim

pastoral nomadic peoples, particularly Jats, settled down in the rich but arid lands of west Punjab. Their harnessing of irrigation technology from West Asia and their connections with the prestigious Sufi lineages combined to transform them into Muslim sedentary peasants. Among Eaton ’s most influential articles on this region are “ Court of Man, Court of God ” (1982) and “ The Political and Religious Authority of the Shrine of Baba Farid in Pakpattan, Punjab ” (1982). Each of these articles demonstrates a different aspect of the complex interaction between Sufi shrines and both the local population and the Mughal imperial and British colonial states. Most recently, Eaton has examined conversion to Islam in eastern Bengal, today the largest community of Muslims in the world. A combination of Mughal and Turkish political expan sion, sedentization (through technological paradigm shifts, particularly from swidden to wet rice agriculture), and charismatic Sufis inspired mass conversion to Islam among the lightly Hinduized population. The mosques and madrasas (Islamic religious schools), which the Muslim settlers constructed on the frontier as it gradually moved eastward across Bengal, formed focal points for the newly converted and settled peasantry. Eaton’s The Rise of Islam and the Bengal Frontier; 1104 - 1760 (1993) received due recognition through both the 1994 Albert Hourani book award from the Middle East Studies Association and also the 1995 Ananda Kentish Coomaraswamy book prize from the Association of Asian Studies; no other book has ever been so honored. For this book, Eaton drew heavily on Mughal sources, with the addition of local Bengali records and chronicles, coins, architecture, stone inscriptions, and folk traditions to demonstrate the complexity of the process of blending Islamic ideas and institutions into Bengali regional culture. Eaton has over the years also turned his attention to other regions of South Asia. He has examined the south Indian state of Kerala - in “ Multiple Lenses” (1993) - and Afghanistan - in his master’s thesis “ The First Afghan War” (1967). His “ Con version to Christianity among the Nagas, 18 7 6 - 1 9 7 1 ” (1984) takes up the issue of tribal conversion to Christianity in the British colonial context in the northeast corner of India; this article forms the theoretical and methodological basis for his subsequent work on conversion to Islam in India. Further, Eaton has located South Asian Islam in the larger contexts of West Asia and the world through his Islamic History as Global History (1990), commissioned by the American Historical Society. M i c h a e l H. F i s h e r

Biography Born Grand Rapids, Michigan, 8 December 1940. Received BA, College of Wooster, 19 6 2 ; M A , University of Virginia, 19 6 7 ; PhD, University of Wisconsin, Madison, 1969. Taught at Walton High School, Virginia, 19 6 4 - 6 5 ; and University of Arizona, from 19 72 .

Principal Writings “ The First Afghan War,” M A thesis, University of Virginia, 19 6 7 “ Sufi Folk Literature and the Expansion of Indian Islam,” H isto ry o f R elig io n s 14 (1974), 1 1 7 - 2 7 Sufis o f Bijapur, 1 3 0 0 - 1 7 0 0 : S o c ia l R o le s o f Sufis in M e d ie v a l In d ia ,

19 78 “ Court of Man, Court of God: Local Perceptions of the Shrine of Baba Farid, Pakpattan, Punjab,” in Richard C. Martin, ed., Islam in L o c a l C o n te x ts , 19 8 2

EBERHARD

“ T h e P o lit ic a l a n d R e lig io u s A u t h o r i t y o f th e S h r in e o f B a b a F a r id in P a k p a t t a n , P u n j a b , ” in B a r b a r a M e t c a lf , e d ., M o r a l C o n d u c t

a n d A u th o rity : T h e P lace o f “ A d a b ” in Sou th A sia n Isla m , 19 8 2 “ C o n v e r s i o n to C h r is t ia n it y a m o n g th e N a g a s ,

1 8 7 6 - 1 9 7 1 , ” In dia n

E c o n o m ic a n d S o c ia l H isto ry R e v ie w 2 1 (1984), 1 - 4 4 W i t h G e o r g e M i t c h e ll , Firu za b a d : P alace C ity o f the D e c c a n ,

1990

Islam ic H isto ry as G lo b a l H is to ry , 1990

“ Multiple Lenses: Differing Perspectives of 15th -century Calicut,” in Laurie Sears, ed., A u to n o m o u s H istories, P articu lar Truths: E ssa y s in H o n o r o f P ro fe sso r J o h n S m a il , 1993 T h e R ise o f Islam a n d the B en g a l Frontier, 1 2 0 4 - 1 7 6 0 , 1993

Eberhard, Wolfram 1909-1989

Germ an sociologist and social historian

A scholar of the history, society, and culture of Western, Central, and Eastern Asia, Wolfram Eberhard wrote works that examined the fields of history, sociology, frontier studies, folk lore, religion, popular literature, and the history of astronomy. Eberhard ’s training in both classical sinology as well as modern sociological and ethnological research methodologies enabled him to pursue research in history and social institutions over the entire span of Chinese history, as well as conducting field work on social institutions in China, Korea, Turkey, and Central Asia. He could study problems in ancient texts, and equally well engage in contemporary field research, devise and carry out surveys, and work with statistical data. Eberhard was one of the pioneers in going beyond the limits of the conventional “ Confucian ” perspective of Chinese history and pursuing serious scholarship on the origins of Chinese society, the characteristics of regional cultures underneath the “ great China culture,” and the relations between the Chinese and the various non-Chinese peoples on the frontiers of the constantly changing areas of Chinese settlement and control. Following on the momentum of the Chinese folklore studies movement of the 1920s, he contributed pioneering research to folklore collecting and analysis, and delved into numerous aspects of the life and culture of the Chinese lower classes whom the Confucian tradition had largely overlooked. In many aspects of Chinese studies, he opened up avenues of scholarship that are now regarded as common areas for research. His broad scholarship inspired a generation of students who have pursued insightful research along the many paths he first explored. Unfortunately, some younger scholars have been too quick to criticize his errors while forgetting his groundbreaking scholarship, on which their own research rests. In the latter half of the 1930s Eberhard began to publish theoretical work on the origins and development of Chinese society, its diverse ethnic composition, and its complex social structure. He argued that Chinese society was the result of the fusion of various tribal groups into local cultures, which ultimately fused into a larger Chinese society, with the earlier local cultures creating regional distinctions. Some of the original tribes were fully absorbed into the resulting Chinese society while others survived as minority groups under pressure to assimilate into the larger and more technologically advanced Chinese culture. This research is discussed in his two-volume Lokalkulturen im alien China (19 4 2 - 4 3; vol. 2 as The Local Cultures of South and East China, 1968) and other works.

339

His Social Mobility in Traditional China (1962) argued that there was greater social mobility in premodern China than in other pre-industrial societies, which strongly contributed to the striking continuity of Chinese culture. His research on the peoples on the Chinese frontiers and the Chinese interactions with them appeared in several major works such as Conquerors and Rulers (19 52; revised 1964) and China’s Minorities (1982). Many of Eberhard’s articles were reprinted along with some newly published essays in the six volumes of his collected papers. His publications reveal his enduring interests in Chinese and Turkish folklore and folklife, and in the geographically, ethnically, and socially marginal people of China. From 19 37 to 1948, Eberhard taught history at Ankara University and contributed significantly to the development of sinological scholarship in Turkey. During this period he published on a wide variety of subjects, including Chinese folk lore, popular literature, history, minorities and local cultures in China, the relations between the Chinese and the peoples of Central Asia, and Turkish history, society, and popular culture. The first edition of his A History of China (1947) was published in Turkish and later translated into German, English, and French. Eberhard’s voluminous publications on Chinese and Turkish folklore and folklife spanned his entire career. The results of his folklore collecting and research appeared in several compilations as well as in many other collections of Chinese folk tales, songs, theater plays, novels, and parables. Some of these collections are comprised of a voluminous amount of data with only preliminary analysis, since he believed that it was his responsibility to make his data available for research by other scholars even though his analysis was incomplete. The publication of his Typen chinesischer Volksmärchen (Types of Chinese Folktales, 1936) provided the topological framework for bringing Chinese folktales into the systematic study of world folktales. He also published numerous studies analyzing the content, structure, and transmission of Chinese folktales and folk customs. Many of these analyses may be seen in his second and fourth volumes of collected papers: Studies in Chinese Folklore and Related Essays (1970), and Moral and Social Values of the Chinese (19 71). Eberhard’s sociological viewpoint also influenced his research on folktale transmission. Not only was he concerned with the tale-teller, the audience, and the social context, but he also showed that the respective genders, ages, and family relationships of tale-tellers and audiences have a marked influence on the content of a tale. His research on this aspect of tale-telling is the theme of his Studies in Taiwanese Folktales (1970). In collaboration with P.N. Boratav, Eberhard published Typen türkischer Volksmärchen (Types of Turkish Folktales, 19 53), thereby providing a topological framework for the study and comparison of Turkish folktales within a worldwide context. This was preceded and followed by several related publications, including his Minstrel Tales from Southeastern Turkey (1955). Eberhard ’s interest in the culture of ordinary people included extensive research on Chinese popular religion. His Guilt and Sin in Traditional China (1967) analyzed the widely distributed moralistic tracts (shan-shu) as a source for Chinese moral and social values outside the orthodox Confucian tradition. In

340

EBERHARD

another pioneering example of research methodology, his long article “ Temple-building Activities in Medieval and Modern China: An Experimental Study ” (1964) demonstrated the way statistical data gathered from local histories can be used to study certain historical aspects of religion in China. His publications on Chinese popular religion influenced many of the younger scholars who founded the Society for the Study of Chinese Religions and its journal (1976). Eberhard also turned his attention to the constantly recurring problem of the interpretation of symbols in folk literature, art, and religion. His Lexikon chinesischer Symbole (1983; Dictionary of Chinese Symbols, 1986) examined symbols for their historical, literary, religious, and metaphorical implications, and also showed that many symbols have sexual implications not previously recognized. His earlier interest in symbols can also be seen in the series of studies on Chinese dreams published from 1966 to 1978, including Chinesische Träume und ihre Deutung (Chinese Dreams and Their Interpretation, 19 7 1). Eberhard cofounded the Asian Folklore and Social Life monographs series (Taipei) which hosted the publication of many scholars’ works on relevant topics in Eastern, Central, and Western Asia, and also reprinted several series of valuable and long out-of-print Chinese monographs and collections relating to Chinese folklore. A l v i n P. C o h e n

See also China: Ancient

With Pertev Naili Boratav, T yp en tü rkisch er V olksm ärch en (Types of Turkish Folktales), 19 53 M in strel Tales fro m Sou th eastern T u rk e y , 19 5 5 S o c ia l M o b ility in Trad itio n a l C h in a , 19 6 2 “ Temple-building Activities in Medieval and Modern China: An Experimental Study,” M o n u m e n ta Serica 23 (1964): 2 6 4 - 3 1 8 ; reprinted in his M o r a l a n d S o c ia l Values o f the C h in e se : C o lle c te d E s s a y s , 19 7 1 E rzä h lu n g sg u t aus S ü d o st - C h in a (Narratives from Southeast China), 1966 G u ilt a n d Sin in T ra d itio n a l C h in a , 19 6 7 Settlem ent a n d S o c ia l C h a n g e in A s ia , 19 6 7 S tern k u n d e u n d W eltb ild im alten C h in a (Astronomy and Conceptions of the World in Ancient China), 19 70 S tu d ies in C h in e se F o lk lo re a n d R e la ted E s s a y s , 19 70 Stud ies in T a iw a n ese F o lk ta les , 19 70 C h in esisch e Träu m e u n d ihre D e u tu n g (Chinese Dreams and Their Interpretation), 19 7 1 M o r a l a n d S o c ia l Values o f the C h in e se , 19 7 1 C h in a u n d seine w estlich en N a c h b a r n : B eiträge zu r m ittelalterlichen u n d neueren G esch ich te Z en tra la sien s (China and Her Western Neighbors: Contributions to the History of Central Asia in the Middle Ages and Modern Times), 19 78 C h in a ’s M in o rities: Yesterday a n d T o d a y , 19 8 2 L ife a n d T h o u g h t o f O rd in a ry C h in e se , 19 8 2 L e x ik o n chinesisch er S y m b o le : G eh e im e S in n b ild e r in K u n st u n d Literatur, L e b e n u n d D e n k e n d er C h in e se n , 19 8 3; in English as A D ic tio n a ry o f C h in e se S y m b o ls: H id d e n S y m b o ls in C h in e se L ife a n d T h o u g h t , 1986

Further Reading Allan, Sarah, and Alvin P. Cohen, eds., L eg e n d , L o re , a n d R e lig io n in C h in a : E ssa y s in H o n o r o f W o lfram E b e r h a r d on H is

Biography Born Potsdam, 1 7 March 1909, son of an astrophysicist. Attended the Victoria Gymnasium, Potsdam; studied classical Chinese and social anthropology at Berlin University, PhD 19 3 3 ; and modern Chinese at the seminar for Oriental languages in Berlin, diploma 19 29 . Worked in the Berlin Anthropological Museum: first trip to China in 19 3 4 , to collect ethnographic materials for the museum; taught German and Latin at universities in Peking. Director, Grassi Museum Asiatic section, Leipzig, 19 3 6 - 3 7 . Received a Moses Mendelssohn fellowship in 19 3 7 to travel and lecture in the US. Also traveled through Japan to China and Hong Kong; since he opposed the Nazis, he could not return to Germany; while in Hong Kong, he received the offer of a professorship at Ankara University, where his family joined him and he lived as a stateless resident and taught, 19 3 7 - 4 8 ; taught sociology, University of California, Berkeley, 19 4 8 - 7 6 (emeritus); then independent researcher. Married 1) Alide Roemer, 19 3 4 (2 sons); 2) Irene Ohnesorg, 19 85. Died 15 August 1989.

Principal Writings T y p en chin esisch er V olksm ärch en (Types of Chinese Folktales), 19 36 C h in e se Fa iry - ta les a n d F o lk - ta le s , 19 3 7 ; revised as F o lktales o f C h in a , 19 65 K u ltu r u n d S ie d lu n g d er R a n d v ö lk e r C h in a s (Culture and Settlement

of the Marginal People of China), 19 42 L o k a lk u ltu re n im alten C h in a , 2 vols., 19 4 2 - 4 3 ; vol. 2 revised in

English as T h e L o c a l C ultu res o f Sou th a n d E a st C h in a , 1968 p w T a rih i , 19 4 7 ; in German as C h in a s G e s ch ich te , 1948; in English as A H isto ry o f C h in a , 19 50 , revised 1969; 4th edition, 19 7 7 D a s T o b a - R e ic h N o r d c h in a s , eine so zio lo g isch e U n tersu ch u n g (The Toba Empire of North China: A Sociological Investigation), 1949 C h in e se Festiva ls , 19 5 2 ; revised 19 7 2 C o n q u e ro rs a n d R u le rs: S o c ia l F o rce s in M e d ie v a l C h in a , 19 5 2 ; revised 1964

Seventieth B ir th d a y , San Francisco: Chinese Materials Center,

19 79

Eccles, W.J.

1917-

Canadian (British -born) historian o f French Canada

The most influential modern English-language historian of New France, W.J. Eccles was intimately associated with most major historical enterprises of the second half of the 20th century in Canada and the United States: the Centenary series, the Dictionary of Canadian Biography, the Histories of the American Frontier, the New American Nation series, the FFistorical Atlas of Canada, and the Encyclopedia of the North American Colonies. His iconoclastic treatment of French experience in North America stressed the uniqueness of Canadian history and of the society it shaped. Until the 1960s, the history of New France in the Englishspeaking world was synonymous with the works of Francis Parkman, who perceived the struggle for empire in North America as one that pitted the forces of Protestant progress against those of Catholic reaction. Although the French colony had some heroic figures, its inhabitants were firmly under the sway of the Roman Catholic church which condemned them to obedience to autocracy, ignorance, and superstition. The British conquest of 1760 was a “ happy calamity,” freeing them from despotic oppression. As a student, Eccles accepted the Parkman ’s views but, while researching his thesis on governor Frontenac, sources in the French archives suggested a very different interpretation. On the one hand, Eccles was impressed

E C C L E SIA ST IC A L H IST O RY

with the efficacy of military government in meeting challenges and, on the other, he admired a state that put the well-being of citizens above the market. This vision has led Matteo Sanfilippo to label Eccles a “ red tory.” Eccles first made his mark in this thesis debunking governor Frontenac, one of Parkman’s heroes, by portraying him as an impecunious noble bent on enrichment and self-aggrandizement, an inept administrator whose greatest talent was to be able to mislead both his minister and historians. He followed up this by a scathing attack on Parkman and the Anglo-Protestant disdain for New France shared by many of his colleagues in a paper published in the William and Mary Quarterly in 19 6 1. His reputation as a revisionist made, Eccles turned to writing syntheses that progressively widened the scope of his enquiry. New France was not just another New World society but a unique blend of Europe and America fashioned by its location as an outpost of empire that produced a warrior ethos. This view was most clearly defined in his important 19 7 1 essay - “ The Social, Economic, and Political Influence of the Military Establishment in New France.” Here he posited that the military was a major staple of the Canadian economy draining “ a goodly quantity of the available supply of brains, initiative and ability.” His work on the military was pursued mainly in a score of individual biographies and the introductory essay, “ French Forces in North America during the Seven Years ’ War,” that he wrote for vol. 3 of the Dictionary of Canadian Biography. Interest in the military naturally evolved into a study of the place of the fur trade in French imperialism and the role of native peoples. In 1979 he challenged the accepted interpretation of H.A. Innis and contributed in reopening debates on the nature of the fur trade (1987). This interest brought Eccles to examine more closely relations between the native peoples and French imperialism. As a result of his unsuccessful defence of an Ontario tribe’s land claims, he produced “ Sovereignty Association, 15 3 4 - 17 8 3 ” in 1984, which argued that the French never controlled the lands occupied by native peoples (1987). This influential article served as historical background evidence for the multitude of similar cases argued before the courts in recent years. Because Eccles’ major syntheses - The Canadian Frontier (1969) and France in America (1972.) - were widely adopted as required readings in early Canadian history survey courses in universities across the country, English Canada’s vision of New France was shaped by his interpretation of a paternalistic society ruled by a military aristocracy that did not exploit the peasantry. He succeeded in overcoming the AngloProtestant historiographical tradition that denied legitimacy to New France and also in establishing the French experience as a vital component of Canada ’s uniqueness. His impact in French Québec was not as great, however. This was not because his works were unknown (although only an abridged version of his Frontenac was translated into French) or not respected. But francophone historians rejected his emphasis on the importance of the military and aristocracy, concentrating instead on the main subjects of social history that had a greater resonance in their own society - merchants, artisans, and the peasantry. Thus, despite his sympathy for Quebec’s distinct society, Eccles did not completely succeed in bridging the gap that separates the country’s two solitudes. J o h n

A.

D ic k in s o n

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S e e a ls o Parkman

Biography William John Eccles. Born in Thirsk, Yorkshire, 1 7 July 1 9 1 7 ; moved to Canada, 19 28. Served in the Royal Canadian Air Force during World War II. Attended McGill University, Montreal, BA 19 48 , M A 1 9 5 1 , PhD 19 5 5 ; and the Sorbonne, 1 9 5 1 - 5 2 . Taught at University of Manitoba, 1 9 5 3 - 5 7 ; University of Alberta, 1 9 5 7 - 6 3 ; and University of Toronto (rising to professor), 19 6 3 - 8 3 (emeritus). Married Margaret Jean Jaffray, 19 48 (2 sons, 1 daughter).

Principal Writings F ro n te n a c: T h e C o u rtier G o v e r n o r , 19 59

“ The History of N ew France According to Francis Parkman,” W illiam a n d M a r y Q u a rte rly 18 (19 6 1), 1 6 3 - 7 5 C a n a d a u n d er L o u is X I V , 1 6 6 4 - 1 / 0 1 , 1964 T h e C a n a d ia n Frontier, 1 5 3 4 - 1 7 6 0 , 1969 “ The Social, Economic, and Political Significance of the Military Establishment in N ew France,” C a n a d ia n H isto ric a l R e v ie w 52 (19 7 1), 1 - 2 2 ; also in his E ssa y s on N e w F ra n ce F ra n ce in A m e r ic a , 19 7 2 ; revised 1990 E ssa y s on N e w F ra n c e , 19 8 7

Further Reading Codignola, Luca et a l. , “ A Forum on W.J. Eccles,” B ritish Jo u r n a l o f C a n a d ia n Stud ies n (1996), 66 - 89

Ecclesiastical History The writing of ecclesiastical history within the Christian tradition is closely linked to the evolution of ideas about the rela tionship between the sacred and the secular. The understanding of this relationship was originally derived from the Jewish historical consciousness with its paradoxical blending of the prophetic and apocalyptic traditions: the traditions in which, on the one hand, God was seen to reveal himself to mankind through the events of history and to be responsible for those events, and on the other hand, where it was believed that God would irrevocably alter the course of history and in effect bring time itself to an end. The Christian adaptation of apocalyptic categories emphasizes the resurrected Christ and his dual role as redeemer and judge at the end of time. This idea produces an ecclesiology in which the sacred and the secular are understood to exist in conflictual tension and in which the supreme redemptive act (Christ’s sacrifice on the cross) came into history from outside of time. The implication of this is that the process of human history (ordinary time) in and of itself does not lead to salva tion and does not possess any necessary correlation to divine objectives. The task of the church in this view is to maintain the efficacy of Christ’s message in the face of a world and society overtly hostile to sacred ends. With its overtones of social conflict this interpretation has been most influential during periods in which Christianity and the church lay outside the established power structure and emphasized the transformative character of the Christian message. In contrast the prophetic tradition, with its concept of history as an immanent process, while socially radical in origin, has been very influential with thinkers for whom the ends of

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church and society are seen to be harmonious and complementary. In this view the church perfects a society that is infused with divinely ordained structures. Its role is that of the leaven in the lump rather than the agent of fundamental transformation. Redemption is understood to be an incremental process over which the church presides; but it is not seen to be antithetical to the surrounding social environment. Both of these traditions have coexisted within Christian ecclesiastical writing and not infrequently have been blended together by the same author. The tension between these two modes of interpretation established the fundamental issues of Christian ecclesiastical history and have provided a structure within which the significance of its development can be understood. In the first generations after the death of Christ, Christian thought had not yet developed a clearly defined sense of history, nor had the church acquired an articulated institutional profile. The image that emerged, however, suggested that the church was seen to fit into the apocalyptic model of history. The authors of the New Testament believed they were living in the end of time and they looked to the church to prepare the people of God for the imminence of the second coming. Functioning within a context in which their beliefs and values conflicted overtly with those of the dominant pagan society, they saw in their rituals and institutions a divine mechanism distinct from and leading to the ultimate judgment and redemption of the world. This apocalyptic understanding of the church dominated Christian thinking up to the time of Constantine. His conversion to Christianity transformed the church from a persecuted institution into the guardian of the dominant ideology of the Roman empire. This transformation necessitated a rearticula tion of the relationship of the church to the rest of society. Eusebius of Caesarea (c. 260 - 339) provided this new interpretation with his Ecclesiastical History (written 3 11 - 3 2 5 ) . For Eusebius history was a process guided by divine providence that culminated in the creation of a Christian empire by Constantine. He explicitly identified the emperor as an agent of God’s grace, thus integrating secular polity, church, and society into a complementary whole. In constructing his theory of a Christian empire, Eusebius reached back to the Jewish tradition - stemming from the prophets - that recognized the empires of the world to be active agents of God’s will. In so doing he recapitulated for the Christian tradition the idea that the secular world functioned as a means to the divine ends intended by God, and he integrated the significance of time into the historical process itself. St. Augustine of Hippo pushed the idea of historical process even further and effectively integrated the apocalyptic and prophetic traditions. In The City of God he described history as a conflict between two principles manifested in opposing social orders: the City of Man and the City of God. These two orders existed side by side and intermingled with each other, but they were distinguished by the ends that ruled their course. The City of Man was guided by the selfish ambitions of unredeemed humanity while the City of God developed in accordance with divine ends. The City of Man was capable of accomplishing some notable tasks - Augustine saw political institutions as a barrier against the most unbridled forms of human passion - but the frailty of human nature inevitably dragged the secular institutions of the world into rapacious

conflicts. The course of history, then, when considered apart from divine grace, was marked by the cyclical rise and fall of monuments to the mistaken quest for power and domination.

Tempering this pessimistic view of human affairs was Augustine’s vision of the role of grace and love - the funda mental principles of the City of God. Moving against the destructive forces of fallen mankind, the unifying force of love, given to the world through the sacrifice and grace of Christ, made possible the progressive creation of the City of God. The church formed the visible sacramental manifestation of this order, but was itself subject to the degrading activity of the secular city. Ultimately the City of God was built over time by individuals who chose allegiance to the sacred rather than the secular principle thereby enabling the divine purpose of God to become manifest within human society. Complementing this concept of progressive development Augustine also looked to the events of the second coming to complete the process of history and to reveal the City of God in its full triumph. Augustine’s system successfully blended the apocalyptic and immanent traditions of Christian thought. His skeptical view of secular institutions, however, did not harmonize well with the very different social conditions of the Middle Ages, and the dynamic component of his system was discarded in favor of a more static vision of society and the church. Medieval authors were influenced by both modes of thought, but deemphasized the sense of urgency associated with the apoca lyptic tradition. Medieval thought transmuted the end of time into a distant future that had little impact on the course of human events. At the same time, the human condition was believed to be permeated with the divine and to be a microcosm of the hierarchical structure of the universe. The sacred and the profane intermingled on every level. The genre of the lives of the saints pointed repeatedly to the presence of the eternal within human experience, while the development of an elaborate liturgical ritual underlined the sacramental character of daily life and the dependence of the political realm on the religious. In general the outlook of the medieval world was ahistorical. The dominant pattern of time was cyclical (bounded by the distant linearity of the “ end times” ) and the significance of worldly events could be understood only within the context of Christian doctrine. As the political structures of Europe became more complex and more differentiated from ecclesiastical culture, an image of society began to develop that made possible for the first time positive interpretations of secular social processes. In his De monarchia, Dante turned the traditional medieval relationship between church and state around and identified the Holy Roman empire as a holy city designated by God to fulfill the natural ends of mankind. Machiavelli went one step further and divorced the ends of the state from any dependence on divine intervention. For him, the church became one tool among many that could be used for the acquisition of power. While his point of view was rejected by the majority of his contemporaries, and the extremity of his secularism was not to be duplicated until the 19th century, Machiavelli nevertheless was the first writer to extract the church from its religious claims and to interpret it in strictly secular terms. The Reformation dealt additional blows to medieval ecclesiastical triumphalism by destroying the church’s claim to universal authority. While the alliance between church and

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state may have persisted as a social reality, the reformers’ rupture with tradition necessitated a new ecclesiology to justify the break with the past and to rationalize the new politicalreligious relationships. Protestant reformers tended to reach back to the apocalyptic tradition to justify their defiance of the institutional church, but frequently recast their social ideas within the framework of the immanent tradition - in an effort to identify the new institutional structures with the will of God - as soon as their reforms became the new status quo. They sought to articulate continuity within change by linking their actions with the ideal apostolic church (Augustine’s City of God) that they believed themselves to be making manifest. The cumulative impact of the critiques of the Renaissance and the religious challenges of the Reformation was to shatter the integrity of the religious model of historical interpretation. Over the course of the 17th and 18th centuries the fundamental premises of intellectual discourse shifted away from the traditional reliance on doctrine and authority, and increasingly looked to reason and nature as the touchstones of understanding. Ecclesiastical history started to be distinguished from human history, and as time went on came to be written in reaction to principles articulated for the secular sphere. Throughout this period, histories of the church continued to be written that adhered to the old model, but interpretations reflective of the new emphasis on man as a creature of nature were also composed. Characterized by an emphasis on the universal character of the human experience, and by the universality of the principle of progress, the new historical model traced the development of reason within human culture over time and identified its triumph within the countries of Western Europe in the 18th century. To explain reason’s failure prior to this point in time, the advocates of this point of view stated that the progressive forces of society had been obscured and retarded by the forces of superstition and ignorance - typically represented by organized religion. This period marks the apogee of the immanent tradition of historical interpretation. While the church was frequently treated with skepticism, the structure of history itself continued to be identified with the workings of divine purpose. God was identified as the architect of nature while history was understood to be the mechanism by which mankind was educated in God ’s plan. Ultimately this educational process would lead to the unification of the spiritual, rational, and historical worlds. This belief in progress transformed the traditional Christian spiritual teleology into a secular process; one in which historical categories played a central role in forging the patterns of thought of the time. Under the influence of German idealism, traditional historical topics ceased to be regarded as fixed and essential categories (determined by God), but came to be seen as relative elements whose meaning was derived from their historical context. Biblical stories lost much of their typological significance and were reinterpreted within the context of their own time. Christianity itself was discussed within the context of other faiths, and while it continued to be regarded as the epitome of religious expression, historians began to think of it as one example of a broader cultural process that transcended the limits of the Western experience. This increasing awareness of the relativity of historical periods and of the need to understand the past on its own

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terms led in the 19th century to the development of historical science. Founded in Germany and predicated on the need to base historical assessments on critically verified documentation, this tradition soon came to dominate historical writing. Within this orientation the church was seen to be one element of society whose significance needed to be determined on the basis of its written record and not on a priori doctrinal judgments. But while the church was looked at in secular terms, the founder of the movement, Leopold von Ranke, saw a transcendent divine principle to be the motive force of the historical process. In general this tradition was marked by an overt confidence in the progressive improvement of the human condition and even writers such as Auguste Comte and Karl M arx, who overtly rejected the idea of the divine as a historical reality, based their systems on a belief in progressive development. An inherent tension existed, however, between the organization of historical ideas around the idea of progress and the scientific methodology requiring that historical judgments be based on unbiased empirical evidence. The logic of the latter pointed to the necessity of eliminating all transcendent principles - not just traditional Christian ones. By rejecting the validity of transcendent principles, however, historians had to define an organizing concept of enquiry that could adequately impose an order and significance on increasingly relative historical constructs. The problem was that the various solutions (idealism, positivism, historical materialism) were themselves extra-historical ideals that could be challenged by the same criteria that had undermined the centrality of traditional Christian concepts. The ability of scientific history to formulate a definitive interpretation of the past was eventually seen to be illusory. As a result, by the 1930s historians were actively seeking new modes of interpretation that could reintegrate ideas and historical criticism. This period saw the flourishing of Marxist and fascist efforts to incorporate ideology into their interpretations, but it also witnessed a revival of overtly Christian interpretations of history. Responding to the failure of the progressive model occa sioned by the disillusionment of World War I and II, writers such as Pierre Teilhard de Chardin, Reinhold Niebuhr, Paul Tillich, and Karl Barth looked back to elements of the Christian tradition to fashion a view of history that could incorporate the experience of evil, demonstrated by the events of the 20th century, and a faith in the efficacy of Christian redemption. Rejecting the optimism of the 19th century, these writers came to the conclusion that the sacred and the profane could never be totally reconciled within history. They saw history as an arena of conflict and not of progress, and they shifted the emphasis back to the apocalyptic tradition by separating events within time from the process of redemption. Typically, the ecclesiology of the post-World War II period emphasized that the church needed to act in opposition to the secular forces of society, and revived the Augustinian distinction between the apostolic and the institutional church. The most recent developments in ecclesiastical history have followed current historiographical trends. Religious questions both spiritual and institutional - are being approached from the point of view of social, cultural, and economic history, and historians are incorporating methodologies from other disciplines into their interpretations. In general, the confessional and institutional focus of the past has given way to an acceptance of the

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multidimensional character of the church’s role in society and most recent studies of religion and the church seek to explain religious experience as an outgrowth of other social processes. Typically the study of religion today is thought of as a topical specialty, and the use of Christian principles as the fundamental premise of historical thought is no longer possible in studies addressed to the general population. The effort to incorporate the essentially ahistorical posture of faith into the secular historical worldview still continues as a social tendency, but up to now has had little impact on formal historical studies. L i n c o l n A. D r a p e r See

a ls o

B u tte r fie ld ;

C o m te ;

C o u n te r-R e fo rm a tio n ;

E u s e b iu s ;

G ib b o n ; M a c h ia v e lli; N ie b u h r ; R a n k e ; R e fo r m a tio n

Further Reading

Acosta, Jose de, H isto ria natu ral y m o ra l d e las In d ia s , written 159 0 , 2 vols., London: Hakluyt Society, 1880; in English as T h e N a tu r a l a n d M o r a l H isto ry o f the In d ie s , edited by Edward Grimeston, New York: Franklin, 1964 Augustine, St., D e civitate d ei , written 4 1 3 - 4 2 6 ; in English as T h e C ity o f G o d

Barth, Karl, D ie k irch lich e D o g m a tik , vol.3, part 1: D ie L e h re vo n d er S c h ö p fu n g , Zollikon: Evangelischer, 19 4 5; m English as C h u rc h D o g m a tics 3: T h e D o ctrin e o f C re a tio n , Edinburgh: Clark, and N ew York: Scribner, 19 58 Breisach, Ernst, H isto rio g ra p h y: A n c ie n t, M e d ie va l, a n d M o d e r n , Chicago: University of Chicago Press, 19 8 3; revised 19 94 Butterfield, Herbert, C h ristianity a n d H isto ry , London: Bell, 1949; N ew York: Scribner, 19 50 Dante Alighieri, D e m o n a rch ia , written 1 3 1 0 - 1 3 , first printed 15 5 9 ; in English as O n W o rld - G o rv e rn m e n t, 19 5 7 Dawson, Christopher, T h e D y n a m ic s o f W o rld H isto ry , edited by John J. Mulloy, New York: Sheed and Ward, 19 56 Dix, Gregory, T h e S h a p e o f the L itu rg y , London: Dacre, 19 4 3; reprinted San Francisco: Harper, 19 8 2 Eusebius of Caesarea, H istoria ecclesiastica, written 3 1 1 - 2 5 ; in English as T h e E cclesia stica l H isto ry and T h e H isto ry o f the C h u rc h fro m C h rist to C on stantin e

Gale, Richard M ., ed., T h e P h ilo s o p h y o f T im e: A C o lle ctio n o f E ssa y s, Garden City, N Y: Anchor, 19 6 7; London: Macmillan, 1968 Gibbon, Edward, T h e H isto ry o f the D e c lin e a n d F a ll o f the R o m a n E m p ir e , 6 vols., London: Strahan and Cadell, 17 7 6 - 8 8 Goodfield, June, and Stephen Toulmin, T h e D is c o v e r y o f T im e, New York: Harper, and London: Hutchinson, 19 65 Gutierrez, Gustavo, T eología d e la lib era ció n : p ersp ectives, Lima: CEP, 1 9 7 1 ; in English as A T h e o lo g y o f L ib e ra tio n : H istory, P olitics, a n d S a lva tio n , Maryknoll, N Y: Orbis, 19 7 3 , London: SCM Press, 19 7 4 Iggers, Georg G., T h e G erm a n C o n ce p tio n o f H isto ry : T h e N a tio n a l Tra d itio n o f H isto ric a l T h o u g h t fro m H e r d e r to the Present,

Middletown, CT: Wesleyan University Press, 19 68; revised 19 83 Lotz, David W., “ Philip Schaff and the Idea of Church History ” , in A C e n tu ry o f C h u rc h H isto ry : T h e L e g a c y o f P h ilip S ch a ff, edited by Henry W. Bowden, Carbondale: Southern Illinois University Press, 1988 M a c h i a v e ll i , N i c c o l ö , II p rin c ip e , w r it t e n 1 5 1 3 - 1 6 , p r in te d 1 5 3 2 ; in E n g lis h a s T h e P rin ce

Mclntire, C.T., ed., G o d , H istory, a n d H istorian s: A n A n th o lo g y o f M o d e r n C h ristian V iew s o f H isto ry , Oxford and N ew York: Oxford University Press, 19 7 7 M a r k u s , R . A . , Sa e cu lu m : H isto ry a n d S o ciety in the T h e o lo g y o f St.

A u g u stin e , C a m b r i d g e : C a m b r i d g e U n iv e r s it y P re ss , 19 70 N ie b u h r , R e in h o ld , Faith a n d H isto ry : A C o m p a riso n o f C h ristian

a n d M o d e rn V iew s o f H isto ry , N e w Y o r k : S c r ib n e r , a n d L o n d o n : N is b e t ,

1949

Ranke, Leopold von, D ie röm isch en P äp ste in d en letzten vier Ja h rh u n d e rten , 3 vols., Leipzig: Duncker & Humblot, 18 3 4 - 3 6 ; in English as T h e E cclesia stica l a n d P o litica l H isto ry o f the P o p e s o f R o m e d u rin g the Sixteenth a n d Seventeenth C entu ries, 3 vols., London: Murray, 1840, Philadelphia: Lea and Blanchard, 1 8 4 1; and as T h e H isto ry o f the P o p e s, 3 vols., London: Bell, 19 0 7 Richardson, Alan, H isto ry S a c re d a n d P ro fa n e , Philadelphia: Westminster Press and London: SCM Press, 19 64 Smalley, Beryl, H isto ria n s in the M id d le A g e s , London: Thames and Hudson, and New York: Scribner, 19 74 Tillich, Paul, T h e Interpretation o f H isto ry , New York: Scribner, 19 36

Ecology Ecology is a word the meaning of which varies considerably, depending on whether the object of analysis is ecology as nature, ecology as a science, ecology as a movement, or ecology as an ideology. The concept originated in the late 1870s in the work of the German zoologist Ernst Haeckel. Like “ economy ” before it, it was derived from the Greek word oikos, or household management. In the early 20th century the science of ecology developed into what was then a minor tradition in the biological sciences, dealing with the interactions of living organisms and their physical environments. But beginning in the 1960s, as a result of a growing sense of ecological crisis, the influence of ecology within the biological sciences increased; meanwhile the term increasingly came to be used as a substitute for the concept of nature in all of its numerous connotations, as a label for the rapidly expanding environmental movement, and to refer to a new form of political ideology, sometimes called “ ecologism.” Historical research into environmental questions today can scarcely be imagined apart from the influence exerted by this ideology that emerged with the modern ecological movement. In Green Political Thought (1990) Andrew Dobson distinguished between environmentalism, or non-radical environmental politics, and ecologism (best represented by thinkers like British Green Party spokesperson Jonathon Porritt). In this interpretation, ecologism is characterized by its insistence that 1) there is a growing ecological crisis; 2) ecological conditions demand radical changes in social organization; 3) there are definite ecological limits to economic growth; 4) technology cannot provide a quick fix for ecological problems; 5) the exploitation of the planet is tied to the exploitation of people; 6) the environment has intrinsic value apart from human beings; and 7) nature provides a model for the organization of society. Deep ecologists such as Arne Naess, Bill Devall, and George Sessions go even further, arguing for a biocentric ethics in which human beings are accorded no more importance than any other organism. Other variants of radical ecology include ecofeminism (as in the work of Carolyn Merchant), ecoanarchism (represented by Murray Bookchin and Robyn Eckersley) and ecosocialism (as in the writings of David Pepper and James O ’ Connor). For historians the rise of ecologism (on top of what is widely perceived to be a global ecological crisis) has raised a number of problems. Foremost among these is the extent to which nature as we know it is a human product. For William Cronon

ECOLOGY

in Uncommon Ground (1995), the problem was a dual one: “ On the one hand we need somehow to persuade scientists and environmentalists who assume ‘ nature’ to be natural, wholly external to human culture, that there is something profoundly important and useful in recognizing its cultural connectedness. On the other hand, we need no less to persuade humanists and postmodernists that although ideas of nature may be the projected ideas of men and women, the world onto which we project those ideas is by no means entirely of our own making.” Historians have thus tried to explore not only the changing nature of ecology, but the changing understanding of what ecology is. At times this has led to conflicts with the naturalistic and scientific bases of ecologism. Although ecology as an ideology has generally sought to root its prescriptions in scientific conceptions of nature, ecological science has recently shifted from an early 20th-century ecology that emphasized order, harmony, stability, diversity, and succession (exemplified by the work of Frederic Clements) to a view of nature’s ecology as one of disorder or chaos. Political ecologists thus frequently rely on a conception of ecological science that is no longer as widely adhered to within the scientific community - although today’s ecological science like yesterday’s, Donald Worster cautioned in The Wealth of Nature (1993), cannot be “ assumed to be all-knowing, all-wise, or eternally true,” making it a mistake simply to jettison the concept of natural order. The issue of what constitutes ecology has thus not been free of the relativistic concerns of our “ postmodernist” times, and historians have played an increasingly important role in tracing out these changing conceptions. What is often discovered is that, as Raymond Williams wrote in Problems in Materialism and Culture (1980), “ the idea of nature is the idea of man; and this not only generally, or in ultimate ways, but the idea of man in society, indeed the ideas of kinds of societies.” In this view, the central issue has always been whether nature includes humanity and needs to be linked organically with human society, or whether nature can be treated as an “ other” to be conquered. For thinkers like Williams and Cronon, those who insist that nature or ecology exists only outside society adopt a view which, though frequently sympathetic toward nature, merely reinforces the prevailing outlook that nature is the “ other.” “ It will be ironic,” Williams wrote, “ if one of the last forms of the separation of abstracted Man and abstracted Nature is an intellectual separation between economics and ecology. It will be a sign that we are beginning to think in some necessary ways when we can conceive these becoming, as they ought to become, a single discipline.” Some ecological scientists with a historical bent have also warned against an abstracted Ecology from which models for society are to be derived. Thus Yrjo Haila and Richard Levins contended in Humanity and Nature (1992) “ that a view of ‘ nature’ as a straightforward material entity giving rules to be followed in constructing society lacks any clear meaning.” Nature is in fact highly complex and variable. Nor does know ledge of ecosystems provide a direct model for human society. For example, while it is often thought that ecosystems with greater diversity are more stable, ecological science has recently proven otherwise: the more interconnections within a system the more unstable the system is. This however says nothing about how we should organize society or why. Nevertheless, Haila and

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Levins argued that historians should study the development of ecohistorical periods and ecoformations with the goal of establishing a relatively sustainable social relation to nature that meets the needs of all humanity. This is all the more important since we live today in a “ new stage of global history” that is characterized by ecological crisis. There is therefore a rich agenda for historians and social scientists seeking to reassess the changing human relation to nature. J o h n

Bel l a m y

Fo st er

S e e a ls o Africa: Eastern; Africa: West; America: Pre-Columbian; Archaeology; Australia; Cronon; Crosby; Curti; Environmental; Imperialism; Le Roy Ladurie; McNeill; Malin; Marks; Merchant; Ogot; Sauer; Semple; Worster

Further Reading Bookchin, Murray, T h e E c o lo g y o f F r ee d o m : T h e E m erg e n c e a n d D isso lu tio n o f H iera rc h y , Palo Alto: Cheshire, 19 8 2 Bramwell, Anna, E c o lo g y in the Tw entieth C e n tu ry : A H isto ry , New Haven and London: Yale University Press, 1989 Clements, Frederic, P la n t S u ccessio n : A n A n a lys is o f the D e v e lo p m e n t o f V egetation , Washington, DC: Carnegie Institution, 19 1 6 Cronon, William, ed., U n co m m o n G r o u n d : T o w a r d R ein ven tin g N a t u r e , New York: W Norton, 19 95 Devall, Bill, and George Sessions, D e e p E c o lo g y , Salt Lake City, UT: Gibbs Smith, 19 85 Dobson, Andrew, G re e n P o litica l T h o u g h t: A n In tro d u c tio n , London and Boston: Routledge, 1990 Eckersley, Robyn, E n viro n m e n ta lism a n d P o litica l T h e o ry : T o w a r d an E co c e n tric A p p r o a c h , Albany: State University of New York Press, and London: University College London Press, 19 9 2 Foster, John Bellamy, T h e Vulnerable Planet: A Sh o rt E c o n o m ic H isto ry o f the E n viro n m e n t , New York: Monthly Review Press, 1994 Haila, Yrjo, and Richard Levins, H u m a n ity a n d N a tu re : E co lo g y , Scien ce a n d S o c ie ty , London: Pluto Press, 19 9 2 Harvey, David, “ The Nature of the Environment: Dialectics of Social and Environmental Change,” in Ralph Miliband and Leo Panitch, eds., T h e Socialist R egister 19 9 3, London: Merlin, 19 93 Merchant, Carolyn, R a d ic a l E c o lo g y : T h e Search fo r a L iv a b le W o rld , London and New York: Routledge, 19 9 2 Merchant, Carolyn, E a rth ca re : W o m en a n d the E n v iro n m e n t , London and New York: Routledge, 1996 Naess, Arne, E co lo g y , C o m m u n ity a n d L ife style : O u tlin e o f an E c o s o p h y , Cambridge and New York: Cambridge University Press, 1989 O ’ Connor, James, “ Capitalism, Nature, Socialism: A Theoretical Introduction,” C a p italism , N a tu re , S ocialism 1 (1988), 1 1 - 3 8 Pepper, David, T h e R o o ts o f M o d e r n E n viro n m e n ta lism , London: Croom Helm, 19 84 Porritt, Jonathon, Seeing G re e n : T h e P olitics o f E c o lo g y E x p la in e d , Oxford and New York: Blackwell, 1986 Williams, Raymond, K e y w o r d s : A V o ca b u la ry o f C u ltu re a n d S o c ie ty , London: Croom Helm, and New York: Oxford University Press, 19 76 ; revised 19 83 Williams, Raymond, P ro b le m s in M aterialism a n d C u ltu re: S elected E s s a y s , London: Verso, 1980; N ew York: Schocken, 19 8 1 Williams, Raymond, R eso u rces o f H o p e : C u ltu re, D em o cra cy, S o c ia lism , London: Verso, 1989 Worster, Donald, N a t u r e ’s E c o n o m y , Cambridge and New York: Cambridge University Press, 19 7 7 ; 2nd edition 19 94 Worster, Donald, ed., T h e E n d s o f the E a rth : P ersp ectives on M o d e r n E n v iro n m e n ta l H is to ry , Cambridge and New York: Cambridge University Press, 1988 Worster, Donald, T h e W ealth o f N a tu re : E n v iro n m e n ta l H isto ry a n d the E c o lo g ic a l Im a g in a tio n , N ew York: Oxford University Press, 19 93

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Economic History Economic history emerged as an academic discipline in Britain in the late 19th century. It was however connected to a much longer tradition of social and economic commentary and analy sis that had characterized English and Scottish political economy for the previous two centuries. Interest in economic history increased among academics in the late 19th century because of a rejection by some historians of “ drum and trumpet” history (the history of elites, diplomacy, and wars) in favor of a history of the mass of the population and of agriculture, industry, and commerce. But a more important and immediate cause of the emergence of economic history was an alienation on the part of some economists from the marginalist revolution of the 1 880s and 1890s (the increasing dependence in economics upon formal profit-maximizing and market clearing models as guides to understanding economic behavior). The abstract, deductive, individualistic, and present-centered nature of this formalism in economics encouraged some economists to study the history of the economic past using less formal methods. The laissez-faire policy views of orthodox political economy from the 1880s also encouraged an economic history (seen particularly in the work of the Webbs) that examined the excesses and inequalities of industrializing society in order to highlight the need for more government intervention and regulation. William Cunningham, who wrote the first proper economic history text in 1882, objected to the idea of economic man and was against making assumptions about maximizing utilities. He favored the study of societies in their own time and with their own special social and cultural attitudes and motivations. These views came out in his controversies with Alfred Marshall, the leading exponent of the marginalist revolution in economics. Although Marshall himself saw economics as “ the study of mankind in the ordinary business of life,” the method that he helped to establish encouraged economists to specialize in abstract theorizing about the working of the economy at macro level. Economic history thus came to thrive in anti-Marshallian centers such as the London School of Economics and the University of Birmingham. Other late 19th -century figures contributing to the separation of economic history from economics included Arnold Toynbee, who was the first to popularize the phrase “ industrial revolution,” writing about this at length in his London lectures of 18 8 3, and William Ashley, who was the first British economic historian deliberately to adopt a periodization not derived from political history. In other countries the origins and nature of the subject have been rather different. For example, in France it emerged largely from the 1920s as part of the Annales approach - emphasizing the need for history to turn away from a narrative of political events to study the geographical, ecological, and demographic aspects of material life over long time perspectives. In the United States economic history remained closely linked with neoclassical economics and with economic theory. Economic history expanded in the 1920s in England with the foundation of the Economic History Society and the Economic History Review. Much research appeared that used previously neglected historical documents, such as the censuses of production, overseas trade figures, local municipal records, parliamentary papers, and business archives. Theoretical analysis was not a major feature in the early decades of the subject, though the

best empirical work of this period always included interesting arguments about cause and effect. Economic history had made a break from economics but had not set up an alternative or distinctive methodology in the sense of a distinctive set of theoretical underpinnings. According to D.C. Coleman in his History and the Economic Past (1987), two distinct strains were apparent in British economic history by the early 20th century. First was the “ rationalist” or “ neutralist” tradition exemplified by the works of John Clapham, Herbert Heaton, A.P. Wadsworth, and Julia de Lacey Mann. This was characterized by a more or less exclusively economic focus, lack of social or political context, an emphasis upon statistical measures, and a general lack of interest in long-term cause or effect. The second strain was the “ political” tradition represented in the work of R.H. Tawney, Barbara and John Hammond, G.D.H. Cole, and others. These writers were influenced by some variety of socialist thought (either Christian socialism, Fabianism, or Marxism). They sought connections with other developing fields of the social sciences and attempted to answer major questions of causality, reasons for the decline of feudalism, for example, and the rise of capitalism. They also wrote for a popular audience, relied much less upon quantitative indicators, and were motivated by moral and social issues: “ Too much time,” Tawney wrote, “ is spent today piling up statistics and facts . . . [we] . . . need to get to the moral questions and relationships which lie at the heart of economic ones.” From 19 3 1 Tawney held the first chair in Economic History at the London School of Economics. But these writers, in general, were, and are, regarded somewhat condescendingly by the historical establishment - seen as romantic and lacking objectivity. At this time economic history was a broadly based branch of historical enquiry which took in social and political as well as strictly economic history and had a broad definition of “ the economic sphere.” It also had a broad chronological perspective, which saw the development of a strong medieval component in these years: first in the classic study of Paul Vinogradoff and then in the social and economic analyses of M .M . Postan, Eileen Power, and E.M. Carus Wilson. Economic history developed institutional roots in several British universities often, as at Birmingham, in conjunction with business and commercial studies. But the subject was also at home and immensely popular in university extramural classes and in the Workers’ Educational Association. The subject appealed to people across the political spectrum, for different reasons, from members of the Historians Group of the Communist Party to liberal academics from economics and business studies back grounds, such as T.S. Ashton who succeeded Tawney to the London chair but whose work included the best-selling The Industrial Revolution (1948), which was written in an accessible and popular style for a general readership. What most economic historians had in common at this time was a nontechnical approach to their subject and the production of widely read popular works. By 1950 economic history had largely fallen into the hands of the “ rationalist” approach and in the late 1940s and 1950s there was a move to incorporate theoretical insights from branches of economics, especially development and trade cycle theory. This resulted in some classic studies of trade cycles (following a pattern set by N.D. Kondratieff and Joseph Schumpeter as early as the 19 20s and 1930s) and the composition of GNP in different

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phases of economic growth. There was a growing tendency at this time to view the experiences of western, and specifically British industrialization, as a model that could throw light on the solutions to Third World development problems: this is seen most clearly in the work of W.W. Rostow. Many formative accounts of particular industries or sectors of the economy also appeared in the 1950s and 1960s (for example Mathias on brewing and Coleman on paper) and “ business history ” grew in popularity. Large, often highly successful and long-lived firms commissioned academics to write their histories. Classic works appeared such as Wilson on Unilever and Coleman on Courtaulds, but there was a general bias in business history in favor of heroic and unrepresentative accounts. During the 1960s increasing numbers of separate departments of economic history were established in British universities. This accompanied the general expansion of the university sector and of the social sciences and economics in particular. These separate departments did not generally confine themselves to a narrowly defined area of economic life in the past, but integrated a great deal of the increasingly popular social history of the period, especially where that social history had a materialist basis: the history of popular protest, labor, social conditions, and class - a history from below rather than from elite perspectives. These were inspired by Marxist and socialist approaches and seen particularly in the work of Christopher Hill, E.R Thompson, E.J. Hobsbawm, and Rodney Hilton. From the early 1960s the so-called “ New economic history” or cliometrics became popular. This arose first in the United States where economic history had always retained closer connections with economics, usually staying within rather than separating from economics departments in universities. The “ new economic history ” involved applying economic theory and economic “ models” to historical evidence: “ A cliometrician is an economist applying economic theory . . . to historical facts . . . in the interest of history,” McCloskey noted. The most vigorous exponents of cliometrics claimed that it would eventually provide definitive answers to many of the most fundamental questions asked by economic historians. The implication was that this approach would put economic history back on an objective or scientific path of discovering truths. The new economic history was more theoretically driven than the “ old ” economic history of both Tawney and Clapham. It appeared to be a clean break from the past, but it shared similarities with a longer tradition of economic history that had begun to neglect social and political context and to favor quantitative approaches. The statistical and quantitative character of cliometrics was boosted by increasing use of computer technology, not only producing graphs and statistical breakdowns, but also enabling model-building, back-projection, and counterfactual developments. Model-building was dominated by the construction of models of historical sectors or economies based on the assumptions of neoclassical economics and/or upon national income accounting. Back-projection or the estimation of what figures might have been for periods where evidence does not exist, on the basis of later periods where statistics do exist, created some thought-provoking results. For example Wrigley and Schofield, with the assistance of the demographer R.D. Lee, used back-projection to estimate 18th century population growth figures from the 18 5 1 Census in their definitive work of 19 8 1. But the most controversial

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technique arising from the “ new economic history” was “ counterfactual history ” : the calculation of the advantages of a historical innovation by comparing economic growth in the presence of the innovation with economic growth as it might have been without it (the latter estimated by building up an alternative model of the economy in the absence of the innovation - in other words, a counterfactual model). A great deal of railway history was considered in this way, as was the economics of slavery. The path-breaking work was R.W. Fogel’s Railroads and American Economic Growth (1964). In this Fogel constructed a model of what the US economy might have looked like in 1890 if railways had never existed. He showed that the role of railways in American economic growth had been overstated. He also worked with Stanley Engerman on Time on the Cross (1974), a controversial tour de force on the economics of slavery and abolition. Cliometrics never entirely came to dominate economic history in Britain as it did for a period in the United States. It came close but, by the 1980s, the problems of the approach were increasingly exposed. Most important were the dubious assumptions made about human behavior and motivation in the past on the basis of neoclassical economics. The core of econometric analysis is the neoclassical scenario of a competitive regime of production and exchange where the price system allocates resources in a semi-automatic way (market clearing). The further back in time one went the less applicable the basic assumptions of modern economic theory were likely to be, as Polanyi demonstrated in The Great Transformation (1944). In addition, the complete separation of cliometrics from other types of history often resulted in a serious lack of context. And lack of interest in broader social, political, and cultural issues together with attempts to quantify the unquantifiable, weak ened the reputation of the approach. Because the method also generally adopted a highly abstract, technical, and quantitative mode of communication, it was difficult for the nonspecialist to understand or criticize. This resulted in what often appeared to be an exclusive group of specialists writing for each other with little regard for the rest of the historical establishment. Although the heyday of cliometrics has passed, the identification of this method with economic history has been and remains strong, while economic history generally has remained more oriented toward quantitative methods and to strictly defined “ economic” issues than it was in its earliest years. This has resulted in an alienation of many historians from the subject. Interest in economic change has also waned in recent decades because of a declining interest in materialist approaches to history and a strong anti-Marxist tendency in the social sciences that rejects any approach suggestive of economic or structuralist determinism. At the same time, there has been enormous growth in the popularity of social and cultural history. This has resulted in a contraction of economic history as fewer recruits to academic history enter the discipline. There has been only limited development of new theoretical tools in economic history to assist in the understanding of past economies, although institutional approaches for a time looked set to signal change. The tools of anthropology (with their stress on “ cultural otherness” ) have, for example, been little engaged to study production and exchange in the past, and interdisciplinary approaches have remained much more limited in Britain than in France or the United States. Generally

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speaking there has been an unfortunate separation between the study of economies in the past and their social and cultural aspects. Some see this as a time of crisis for economic history. Institutionally, this is certainly the case in Britain as economic retrenchment in the education system has meant the closure of many small independent economic history departments. The way forward would seem to be to resurrect the integrated approach to the economic, social, and cultural life in the past that characterized the best writing of economic history in its earliest years. This was, after all, the original reason for the emergence of the subject. Pa t

H u d so n

See also Beard; Cardoso; Cipolla; Cole; Hammond; Hill; Hilton; Hobsbawm; Industrial Revolution; Otsuka; Polanyi; Postan; Power; Tawney; Thompson, E.; Vinogradoff

Further Reading Ashley, William James, A n In tro d u ctio n to E n g lish E c o n o m ic H isto ry a n d T h e o r y , 2 vols., New York: Putnam, and London: Rivington, 18 8 8 - 9 3 Ashton, T.S., Iro n a n d Steel in the In du strial R e v o lu tio n , Manchester: Manchester University Press, and New York: Longman, 19 2 4 Ashton, T.S., T h e In d u stria l R e vo lu tio n , 1 7 6 0 - 1 8 3 0 , London: Oxford University Press, 1948 Carus-Wilson, E. M ., “ An Industrial Revolution in the Thirteenth Century,” E c o n o m ic H isto ry R e v ie w n (19 4 1), 39 - 6 0 Clapham, John Harold, A n E c o n o m ic H isto ry o f M o d e rn B rita in , 3 vols., Cambridge: Cambridge University Press, 19 2 6 - 3 8 Clapham, John Harold, T h e B a n k o f E n g la n d : A H isto ry , 2 vols., Cambridge: Cambridge University Press, 19 44 Cole, G. D. H., and Raymond Postgate, T h e C o m m o n P eo p le, 1 7 4 6 - 1 9 3 8 , London: Methuen, 19 3 8 , revised [with dates 1 7 4 6 - 1 9 4 6 ] , 19 46 ; in US as The B ritish C o m m o n P eo p le, 1 7 4 6 - 1 9 3 8 , N ew York: Knopf, 19 39 , revised as T h e British P e o p le , 19 4 7 C o le m a n , D . C . , T h e B ritish P a p e r Industry, 1 4 9 3 - 1 8 6 0 : A S tu d y in

In d u stria l G r o w th , O x f o r d : O x f o r d U n iv e r s it y P re ss , 19 58 ; W e s t p o r t , C T : G r e e n w o o d P re ss ,

19 7 5

Hammond, J.L., and Barbara Hammond, T h e T o w n L a b o u rer, 1 7 6 0 - 1 8 3 2 : T h e N e w C ivilisa tio n , London and New York: Longman, 1 9 1 7 Harte, N.B., ed., T h e S tu d y o f E c o n o m ic H isto ry : C o lle c te d In a u g u ra l L ectu res, 1 8 9 3 - 1 9 7 0 , London: Cass, 1 9 7 1 Heaton, Herbert, T h e Y ork shire W o ollen a n d W o rsted Indu stries, Oxford: Oxford University Press, 19 20 Hill, Christopher, Puritanism a n d R e v o lu tio n : Stud ies in Interpretation o f the E n g lish R e vo lu tio n o f the 1 7 t h C e n tu ry,

London: Seeker and Warburg, 19 5 8 ; New York: Schocken, 19 64 Hilton, Rodney, B o n d M e n M a d e F ree: M e d ie v a l Peasant M o ve m e n ts a n d the E n g lish R isin g o f 1 3 8 1 , London: Temple Smith, and New York: Viking, 19 7 3 Hobsbawm, Eric J., O n H isto ry , London: Weidenfeld and Nicolson, and New York: New Press, 19 9 7 Kadish, Alon, H istorian s, E co n o m ists a n d E c o n o m ic H isto ry , London and New York: Routledge, 1989 McCloskey, Donald, E c o n o m e tric H isto ry , Basingstoke: Macmillan, 19 8 7 Marshall, Alfred, P rin cip les o f E c o n o m ic s : A n In tro d u c to ry V o lu m e , 9th edition, London: Macmillan, 1963 Mathias, Peter, T h e B r e w in g In d u stry in E n g la n d , 1 7 0 0 - 1 8 3 0 , Cambridge: Cambridge University Press, 19 59 Pinchbeck, Ivy, W o m en W o rkers a n d the In d u stria l R e vo lu tio n , 1 7 3 0 - 1 8 3 0 , London: Routledge, 19 30 ; reprinted 1969 Polanyi, Karl, T h e G re a t T ra n sfo rm a tio n , New York: Farrar and Rinehart, 19 44; as O rig in s o f O u r T im e : T h e G re a t T ra n sfo rm a tio n , London: Gollancz, 19 4 5 Pollard, Sidney, T h e G en esis o f M o d e r n M a n a g e m e n t: A S tu d y o f the In du strial R e v o lu tio n in G re a t B rita in , Cambridge, M A: Harvard University Press, and London: Edward Arnold, 19 65 Postan, M .M ., T h e M e d ie v a l E c o n o m y a n d S o c ie ty : A n E c o n o m ic H isto ry o f B rita in in the M id d le A g e s, London: Weidenfeld and Nicolson, 19 7 2 ; Berkeley: University of California Press, 19 7 2 [with subtitle A n E c o n o m ic H isto ry o f B rita in , 1 1 0 0 - 1 3 0 0 ] Power, Eileen, M e d ie v a l P e o p le , London: Methuen, and Boston: Houghton Mifflin, 19 2 4 Rogers, James Edward Thorold, S ix C entu ries o f W o rk a n d W ages: T h e H isto ry o f E n g lish L a b o r , New York: Putnam, and London: Sonnenschein, 18 8 4 Rostow, W.W., T h e Stages o f E c o n o m ic G r o w t h : A N o n - C o m m u n is t M a n ife sto , Cambridge: Cambridge University Press, i960, New York: Cambridge University Press, 19 6 5; 3rd edition 1990 Schumpeter, Joseph Alois, T h e o rie d er w irtsch aftlich en E n tw ic k lu n g , Leipzig: Duncker & Humblot, 1 9 1 2 ; in English as T h e T h e o r y o f

C o le m a n , D . C . , C o u rta u ld s: A n E c o n o m ic a n d S o c ia l H isto ry ,

E c o n o m ic D e v e lo p m e n t: A n In q u iry into P ro fits, C a p ita l, C re d it,

3 vols., Oxford: Oxford University Press, 19 6 9 - 8 0 Coleman, D .C., H isto ry a n d the E c o n o m ic P ast: A n A c c o u n t o f the R ise a n d D e c lin e o f E c o n o m ic H isto ry in B rita in , Oxford and N ew York: Oxford University Press, 19 8 7 Court, William Henry Bassano, T h e R ise o f the M id la n d Industries, 1 6 0 0 - 1 8 3 8 , London: Oxford University Press, 19 38 Cunningham, William, T h e G r o w th o f E n g lish In d u stry a n d C o m m e rc e , 2 vols., Cambridge: Cambridge University Press, 18 8 2 ; 4th edition 19 0 5 - 0 7 Dobb, Maurice, S tud ies in the D e v e lo p m e n t o f C ap ita lism , London: Routledge, 19 46 ; N ew York: International Publishers, 19 4 7 Floud, Roderick, and Donald McCloskey, eds., T h e E c o n o m ic H isto ry o f B rita in sin ce 1 7 0 0 , 2nd edition, 3 vols., Cambridge: Cambridge University Press, 1994

Interest, a n d the B u sin ess C y cle , Cambridge, M A: Harvard

F o g e l, R o b e r t W i lli a m , R a ilro a d s a n d A m e rica n E c o n o m ic G r o w th :

E ssa y s in E c o n o m e tric H isto ry , B a lt im o r e : J o h n s H o p k in s P re ss,

19 64 Fogel, Robert William, and Stanley L. Engerman, T im e on the C ro ss: T h e E c o n o m ic s o f A m e rica n N e g r o S la ve ry , 2 vols., Boston: Little Brown, and London: Wildwood, 19 74 Hammond, J.L., and Barbara Hammond, T h e Village L abou rer, 1 7 6 0 - 1 8 3 2 : A S tu d y in the G o v e rn m e n t o f E n g la n d b efo re the R e fo rm B ill, London and N ew York: Longman, 1 9 1 1

University Press, 19 36 Tawney, R.H., T h e A g ra ria n P ro b le m in the S ixteenth C e n tu ry, London: Longman, 1 9 1 2 Tawney, R.H., R e lig io n a n d the R ise o f C a p ita lism , New York: Harcourt Brace, 19 2 6 ; London: Murray, 19 3 3 Thompson, E.P., T h e M a k in g o f the E n g lish W o rk in g C la ss, London: Gollancz, 19 6 3; N ew York: Pantheon, 1964 Toynbee, Arnold, L ectu res o n the In d u stria l R e vo lu tio n in E n g la n d , London: Rivington, 18 8 4; as L ectu res o n the In d u stria l R e v o lu tio n o f the E igh teen th C e n tu ry in E n g la n d , New York: Humboldt, 18 8 4 Unwin, George, In d u stria l O rg a n isa tio n in the Sixteenth a n d Seventeenth C entu ries, Oxford: Oxford University Press, 1904; reprinted Clifton, N J: A .M . Kelley, 19 7 3 Unwin, George, Stud ies in E c o n o m ic H isto ry , London: Macmillan, 19 2 7 ; reprinted New York: A .M . Kelley, 1966 Vinogradoff, Paul, T h e G r o w th o f the M a n o r , London: Swan Sonnenschein, and New York: Macmillan, 19 0 5; revised London: Allen and Unwin, and N ew York: Macmillan, 1 9 1 1 Wadsworth, Alfred R, and Julia de Lacey Mann, T h e C o tto n Tra d e a n d In d u stria l L a n ca sh ire , 1 6 0 0 - 1 7 3 0 , Manchester: Manchester University Press, 1 9 3 1

EGYPT: AN CIEN T

Webb, Sidney, and Beatrice Webb, E n g lish L o c a l G o v e rn m e n t fro m the R e v o lu tio n to the M u n ic ip a l C o rp o ra tio n s A c t , 9 vols., London and N ew York: Longman, 19 0 6 - 2 9 Wilson, Charles H., T h e H isto ry o f U n ilever: A S tu d y in E c o n o m ic , G r o w t h a n d S o c ia l C h a n g e , 3 vols., London: Cassell, 19 5 4 - 6 8 Wrigley, E.A., and Roger S. Schofield, T h e P o p u la tio n H isto ry o f E n g la n d , 1 5 4 1 - 1 8 7 1 : A R e c o n stru c tio n , London: Arnold, and Cambridge, M A : Harvard University Press, 19 8 1

Egypt: Ancient Modern research into ancient Egypt did not begin until Napoleon’s expedition of 1798, which took with it 175 scientists and scholars, surveying instruments, and a large library. However, Western perspectives of the Egyptian past started with the Greeks, and some have endured into the 20th century. Hecataeus of Miletus, in the later 6th and early 5th centuries B C E , visited Egypt and described it in his Periegesis (Descriptive Geography). The work has not survived, and surmises about Hecataeus’ research have been far-fetched. However, the historian Herodotus of Halicarnassus, who visited Egypt about the middle of the 5th century b c e cited Hecataeus, and both in the ancient and modern world he has been charged with plagiarism from his predecessor. However, Herodotus did independent research in Egypt and consulted Egyptian informants including a temple scribe; his description of the country and his effort to write a history of the pharaonic period is the best account that has survived from ancient Greece. Yet he shows the difficulty of the task. He began Egyptian history with Menes, who united Upper and Lower Egypt, and it is generally agreed that this reflects Egyptian tradition correctly, but his list of Egyptian kings is muddled and overlaid by folktale. He knew nothing of the predynastic period which has been revealed by modern archaeologists. Moreover, although he claimed to have sailed as far south as the first cataract, his knowledge of Upper Egypt was sketchy. His veracity was attacked by later writers, and lately some modern scholars, particularly Detlev Fehling in Germany and Stephanie West in Britain have revived the charges, but we can be sure that he did not purposely mislead and that he based his account on what he saw and what he was told. He was convinced of Egypt’s importance as the source of Greek civilization, even insisting that the Greek gods came from Egypt. After the death of Alexander the Great in 323 B C E , a Macedonian dynasty was founded in Egypt by one of Alexander’s generals, Ptolemy, who brought in Greek settlers and made his capital at Alexandria which developed into a great center of Greek culture. Under Ptolemy I, Hecataeus of Abdera produced a history of Egypt that popularized the idea that Egypt was the source of civilization. After Hecataeus, however, a sounder account was produced by a priest of Sebennytos, Manetho, the prophet of the temple at Heliopolis, who dedicated his history of Egypt to Ptolemy II. Neither Hecataeus’ history nor Manetho ’s, which corrected it, has survived, but Manetho was accepted as an authority by later Jewish and Christian writers who used him to establish biblical chronology. He divided Egyptian history into 3 1 dynasties, grouped into three main periods, the Old, Middle, and New Kingdoms, which correspond to Egyptian history as modern

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Egyptologists have reconstructed it. It is clear that he consulted temple archives; and the king-list at Turin, which while intact contained the names of the Egyptian kings up to the 19th dynasty, gives us some idea of the documents which Manetho could have consulted. Diodorus Siculus, who was a contemporary of Julius Caesar and the emperor Augustus and wrote a world history in 40 books, devoted his first book to Egypt, and his main source is generally agreed to have been Hecataeus of Abdera. That is the most likely theory, although it cannot be proved, for Diodorus cited Hecataeus once only - for his description of the monument of Osymandias, which was probably the Ramesseum at Thebes. But Rome’s interest in Egypt was more as a source of grain than as a source of civilization, and know ledge of Egypt’s ancient history remained shadowy, although there was widespread interest in Egyptian mystery religions, such as the cult of Isis and Serapis. Plutarch wrote an essay on Isis and Osiris relating the myth of the battle between Osiris and his brother Typhon, the Egyptian Seth, for which our oldest source is the Pyramid Texts. The temples of Egypt fell on hard times in the 3rd century C E even before the victory of Christianity in the 4th century, and once the temples were abandoned, knowledge of hieroglyphic writing died out. Even the demotic script developed for the Egyptian language under the Ethiopian dynasty c. 700 B C E was abandoned, and its place was taken by Coptic which was devised for Christian writings. In late antiquity, Horapollo wrote a Hieroglyphica which purported to explain hieroglyphs as picture writing, and his authority bedeviled the first modern efforts to decipher hieroglyphic writing, for he interpreted hieroglyphs as sacred symbols rather than as a script. Egypt’s ancient monuments decayed and with the Arab invasion of the 7th century, Egypt itself became unknown to Europeans. Credit for the rediscovery of ancient Egypt can go to the savants who accompanied Napoleon on his Egyptian campaign, and to the unknown French soldier who discovered the Rosetta Stone a short distance northwest of Rosetta on the Nile. This inscription was a trilingual decree passed by a synod of Egyptian priests in 196 B C E in honor of Ptolemy V Epiphanes and transcribed in hieroglyphic, demotic, and Greek. Using this, Jean -François Champollion deciphered hieroglyphic script in 18 2 1. Champollion was appointed to a newly-created chair of Egyptian antiquity at the Collège de France in 18 3 1, and is justly considered the father of modern Egyptology, although his decipherment was widely rejected in England and Germany after his death. However, it was vindicated by the discovery in 1866 of the Canopus Decree - trilingual like the Rosetta Stone - by Karl Richard Lepsius who took up where Champollion left off. Lepsius’ monumental 12 -volume Denkmäler aus Aegypten und Aethiopien (1849 - 56; Discoveries in Egypt, Ethiopia, and the Peninsula of Sinai, 1852) marked a new achievement in Egyptology, for it made the evidence of Egyptian remains available to European scholars. The other two great names in Egyptology of the 19th and early 20th centuries were Auguste Mariette ( 18 2 1 - 8 1) and W.M. Flinders Petrie (18 5 3 - 19 4 2). Mariette’s most famous find was the tombs of the sacred Apis bulls at Saqqara. But his greatest service was to put an end to the disorganized plundering of Egyptian antiquities as the chief supervisor of all excavations in Egypt and director of antiquities, an office to which he was appointed by the

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khedive of Egypt. It was Mariette who founded the Bulaq Museum which has become the great Cairo museum. Petrie, Edwards professor of Egyptology at University College, London from 1892, put archaeology on a scientific footing by developing sequence dating based on potsherds, a method he first applied in Palestine in 1890. Widely doubted at the time, sequence dating has now become standard procedure. In addition, Egyptologists also have a powerful mechanism for dating in the Egyptian civil calendar of 365 days, to which the Egyptians remained faithful until the Christian period. Because it is shorter than the astronomical year, it corresponds with it exactly only once every 1,460 years. But the 3rd-century Roman grammarian Censorinus had preserved the information that in 139 C E the new year of the civil calendar corresponded with the heliacal rising of the star Sirius, which the Egyptians called Sothus, and thus we can compute “ Sothic cycles” at 13 1 4 , 2770, and 4228 BCE. We also have an epigraphical record that in the 7th year of the Middle Kingdom pharaoh Senusert III, the heliacal rising of Sirius took place on day 16 of the 8th month of the calendar, which gives us 18 7 2 BCE, the earliest fixed date in history. Egyptian dates in turn have been used to establish a chronology for the prehistory of the eastern Mediterranean. Thus there is now a degree of consensus for the date when the dynastic period began with the union of Upper and Lower Egypt by the pharaoh Menes, which Champollion dated to 5867B C E and Lepsius at 3892. James Breasted dated it to 3400, Sir Alan Gardiner 3289 or 318 9 ; John A. Wilson 310 0 ; and Pierre Montet about the beginning of the 3rd millennium. Before Menes, there stretches the predynastic period, where archaeologists have identified various cultures: Egypt appears to have been a melting pot of immigrants not only from the Libyan desert and the Sudan, but also from Asia and the Mediterranean. The emergence of the dynastic period represented an abrupt and sudden flowering for which scholars offer divergent explanations. One is Arnold Toynbee’s “ Challenge and Response” hypothesis: newcomers driven into the Nile valley by the progressive desiccation of northern Africa had to clear the Nile river jungle and control the annual flood in order to survive, and their culture and society were their solution to the problem. Another is V. Gordon Childe’s urban revolution hypothesis, which proposed that primitive agriculturalists began to group together in villages where some undertook specialized occupations resulting in increased productivity, which in turn produced a surplus of wealth that served as the economic basis for a ruling class. This revolution may have taken place in the Delta where the archaeological evidence for it is now buried deep in the mud. Yet many Egyptologists still believe that it was a new intrusion of migrants from southern Mesopotamia that sparked the sudden change; there is clear evidence of early borrowings from Mesopotamia in Egypt, but none so far from Egypt have been found in Mesopotamia. But present opinion, summarized by Hoffman’s Egypt before the Pharaohs (19 9 1), has swung back to the theory of a Nilotic origin and Africanists have labelled the “ Dynastic Race ” theory “ Aryanist.” Dynasty III marks the start of the Old Kingdom, the era of the great pyramids, the first of which were the stepped pyramid of Djoser at Saqqara. Later Dynasty III pharaohs followed Djoser’s example but with the founder of the next dynasty Snofru, true pyramids emerged: at Medum he reconstructed a

stepped pyramid built by the last king of Dynasty III, Huni, and at the village of Dashur he built two pyramids, including the curious “ Bent Pyramid.” But the best-known pyramids of Dynasty IV (2650 - 2500 b c e ) were built at Gizeh where the pharaoh Khufu built the “ Great Pyramid,” Egypt’s most famous monument, which has given rise to many theories and odd notions: Petrie’s first work in Egypt was undertaken to prove the theories of Piozzi Smith about Khufu’s pyramid, and his first achievement as an Egyptologist was to disprove them. Imperial splendor reached its height under Amenhotep III and his queen Tiye. The temples Amenhotep erected changed the appearance of Thebes. However historians have noted that Amenhotep named his state barge “ Radiance of Aten,” thus recognizing the solar deity Aten whose cult was to convulse Egypt under his son, and perhaps even before Amenhotep Ill ’s death, for a number of Egyptologists argue that Amenhotep made his son co-regent at the end of his life: Cyril Aldred for instance postulated a co-regency of at least twelve years. The evidence, however, leaves room for skepticism. Most of what we know about the failed religious revolution of Amenhotep IV, who took the name Akhenaten, comes from the excavations at Amarna, the modern name of the new capital Akhetaten (Seat of the Aten) which Akhenaten built halfway between Memphis and Thebes. Akhenaten’s religious revolution has provoked great interest, in part because of supposed connections with Hebrew monotheism which were popularized by Sigmund Freud in his Der Mann Moses und die monotheistische Religion (1939; Moses and Monotheism, 1939), but he was a religious zealot who neglected affairs of state and his reign was disastrous. Akhenaten’s successor Smenkhare reigned no more than three years, and he was succeeded by the boy Tutankamun (1352 - 44), probably his brother, who died violently, for his mummy shows a head wound caused probably by an arrow. The discovery in 19 22 of his tomb, untouched by grave robbers, by Howard Carter and Lord Carnarvon, has been the most sensational achievement of Egyptology and has given Tutankamun a celebrity that history would otherwise have denied him. Under him, Akhetaten was abandoned and priesthood of Amon resumed its dominance. Egypt’s long history, its generally reliable chronology, its connections with the Bible, and its ancient reputation as the birthplace of civilization have given ancient Egypt a fascination and importance outweighing all other antique cultures. The Swedish prehistorian, Oscar Montelius, in his Der Orient und Europa (1899) propounded the first coherent view of European prehistory by positing a migration of culture and technology from the Orient into the West, and later his system was pushed to extremes by Elliott Smith, who in his book The Ancient Egyptians ( 1 9 1 1 ) set forth a hyperdiffusionist doctrine that was further developed by his disciple W.J. Perry. Their hypoth esis, which remained popular until World War II, argued that small groups of people set out from Egypt, mainly by sea, to colonize and civilize the world, bringing with them the techniques of mummification and megalithic building. The central axiom of the diffusionist school was that no invention was ever made twice, and thus if similar technology is found in two prehistoric cultures, however far apart, there must be a connection. Thus if pyramids appeared in Central America, the source of the idea had to be Egyptian.

E GY P T : S I N C E T H E 7 T H C E N T U R Y CE

But at the same time as Elliott Smith and Perry were overstating their doctrines, V. Gordon Childe was elaborating a moderate diffusionist model which held the field until the development of Carbon-14 dating. His model, set forth in various editions of his Dawn of European Civilization (1925), put forward the hypothesis that civilization moved westwards from the twin sources of Egypt and Mesopotamia, via Crete and Anatolia to Greece and Italy and thence to northern Europe. The value of this model for dating is obvious, for Egyptian history had a reliable chronology which could be used for comparative dating. Thus the stages of the Minoan civilization discovered by Sir Arthur Evans on Crete in 1900 could be dated from Egyptian imports found there. All these diffusionist models have now been rendered dubious by Carbon -14 dating, modified by tree-ring calibration. The megalithic monuments of northern Europe must now be dated earlier than once suspected, and the earliest stone temples on Malta predate the pyramids. However, Egyptian chronology based on its calendar and king-lists has been vindicated, and Carbon -14 has not seriously challenged the accepted chronology of the prehistoric Aegean area. Yet there has been reluctance to abandon the ancient idea that Egypt was the source of civilization, which was reflected in the recent multivolume work of Martin Bernal, Black Athena (1987-), which, among other claims, argued that modern scholars have conspired to deny Egypt the credit it deserves. Among the African American proponents of “ Black History,” it is generally accepted that ancient Egypt was a great African civilization, which was, in fact, considered a respectable hypothesis before Napoleon’s expedition initiated the modern study of Egyptology. J.A.S. Eva ns See also Archaeology; Bernal; Diodorus; Herodotus; Near East

Further Reading

Albright, William Foxwell, From the Stone Age to Christianity: Monotheism and the Historical Process, Baltimore: Johns Hopkins Press, 1940 Aldred, Cyril, Akhenaten, King o f Egypt, London and New York: Thames and Hudson, 1988 Armayor, O. Kimball, Herodotus ’ Autopsy o f the Fayoum: Lake Moeris and the Labyrinth o f Egypt, Amsterdam: Gieben, 1985 Bernal, Martin, Black Athena: The Afroasiatic Roots o f Classical Civilization, 2 vols. to date, London: Free Association Press, and New Brunswick, NJ: Rutgers University Press, 1987 -91 Breasted, James Henry, A History o f Egypt from the Earliest Times to the Persian Conquest, New York: Scribner, 1905, revised 1909; London: Murray, 1938 Childe, Vere Gordon, Dawn o f European Civilization, London: Kegan Paul Trench Triibner, and New York: Knopf, 1925; revised i939> x947> 1950, 1957

Childe, Vere Gordon, What Happened in History, Harmondsworth: Penguin, 1942; New York: Penguin, 1946 Daniel, Glyn, and Colin Renfrew, The Idea o f Prehistory, 2nd edition, Edinburgh: Edinburgh University Press, 1988 [1st edition, by Daniel only, 1962] Emery, Walter B., Archaic Egypt, Harmondsworth and Baltimore: Penguin, 1961 Fakhry, Ahmed, The Pyramids, Chicago: University of Chicago Press, 1961 Fehling, Detlev, Die Quellenangaben bei Herodot: Studien zur Erzahlkunst Herodots, Berlin: de Gruyter, 1971; in English as

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Herodotus and His “Sources”: Citation, Invention and Narrative Art, Leeds: Cairns, 1990 Freud, Sigmund, Der Mann Moses und die monotheistische Religion, Amsterdam: Lange, 1939; in English as Moses and Monotheism, New York: Knopf, and London: Hogarth Press, 1939 Gardiner, Alan Henderson, Egypt o f the Pharaohs, Oxford and New York: Oxford University Press, 1961 Hoffman, Michael, Egypt before the Pharaohs, Austin: University of Texas Press, 1991 James, Thomas Garnet Henry, Pharaoh’s People: Scenes from Life in Imperial Egypt, London: Bodley Head, and Chicago: University of Chicago Press, 1984 Lefkowitz, Mary R., N ot Out o f Africa: How Afrocentrism Became an Excuse to Teach Myth as History, New York: Basic Books, 1996 Lefkowitz, Mary R., and Guy MacLean Rogers, eds., Black Athena Revisited, Chapel Hill: University of North Carolina Press, 1996 Lepsius, Karl Richard, Denkmaler aus Aegypten und Aethiopien, 11 vols., Berlin: Nickolaische, 1849 - 56; abridged in English as Discoveries in Egypt, Ethiopia, and the Peninsula o f Sinai, London: Bentley, 1852 Lipke, Paul, The Royal Ship o f Cheops: A Retrospective Account o f the Discovery, Restoration, and Reconstruction, Oxford: BAR, 1984 Mokhtar, Gamel, ed., Ancient Civilizations o f Africa, London: Heinemann, and Berkeley: University of California Press, 1981 Montelius, Oscar, Der Orient und Europa: Einfluss der orientalischen Cultur auf Europa bis zur Mitte des letzten Jahrtausends v. Chr (The Orient and Europe: The Influence of Oriental Culture on Europe until the Middle of the Last Millennium BCE), Stockholm, 1899 Montet, Pierre, L’Egypte eternelle; in English as Eternal Egypt, London: Weidenfeld and Nicolson, and New York: New American Library, 1964 Murdock, George Peter, Africa: Its Peoples and Their Culture History, New York: McGraw Hill, 1959 Perry, W.J., The Growth o f Civilization, New York: Dutton, and London: Methuen, 1924 Petrie, William Matthew Flinders, A History o f Egypt, 6 vols., London: Methuen, 1898 - 1905; reprinted 1989 Redford, Donald B., History and Chronology o f the Eighteenth Dynasty o f Egypt, Toronto: University of Toronto Press, 1967 Redford, Donald B., Akhenaten: The Heretic King, Princeton: Princeton University Press, 1984 Renfrew, Colin, Before Civilization: The Radiocarbon Revolution and Prehistoric Europe, London: Cape, and New York: Knopf, 1973 Seters, John Van, The Hyksos: A New Investigation, New Haven: Yale University Press, 1966 Smith, Elliott, The Ancient Egyptians and Their Influence on Civilization, London and New York: Harper, 1911, revised 1923; reprinted 1970 Trigger, Bruce G., A History o f Archaeological Thought, Cambridge and New York: Cambridge University Press, 1989 West, Stephanie, “ Herodotus ’ Epigraphical Interests,” Classical Quarterly 79 (1985), 278 - 305 Wilson, John A., The Burden o f Egypt: An Interpretation o f Ancient Egyptian Culture, Chicago: University of Chicago Press, 1951; reprinted as The Culture o f Ancient Egypt, 1956

Egypt: since the 7th Century CE The history of Egypt since the Arab conquest in 639-44 down to the arrival of Napoleon in 1798 has been a poor relation of ancient, Roman, and modern Egypt. Despite the fact that Egypt in the Middle Ages became the greatest power in the Near East, and despite the wealth of its archival materials,

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the period remains understudied and little known outside academic circles for want of any great international, that is Western, interest in the Islamic period and its civilization. Meanwhile the subject itself has not proved easy to define. From the 7th to the 18th century, Egypt was either a province of wider empires such as the Arab from the 7th to the 10th centuries and the Ottoman from the 16th century onwards. Or, as the seat of such empires centered on Cairo, it was ruled by dynasties such as the Arab Fatimids, 969-1171; the Kurdish Ayyubids, 1171-1250; and the Turkish Mamluks, 1250-1517, who were variously perceived by themselves, by their subjects, and subsequently by historians as foreign to the country and its people. This is especially true of the Albanian Muhammad ‘Ali, the so-called founder of modern Egypt, 1805-49, whose dynastic ambition to carve out a new empire in the region was restricted to Egypt itself only by British intervention and British rule, 1881-1922. Even then, after the final creation of an Egyptian nation-state, Nasser aspired between 1953 and 1970 to lead a much wider Arab nation in the Middle East. The 7-volume French Histoire de la nation egyptienne (History of the Egyptian Nation, 1931-40), edited by Gabriel Hanotaux, thus divided the Islamic period into volumes on the Middle Ages, the Ottoman period, and the 19th and 20th centuries. Of the comparable, though earlier, English History of Egypt, only Stanley Lane-Poole’s A History of Egypt in the Middle Ages, (1901; revised 1914) is still in general use, followed by P.M. Holt’s Egypt and the Fertile Crescent, 1517-1922 (1966). David Ayalon, Robert Irwin, and Hassanein Rabie each dealt with the Mamluk and J. Stanford Shaw with the Ottoman period; otherwise the reader must go to more general histories of the Middle East such as that by Endress. Janet Abu-Lughod, Stanley Lane-Poole, Carl F. Petry, Andre Raymond, and Susan Jane Staffa have each described the history of Cairo; otherwise, studies of social and cultural history remain scattered. In the early Islamic period, the question is complicated by the substitution of perishable paper for the papyrus documentation of Roman Egypt, by the conversion of the bulk of the population from Christianity to Islam, and by the change of language, written and vernacular, from Coptic and Greek to Arabic. The outcome at the beginning of the 19th century was memorably described by E.W. Lane’s The Manners and Customs o f the Modern Egyptians (1836); but the changes have been imperfectly understood, despite the work of S.D. Goitein on the medieval Jewish Geniza documents, and that of Michael Winter on the Ottoman period. Nevertheless, from the time of Ibn ‘Abd al-Hakam and al-Kindi in the 9th and 10th centuries, there was in literate Muslim Egyptians a strong streak of patriotism, which culminated in the 15th century in the voluminous works of al-Maqrizi, most notably his Khitat or “Places”: a topographical account of the country which is the framework for an encyclopedic description of its history, manners, and customs. Such patriotism reappeared in the historical work of al-Jabarti at the beginning of the 19th century, and inspired the first generation of westernized intellectuals in the middle of the century. The major authors of the medieval period then found their way into print, with Maqrizi as the model for the Khitat of the engineer ‘Ali Mubarak (1886-89), which provided a modern description of the country. In this way the state, created by Muhammad ‘Ali and placed by him at the center of the modern history of the Middle East and Africa, became the focus of historical writing by Egyptians

and western Europeans, beginning with the British and the French, and well surveyed by P.J. Vatikiotis’ The Modern History of Egypt (1969). Egypt variously figured in histories of the Middle East such as Malcolm Yapp’s; in histories of imperialism in Africa, especially Robinson and Gallagher’s Africa and the Victorians (1961); and in particular in histories of the Nile such as Collins’ The Waters o f the Nile (1990). Studies of Egypt’s economic history have grown out of reports on economic policy such as Charles Issawi’s, while increasing attention is being paid to social history as in the work of Ehud Toledano. Egypt’s political history as a nation-state developed from a French model of revolutionary nation-building against a British preference, in the years of British rule, for a model of Oriental passivity (well shown in the 9th, 10th and n t h editions of the Encyclopaedia Britannica). In the very large literature of the modern subject, the most vigorous Egyptian exponent has been Afaf Lutfi alSayyid Marsot, while the most celebrated French work is Berque’s UEgypte: imperialisme et revolution (1967; Egypt: Imperialism and Revolution, 1972). On the underlying theme of conflict between tradition and modernity, the standard work by RJ. Vatikiotis, The Modern History o f Egypt, concluded pessimistically on the subject of the continued gulf between state and people, seeing little hope for the plural democracy favored by the majority of contemporary historians. This disapproval of the way in which the government of independent Egypt has remained authoritarian is a major feature of the literature, of political as well as historical importance. M ic h a e l

Br e t t

See also Goitein; Ottoman Further Reading

Abu-Lughod, Janet L., Cairo: 1001 Years o f the City Victorious, Princeton: Princeton University Press, 1971 Ayalon, David, Gunpowder and Firearms in the Mamluk Kingdom: A Challenge to Medieval Society, London: Valentine Mitchell, 1956; Totowa, NJ: Frank Cass, 1978 Ayalon, David, Studies on the Mamluks o f Egypt (1250 - 1517), London: Variorum, 1977 Berque, Jacques, UEgypte: imperialisme et revolution, Paris: Gallimard, 1967; in English as Egypt: Imperialism and Revolution, London: Faber, and New York: Praeger, 1972 Collins, Robert O., The Waters o f the Nile, Oxford and New York: Oxford University Press, 1990 Efendi, Huseyn, Ottoman Egypt in the Age o f the French Revolution, translated by J. Stanford Shaw, Cambridge, MA: Harvard University Press, 1964 Endress, Gerhard, Einfuhrung in die islamische Geschichte, 2 vols., Munich: Beck, 1982; in English as An Introduction to Islam, Edinburgh: Edinburgh University Press, and New York: Columbia University Press, 1988 Goitein, S.D., A Mediterranean Society: The Jewish Communities o f the Arab World as Portrayed in the Documents o f the Cairo Geniza, 6 vols., Berkeley: University of California Press, 1967 -93 Hanotaux, Gabriel, ed., Histoire de la nation egyptienne (History of the Egyptian Nation), 7 vols., Paris: Societe de PHistoire Nationale, 1931 - 40 Holt, Peter Malcolm, Egypt and the Fertile Crescent, 1517 - 1922: A Political History, London: Longman, and Ithaca, NY: Cornell University Press, 1966 Irwin, Robert, The Middle East in the Middle Ages: The Early Mamluk Sultanate, 1150 - 1382, London: Croom Helm, and Carbondale: Southern Illinois University Press, 1986

EINHARD

Issawi, Charles, Egypt: An Economic and Social Analysis, London and New York: Oxford University Press, 1947; revised 1954 Issawi, Charles, An Economic History o f the Middle East and North Africa, New York: Columbia University Press, 1982 Lane, Edward William, The Manners and Customs o f the Modern Egyptians, London, 1836; reprinted London: Dent, and New York: Dutton, 1966 Lane-Poole, Stanley, A History o f Egypt in the Middle Ages, London: Methuen, and New York: Scribner, 1901; revised Methuen, 1914 Lane-Poole, Stanley, The Story o f Cairo, London: Dent, 1902 Marsot, Afaf Lutfi al-Sayyid, Egypt and Cromer: A study in AngloEgyptian Relations, London: Murray, and New York: Praeger, 1968 Marsot, Afaf Lutfi al-Sayyid, Egypt ’s Liberal Experiment, 1922 - 1936, Berkeley: University of California Press, 1977 Marsot, Afaf Lutfi al-Sayyid, Egypt in the Reign o f Muhammad Ali, Cambridge and New York: Cambridge University Press, 1984 Marsot, Afaf Lutfi al-Sayyid, A Short History o f Modern Egypt, Cambridge and New York: Cambridge University Press, 1985 Mubarak, ‘Ali, Al- Khitat al-tawfiqiyya al-jadida (The New Book of Fortunate Places), 20 vols., Cairo, 1886 - 89 Petry, Carl F., The Civilian Elite o f Cairo in the Later Middle Ages. Princeton: Princeton University Press, 1981 Rabie, Hassanein, The Financial System o f Egypt, a h 564 - 741 / AD1169 - 1341, London and New York: Oxford University Press, 1972 Raymond, Andre, Le Caire (Cairo), Paris: Fayard, 1993 Robinson, Ronald, and John Gallagher with Alice Denny, Africa and the Victorians: The Official Mind o f Imperialism, London: Macmillan, and New York: St. M artin ’s Press, 1961; revised 1981 Shaw, J. Stanford, The Financial and Administrative Organization and Development o f Ottoman Egypt, 1517 - 1798, Princeton: Princeton University Press, 1962 Staffa, Susan Jane, Conquest and Fusion: The Social Evolution o f Cairo, A D 642 - 1850, Leiden: Brill, 1977 Toledano, Ehud R., State and Society in mid -Nineteenth -Century Egypt, Cambridge and New York: Cambridge University Press, I 99 ° Vatikiotis, Panayiotis J., The Modern History o f Egypt, London: Weidenfeld and Nicolson, and New York: Praeger, 1969; 4th edition, 1991 Winter, Michael, Egyptian Society under Ottoman Rule, 1517 - 1798, London and New York: Routledge, 1992 Yapp, Malcolm E., The Making o f the Modern Near East, 1792 - 1923, London and New York: Longman, 1987 Yapp, Malcolm E., The Near East since the First World War: A History to 1995, 2nd edition, London and New York: Longman, 1991; revised 1996

Einhard

C.77 O - 8 4 0

Frankish chronicler Einhard was a Frank who was the main biographer of the emperor Charlemagne. As the biographer of such a famous king, he sheds light on a significant era of medieval history. Einhard was educated in a monastery in Hesse (near Frankfurt, Germany). He mastered Latin and absorbed many of the writings of the ancient Romans, and this background would have a profound influence on his subsequent historical writings. During the late 8th century, Charlemagne gathered scholars from all over Europe to come to his palace school at Aachen. In 791, Einhard was sent to the palace school by his abbot. While there, he came to the attention of Charlemagne and

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became the emperor’s adviser and friend. Einhard stayed at court and was in a position to observe imperial policies and the emperor himself until Charlemagne’s death in 814. Einhard remained in favor with Charlemagne’s son and successor, Louis I (the Pious), but he soon retired to his estates. It was during his retirement that the aging courtier wrote his surviving works. We have four surviving works by Einhard. One is a collection of his letters, two are religious tracts, and the most famous is his Life of Charlemagne. It is this last work, written prob ably between 829 and 836, that has earned Einhard the reputation as an influential writer of history. Einhard’s biography of Charlemagne is a short work divided into five parts: 1) Charlemagne’s predecessors, the early Carolingians; 2) Charlemagne’s wars; 3) the emperor’s private life; 4) his last years and death; and 5) Charlemagne’s last will and testament. Einhard explicitly wrote of his motivation for writing this historical biography. He said that he wanted to preserve the memory of the deeds of the great man both because of their importance, and because of the kindness that Charlemagne had showed him throughout his life. Furthermore, Einhard said that there was no one else who could relate the history with the accuracy of an eyewitness to the events. To supplement his personal experience, Einhard drew from his knowledge of the written documents of the period as he produced his history. Einhard ’s Life of Charlemagne was the first medieval biography of a secular figure. That distinction, combined with his firsthand knowledge of the events discussed, makes it a valuable source. However, the source has remained a controversial one for historians. Since Einhard was breaking new territory in writing a secular biography, he drew from precedents that were familiar. In structure and content, Einhard creates his Life based on Suetonius’ Lives of the Caesars (C.121 - 22CE), in particular the “Life of Augustus.” Many of the descriptions of Charlemagne’s life are taken directly from Suetonius, so historians are unsure whether we can actually learn about Charlemagne from the man who knew him so well. Either Einhard was attempting to recreate the Frankish emperor in the mould of the Roman one, or he selected those passages from Suetonius that accurately described his patron. Einhard himself serves as an excellent model of the court of Charlemagne, in which Germanic and Roman cultural elements were combined with new creative force. Einhard used elegant Latin and copied Roman historical models as he wrote the biographical eulogy for the Frankish emperor. While modern historians might wish that the biography were free from the ambiguities and errors created by Einhard’s use of Suetonius, nevertheless, medievalists cannot ignore this important biography written by an eyewitness to the significant events of Charlemagne’s reign. J o y c e E. S a l i s b u r y See also France: to 1000; Ganshof; Suetonius Biography

Einhardus, also known as Eginhard. Born Maingau, East Franconia, c.770. Studied at monastery of Fulda. Joined Charlemagne ’s entourage, 796: on ambassadorial missions, 806, 813; secretary to Louis the Pious; tutor of Lothair, Louis’s eldest son, 817. Abbot of Fontenelle; retired first to Fontenelle, 828, then to Seligenstadt,

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which he founded. Married Irma, later an abbess (died 836). Died Seligenstadt, 14 March 840.

Principal Writings

Vita Caroli Magni, c.830; in Two Lives o f Charlemagne, translated by Lewis Thorpe, 1969

Further Reading

Ganshof, F.L., “ Notes critiques sur Eginhard, biographe de Charlemagne,” Revue Beige de Philologie et d ’Histoire 3 (1924), 725 - 58

Elkins, Stanley 1925US historian of slavery Stanley Elkins is best known for his attempt to apply social psychology, specifically the literature that emerged from studying the Holocaust, to the historical problem of slavery in the US. In Slavery (1959) he created controversy by analyzing the basic slave personality as the “ Sambo” archetype, and slaves as exhibiting virtually no resistance to their condition as slaves. Using role psychology and personality theory models, he ascribed this behavior to a complete breakdown of slaves’ personalities brought on by the physical and mental tortures of the Middle Passage and perpetuated through the allembracing, repressive institutional practices of American slavery, and the associated development of slaves’ personalities based upon a limited available repertoire of models, standards, and attitudes. “ Sambo,” according to Elkins, was docile but irresponsible, loyal but lazy, humble but deceitful. Thus the old stereotype of racial inferiority, which described very similar traits, was replaced with a new argument for psychological and cultural damage inflicted by the institutions of slavery, which has become known as the “Elkins thesis.” Essentially, Elkins hoped to portray the moral and practical consequences of unrestrained capitalism, but in the process he unleashed a new debate about the nature of the American slave personality and culture. By forcing the concentration camp analogy, he left many survivors from each side of the analogy - African Americans and Jews - uncomfortable with the comparison. The reaction to Elkins’ book, along with that to Daniel Patrick Moynihan’s report on the black family and the general political atmosphere of the civil rights movement, provided impetus for a whole generation of new research in slavery. Such phrases as, “the slave personality,” “the slave community,” and “ slave culture,” are all to varying degrees responses to Elkins. Eugene Genovese’s neo-Marxist Roll, Jordan, Roll (1974), John Blassingame’s The Slave Community (1972), Herbert Gutman’s The Black Family in Slavery and Freedom (1976), and Lawrence Levine’s anthropological Black Culture and Black Consciousness (1977), all responded to the Sambo type by describing the complexity and originality of the slave culture under the mature 19th-century world of American slavery. Other writers, notably Peter Wood (Black Majority, 1974), have extended the research in slave culture back into the colonial era, describing important ways in which black culture shaped the development of American culture and institutions.

Elkins’ original purposes in writing the book were lost in the debate over the Sambo type. He argued that the problem of slavery offered a crucial case study for understanding the useful role played by institutions in limiting the material ambitions of capitalism and in offering a location for the purposeful activity of intellectuals. He followed Richard Hofstadter’s lead in criticizing American society on both counts. Discussing capitalism, he used comparative slavery studies (especially Frank Tannenbaum’s Slave and Citizen, 1947) to argue that the competing Spanish institutions of church and state - the Catholic church, aristocratic tradition, and heritage of Roman law - had created a less absolute, and thus more moral, slavery than had the unfettered individualistic capitalism of colonial America. He then argued that individualism and crumbling institutions had left American intellectuals without an adequate environment within which to propose and develop the kinds of careful critiques of slavery or the concrete programs for emancipation that had allowed the European nations to end slavery without resorting to civil war and to the vague programs for integrating the freedmen that marked the postemancipation era. Other historians, notably Genovese, and Peter Kolchin in his Unfree Labor: American Slavery and Russian Serfdom (1987), have argued that the evolution of slave cultures provides a stronger basis for such comparison of the institutions of slavery. Elkins also contributed to the debates over the nature of the early American republic, with an essay (co-authored with Eric McKitrick in 1968), in which the Founding Fathers are portrayed as “young men of the revolution.” That work has been extended to a much more comprehensive analysis of the political ideas and practice of the first decade of US history in The Age of Federalism (1993). Although most of his conclusions regarding slavery have been rejected, Elkins’ ambitious thesis has been enormously fruitful in the debate and research that it provoked. D o n a l d R. P a l m See also African American; Cuba; Fogel; Levine; Slavery: Modern

Biography

Stanley Maurice Elkins. Born Boston, 27 April 1925. Received BA, Harvard University 1949; MA, Columbia University, 1951, PhD 1959. Taught at Fieldston School, 1951 -54; University of Chicago, 1955 -60; and Smith College, from i960. Married 1947 (4 children).

Principal Writings

Slavery: A Problem in American Institutional and Intellectual Life, 1:959; 3rd edition 1976 With Eric McKitrick, “ The Founding Fathers: Young Men of the Revolution,” in Jack P. Greene, The Reinterpretation o f the American Revolution, iy 6 ^ - iy 8 y , 1968 With Eric McKitrick, The Age o f Federalism: The Early American Republic, iy 8 8 - i8 o o , 1993

Further Reading

Blassingame, John, The Slave Community: Plantation Life in the Antebellum South, New York: Oxford University Press, 1972; revised 1979

ELLIOTT

Lane, Ann J., ed., The Debate over Slavery: Stanley Elkins and His Critics, Urbana: University of Illinois Press, 1971 Parish, Peter J., Slavery: History and Historians, New York: Harper, 1989

Elliott, J.H.

1930 British historian of early modern Europe

John H. Elliott’s life work has been to examine the little-studied Hispanic world of the 16th and 17th centuries. In the process he has helped to chart the boundaries between the medieval and modern worlds. He has traced the dramatic rise to power of Spain and its failed attempt to dominate Europe and its larger world. Implicitly he believes that Spain, as the first European power with a world empire, traveled part of the way down the road to modernity before the rest of Europe, and its starts and stops and ultimate failure to arrive until recently, serve to illuminate the successes of those that did. The slow path to modernity holds haunting, unresolved paradoxes, dilemmas, and contradictions left over from times past that Elliott has examined in the quicksilver light of Spanish history. Lacking the monographic base for Spain that was the stock in trade of historians writing about other European countries, Elliott was forced to be selective, especially given the seemingly never-ending paper trail left by the Spanish bureaucracy. He chose to concentrate on what he perceived to be a crucial turning point in Spanish history, the ministry of the CountDuke of Olivares (1621-43), when a program of reform was adopted to counteract the perceived decline of Spain. Looking for, but not initially finding state policy papers that recorded the decision-making process by which Spain tried to recover its former glory led Elliott out to the periphery where he produced a case study of how the center lost and then kept Catalonia. The result was his The Revolt of the Catalans (1963) where he described Spain’s success and failure in ruling much of the world, the symbiotic relationship between Crown or central government and the provincial elites, and the latter’s rule of the others. The Spanish state’s working relationships with regional elites, and its inability to break through this upper strata and establish deeper ties of loyalty and allegiance with lower-level groups based on mutual benefits, are keys to understanding Spain’s initial success and ultimate failure. The efficiencies and economies of action that accrue when such a breakthrough takes place never benefited Spain, unlike those countries where such a link was established. Not having an adequate larger context within which to locate his regional study of Catalonia forced Elliott to write a general history, Imperial Spain, 1469-1716 (1963). This general survey still stands as the finest interpretive overview of the period and well illustrates the seductive powers of Elliott’s elegant, hypnotic prose that draws the reader into a contemplation of the macro-forces of history, which in this book are the rewards and perils of imperialism. The personal, interior dialogue with the reader with Socratic point and counterpoint is an enduring feature of Elliott’s writing and accounts for its dramatic tension and engaging effect. After setting the Spanish stage with his general survey, Elliott felt compelled to map out a European-wide synthesis, and this resulted in his Europe

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Divided, 1559-1598 (1968). Here he argued for a basic European social unity, but one comprising diversity of cultures and faiths whose tensions stimulated a divergence between the Mediterranean South and the Atlantic North. The expanse of Elliott’s vision and synthesis led to an invitation to deliver the Wiles lectures at the Queen’s University of Belfast for 1969 where he reversed the usual order for study of the discovery of the New World and considered its impact on 16th- and early 17th-century Europe. These lectures appeared as The Old World and the New,; 1492-1650 (1970), initiated the Cambridge Early Modern History monograph series, and helped establish the period as a separate field of European history. Elliott was a general editor of the series and sought to publish those works bridging the period from the 15th to the 18th centuries showing continuity and change that underscored the transition from the medieval to the modern. His appointment to the Institute for Advanced Study at Princeton University in 1973 allowed him to return to what he considered a watershed in Spanish history, the crucial period of the Olivares ministry, and to his plan for a comprehensive political biography of the Count-Duke. Collecting, collating, and determining the main texts of the Count-Duke’s papers led to their 2-volume publication with extensive commentary as Memoriales y cartas del Conde Duque de Olivares (Reports and Letters of the Count-Duke of Olivares, 1978-80). These were to become the main documentary basis for the political biography. Elliott also became increasingly aware of the cultural legacy of the Count-Duke in his building and furnishing of the Buen Retiro palace in Madrid for Philip IV (1621-65). The outcome of Elliott’s foray into cultural history was A Palace for a King (with Jonathan Brown, 1980) where we see political and social history combined with the history of art in Elliott’s characteristically panoramic view. Olivares’ mobilization of intellectuals, artisans, and writers in the service of the state has a particularly modern resonance. Invited to give the Trevelyan lectures at Cambridge University for 1983, Elliott chose to contrast the remarkably similar contemporary careers of Europe’s two main rival statesmen, Cardinal Richelieu and the Count-Duke of Olivares, each plotting and maneuvering to outdo the other in the creation of a viable European state. In Richelieu and Olivares (1984), Elliott argued that posterity had disproportionately rewarded the victor and ignored the loser, thus distorting the reality of 17th-century Europe. Elliott’s exacting examination showed that the race was very close and that contemporaries were never convinced of the inevitability of Spain’s decline and France’s ascent. Finally his monumental The Count-Duke of Olivares appeared in 1986. For the first half of 17th-century Spanish history it serves as the point of departure for those wanting to understand what went before and what came afterwards. As a result, other historians have undertaken a sustained reexamination of the so-called decline of Spain. The cumulative effect of Elliott’s biography along with this re-examination has been to push the debate back from the 17th to the 16th century, and, like all of Elliott’s work, it forced a broader reformulation of the issue not just as a question in economic history but as single fabric woven with political and diplomatic threads, statecraft, finance, economics, cultural attitudes, and structural components.

35 6

ELLIOTT

With the Olivares biography behind him, Elliott brought together in Spain and Its World, 1500-1700 (1989) some of his most important essays from various journals and books. Elliott’s introduction and commentary on each piece provide important clues to his thinking and the direction of his work. Elliott’s recent public lectures - National and Comparative History (1991), Illusion and Disillusionment: Spain and the Indies (1992), and Britain and Spain in America: Colonists and Colonized (1995) - suggest a movement away from Spain to the subject of Spain and Britain in America as a point of comparison and contrast in the larger drama of the making of the modern world. M a u r i c e P. B r u n g a r d t See also Latin America: Colonial; Maravall; Parker; Spain: Imperial

Biography

John Huxtable Elliott. Born Reading, England, 23 June 1930. Educated at Eton College, 1943 -48; Trinity College, Cambridge, BA 1952, PhD 1955. Fellow of Trinity College, Cambridge, 1954 -67: honorary fellow since 1991; taught at Cambridge University, 1957 -67; professor of history, King’s College, London, 1968 -73; Institute for Advanced Study, Princeton, 1973 -90; Regius professor of modern history, and fellow of Oriel College, Oxford University, since 1990. Knighted 1994. Married Oonah Sophia Butler, 1958.

Principal Writings

Imperial Spain, 1469 - 1716, 1963 The Revolt o f the Catalans: A Study in the Decline o f Spain, 1598 - 1640, 1963 Europe Divided, 1559 -1598, 1968 The Old World and the New, 1492 - 1650, 1970 Editor with Jose F. de la Pena, M em orials y cartas del Conde Duque de Olivares, (Reports and Letters of the Count-Duke of Olivares) 2 vols., 1978 -80 With Jonathan Brown, A Palace for a King: The Buen Retiro and the Court o f Philip IV, 1980 Richelieu and Olivares, 1984 “ Spain and America in the Sixteenth and Seventeenth Centuries ” and “ The Spanish Conquest and Settlement of America,” in Leslie Bethell, ed., The Cambridge History o f Latin America, vol. 1, 1984 The Count-Duke o f Olivares: The Statesman in an Age o f Decline, 1986 Spain and Its World, 1500 -1700: Selected Essays, 1989 Editor, The Hispanic World: Civilization and Empire; Europe and the Americas; Past and Present, 1991 National and Comparative History, 1991 Illusion and Disillusionment: Spain and the Indies, 1992 Britain and Spain in America: Colonists and Colonized, 1995

Further Reading

Kagan, Richard L., and Geoffrey Parker, eds., Spain, Europe, and the Atlantic World: Essays in Honour o f John H. Elliott, Cambridge and New York: Cambridge University Press, 1995 Thompson, I.A.A., and Bartolome Yun Casalilla, eds., The Castilian Crisis o f the Seventeenth Century: New Perspectives on the Economic and Social History o f Seventeenth -Century Spain, Cambridge and New York: Cambridge University Press, 1994

Elton, G.R.

1921 - 1994

British (German-born) political historian A German-born Jew who fled Prague in 1939 in order to escape Hitler, G.R. Elton was the greatest Tudor historian of the century. He was particularly associated with the notion of a Tudor revolution in government - the title of his first book published in 1953 - but was important more generally as an interpreter of the century and as a supervisor at Cambridge of postgraduates, many of whom disseminated his views of the period. Elton tended to adopt a bureaucratic perspective. He saw society as precarious and public order as something that had to be striven for and then protected. His main hero was Thomas Cromwell, Henry VIII’s principal administrator in the 1530s, whom Elton viewed as the crucial figure in the definition of English legislative sovereignty, the maintenance of order during the Henrician Reformation, and the development of a modern state structure. These themes were advanced in Policy and Police, originally the Ford lectures for 1972, and in Reform and Renewal: Thomas Cromwell and the Common Weal, the Wiles lectures for 1972. Elton’s influence rested in part on his willingness not only to advance his particular interpretation of the 1530s in monographs and a large number of essays and articles, but also on his engagement with a wider audience through a series of textbooks. His England under the Tudors (1955) was for three decades the most widely read book on the period at sixth form and undergraduate level and was a model of erudition and clarity. It was supplemented, though not supplanted, by Reform and Reformation (1977). Unlike most British historians who were, and are, resolutely either British or “European,” Elton was expert in both British and continental European history. He edited volume 2 of the New Cambridge Modern History (1990), which dealt with the early 16th century, and had earlier published Reformation Europe (1963), an important volume in the very successful Fontana History of Europe series. Elton’s influence did not simply rest on his publications. He was also a figure of consequence in academic politics and patronage. The series of offices and honors he accumulated, developed, and utilized was by any standard impressive. Elton was powerful in Cambridge, where he was a professor from 1967 and Regius professor of modern history from 1983 to 1988. As a leading figure in the faculty and as a postgraduate supervisor, Elton played a major role in molding many of the academics of the next generation at a time when the expansion of the profession created many opportunities. The five Festschriften Elton received are a powerful testimony to his influence. He was, however, less successful in his opposition to borrowing of ideas from the social sciences and to new departures in teaching, themes that he outlined in his The Practice o f History (1967). On the national scale Elton rose to be an energetic president of the Royal Historical Society, 1972-76, and to be publication secretary of the British Academy, 1981 -90, and his importance was acknowledged with a knighthood in 1986. He was an active patron of scholarly initiatives, including the monograph series Studies in History, but it cannot be said that he was a supporter of innovation in teaching or research.

ENGELS

Partly because of this, Elton’s long-term legacy is likely to be limited. His interpretation of his own period was novel in analysis but not method, and had little to offer those working on other subjects. His last book, The English (1992), was provocative rather than definitive. Yet he was very impressive not least because of his energy and personality. While Regius professor, Elton took part in a stucjent balloon debate in which participants impersonated famous individuals and explained why they should not be thrown from a rapidly falling balloon in order to save their fellow travellers. Elton gave a solid performance as Thomas Cromwell. One of the students pretended to be Elton. It is difficult to imagine any other Regius professor taking part in such an occasion - or any other being thought interesting enough to be impersonated by a student. Je r e m y

Bl a c k

See also Britain: 1066 - 1485; Britain: 1485 - 1750; Plumb; Political; Q uantitative; State; Tawney; Thom as, K.; Trevelyan

Biography

Geoffrey Rudolph Elton, originally Gottfried Rudolph Ehrenberg. Born Tubingen, 17 August 1921. Attended school in Prague, then emigrated to England, 1939 (naturalized 1947); attended Rydal School, Colwyn Bay, then taught there while taking an External BA, University of London, 1943; Derby student, University College, London, 1946 -48, PhD 1949. Served in the British Army in Italy, 1944 -46. Taught at Glasgow University, 1948 -49; Cambridge University (rising to Regius professor), 1949 -88: fellow of Clare College from 1954. Knighted 1986. Married Sheila Lambert, 1952. Died 4 December 1994.

Principal Writings

The Tudor Revolution in Government: Administrative Changes in the Reign o f Henry VIII, 1953 England under the Tudors, 1955 The Tudor Constitution: Documents and Commentary, i960 Reformation Europe, 1517 - 1559, 1963 The Practice o f History, 1967 Political History: Principles and Practice, 1970 Policy and Police: The Enforcement o f the Reformation in the Age o f Thomas Cromwell, 1972 Reform and Renewal: Thomas Cromwell and the Common Weal, 1973 Studies in Tudor and Stuart Politics and Government: Papers and Reviews, 4 vols., 1974 - 92 Reform and Reformation: England, 1509 - 1558, 1977 F.W. Maitland, 1985 Editor, The New Cambridge Modern History, 2nd edition, vol. 2: The Reformation, 1990 The English, 1992

Further Reading

Cross, Claire, David Loades, and J.J. Scarisbrick, eds., Law and Government under the Tudors: Essays Presented to Sir Geoffrey Elton, Regius Professor o f Modern History in the University o f Cambridge, on the Occasion o f his Retirement, Cambridge and New York: Cambridge University Press, 1988 Guth, DeLloyd J., and John W. McKenna, eds., Tudor Rule and Revolution: Essays for G.R. Elton from His American Friends, Cambridge and New York: Cambridge University Press, 1982 Scott, Tom, and E.I. Kouri, eds., Politics and Society in Reformation Europe: Essays for Sir Geoffrey Elton on his Sixty -Fifth Birthday, London: Macmillan, 1986

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Slavin, Arthur J., “ G.R. Elton: On Reformation and Revolution,” History Teacher 23 (1990), 405 -31

Engels, Friedrich 1820-1895 German theoretician and historian While Friedrich Engels is commonly known as the co-founder, with Karl Marx, of modern socialist theory, less frequently acknowledged is his contribution to the development of a radical approach to historical studies. His first major work, Die Lage der arbeitenden Klasse in England (1845; The Condition of the Working Class in England, 1887), emphasized the importance of class and gender and thus broke with the traditional “great man ” approach to history that characterized the bulk of historical writing from Livy into the 20th century. Engels renounced any attempt to substitute individual personality for historical forces. While he acknowledged that “men make history them selves,” Engels also pointed out that they do so however in a given environment, which conditions them, and on the basis of actual, already existing relations, among which the economic relations - however much they may be influenced by other, political and ideological, relations - are still ultimately the decisive ones. Throughout The Condition o f the Working Class in England and his other his historical writings, Engels regarded the common people not just as the objects of history, but as the agents of historical change. His contributions to understanding the importance of class are many but among the most significant are: 1) discerning the importance of the popular masses in history; 2) understanding how common people express themselves within the culture and language of their times; 3) demonstrating how historical consciousness is necessary for radical change; 4) stressing class struggle as the motor which moves forward historical development. Throughout his Der deutsche Bauernkrieg (1870; The Peasant War in Germany, 1926), Engels looked behind the openly stated religious causes of peasant rebellion to argue that the fundamental causes were rooted in class relations. According to Engels his book endeavored to reveal how religious and political theories were used by participants to understand their own actions while seeking “to prove that the political and religious theories were not the causes, but the results of that stage in the development of agriculture, industry, land and waterways, commerce and finance, which then existed in Germany.” When most were content to leave women out of history or, at best, portray them as minor players on a broad stage, Engels demonstrated how historical development was instrumental in the transformation of women’s role in society. Among his contentions concerning gender are: 1) the importance of gender in understanding human development and history; 2) detailing the economic basis of women’s oppression; 3) outlining women’s role in society while arguing gender is a historically and socially determined concept, and thus not biologically preordained. In contrast to intellectuals who accepted women’s position within society as the natural result of “the female nature,” Engels looked for the historical factors that led to male

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dominated structures. Engels contended that the rise of private property, controlled by men, led women to a position of subordination. He maintained as wealth increased, it, on the one hand, gave the man a more important status in the family than the woman, and, on the other hand, created a stimulus to utilize this strengthened position in order to overthrow the traditional order of inheritance in favor of the children. But this was impossible as long as descent according to mother right prevailed. This had, therefore, to be overthrown, and it was overthrown . . . The overthrow of mother right was the world-historic defeat o f the female sex. The man seized the reins in the house too, the woman was degraded, enthralled, became the slave of the man’s lust, a mere instrument for breeding children. Historians have found many factual errors in Engels historical writings, which is not surprising since he mainly relied on secondary sources easily available to him. This does not, however, diminish his importance as a major contributor to what is known as the “Marxist” school of history which emphasizes the primacy of economic and social forces over the individual or the political. Yet even among non-Marxist historians, much of Engels’ work has proved instrumental in shaping a vision of the past - particularly in the field of social history. Thus, one might say that Engels’ importance is due more to the questions he asked than to the specifics he cited. W i l l i a m A. P e l z See also Chadwick; Coquery-Vidrovitch; Feminism; Feudalism; Germany: 1800-1945; Kotakowski; Labor; Marx; Marxist Interpretation; Nationalism; Niebuhr; Philosophy of History; Science; State; Urban Biography

Born Barmen near Wuppertal, Germany, 28 November 1820, son of a manufacturer. Had a commercial apprenticeship before settling in Manchester to manage family’s English holdings, 1842 -69; moved to London, 1869; private scholar and polemicist. Died London, 5 August 1895.

Principal Writings

With Karl Marx, “ Die deutsche Ideologic,” written 1845 -46; published in Historisch-kritische Gesamtausgabe: Werke, Schriften, Briefe, vol. 5, edited by David Rjazanov and V.V. Adoratskij, 1932; in English as The German Ideology, 1964 With Karl Marx, Die heilige Familie, oder Kritik der kritischen Kritik, 1845; in English as The Holy Family; or, Critique o f Critical Critique, 1956 Die Lage der arbeitenden Klasse in England, 1845; in English as The Condition o f the Working Class in England in 1844, 1887 Der deutsche Bauernkrieg, 1870; in English as The Peasant War in Germany, 1926 Der Ursprung der Familie, des Privateigenthums und des Staats, 1884; in English as The Origin o f the Family, Private Property, and the State, 1891 With Karl Marx, Collected Works, 1975 -

Further Reading

Bartel, Horst, and Walter Schmidt, “ Friedrich Engels zu einigen Grundproblemen der Geschichte des deutschen Volkes im 19.

Jahrhundert ” (Friedrich Engels on the Fundamental Problems of the History of the German People in the 19th Century), Jahrbuch der Geschichte 6 (1972) Wolf, Eric R., “The Peasant War in Germany: Friedrich Engels as Social Historian,” Science and Society 51 (1987), 82 -92 Zhukov, E.M., Engel’s i problemy istorii (Engels and the Problems of History), 1970

Enlightenment Historical Writing Many of the philosophes, the leading French intellectuals of the 18th century, disparaged much of the past: the Middle Ages for being barbaric, the age of the Reformation for being fanatical, and the reign of Louis XIV for its supposed obsession with gloire, and found that history could not provide the logical principles and ethical suppositions that were required to support the immutable laws they propounded. Despite the Enlightenment’s strong interest in the future, there was also an interest and sense of continuity with the past. Giambattista Vico (1668-1744), professor of rhetoric at Naples, emphasized the historical evolution of human societies in his La scienza nuova (1725; The New Science, 1948) and advanced a cyclical theory of history. In the German states historiographical traditions of imperial reform, imperial history, and Latin humanism were very much alive. The Sicilian cleric Rosario Gregorio (1753-1809) used scholarly methods to challenge false views of the medieval past of the island. In Sweden, Olof von Dalin (1708-63) wrote a scholarly history of his country which was commissioned by the Estates and refuted the Gothicist myths of Sweden’s early history. Sven Lagerbring (1707-87) introduced the criticism of source material into Swedish history. Voltaire (1694-1778) and Bolingbroke (1678-1751) pro pounded the notion of history as belles-lettres, of “philosophy teaching by example.” They did so to great commercial effect, reflecting the growth of a reading market interested in history. Authors wrote for a large and immediate readership, producing a clearly commercial product, in contrast to the classical model of history for the benefit of friends and a posthumous public. In 1731 Voltaire brought dramatic near-contemporary history to a huge readership, with his history of Charles XII receiving ten printings in its first two years. His works on Louis XIV and the war of 1741 were similarly successful. There was also a strong interest in the idea of an impartial enquiry into the past, and an emphasis on history as scholarship. Historical research was well developed in England where scholars studied both the Anglo-Saxon period and the more recent past, with the 17th century a particular focus of discussion and research. Many of the greatest historians were British. The Scottish cleric William Robertson (1721-93) acquired a European reputation with his works, which were praised by Catherine II, D ’Holbach, and Voltaire, and resulted in his election to academies in Madrid, Padua, and St. Petersburg. Robertson was a thorough researcher, noting in the preface to his History of the Reign o f Charles V (1769), “I have carefully pointed out the sources from which I have derived information.” The Scottish philosopher David Hume (1711-76) was best known

ENNEN

in his lifetime as the author of a History o f England (1754-62). The great critic of the French Revolution, Edmund Burke (1729-97), wrote an unpublished essay on English history (1757-60) which ascribed the development of human society to Providence’s role in providing suitable conditions. The greatest historical work of the century was Edward Gibbon’s The History of the Decline and Fall of the Roman Empire (1776-88). This was a work of ambition, range, and scholarship that had a very favorable critical and commercial reception. A master of irony, Gibbon offered an exemplary tale that explained the history of Europe until it reached its contemporary condition of multiple statehood and Italian decadence. He wrote in a clear, narrative form, and included interesting people and events, dramatic occurrences, and often theatrical details for the domestic reader. History as an exemplary tale was generally accepted because politics and morality were not differentiated, either on the individual or on the communal scale. As with other works of history of the period, Gibbon offered essentially a political account, and the notion of rulership, governance and political life as moral activities were such that history was seen in that light by Gibbon, other historians, and their readers. Morality served to provide both an instructive story and an enlightening approach to the complexity of the past. Je r e m y

Bl a c k

See also Gibbon; Hume; Vico; Voltaire

Further Reading

Black, John Bennett, The Art o f History: A Study o f Four Great Historians o f the Eighteenth Century, London: Methuen, and New York: Crofts, 1926 Bowersock, Glen Warren, John Clive, and Stephen R. Graubard, eds., Edward Gibbon and the Decline and Fall o f the Roman Empire, Cambridge, MA: Harvard University Press, 1977 Brumfitt, J.H., Voltaire: Historian, Oxford: Oxford University Press,

1958 Carrithers, David, “ Montesquieu ’s Philosophy of History,” Journal o f the History o f Ideas 47 (1986), 61 - 80 Forbes, Duncan, H um es Philosophical Politics, Cambridge and New York: Cambridge University Press, 1975 Gibbon, Edward, The History o f the Decline and Fall o f the Roman Empire, 6 vols., London: Strahan and Cadell, 1776 -88 Hume, David, History o f England, 6 vols., 1754 -62 Okie, Laird, Augustan Historical Writing: Histories o f England in the English Enlightenment, Lanham, MD: University Press of America, 1991 Phillipson, Nicholas, Hume, London: Weidenfeld and Nicolson, and New York, St. M artin ’s Press, 1989 Reill, Peter Hanns, The German Enlightenment and the Rise o f Historicism, Berkeley: University of California Press, 1975 Robertson, William, History o f the Reign o f Charles V: With a View o f the Progress o f Society in Europe, from the Subversion o f the Roman Empire, to the Beginning o f the Sixteenth Century, 3 vols., London: Strahan, 1769 Trevor-Roper, Hugh, “ The Historical Philosophy of the Enlightenment,” Studies on Voltaire and the Eighteenth Century 27 (1963), 1667 -87 Vico, Giambattista, La scienza nuova, 1725, revised 1730; in English as The New Science, Ithaca, NY: Cornell University Press, 1948 Wexler, Victor G., David Hume and the History o f England, Philadelphia: American Philosophical Society, 1979

Ennen, Edith

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1907 -

German constitutional, economic, and social historian Central to Edith Ennen’s historical work is the productive way she has combined constitutional history with economic and social history in her investigation of the Middle Ages. In Ennen’s studies of regional and urban history her sphere of interest frequently has extended as far as the 19th century. Ennen completed her PhD in 1933, under the supervision of Franz Steinbach: its subject was Die Organisation der Selbstverwaltung in den Saarstadten (The Organization of SelfGovernment in the Cities of the Saar), during the early modern period. This meant that she was closely connected with the Institut fiir Geschichtliche Landeskunde des Rheinlandes (Rhineland Institute for Regional History) at Bonn University during the early part of her academic career: this institute has recently been attacked for infiltrating German regional history with nationalist ideology. However, Ennen did not express volkisch or racist opinions like her colleague Franz Petri and did not join the NSDAP (the National Socialist Party), partly due to her strong Catholic beliefs. During the National Socialist period she stayed in the background, qualified as an archivist, and published small studies on specific questions relating to medieval and regional history. In 1974 she took up the position of town archivist in Bonn. Ennen’s first major work, Fruhgeschichte der europaischen Stadt (The Early History of the European City, 1953), represented an important step away from the earlier ideological climate of the Rhineland Institute. It is true that Ennen did start out with the question, much-debated in the 1930s and 1940s, of how far urbanization was a dangerous thing for a nation. However, in her detailed historical investigation of the origins of particular cities she clearly distanced itself from the view that the city was an unnatural phenomenon, emphasizing its superiority to the rural way of life. Ennen’s particular innovation in urban historical research was to introduce typological comparisons of various central European cities; she also used the geographic method, which had previously been employed mainly for research into dialects and popular traditions. This enabled her to progress beyond the doyens of urban history in the 1930s - Henri Pirenne, Fritz Rorig, and Hans Planitz - who had concentrated predominantly on investigating one particular urban type, as represented by the oldest German cities: the northwest European trading and industrial cities. Ennen was able to trace the origins of the earliest cities in northwest Europe using a group of clearly defined criteria: the construction of walls around the medieval merchant settlements, the spread of the term burgensis, the emergence of free districts, and weekly markets. Ennen observed that particular regions - especially the area between the Schelde, the Maas, and the Rhine, along with the Rhone-Saone region - were at the forefront of urban development, explaining this through their strategic location on the border of the Romance and Germanic cultures. Here, Mediterranean urban culture (which had survived from classical times despite mass migration) met the settlements of Germanic merchant culture with its cooperative style of organization, and this combination produced the characteristically medieval style of urban development. Ennen had produced preliminary studies for the Fruhgeschichte

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in the 1930s and 1940s. She was able to add a new perspective to the process of urbanization in the Germanic region and in Europe as a whole by setting it in the larger context of the development of advanced urban cultures, beginning in the Near East in the 7th millennium BCE. This innovative work brought her international recognition and established her reputation as an eminent urban historian. In 1961 Ennen was given a temporary professorship in Bonn. In 1964 she became a regular professor in Saarbriicken and in 1968 in Bonn. In 1962 she published Geschichte der Stadt Bonn (A History of the City of Bonn), in which she combined a series of smaller studies to form a rounded picture. She has retained close connections with the city of Bonn and with her home town of Merzig in the Saarland throughout her life. From 1968 until her retirement Ennen was director of the Rhineland Institute for Regional History and co-editor of the Rheinische Vierteljahresblatter (Rhineland Quarterly), which dated from 1932. She was also closely involved in the Rhineland urban atlas. In 1972 Ennen published Die europaische Stadt des Mittelalters (The Medieval Town, 1979), inspired by research during her work on the Friihgeschichte and by later discussions with colleagues. This work also brought her international acclaim. In it Ennen extended the geographical framework of her examination (previously limited to the cities of the Schelde, the Maas, the Rhineland, and northern Italy), in order to present a fuller, more complex picture of the urban landscape of Europe. This is still a key reference work for European urban history; it was translated and reprinted a number of times. Ennen devoted herself to her academic work with exceptional self-discipline and never married (her motto was aut liberif aut libri - either children or books); she continued her academic work after her retirement in 1974. In I 979> together with archaeologist Walter Janssen, she published Deutsche Agrargeschichte (German Agricultural History), extending from the neolithic age to the end of the 18th century; this work is notable for its interdisciplinarity, drawing on both archaeological and documentary sources. In the 1980s Ennen moved into a new field of enquiry. Her book Frauen im Mittelalter (Women in the Middle Ages, 1984) is a richly documented work; it did not, however, align itself with the emerging field of research into women’s historical studies. This reference work has also been translated into a number of languages and reprinted several times. Ennen is convinced of the layperson’s right to look to history for answers to the moral questions of their time, and she started out from the basic assumption that historians have something to say to their own age. Thus in her own works she discussed the negative developments associated with urbanization and traced the city-dweller’s ambivalent feeling towards the city back to classical times. In Ennen’s view an understanding of history is vital to enable us to take responsibility for our shared urban heritage. Ennen played an important part in developing the disciplines of urban and regional history in Germany after 1945, and it is in this area that her influence is most clearly apparent. Her students have become regional historians and archivists, although few of them (Klaus Fehn of Bonn, Walter Janssen of Wurzburg, and Franz Irsigler of Trier) have taken up university teaching posts. She has also had a lasting influence on the work

of historical societies and archives. A series of commemorative publications reflects the widespread appreciation of her work in both research and teaching. R it a

Gu d e r m a n n

Biography

Born Merzig, Saar, Germany, 29 October 1907, daughter of a doctor. Studied at University of Freiburg; University of Berlin; and with Franz Steinbach, receiving PhD, University of Bonn, 1933. Taught briefly in the Bonn Gymnasium, then archivist in Berlin, 1934 -47; and Bonn, 1947 -64; professor, University of Saarbriicken, 1964 -67; and University of Bonn, 1968 -74 (emeritus).

Principal Writings

Die Organisation der Selbstverwaltung in den Saarstadten vom ausgehenden Mittelalter bis zur Franzdsischen Revolution (The Organization of Self-Government in the Cities of the Saar), 1933 Fruhgeschichte der europaischen Stadt (The Early History of the European City), 1953 Geschichte der Stadt Bonn (A History of the City of Bonn), 1962 With D. Horoldt, Kleine Geschichte der Stadt Bonn (A Short History of the City of Bonn), 1967 Die europaische Stadt des Mittelalters, 1972; in English as The Medieval Town, 1979 With Walter Janssen, Deutsche Agrargeschichte: vom Neolithikum bis zur Schwelle des Industriezeitalters (German Agricultural History: From the Neolithic to the Industrial Age), 1979 Frauen im Mittelalter (Women in the Middle Ages), 1984

Further Reading

Besch, Werner et al., eds., Die Stadt in der europaischen Geschichte: Festschrift fur Edith Ennen (The City in European History: Festschrift for Edith Ennen), Bonn: Rohrscheid, 1972 Frau Professor Dr Edith Ennen zum 60. Geburtstag in dankbarer Verehrung dargebracht von ihren Schulern (To Edith Ennen on Her 60th Birthday, in Grateful Admiration from Her Students), Saarbriicken: University of Saarbriicken, 1967 Oberkrome, Willi, Volksgeschichte: methodische Innovation und volkische Ideologisierung in der deutschen Geschichtswissenschaft, 1918 - 1945 (National History: Methodological Innovation and Nationalist Ideology in German History, 1918 - 1945), Gottingen: Vandenhoeck & Ruprecht, 1993

Environmental History Although environmental history has emerged as a distinct historical field only since the late 1960s, it has a long ancestry. The idea that human society (and hence history) is profoundly affected by physical environment can be traced back at least as far as ancient Greece; ideas of climatic and geographical determinism were also widespread in 18th- and early 19thcentury Europe. Modern environmental history has, however, been shaped by the development of historical geography and agrarian history, by attempts to establish a more scientific base for history, and, since the 1960s, by growing concern about environmental degradation. Modern environmental history can also be understood as part of a wider reaction against an older history of nations, states and “great men and women.” Donald Worster argued in 1988 that environmental history operates at three different, but often interrelated, levels - the

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historical study of nature, the study of humans’ socio-economic interaction with the environment, and the environment as understood through changing ideas about nature. The first of these, sometimes described as “ecological history” in order to emphasize its grounding in the natural sciences, is concerned with the study of nature in both its organic and inorganic forms, and the ways in which specific environments or environmental factors functioned in the past and affected human activities. Thus, historians have investigated evidence for climatic change and its impact on vegetation, farming, and human health. Other scholars (notably Alfred W. Crosby) have examined the consequences of epidemic diseases and transoceanic plant and animal exchanges, especially in the wake of the first European voyages of discovery, or (as in the case of James C. Malin’s study of the North American grasslands) they have looked at the changing character and human uses of specific types of landscape over an extended time-period. While some of these studies focused on the complex ecologies of small areas, environmental history frequently operates on a grand scale, spanning continents and even encompassing the entire globe. This strand of environmental history has likewise emphasized the importance of “natural disasters,” such as volcanic eruptions and epidemics (like the Black Death of the 14th century), over which human beings had seemingly little control. Nature thus provides the essential dynamic for historical change. The second level Worster identified is more anthropocentric, seeing the environment as a realm of human activity and interaction. It focuses on how the forms of nature, such as soils, forests, seasons, diseases, and water resources shaped human modes of production and patterns of social organization, or how human beings changed the landscape according to their own needs and practices. Here environmental history is allied to agrarian history: the stress is generally in terms of an emerging symbiosis, worked out over many generations, between people and the places they inhabit. The work of the Annales school in France provides several examples of this approach, although the emphasis varies - Marc Bloch’s study of French rural history offers a less determinist approach than Fernand Braudel’s study La Mediterranee et le monde mediterraneen a Vepoque de Philippe II (1949; The Mediterranean and the Mediterranean World in the Age of Philip II, 1972) with its powerful plea for the geographical underpinning of human history, while Emmanuel Le Roy Ladurie’s discussion of the role of climate in history forcefully contests the claims of more crudely deterministic writers on the subject. Worster’s third category identified the historical study of the environment with human beliefs and perceptions, and aligned environmental history with the history of ideas rather than with the natural sciences. This approach emphasizes how environments are understood or represented at different points in time or from different cultural perspectives. This form of environmental history is exemplified by the work of Clarence J. Glacken, who traced ideas about the natural world in European thought from the ancient Greeks to the late 18th century. Controversy has, however, raged mainly around what Lynn White in 1967 called the “ historic roots of our present ecologic crisis.” He argued that the Judeo-Christian tradition had shown an exceptional hostility towards nature, believing firmly in the divinely ordained subordination of nature to humankind. Other writers

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have rejected this claim as far too sweeping and have sought to place responsibility for changing attitudes elsewhere, for instance (in the case of Carolyn Merchant) in the Scientific Revolution of the 17th century. White’s suggestion that other cultures were more empathetic toward nature has helped to give rise to an often stark dichotomy between Western exploitation and aggression, and the protective and sustainable environmental practices of non-Western cultures. Historical studies of the non-Western world have sometimes supported this view, but others have pointed to a discrepancy between cultural precepts and environmental practices. The best environmental history (like William Cronon’s masterly Changes in the Land, 1983) has succeeded in combining at least two of these strands, using the perceptual to inform the material, or has shown the contrast between different sets of cultural values and conflicting or alternative uses of the environment. But as environmental history has developed a number of areas of controversy have emerged, often arising from the use of very different kinds of sources or methodological approaches. By concentrating almost exclusively on biological or climatic factors, some historians have produced a strongly deterministic history, which identified the role of conscious human agency as secondary to the forces lying largely beyond human control. Other historians have contested this line of argument, either because the evidence is inconclusive or because monocausal explanations are deemed inadequate for complex historical phenomena. A second point of contention relates to the extent to which a present-day sense of global environmental crisis can be read back into the past. Overturning old ideas of a developing and largely creative symbiosis with nature, some recent writers, such as Clive Ponting, have seen virtually the whole of human history as a tale of environmental degradation. Others have taken a far less pessimistic position, arguing instead that environmental history provides many examples of successful and sustainable relationships between people and their environment, and that environmental catastrophe is a very recent concept which should not be allowed to distort our understanding of the past. Da v id

Ar n o l d

See also Annales School; Brazil; Chevalier; Corbin; Crosby; Curtin;

Ecology; Freyre; Historical Geography; Le Roy Ladurie; Malin; Merchant; Semple; World; Worster Further Reading

Bloch, Marc, Les Caracteres originaux de Vhistoire rurale frangaise, Oslo: Aschehoug, and Cambridge, MA: Harvard University Press, 1931; in English as French Rural History: An Essay on Its Basic Characteristics, Berkeley: University of California Press, and London: Routledge, 1966 Braudel, Fernand, La Mediterranee et le monde mediterraneen a Vepoque de Philippe II, 2 vols., Paris: Colin, 1949, revised 1966; in English as The Mediterranean and the Mediterranean World in the Age o f Philip II, 2 vols., London: Collins, and New York: Harper, 1972.-73 Bruun, Ole, and Arne Kalland, eds., Asian Perceptions o f Nature: A Critical Approach, Copenhagen: Nordic Institute of Asian Studies, 1992; Richmond, Surrey: Curzon, 1995 Cronon, William, Changes in the Land: Indians, Colonists, and the Ecology o f N ew England, New York: Hill and Wang, 1983

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Crosby, Alfred W., Jr., The Columbian Exchange: Biological and Cultural Consequences o f 1492, Westport, CT: Greenwood Press, 1972 Crosby, Alfred W., Jr., Ecological Imperialism: The Biological Expansion o f Europe, 900 - 1900, Cambridge and New York: Cambridge University Press, 1986 Glacken, Clarence J., Traces on the Rhodian Shore: Nature and Culture in Western Thought from Ancient Times to the End o f the Eighteenth Century, Berkeley: University of California Press, 1967 Le Roy Ladurie, Emmanuel, Histoire du climat depuis Van mil, Paris: Flammarion, 1967; in English as Times o f Feast, Times o f Famine: A History o f Climate since the Year io o d , Garden City, NY: Doubleday, 1971, London: W.H. Allen, 1972 Le Roy Ladurie, Emmanuel, Le Territoire de Vhistorien, 2 vols., Paris: Gallimard, 1973 -78; selections in English as The Territory o f the Historian, Brighton: Harvester Press, and Chicago: University of Chicago Press, 1979, and as The Mind and Method o f the Historian, 1981 McNeill, William H., Plagues and Peoples, Garden City, NY: Doubleday, 1976; Oxford: Blackwell, 1977 Malin, James C., The Grassland o f North America: Prolegomena to Its History, Lawrence, KS: Malin, 1947 Merchant, Carolyn, The Death o f Nature: Women, Ecology, and the Scientific Revolution, San Francisco: Harper, 1980 Nash, Roderick, Wilderness and the American Mind, New Haven: Yale University Press, 1967 Pepper, David, The Roots o f Modern Environmentalism, London: Croom Helm, 1984 Ponting, Clive, A Green History o f the World: The Environment and the Collapse o f Great Civilizations, London: Sinclair Stevenson, 1991; New York: St. M artin ’s Press, 1992 Post, John D., The Last Great Subsistence Crisis in the Western World, Baltimore: Johns Hopkins University Press, 1977 Rotberg, Robert I., and Theodore K. Rabb, eds., Climate and History: Studies in Interdisciplinary History, Princeton: Princeton University Press, 1981 White, Lynn, Jr., “The Historical Roots of Our Ecologic Crisis,” Science 155 (1967), 1203 -07 Worster, Donald, Nature's Economy, Cambridge and New York: Cambridge University Press, 1977; 2nd edition 1994 Worster, Donald, “ Doing Environmental History,” in Donald Worster, ed., The Ends o f the Earth: Perspectives on Modern Environmental History, Cambridge and New York: Cambridge University Press, 1988

Erikson, Erik H. I902-I994 US (German-born) psychohistorian The use of Freudian psychology in historical writing dates from shortly after the turn of the 20th century. Psychoanalysts and historians alike recognized the strong lines of continuity in research, analysis, and narrative creation that the two fields share. Yet as late as the 1950s a theoretical foundation for and concrete examples of psychohistory were lacking. Erik H. Erikson’s life cycle theory, provided the theoretical anchors, and his psychobiographical works the examples needed for the field of psychohistory. His work reached a wide public audience and influenced several generations of historians. The common currency of terms such as “identity” and “ identity crisis” is testimony of his profound influence on our self-understanding. Revived historical focus on the importance of identity and of childhood and adolescent experiences continues to evoke

Erikson’s vision and testifies to his continued influence on conceptualizations of the past. Erikson’s psychoanalytic clinical work, begun under Anna Freud in Vienna after 1927, permitted him insight into the dynamics of growing up and growing old which he brought to his historical work. In Childhood and Society (1950) he expanded Freud’s psychosexual stages of development from three (oral, anal, phallic) to eight. Each of these stages represents a set of emotional and developmental challenges strongly influenced by history and culture that continue into old age. The successful resolution of the crisis in which each stage culminates constitutes personality development and permits an individual to grow and contribute. Erikson categorized each of his eight stages on a spectrum which needed exploration and balance for an individual to avoid dysfunction: 1) infancy: trust versus mistrust; 2) early childhood: autonomy versus shame and doubt; 3) preschool: initiative versus guilt; 4) school age: industry versus inferiority; 5) puberty: identity versus identity confusion; 6) young adulthood: intimacy versus isolation; 7) middle adulthood: generativity versus stagnation; and 8) late adulthood: integrity versus despair. Stage five, puberty, is the source of our common understanding of the term “ identity crisis.” In Young Man Luther (1958), Erikson defined these crises as prod ucts of a lifelong psychosocial process: “At a given age, a human being, by dint of his physical, intellectual and emotional growth, becomes ready and eager to face a new life task, that is, a set of choices and tests which are in some traditional way prescribed and prepared for him by his society’s structure. A new life task presents a crisis whose outcome can be a successful graduation, or alternatively an impairment of the life cycle . . . each crisis lays one more cornerstone for the adult personality.” In his major psychobiographies, Young Man Luther and Gandhi's Truth (1969), Erikson used this paradigm to explicate the origins of Luther’s and Gandhi’s behavior and beliefs. An additional Eriksonian contribution to historical thought was the clinical observation that historians have affective relationships with their material. Known as countertransference in psychoanalytic terminology, the awareness of one’s own emotional state and the acceptance of the necessity of coming to terms with the implications of that relationship upon scholarly work create a context in which historical work is simultaneously more accurate, enriching, and human. Erikson’s “A Personal Word” to Gandhi (and his readers) in Gandhi's Truth is an emulated model of self-disclosure, reflection, and insight. Emigrating to the United States on Hitler’s assumption of power in 1933, Erikson obtained a university professorship without formal academic training on the strength of his psychoanalytic theories. In a 1942 article of historical interest, “Hitler’s Imagery and German Youth,” Erikson applied his nascent ideas as a contribution to wartime psychology. He achieved some notoriety in 1950 when he resigned from, and was subsequently reinstated by court order to, the Berkeley campus of the University of California on account of the institution of system-wide loyalty oaths which Erikson refused to sign. The popularity of his biographies (Gandhi's Truth won the Pulitzer prize) spread his ideas widely. A reviewer later commented that “Erikson is probably the closest thing to an intellectual hero in American culture today.” The complexities of his own family background gave Erikson a particular sensitivity to social margins. The biological son of a

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Danish father and a Danish-Jewish mother, but raised as the son of a German-Jewish pediatrician (Homburger), Erikson struggled with and researched religious belief intensely. Collaborating with anthropologists Scudder Mekeel (researching Sioux Native American children) and Alfred Kroeber (working with the Yurok Native Americans of northern California), Erikson became sensitized to anthropological perspectives of the individual, the family, and society. From these experiences he drew the conclusion that although cultural forms of institutions may vary, they nonetheless bear remarkable similarities by virtue of their function as social mitigators of personality development. “It would seem almost self-evident,” Erikson wrote in Life History and the Historical Moment (1975) “how the concepts of ‘identity’ and ‘identity crisis’ emerged from my personal, clinical, and anthropological observations.” Erikson’s historical analyses remain influential in no small part because of his awareness of the psychosocial origins of his work. D av

id

D. Le e

See also Freud; Gay; Mentalities; Nietzsche Biography

Erik Homburger Erikson. Born Frankfurt, Germany, 15 June 1902; emigrated to US, 1933; naturalized 1939. Graduate, Vienna Psychoanalytic Clinic, 1933; studied with Anna Freud and at Harvard Psychological Clinic. Practicing psychoanalyst, 1933 -94 Teacher and researcher: Harvard University School of Medicine, 1934 - 35; Yale University School of Medicine, 1936 -39; University of California, Berkeley, 1939 -50; Austen Riggs Center, Stockbridge, Massachusetts, 1951 - 60; Harvard University, 1960 - 70 (emeritus). Married Joan Mowat Serson, 1930 (3 children). Died Harwich, Massachusetts, 12 May 1994.

Principal Writings

“Hitler ’s Imagery and German Youth,” Psychiatry 5 (1942), 475 - 95 Childhood and Society, 1950; revised 1963 Young Man Luther: A Study in Psychoanalysis and History, 1958 Identity and the Life Cycle, 1959 Insight and Responsibility: Lectures on the Ethical Implications o f Psychoanalytic Insight, 1964 Identity: Youth and Crisis, 1968 Gandhi's Truth: On the Origins o f Militant Nonviolence, 1969 Life History and the Historical Moment, 1975 The Life Cycle Completed: A Review, 1982 With Joan M. Erikson and Helen Q. Kivnick, Vital Involvement in Old Age, 1986

Further Reading

Albin, Mel, ed., N ew Directions in Psychohistory: The Adelphi Papers in Honor o f Erik H. Erikson, Lexington, MA: Lexington Books, 1980 Capps, Donald, Walter H. Capps, and M. Gerald Bradford, eds., Encounter with Erikson: Historical Interpretation and Religious Biography, Missoula, MT: Scholars Press, 1977 Coles, Robert, Erik H. Erikson: The Growth o f His Work, Boston: Little Brown, 1970 Evans, Richard I., Dialogue with Erik Erikson, New York: Harper, 1967 Roazen, Paul, Erik H. Erikson: The Power and Limits o f a Vision, New York: Free Press, 1976 Wallulis, Jerald, The Hermeneutics o f Life History: Personal Achievement and History in Gadamer, Habermas, and Erikson, Evanston IL: Northwestern University Press, 1990

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Wright, J. Eugene, Jr., Erikson, Identity; and Religion, New York: Seabury Press, 1982 Zock, Hetty, A Psychology o f Ultimate Concern: Erik H. Erikson ’s Contribution to the Psychology o f Religion, Amsterdam: Rodopi, 1990

Ethnicity and “Race” Ethnicity is a fundamental feature of human history: there may be as many as 1800 ethnic groups in Africa alone. Ethnic and “race” groups are characterized both by “environmental” differences - such as language, religion, territory, and popular memory - and by differences in their biology, such as their physical appearance, genetic pool, and epidemiological characteristics. Almost by definition historians have favored the “environmental” interpretation of ethnicity over the “genetic” alternative. The classic nature/nurture debate in the area of “race” and ethnicity greatly revolves around the kinds of evidence the protagonists are willing to use, and since historians mostly employ social and individual data they are far more inclined to emphasize human agency and free will. This is at the expense of the more social-scientific considerations emphasized by sociobiologists such as Pierre van den Berghe. Although it is clear that “race” exists as an important linguistic category in the discourse of most people, professional historians, especially in the United States, have tended not to write about “race” as a category of people in the postwar period. (The term “race,” however, continues to be used less ashamedly in postwar Britain and Europe.) Although racism existed in classical antiquity, there was no systematic treatment of “race” until the Enlightenment. “Race” first appeared as an intellectual category in the work of Johann Friedrich Blumenbach in the 1780s, was a powerful explanatory tool in the 19th century, and then was downplayed when the terrible events of the Holocaust became widely known. Racism is now understood to be a cultural construct, an extreme form of the differentiation to which people resort when trying to explain social life. Another set of categories which provide the framework for historical debate include “nations,” “peoples,” and “tribes,” each carrying heavy political baggage. The technical term “ Creole” has been popularized by Benedict Anderson to denote the ruling immigrant group, such as the Anglo Americans. (This is the opposite of its vernacular meaning.) There is also a subcategory of ethnic groups known as the “caste,” a form of enforced ethnicity. In certain societies (notoriously India) people are obliged to remain within fixed, and quite official, ethnic groupings. Partha Chatterjee’s The Nation and Its Fragments (1993) is the most recent work to explore this subject. Pierre van den Berghe has attempted to extend the concept of “caste” to (pre-Mandela) South Africa and to the United States. Since ethnicity has much to do with naming (and being named by others), the work of Virginia Dominguez is significant and theoretically useful. This Cuban anthropologist first came to notice with her study of “ Creole Louisiana” in White by Definition (1986), while the language of ethnic differentiation in contemporary Israel is the theme of her People as Subject, People as Object (1989).

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Historical arguments thus come down to a series of interesting debates. The importance of these historical debates obviously varies from one country to the next, but the views of historians in the shaping of public opinion are arguably more influential on this topic than on many others. After all, appeals to “history” are fundamental to many of the debates around “ race” and ethnicity. The most pressing of these are those with direct policy implications for the United States, and many of the historiographical contours of ethnic history have been shaped by US discussions. Such is the strength of national boundaries, however, that insights from one area of study are not always historiographically obvious in another, even in studies of the same groups of people viewed at different stages of their migration process. The outstanding example of this myopic tendency is that of the European groups who made up the immigrant minorities in the United States: only late in their history, from the 1980s, were they understood to have a premigration experience, a life before Ellis Island. For most of the 20th century, the world’s most powerful (and pluralist) nation saw itself as a large “melting pot.” Israel Zangwill’s influential American play, The Melting-Pot (1909) coincided with the major inquiry by the Immigration Commission on the history and future prospects of immigration into the United States. Then followed World War I and the passing of the Quota Laws, severely restricting immigration into the US. At this moment of intense “Americanization” appeared the first two recognizably professional historical accounts of the “ new immigrants” : Robert Foerster’s fine study of the Italians, and the epic story of the Polish peasantry offered by William Thomas and Florian Znaniecki. Both works swam against the tide of American public policy, however, and it was not until the work of Marcus Lee Hansen and Oscar Handlin in the 1940s that immigration history again resurfaced as an important theme. Handlin, Brooklyn-bred himself and one of the first Jews to make it at Harvard, wrote a lyrical masterwork, The Uprooted, (1951), which took Thomas and Znaniecki’s work to a higher level. Hansen devised the “ Law” that perpetuates his name: that while the children of the immigrants would do all they could to deny their ancestry, the third generation would be just as anxious to rediscover their ethnic roots. Hansen’s Law explains the huge growth in interest among hyphenate Americans in their past, especially during the 1960s. The anchor to this work was a remarkable paper given at Stockholm in i960 by Frank Thistlethwaite, who placed “the Atlantic crossing” at the center of modern history. The “ethnic revival” historiography is best reflected in the work of John Bodnar, Raymond Breton, Dino Cinel, Donna Gabaccia, Jon Gjerde, Tamara Hareven, Robert Harney, Michael La Sorte, Stephan Thernstrom, and Rudolph Vecoli. Despite important differences within this group, these historians were linked by an interest in “history from the bottom up,” by the use of the “chain migration” tool crafted by Australian demographers influenced by Charles Price, by a tendency to see their subjects as “migrants” (again an Australian term) rather than “emigrants” or “immigrants,” by a focus on the “placemaking” process through which groups constructed their own settlements, and, most assuredly, by a rejection both of the earlier simple push-pull models beloved by economic historians and of the filiopietistic historiography common among amateur ethnic historians. So Breton spoke of “institutional

completeness” to describe the reconstruction of ethnic folkways in a new setting, and Harney adopted the Italian word amhiente to connote the application of this principle in the case of Little Italies. Bodnar pointed to the stubborn survival of ethnic and class identities in the New World, and argued that these immigrants were “the transplanted” rather than “the uprooted.” Cinel showed that there was an unconscious replication of traditional Italian settlement patterns on the other side of the world when the contadini settled in San Francisco. Tamara Hareven’s study of French Canadians in the New England mill town Amoskeag examined the relationship between immigrant kinship patterns and the strictures of industrial discipline. La Sorte undertook a group biography of “greenhorn” Italo Americans based on six autobiographies and a diary. Kerby Miller used a Gramscian notion of cultural hegemony to demonstrate the persistence among Irish Americans of “ holy Ireland,” a sentimental version of their ethnic roots. The major collective product of this “ethnic revival” school was the Harvard Encyclopedia of American Ethnic Groups (1980), drawn together by Thernstrom. It contains 106 group entries, ranging from “Afro-Americans” and “Italians” to “Yankees,” and 29 thematic essays, such as “American identity and Americanization.” Ethnic history in the US has registered significant methodological progress. Much of the earlier work was based on qualitative material, such as the letters of immigrants that feature in Charlotte Erickson’s Invisible Immigrants (1972). Quantitative evidence became more common: an early example was E.R Hutchinson’s Immigrants and Their Children (1956), which made use of the US national censuses of 1910, 1920, and 1950. Thernstrom ’s The Other Bostonians (1973) took the quantitative method to a new level, with long-run time-series data drawn from several sources. This quantitative approach was criticized for its apolitical tendency, and a more balanced style followed. The “ethnic revival” school was influential outside North America, as evidenced in Robert Pascoe’s 1987 study of Italians in Australia. The pressure for “ethnic revival” history coincided with the entry of minority students into the mass university system of North America. Many universities and colleges introduced a major in Ethnic Studies (or some variant). Numerous museums and specialist libraries began actively to collect materials, especially in Toronto (Multicultural History Society of Ontario), New York (Center for Migration Studies), Philadelphia (Balch Institute), Minneapolis (Immigration History Center), and Rome (Centro Studi Emigrazione). By the 1990s there were at least 58 scholarly journals in North America specializing in the field, and a section of H-Net on the Internet devoted to Ethnic History, and several specialist websites based around the history of particular groups. During the 1980s and 1990s, historians of the blacks and the new immigrant groups, particularly the Hispanics, adopted many of the techniques and methods of the older ethnic historians in order to write their own histories. This later work is generally more political, and more directly confronts racism. Racism is coming to be seen as linked to slavery, that “peculiar institution,” central to American history, but of ancient origins. Indeed, one way to understand the difference between an ethnic group and a “ race” is to say that a race is denied a heritage by those who define a subordinate group in their midst as a “race.” Nowhere is this truer than in the case of

ETHNICITY AND

slaves. As Orlando Patterson showed, the “social death ” in slavery is the condition of “natal alienation,” the genealogical isolation of those who became slaves. This was a more fundamental fact than color or religious difference, and also explained the genocidal effect of removing indigenous people from their families (as was common in Australia) or from land associated with ancestors (as evident in North America). Patterson defined slavery as “the permanent, violent domination of natally alienated and generally dishonored persons.” It logically follows that slaves could have no ethnicity, by definition, and Patterson’s analysis of the dozens of slaveholding societies revealed that slaves were therefore never defined as “outcast” or belonging to a subordinate “caste.” Slavery has been far more common that most imagine: at the time of Domesday Book in England (1086), for instance, 21 per cent of the Cornish were slaves, and even indigenous peoples owned slaves. But endoservitude was relatively uncommon, because people are far less likely to enslave others of their own ethnicity: this after all goes back to Patterson’s definition of slavery, natal alienation. The biological differences that gave credibility to racism were by-products of slavery, for slaves have usually been distinguished by bodily aspects; even when their skin color was not black, slaves were branded, tattooed, had their hair shorn, or their ears cropped. The levels of racism among white-immigrant groups from Europe with regard to indigenous African and Hispanic peoples in the North American case (and Asian people in the Australian case) may be linked to their own experiences of racism. When that racism comes to be regarded as normative, it can be “passed along,” and atrocious behavior excused as “normal.” But contests over land-use are the more fundamental difficulty, and local studies such as that by William Cronon in New England illustrate the enormous environmental changes that result from the imposition of new land-use practices brought about by settlers. Ethnic history moved during the 1980s into a set of larger questions. What is the relationship between ethnic minorities and the state? What is the historical experience of these minorities in older societies (such as Europe) compared with the six “Anglo fragment societies” (United States, Australia, South Africa, Rhodesia, New Zealand, Canada)? Is the Iberian experience fundamentally different? How valid is the concept of “internal colonization” (Hechter) in explaining the making of societies such as the United Kingdom? Where does “national identity” come from? Is ethnic heritage merely a social construct, “an invention of tradition,” or is there more to it than that? Does the policy of cultural diversity assist in the process of decolonization? Or is it merely a new form of exploitation carried out by the Creole elite on an unsuspecting pluralist population? Instead of understanding debates about distant ethnicity as merely filiopietistic and the province of amateur historians making a special case for their ancestors, professional historians have become more interested in the question conceptualized by Anthony D. Smith as The Ethnic Origins of Nations (1986). The senior American historian Bernard Bailyn’s later work on the ethnicity of early America can be seen in this same light, linking immigrant aspiration to national development. Bodnar’s Remaking America (1992) offered an interesting account of different ways in which the American past

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has been commemorated by social and ethnic groups. Bodnar described the problem as one of “collective memory.” A comparable analysis of ethnic festivals based on work such as Orsi’s study of Italian Harlem would be invaluable. According to Benedict Anderson, the precondition for the modern nation was the development of print technology, which assembled the readership of books and newspapers as members of an “ imagined community.” The model of nation-state which proved successful was the American one, copied throughout Latin America and (later) Asia and Africa. The American “people,” as they were called in the Declaration of Independence, had become a “nation ” 13 years later in the US Constitution. These Creole wars of independence, argues Anderson, were caused as much by a fear of indigenous and slave rebellions as by a desire to oust the colonial power. Magnus Morner agreed with Anderson that the emergence of the state in Latin America was precocious. Ethnic groups were fundamental to the emergence of the nation-state in Latin America, either in the wishful albeit futile legislation of the Spanish metropole that restricted areas of Mexico to nonindigenous people, the same policy as the Jesuits in the border country of Venezuela, or in the dramatic impact of Italian and Spanish immigrants throughout Argentina. Whether there was an exact moment of nationalism’s appearance is debated among historians: Benedict Anderson contended that it dated to the American Revolution, while Anthony D. Smith saw it as much more incremental. His National Identity (1991) took the ideas of his earlier work forward into the modern period. Smith defined the modern nation as “a named human population sharing an historic territory, common myths and historical memories, a mass, public culture, a common economy and common legal rights and duties for all members.” This definition suggests a variety of combinations with other kinds of identity - class, religious, or ethnic, for the nation is above all multidimensional. In this respect the nation is more complex than the state, which refers to those public institutions that are separate from civil society. The nation’s specifically ethnic aspects (and origins) soon recede from view. There is thus an intrinsic conflict between nationalism and minority ethnicity. Martin Thom, in Republics, Nations and Tribes (1995), posited an interesting variant of this thesis, that there was a step in the formation of the nationstate associated with the European city-state, which deserves analysis in its own right. An important counterpoint to the nationalist paradigm in history-writing is the situation of minorities whose claim to a history extends across national boundaries. Prominent examples are the Chinese dispersed through Southeast Asia and the Jews across several continents. As Abeyashere explains, the Dutch ruled Batavia (Jakarta) by parcelling each indigenous and immigrant group into its own kampung (neighborhood), a pattern of ethnic classification also favored in other parts of Asia. The history of the Jews has often been trivialized down to the level of “middlemen minorities” (to use the phrase of Pierre van den Berghe), a category also used to describe the Lebanese in West Africa, Indians in East Africa, and the Chinese in Southeast Asia. These groups must be understood as having a reality larger than their specialized economic function, even though it is that “ shopkeeper” position which makes them a visible and vulnerable minority. Nanyang (overseas) Chinese are

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the subject of Victor Purcell’s and of Charles Coppell’s works. Broadly, there is a growing literature on ethnic minorities in Asia, such as the minorities in the People’s Republic of China. There has been a resurgence among the ethnic minorities of China, officially 55 in number, during the 1980s and 1990s, largely as a reaction to the excesses of the Han majority during the Cultural Revolution. The process is described by Colin Mackerras. Stevan Harrell theorizes the Han treatment of the minorities as a “civilizing project,” and compares it to earlier programs of integration carried out by the Confucians and the Christians. This discussion may be usefully concluded by a consideration of Eastern Europe, for it is the latest battleground in which these endless debates around ethnicity and “race” are being fought out. Here all the themes come together to produce a series of terrible confrontations. For outsiders, the people of Eastern Europe might appear to be relatively homogenous in appearance (“race” ), but they are incompatibly divided by territorial association, language, religion, and the self-perpetuating grudges born of a torrid history. The practice of naming others as belonging outside one’s own group has encouraged the genocidal practice of “ethnic cleansing” common to this region. The apparently innocent name of “Macedonia” has generated violent reactions on the Greek border, a conflict that has spread to Macedonian emigre communities in Canada and Australia. As Lorig Danforth explains, appeals to history remain central to these debates. Curiously, however, the word “ethnicity” here takes on the pejorative overtones usually associated with “ race,” and the most innocent readings of an “ethnic history” in this region become overburdened by political considerations. On particular occasions during the 20th century, the region has reverberated with the forced removal of specific populations from one country to another, producing “natal alienation” for thousands of people. Populations have also been forbidden to speak particular languages. Victims of such policy are not literally slaves, but are certainly conscripts for the ongoing ethnic wars. The failed nations of the region, especially the entity known as Yugoslavia, can be explained historically as societies that were impossibly compromised by their ethnic makeup. A nation such as modern Greece requires powerful “dream -work” , that is, it has to be imagined into existence, according to Stathis Gourgouris. The American model of nation-building has proved to be inapplicable to many parts of the world, including Eastern Europe, where perhaps the intervening stage of the city-state has kept the full development of nationalism in check. After all, cities like Skopje, Thessaloniki, Zagreb, and Sarajevo exercise a powerful but localized hegemony and do not readily coalesce into nations. Ro be r t

Pa s c o e

See also Agrarian; Anthropology; Balkans; Bock; Cultural; Indige-

nous; Labor; Nationalism; Slavery: Modern; Social; South Africa; Sugar; United States: 19th Century; United States: 20th Century Further Reading

Abeyashere, Susan, Jakarta: A History, Singapore: Oxford University Press, 1987 Anderson, Benedict, Imagined Communities: Reflections on the Origin and Spread o f Nationalism, London and New York: Verso, 1983; revised 1991

Bailyn, Bernard, The Peopling o f British North America: An Introduction, New York: Knopf, and London: Tauris, 1986 Blumenbach, Johann Friedrich, The Anthropological Treatises (includes “ On the Natural Variety of M ankind ” ), edited by Thomas Bendyshe, London: Longman, 1865 (German original 1775, 1795) Bodnar, John, Immigration and Industrialization: Ethnicity in an American Mill Town, 1870 - 1940, Pittsburgh: University of Pittsburgh Press, 1977 Bodnar, John, Remaking America: Public Memory; Commemorationy and Patriotism in the Twentieth Century, Princeton: Princeton University Press, 1992 Breton, Raymond, and Pierre Savard, eds., The Quebec and Acadian Diaspora in North America, Toronto: Multicultural History Society of Ontario, 1982 Chatterjee, Partha, The Nation and Its Fragments: Colonial and Postcolonial Histories, Princeton: Princeton University Press, 1993 Cinel, Dino, From Italy to San Francisco: The Immigrant Experience, Stanford, CA: Stanford University Press, 1982 Coppel, Charles, Indonesian Chinese in Crisis, Kuala Lumpur: Oxford University Press, 1983 Cronon, William, Changes in the Land: Indians, Colonists, and the Ecology o f N ew England, New York: Hill and Wang, 1983 Danforth, Loring M., The Macedonian Conflict: Ethnic Nationalism in a Transnational World, Princeton: Princeton University Press, 1995 Davis, Arthur Paul, From the Dark Tower: Afro -American Writers, 1900 - 1960, Washington, DC: Howard University Press, 1974 Dominguez, Virginia R., White by Definition: Social Classification in Creole Louisiana, New Brunswick, NJ: Rutgers University Press, 1986 Dominguez, Virginia R., People as Subject, People as Object: Selfhood and Peoplehood in Contemporary Israel, Madison: University of Wisconsin Press, 1989 Erickson, Charlotte, ed., Invisible Immigrants: The Adaptation o f English and Scottish Immigrants in Nineteenth -Century America, London: London School of Economics /Weidenfeld and Nicolson, and Coral Gables: University of Miami Press, 1972 Foerster, Robert Franz, The Italian Emigration o f Our Times, Cambridge, MA: Harvard University Press, 1919 Gabaccia, Donna R., From Sicily to Elizabeth Street: Housing and Social Change among Italian Immigrants, 1880 - 1930, Albany: State University of New York Press, 1984 Gjerde, Jon, From Peasants to Farmers: The Migration from Balestrand, Norway; to the Upper Middle West, Cambridge and New York: Cambridge University Press, 1985 Gourgouris, Stathis, Dream Nation: Enlightenment, Colonization, and the Institution o f Modern Greece, Stanford, CA: Stanford University Press, 1996 Handlin, Oscar, The Uprooted: The Epic Story o f the Great Migrations That Made the American People, Boston: Little Brown, 1951, revised 1973; as T/?e Uprooted: From the Old World to the New London: Watts, 1953 Hansen, Marcus Lee, The Atlantic Migration, 1607 - 1860: A History o f the Continuing Settlement o f the United States, Cambridge, MA: Harvard University Press, 1940 Hareven, Tamara, Family Time and Industrial Time: The Relationship Between the Family and Work in a New England Industrial Community, Cambridge and New York: Cambridge University Press, 1982 Harney, Robert F., and J. Vincenza Scarpaci, eds., Little Italies in North America, Toronto: Multicultural History Society of Ontario, 1981 Harrell, Stevan, ed., Cultural Encounters on China ’s Ethnic Frontiers, Seattle: University of Washington Press, 1994 Hartz, Louis, ed., The Founding o f New Societies: Studies in the History o f the United States, Latin America, South Africa, Canada, and Australia, New York: Harcourt Brace, 1964 Hechter, Michael, Internal Colonialism: The Celtic Fringe in British National Development, 1336 - 1966, London: Routledge, and Berkeley: University of California Press, 1975

E T H N O H I ST OR Y

Holloway, Thomas H., Immigrants on the Land: Coffee and Society in Sao Paulo, 1886 - 1934, Chapel Hill: University of North Carolina Press, 1980 Hutchinson, Edward Prince, Immigrants and Their Children, 1830 - 1950, New York: John Wiley, and London: Chapman and Hall, 1956 La Sorte, Michael, La Merica: Images o f Italian Greenhorn Experience, Philadelphia: Temple University Press, 1985 MacDonald, John S., and Leatrice MacDonald, “ Chain Migration, Ethnic Neighborhoods and Social Networks,” Millbank Memorial Fund Quarterly 42 (1962), 82 - 97 Mackerras, Colin, China ’s Minority Cultures: Identities and Integration since 1912, Melbourne: Longman, and New York: St. M artin ’s Press, 1995 Martellone, Anna Maria, Una Little Italy nelVAtene d ’America: la comunita italiana di Boston dal 1800 al 1920 (A Little Italy in the Athens of America: The Italian Community of Boston, 1800 - 1920), Naples: Guida, 1973 Miller, Kerby A., Emigrants and Exiles: Ireland and the Irish Exodus to North America, New York and Oxford: Oxford University Press, 1985 Morner, Magnus, Region and State in Latin America ’s Past, Baltimore: Johns Hopkins University Press, 1993 Orsi, Robert Anthony, The Madonna o f 115th Street: Faith and Community in Italian Harlem, 1880 - 1950, New Haven and London: Yale University Press, 1985 Pascoe, Rob, Buongiorno Australia: Our Italian Heritage, Melbourne: Greenhouse, 1987 Patterson, Orlando, Slavery and Social Death: A Comparative Study, Cambridge, MA: Harvard University Press, 1982 Piore, Michael J., Birds o f Passage: Migrant Labor and Industrial Society, Cambridge, MA: Cambridge University Press, 1979 Purcell, Victor, The Chinese in Southeast Asia, Oxford and New York: Oxford University Press, 1951 Scobie, James R., Revolution on the Pampas: A Social History o f Argentine Wheat, 1860 - 1910, Austin: University of Texas Press, 1964 Smith, Anthony D., The Ethnic Origins o f Nations, Oxford: Blackwell, 1986 Smith, Anthony D., National Identity, London: Penguin, and Reno: University of Nevada Press, 1991 Smith, Judith E., Family Connections: A History o f Italian and Jewish Immigrant Lives in Providence, Rhode Island, 1900 - 1940, Albany: State University of New York Press, 1985 Solberg, Carl E., Immigration and Nationalism: Argentina and Chile, 1890 - 1914, Austin: University of Texas Press, 1970 Solomon, Barbara Miller, Ancestors and Immigrants: A Changing New England Tradition, Cambridge, MA: Harvard University Press, 1956; reprinted Chicago: University of Chicago Press, 1972 Thernstrom, Stephan, The Other Bostonians: Poverty and Progress in the American Metropolis, 1880 - 1970, Cambridge, MA: Harvard University Press, 1973 Thernstrom, Stephan, ed., Harvard Encyclopedia o f American Ethnic Groups, Cambridge, MA: Harvard University Press, 1980 Thistlethwaite, Frank, “ Migration from Europe Overseas in the Nineteenth and Twentieth Centuries” and “ Postscript,” in Rudolph J. Vecoli and Suzanne M. Sinke, eds., A Century o f European Migrations, 1830 - 1930, Urbana: University of Illinois Press, 1991 Thom, Martin, Republics, Nations and Tribes, London and New York: Verso, 1995 Thomas, William I., and Florian Znaniecki, The Polish Peasant in Europe and America, 5 vols., Boston: Badger, 1918 - 20, London: Constable, 1958; edited and abridged by Eli Zaretsky, Urbana: University of Illinois Press, 1984 van den Berghe, Pierre, The Ethnic Phenomenon, New York and London: Elsevier, 1981 Vecoli, Rudolph J., and Suzanne M. Sinke, eds., A Century o f European Migrations, 1830 - 1930, Urbana: University of Illinois Press, 1991

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Ethnohistory Ethnohistory is an interdisciplinary approach, applied primarily to the history of non-European societies that produce little or no written documentation; it combines the methods of ethnology (a division of the overall discipline of anthro pology) with those of history. Although fusions of these methodologies can be traced in the works of earlier scholars, the first major study to bear the unmistakable imprint of ethnohistorical technique was Bailey’s The Conflict o f European and Eastern Algonkian Cultures, 1504-1700 (1937). Published in eastern Canada with a small print run, Bailey’s book attracted little attention in the United States, where a separate process of scholarly evolution was foreshadowed by the appearance of anthropological works - such as Ralph Linton’s Acculturation in Seven American Indian Tribes (1940) - that addressed the nature of culture change in North American aboriginal societies. The creation of the Indian Claims Commission by the US Congress in 1946 gave a further stimulus, and the increasing recognition by ethnologists of the importance of historical evidence and analysis was reflected in the foundation of the journal Ethnohistory in 1954. Also by that time a few major studies such as Wallace’s King of the Delawares (1949) had drawn attention to the need for sustained scholarly analysis of the native experience. The publication of Trelease’s Indian Affairs in Colonial New York (i960) is widely regarded as an important landmark, being the first substantial work of ethnohistory published in the United States by a historian rather than an anthropologist. Meanwhile, studies such as Gibson’s Tlaxcala in the Sixteenth Century (1952) and The Aztecs under Spanish Rule (1964) exemplified the application of ethnohistorical techniques outside North America. The intellectual origins of ethnohistory can be attributed in part to the shortcomings of the both history and anthropology. Few professional historians, prior to the middle decades of the 20th century, showed any serious interest in aboriginal peoples. This reflected a widespread assumption that native societies were simple and static, and therefore unworthy of the attention of a discipline that specialized in evaluating the complexities of change through time. Furthermore, peoples who were not literate in any European sense produced no original documentation that was comprehensible to historians schooled in archival research. The solution was to ignore such societies, except insofar as they might be peripherally relevant to other historical fields. This observation could not be applied to anthropologists, as the ethnology of native North American peoples had been one of the principal elements of the emergent discipline of anthropology in the late 19th century. Yet the “ synchronic” approach of ethnologists - the portrayal, chiefly based on field research, of a society as it existed at a particular time - tended to produce studies that neglected the existence of change through time, or treated it simplistically. Ethnohistorical method prompted both ethnologists and historians to be open to a wider variety of techniques. Those trained in ethnology came to make greater use of documentary evidence and to attend more closely to the dynamics of sociocultural change. Historians were brought to recognize the value of oral evidence, as well as evidence based on material culture and environmental adaptations, while also becoming sensitized to the demands made by cross-cultural study on the practitioners of a discipline

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that had European intellectual roots, but professed to encompass the entire human past in its potential scope. From the late 1960s onwards, the ethnohistorical approach was used with increasing sophistication. Many important studies appeared in North America, including Wallace’s The Death and Rebirth o f the Seneca (1970), and the full-blooded assault on the complacencies of North American colonial history launched by Jennings in The Invasion of America (1975). Trigger’s The Children of Aataentsic (1976) showed the ability of an ethnohistorian to write a detailed narrative account of a native society, both before and after non-native contact, and at the same time to reshape important interpretive themes affecting both aboriginal and colonial history. Brown’s Strangers in Blood (1980) was one of several works that dealt with gender issues as well as intercultural exchanges in fur trade society, while Axtell’s The Invasion Within (1985) was one of a number of substantial studies in which he explored religious and other interactions between native inhabitants and North American colonists. The field as a whole was invigorated by debates between advocates of a “cultural-relativist” approach to native history, and those who argued that aboriginal-colonial interactions could best be explained on a basis of shared rationality. During the 1980s and the 1990s the flow of ethnohistorical studies became a flood. As well as such specifically dedicated journals as Ethnohistory, other anthropological and historical periodicals - notably William and Mary Quarterly - regularly published articles grounded in ethnohistory. The approach, legitimately regarded as North American in its origins, was used extensively in other geographical contexts. Among the themes now prominent was the study of the autonomy - limited though it might be in some circumstances - exercised by aboriginal peoples in their dealings with colonists and colonial powers. Examples included Comaroff’s Body o f Power; Spirit o f Resistance (1985), Clendinnen’s Ambivalent Conquests (1987), Merrell’s The Indians' New World (1989) and White’s The Middle Ground (1991). At the same time, significant questions were raised about the future of ethnohistory. Had increasing interdisciplinary sharing of research methods made a specifically interdisciplinary approach such as ethnohistory obsolete? Alternatively, should ethnohistory be recognized as a discipline in itself? Or, from a different critical direction, did the continuing practice of ethnohistory preponderantly by non-aboriginal scholars represent an undue appropriation of aboriginal history and culture? These questions will undoubtedly continue to be debated, but in the late 1990s continuing productivity suggests that ethnohistory remains a useful methodological framework for historians and others. Jo

hn

G. R e id

See also Anthropology; Axtell; Bolton; Dening; Gibson; Indigenous; Native American; Trigger Further Reading

Axtell, James, “The Ethnohistory of Early America: A Review Essay,” William and Mary Quarterly, 3rd series, 35 (1978), 110 -44 Axtell, James, The Invasion Within: The Contest o f Cultures in Colonial North America, New York: Oxford University Press, 1985

Bailey, Alfred Goldsworthy, The Conflict o f European and Eastern Algonkian Cultures, 1504 - 1700: A Study in Canadian Civilization. Saint John: New Brunswick Museum, 1937 Bailey, Alfred Goldsworthy, “ Retrospective Thoughts of an Ethnohistorian,” Canadian Historical Association, Historical Papers /Communications historiques (1977) Brown, Jennifer S.H., Strangers in Blood: Fur Trade Company Families in Indian Country, Vancouver: University of British Columbia Press, 1980 Clendinnen, Inga, Ambivalent Conquests: Maya and Spaniard in Yucatan, 1517 - 1570, Cambridge and New York: Cambridge University Press, 1987 Comaroff, Jean, Body o f Power, Spirit o f Resistance: The Culture and History o f a South African People, Chicago: University of Chicago Press, 1985 Gibson, Charles, Tlaxcala in the Sixteenth Century, New Haven: Yale University Press, 1952 Gibson, Charles, The Aztecs under Spanish Rule: A History o f the Indians o f the Valley o f Mexico, 1519 - 1810, Stanford, CA: Stanford University Press, 1964 Jennings, Francis, The Invasion o f America: Indians, Colonialism, and the Cant o f Conquest, Chapel Hill: University of North Carolina Press, 1975 Linton, Ralph, ed., Acculturation in Seven American Indian Tribes, New York: Appleton Century, 1940 Merrell, James H., The Indians’ New World: Catawbas and Their Neighbors from European Contact Through the Eve o f Removal, Chapel Hill: University of North Carolina Press, 1989 Trelease, Allen W., Indian Affairs in Colonial New York: The Seventeenth Century, Ithaca, NY: Cornell University Press, i960 Trigger, Bruce G., The Children o f Aataentsic: A History o f the Huron People to 1660, 2 vols., Montreal: McGill- Queen ’s University Press, 1976 Trigger, Bruce G., “ Ethnohistory: Problems and Prospects,” Ethnohistory, 29 (1982) Trigger, Bruce G., “ Alfred G. Bailey, Ethnohistorian,” Acadiensis 18 (1989), 3 -21 Trigger, Bruce G., “ Early Native North American Responses to European Contact: Romantic versus Rationalistic Interpretations,” Journal o f American History, 77 (1990 - 91) Wallace, Anthony F.C., King o f the Delawares: Teedyuscung, 1700 - 1763, Philadelphia: University of Pennsylvania Press, 1949 Wallace, Anthony F.C., The Death and Rebirth o f the Seneca, New York: Knopf, 1970 White, Richard, The Middle Ground: Indians, Empires, and Republics in the Great Lakes Region, 1650 - 1815, Cambridge and New York: Cambridge University Press, 1991

Europe: Modern The uneven development caused by cultural, economic, social, political, and geographical diversity within Europe has problematized a definition of the beginning of “modern” Europe. Throughout the 19th century, the Romantic historians Frantisek Palacky, Joachim Lelewel, Nikolai Karamzin, and Thomas Babington Macaulay eulogized their respective countries and established strictly national chronologies. In this vein, the French historian Jules Michelet portrayed the French Revolution as the practical realization of the Enlightenment philosophes. Since Lord Acton’s Cambridge Modern History (edited by A.L. Ward et al., 1902-12) most historians have enshrined the revolution as a cornerstone in the advance of liberty and a caesura in European history. Marxist historians accepted the revolution’s universality, although they followed Georges Lefebvre’s Quatre-vingt-neuf

EUROPE: M O D E R N

(1939; The Coming o f the French Revolution, 1947) in looking beyond the ideological to the material roots and documenting economic motivations of a highly literate capitalist class straining under feudal restrictions. In the 1980s, the new cultural history moved beyond politicization to focus instead on the revolution’s cultural meaning. Lynn Hunt’s influential Politics, Culture, and Class (1984) typified this approach in its rejection of socioeconomic determinism and its use of Clifford Geertz’s social and cultural anthropology, Carlo Ginzburg’s microhistory, and Sven-Olof Linquist’s “dig where you stand ” approach. Only the Industrial Revolution has been accorded equal responsibility for the transformation and modernization of Europe. Clive Trebilcock described its technical innovations - led by the steam engine, factory system, and a specialized, capital intensive economy - in The Industrialization of the Continental Powers (1981), but the effects of economic changes transcended the workplace. Historians, especially from Ranke’s historicist school, praised industrialization as the handmaiden of democracy and free trade. Using historicism’s empiricist methodology, Treitschke’s Deutsche Geschichte im neunzehnten Jahrhundert (1879-94; History o f Germany in the Nineteenth Century, 1915-19) typified the supreme faith in the industrialized nation-state, European civilization, and progress. His basic assumptions echo today in M.S. Anderson’s The Ascendancy o f Europe (1972), and in arguments for historical objectivity. In the early 20th century, however, works such as J.L. and Barbara Hammond’s The Village Labourer (1911) showed a darker side to industrialization as old social networks based on hand production and village life gave way to the impersonal, economic calculation of the factory and city life. Marxist historiography, although restricted before the 1950s to such notable works as Maurice Dobb’s Studies in the Development o f Capitalism (1946), Jan Romein’s De lage landen bijde zee (The Lowlands by the Sea, 1934), and Emilio Sereni’s II capitalismo nelle campagne (Capitalism in the Countryside, 1947), explored economic and social development and reversed the liberal ethos and valuation of industrialization, while nonetheless retaining a narrative of unilinear European progress. Since 1950 the new social and economic histories encouraged innovative research into the 19th century, bringing Marxism into the mainstream. English Social History (1942) by G.M. Trevelyan had already redefined social history as “history of the people with the politics left out.” Demographic historians studied the phenomenon of urbanization in A.F. Weber’s The Growth o f Cities in the Nineteenth Century (1899) and Thomas McKeown’s The Modern Rise of Population (1976). Lucien Febvre and Marc Bloch established the quantitative structuralism of the Annales school, while Fernand Braudel pioneered “total history” and influenced a generation of labor historians. The Communist Party History Group in Britain produced Eric Hobsbawm and E.P. Thompson, whose The Making of the English Working Class (1963) set a controversial standard for histories of the working class and working-class consciousness. The working class was synonymous with the socialist and trade union movement as in Vernon Lidtke’s examination of the working-class milieu, The Outlawed Party (1966). Newer historiography nuanced this simplification with Weberian models in the Bielefeld school of Hans-Ulrich Wehler or Jurgen Kocka, or

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with modernization theory in Katznelson and Zolberg’s edited volume, Working-Class Formation (1986). Klaus Tenfelde’s Alltagsgeschichte and “history from below” brought further new perspectives by looking beyond institutions. Ultimately, deconstructivist techniques found application here, too. Gareth Stedman Jones Languages o f Class (1983) and Barry Hindess’ Politics and Class Analysis (1987) challenged structuralist class analysis as misrepresentative of workers’ reality. Outside social history, historians examined the ideological forces unleashed in the 19th century. Hans Kohn’s Nationalism (1955) and J.J. Sheehan’s German Liberalism in the Nineteenth Century (1978) explored the transformation of ideologies in a social context. Theodore S. Hamerow described the political implications of social change in the formation of the modern German state in The Social Foundations o f German Unification (1969-74). By the 1970s, studies of 19th-century Europe included the dynamic middle classes. Charles S. Maier’s Recasting Bourgeois Europe (1975) analyzed their attempted return to normalcy after World War I in a Europe plagued with systemic economic and political crises. Peter Gay’s The Bourgeois Experience (1984-95) and David Blackbourn and R.J. Evans’ The German Bourgeoisie (1991) showed how the middle classes participated increasingly in politics and culture, as the nation-state became the center of political and economic life. Bonnie Smith’s Ladies o f the Leisure Class (1981) helped move women away from the margins into mainstream research as part of a general trend towards interest in the marginal and exceptional. Diplomatic and political history produced fertile research on the origins of the two world wars, although standard works such as William L. Langer’s European Alliances and Alignments (1931) and Paul Kennedy’s The Rise of Anglo-German Antagonism (1980) generally concentrated on diplomatic alliances and statesmen. Instead of sharp breaks, historians concentrated now on continuity. The question of how responsible big business was for Hitler’s rise to power was the starting point for a dispute about David Abraham’s The Collapse o f the Weimar Republic (1981). Abraham had contended that decisions by business had helped destabilize the Weimar republic, while his initial adversary, Henry Turner, asserted that it did not. The debate, however, quickly spiralled into a controversy about questionable research methodology, which Peter Novick scrutinized in That Noble Dream (1988). The Fischer thesis launched the first wave of the German Historikerstreit by proposing a continuity of German politics from Bismarck to Hitler in Germany's Aims in the First World War (1961, translated 1967). Arno Mayer examined the domestic origins of war in The Persistence of the Old Regime (1981) and, in contrast to the assertion that Europe was bourgeoisified during the 19th century, both he, and Martin Wiener in his English Culture and the Decline of the Industrial Spirit (1981), argued the failure of capitalist values as the bourgeoisie feudalized itself in imitation of the old aristocratic elite. William Sewell’s Work and Revolution in France (1988) looked for the persistence of attitudes from the Old Regime in 19th-century France. Recently scholars have focused on war’s social impact. The changed nature of war itself could be explored in L.F. Haber’s The Poisonous Cloud (1986) and John Keegan’s The Face o f Battle (1976). Gail Braybon’s Women Workers in the First World War (1981) and J.M. Winter and R.M. Wall’s The

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Upheaval of War (1988) showed the dramatic changes for women and the family. Indeed, Modris Eksteins’ Rites o f Spring (1989) saw the very birth of the modern age in World War I. Histories of postwar Europe still tend to be overshadowed by the relative “ newness” of the recent past. Also, the diversification of history, inspired by Michel Foucault and the literary theory of Jacques Derrida, has brought a wave of postmodernist and deconstructivist histories on virtually every topic. Alain Corbin’s Le Miasme et la jonquille (1982; The Foul and the Fragrant, 1986), a history of odor, or Philippe Aries and Georges Duby’s Histoire de la vie privee (1985-87; A Flistory o f Private Life, 1987-91) show how broadly defined the history of modern Europe has become. Ro be r t

Go o d r ic h

See also Acton; Aries; Bloch; Braudel; Broue; Conze; Corbin; Duby; Febvre; Fischer; Gay; Geertz; Ginzburg; Hammond; Hobsbawm; Hunt; Jones, G.; Karamzin; Keegan; Kocka; Lefebvre; Lelewel; Macaulay; Michelet; Palacky; Ranke; Thompson, E.; Treitschke; Trevelyan; Wehler Further Reading

Abraham, David, The Collapse o f the Weimar Republic: Political Economy and Crisis, Princeton: Princeton University Press, 1981 Anderson, Matthew Smith, The Ascendancy o f Europe: Aspects o f European History, 1815 - 1914, London: Longman, and Totowa, NJ: Rowman and Littlefield, 1972 Aries, Philippe, and Georges Duby, eds., Histoire de la vie privee, 5 vols., Paris: Seuil, 1985 -87; in English as A History o f Private Life, 5 vols., Cambridge, MA: Harvard University Press, 1987 -91 Blackbourn, David, and Richard J. Evans, The German Bourgeoisie: Essays on the Social History o f the German Middle Classes from the Late Eighteenth to the Early Twentieth Century, London and New York: Routledge, 1991 Braybon, Gail, Women Workers in the First World War: The British Experience, London: Croom Helm, and Totowa, NJ: Barnes and Noble, 1981 Breunig, Charles, The Age o f Revolution and Reaction, 1789 -1850, New York: Norton, 1970; London: Weidenfeld and Nicolson, 1971 Corbin Alain, Le Miasme et la jonquille: Yodorat et Yimaginaire social, X V IIIe - X IX e siecles, Paris: Aubier Montaigne, 1982; in English as The Foul and the Fragrant: Odor and the French Social Imagination, Cambridge, MA: Harvard University Press, and Leamington Spa: Berg, 1986 Davies, Norman, Europe: A History, Oxford and New York: Oxford University Press, 1996 Dobb, Maurice, Studies in the Development o f Capitalism, London: Routledge, 1946; New York: International Publishers, 1947 Eksteins, Modris, Rites o f Spring: The Great War and the Birth o f the Modern Age, Boston: Houghton Mifflin, and London: Bantam, 1989 Evans, Eric J., The Forging o f the Modern State: Early Industrial Britain, 1785 - 1870, London and New York: Longman, 1983 Fischer, Fritz, G riff nach der Weltmacht: die Kriegszielpolitik des kaiserlichen Deutschland, 1914 - 18, Diisseldorf: Droste, 1961; in English as Germany ’s Aims in the First World War, London: Chatto and Windus, and New York: Norton, 1967 Fitzpatrick, Sheila, The Russian Revolution, 1917 - 1932, Oxford and New York: Oxford University Press, 1982 Fussell, Paul, The Great War and Modern Memory, Oxford and New York: Oxford University Press, 1975 Gay, Peter, The Bourgeois Experience: Victoria to Freud, Oxford and New York: Oxford University Press, 1984 Haber, Ludwig Fritz, The Poisonous Cloud: Chemical Warfare in the First World War, Oxford and New York: Oxford University Press, 1986

Hamerow, Theodore S., The Social Foundations o f German Unification, 1858 - 71, 2 vols., Princeton: Princeton University Press, 1969 - 74 Hammond, J.L. and Barbara Hammond, The Village Labourer, 1760 - 1852: A Study in the Government o f England before the Reform Bill, London and New York: Longman, 1911 Hardach, Gerd, The First World War, 1914 - 1918, Berkeley: University of California Press, and London: Allen Lane, 1977 (German original) Hindess, Barry, Politics and Class Analysis, Oxford and New York: Blackwell, 1987 Hobsbawm, Eric J., Industry and Empire: An Economic History o f Britain since 1750, London: Weidenfeld and Nicolson, and New York: Pantheon, 1968 Hunt, Lynn, Politics, Culture, and Class in the French Revolution, Berkeley: University of California Press, 1984; London: Methuen, 1986 Jones, Gareth Stedman, Languages o f Class: Studies in English Working-Class History, 1852 - 1982, Cambridge and New York: Cambridge University Press, 1983 Katznelson, Ira, and Aristide R. Zolberg, eds., Working-Class Formation: Nineteenth -Century Patterns in Western Europe and the United States, Princeton: Princeton University Press, 1986 Keegan, John, The Face o f Battle, London: Cape, and New York: Viking, 1976 Kennedy, Paul M., The Rise o f Anglo -German Antagonism, 1860 - 1914, London and Boston: Allen and Unwin, 1980 Kocka, Jurgen, Klassengesellschaft im Krieg: Deutsche Sozialgeschichte, 1914 - 1918 (Class Society during War), Gottingen: Vandenhoeck & Ruprecht, 1973; in English as Facing Total War: German Society, 1914 - 1918, Cambridge, MA: Harvard University Press, and Leamington Spa: Berg, 1984 Kohn, Hans, Nationalism: Its Meaning and History, Princeton: Van Nostrand, 1955; revised 1965 Langer, William Leonard, European Alliances and Alignments, 1871 - 1890, New York: Knopf, 1931; revised 1950 Lefebvre, Georges, Quatre- vingt- neuf, Paris: Maison du livre fran^ais, 1939; in English as The Coming o f the French Revolution, Princeton: Princeton University Press, 1947 Lidtke, Vernon L., The Outlawed Party: Social Democracy in Germany, 1878 - 1890, Princeton: Princeton University Press, 1966 Liidtke, Alf, Alltagsgeschichte: zur Rekonstruktion historischer Erfahrungen und Lebensweisen, Frankfurt: Campus, 1989; in English as The History o f Everyday Life: Reconstructing Historical Experiences and Ways o f Life, Princeton: Princeton University Press, 1995 McKeown, Thomas, The Modern Rise o f Population, London: Arnold, and New York: Academic Press, 1976 Maier, Charles S., Recasting Bourgeois Europe: Stabilization in France, Germany, and Italy in the Decade after World War I, Princeton: Princeton University Press, 1975 Mayer, Arno J., The Persistence o f the Old Regime: Europe to the Great War, New York: Pantheon, and London: Croom Helm, 1981 Novick, Peter, That Noble Dream: The “Objectivity Question ” and the American Historical Profession, Cambridge and New York: Cambridge University Press, 1988 Pipes, Richard, The Russian Revolution, New York: Knopf, and London: Collins, 1990; concise version, 1995 Pollard, Sidney, Peaceful Conquest: The Industrialization o f Europe, 1760 - 1970, Oxford and New York: Oxford University Press, 1981 Roche, Daniel, Le Peuple de Paris: essai sur la culture populaire au XVIHe siecle, Paris: Aubie Montaigne, 1981; in English as The People o f Paris: An Essay in Popular Culture, Berkeley: University of California Press, and Leamington Spa: Berg, 1987 Romein, Jan, De lage landen bijde zee (The Lowlands by the Sea), Utrecht: de Haan, 1934 Schapiro, Jacob S., Liberalism: Its Meaning and History, Princeton: Van Nostrand, 1958

EUROPEAN EXPANSION

Sereni, Emilio, II capitalismo nelle campagne (1860 - 1900) (Capitalism in the Countryside, 1860 - 1900), Turin: Einaudi, 1947 Sewell, William H., Jr., Work and Revolution in France: The Language o f Labor from the Old Regime to 1848, Cambridge and New York: Cambridge University Press, 1988 Sheehan, James J., German Liberalism in the Nineteenth Century, Chicago: University of Chicago Press, 1978 Smith, Bonnie G., Ladies o f the Leisure Class: The Bourgeoises o f Northern France in the Nineteenth Century, Princeton: Princeton University Press, 1981 Tenfelde, Klaus, Sozialgeschichte der Bergarbeiterschaft an der Ruhr im 19. Jahrhundert (Social History of the Ruhr Miners in the 19th Century), Bonn: Neue Gesellschaft, 1977 Thompson, E.P., The Making o f the English Working Class, London: Gollancz, 1963; New York: Pantheon, 1964 Trebilcock, Clive, The Industrialization o f the Continental Powers, 1780 - 1914, London and New York: Longman, 1981 Treitschke, Heinrich von, Deutsche Geschichte im neunzehnten Jahrhundert, 5 vols., Leipzig: Hirzel, 1879 - 94; in English as Treitschke ’s History o f Germany in the Nineteenth Century, 7 vols., London: Jarrold, and New York: McBride, 1915 - 19 Trevelyan, G.M., English Social History: A Survey o f Six Centuries, Chaucer to Queen Victoria, London and New York: Longman, 1942 Turner, Henry Ashby, Jr., German Big Business and the Rise o f Hitler, New York and Oxford: Oxford University Press, 1985 Ward, A.L. et al., eds., The Cambridge Modern History, Cambridge: Cambridge University Press, and New York: Macmillan, 1902 -12 Weber, Adna Ferrin, The Growth o f Cities in the Nineteenth Century: A Study in Statistics, New York: Columbia University Press, 1899 Wehler, Hans-Ulrich, Das deutsche Kaiserreich, 1871 -1918, Gottingen: Vandenhoeck Sc Ruprecht, 1973; in English as The German Empire, 1871 -1918, Leamington Spa: Berg, 1985 Wiener, Martin, English Culture and the Decline o f the Industrial Spirit, 1850 - 1980, Cambridge and New York: Cambridge University Press, 1981 Winter, Jay, and Richard Wall, eds., The Upheaval o f War: Family, Work and Welfare in Europe, 1914 - 1918, Cambridge and New York: Cambridge University Press, 1988

European Expansion The historiography of European expansion, a period defined by the emergence of Portugal in the early 15th century and ending with the birth of the Enlightenment during the early 18th century, has undergone significant changes in both tone and breadth. The compelling accounts of first contact from conquistadors and missionaries reveal a great deal about the mindset of Europe on the eve of global domination. Fortune hunters and clerics wrote with agendas that sometimes conflicted with each other, but whether riches or converts were the goal, the belief that Europe was inherently superior to the cultures they encountered was a shared value. Modern historians resurrected these eyewitness accounts and wrote self-congratulatory works extolling the indomitable spirit of Europeans involved in expansion. Authors regarded European expansion as the culmination of a special brand of European genius demonstrable throughout the ages. Not until recently have historians expanded upon ethnocentric interpretations and addressed alternative explanations for Europe’s rapid advance to global hegemony. Current historiography is diverse: historians have recently published scholarship on pre-Columbian civilization, European advances

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in sailing and military technology, and the psychology of a Europe motivated and transformed by discovery. The first “historian” of the Spanish conquest of Mexico was a barely literate colleague of Hernando Cortes by the name of Bernal Diaz. Writing for wealth and recognition near the end of his life, Diaz published Historia verdadera de la conquista de la Nueva Espana (published c. 1575; The Conquest o f New Spain, 1963) as an attempt to publicize the remarkable accomplishments of conquistadors other than Cortes and to defend the reputation of the 1519 expedition from clerics and royal bureaucrats intent on controlling the conquistadors. One reason Dfaz published his work was to counter the negative publicity generated by Bartolome de Las Casas’ Brevisima relacion de la destruccion de las Indias, (1552; The Tears of the Indians, 1656; and The Devastation o f the Indies: A Brief Account, 1974). A Dominican priest, Las Casas was one of many missionaries who objected to the economic exploitation of the natives, but not necessarily to their systematic conversion. Las Casas pleaded his case to a sympathetic Spanish crown interested in excuses to consolidate the conquistadors’ unprecedented acquisitions without granting them freedom of action in the New World. Cortes was a true adventurer beholden to no authority. His fabled action of burning his ships on the Mexican shores was symbolic of his intent to achieve wealth and titles without interference from royal agents. Cortes did not want royal enemies, however, so he made sure to update his superiors of his adventures through a series of letters to Charles V. Written between 1519 and 1526 Cortes’ famous five letters are masterpieces of self-promotion and, like Diaz’s memoir, a fascinating story of a European’s first impressions after contact. The Aztec perspective was disregarded for centuries until historians and anthropologists reinterpreted Aztec symbols recorded by Spanish observers. The Aztecs invested Cortes’ landings with cosmic significance and adopted the comforting prophecy that the whirlwind conquest of their ancient civilization by a few hundred marauders was beyond their control. A modern interpretation of the Aztec position is found in Miguel LeonPortilla’s Vision de los vencidos (1959; Broken Spears, 1962). The story of European expansion, according to most historians, began with Portugal’s conquest of the Moorish island of Ceuta in 1415. Upstart Portugal, benefiting from a unified crown, the able leadership of Henry the Navigator, and the timely assault of the Mongols upon Christendom’s arch-rival, Islam, was able to utilize borrowed technology for their fleet and establish themselves first as Islam’s competitor and then, rather quickly, as the dominant seafaring power. J.H. Parry was one of the most influential historians of European expansion and the architect of the argument that European expansion was the natural outcome of a persistent crusading impulse and the legacy of the Renaissance. The most precise presentation of Parry’s thesis is found in his brief but authoritative work, The Establishment of the European Hegemony (revised 1961). Parry granted that imperialism was undoubtedly motivated by economic gain, but he also maintained that imperialism was tempered by the missionary tradition. Europe, in Parry’s view, accepted responsibility with its empire. Implicit in Parry’s argument is that Europeans enlightened the conquered peoples and were in turn themselves enlightened by the discovery of the New World. The curiosity that defined the Renaissance was

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compounded by the remarkable events at the turn of the 16th century. Parry’s scholarship is impressive and essential to any study of European expansion, but it is also a traditional interpretation. G.V. Scammell examined the same time period and arrived at markedly different conclusions. Scammell’s The First Imperial Age (1989) incorporates economic history, social history, and the European attitude toward the indigenous peoples to conclude that Europe closed its mind in the face of discovery. Europe’s expansion, in Scammell’s view, was not the glorious culmination of underlying constructive forces evident since medieval times, but rather the successful employment of technology and political organization in the service of greed. Scammell demonstrated that empire was a financial burden that bankrupted Spain and Portugal while the Dutch and English got rich by avoiding empire, at least during the first imperial age. Scammell further maintained that instead of a rich source of opportunity for lower-class men to make their fortune, expansion served the rich and weakened the mother countries by excluding a significant portion of the male population from contributing to needed domestic growth. Empire also provided another excuse for Europe’s competing families to wage war with one another. In his most provocative conclusion Scammell stated that “European culture evolved with little benefit from acquaintance with the wider world.” Discovery increased cynicism, prejudice, and contempt. Trade centered on exotic novelties and remained subordinate to the existing economic order. Scammell’s critique of the traditional school embodied by Parry asserted that the only indomitable spirit that triumphed in Europe as a result of expansion was complacent arrogance. 1992 was the 500th anniversary of Columbus’ “discovery” of the New World, and a formidable crop of historical scholarship coincided with the observance. Some of this scholarship was innovative and filled existing gaps in the historiography, while many of the publications descended into mindless revisionism. Not only historians contribute to the current historiography of European expansion; literary critics interested in the language and symbols of both the conquerors and the conquered have widened the scope of research, while anthropologists struggled to reconstruct the history of cultures with no written record. Stephen Greenblatt addressed the power of words and interpreted the narratives of explorers and conquistadors regarding their impressions of the New World. In Marvelous Possessions (1991) Greenblatt emphasized the meaning of “wonder” in seeking answers to the question of what went through the minds of the Europeans who first set foot in the New World. The European vanguard that confronted the New World used language to demystify, rationalize, and by implication, subject the discoveries to the European paradigm. Patricia Seed expanded upon this thesis in her article “Taking Possession and Reading Texts (1992).” Tzvetan Todorov’s La conquete de VAmerique (1982; The Conquest o f America, 1984) examined the various issues surrounding communication between the conquistadors and the natives. The central issue revolved around Cortes and Montezuma’s reaction to each other. Cortes saw the Aztec emperor as the savage equivalent of a European monarch interested in negotiation while Montezuma regarded Cortes as a demigod. The clash of two worlds is a complex and elusive subject, involving numerous

disciplines that continues to occupy much of the contemporary historical writing on European expansion. While the conquest of Mexico may be the most popular topic for historians of expansion, some scholars follow Parry’s example and continue to study the big picture. Geoffrey Parker’s The Military Revolution (1988) detailed Europe’s advances in military technology and its success in projecting military power abroad. Parker discussed both land warfare and naval technology and concluded, in an argument some critics dismissed as “technological determinism,” that these innovations initiated the necessary political and military centralization required for Europe’s successful expansion. William H. McNeill wrote in The Pursuit of Power (1982) that Europe’s penchant for adopting new technology was an integral part of its success abroad, but McNeill also suggests that Europe’s easy victories originated from Europe’s will to use technology invented in other cultures for expansionist goals those cultures never themselves pursued. J.H. Parry ended The Establishment of European Hegemony with the 18th century because by then there were permanent European settlements comprised of merchants, missionaries, and colonists on every continent except Australia and Antarctica. These settlements were in some way or another dependent upon the mother countries. Recently, ethnographers, archaeologists, literary critics, and scholars studying the drastic changes in North America’s ecology after European contact have joined forces with historians and contributed to the historiography of European expansion. European expansion between 1415 and 1715 encompasses a diverse historiography as old as expansion itself. Memoirs and autobiographies from the 16th century gave way to traditional historians applauding European values in the 19th and 20th centuries. The last twenty years witnessed the inclusion of every conceivable discipline in the debates surrounding European expansion. There is every indication that the field of European expansion will continue to be provocative and diverse considering the number of unexplored avenues remaining. B ria

n

C rim

See also Diaz; Las Casas; Parker; Spain: Imperial Further Reading

Abu-Lughod, Janet L., Before European Hegemony: The World System, AD 1250 - 1350, New York: Oxford University Press, 1989 Adorno, Rolena, “ The Discursive Encounter of Spain and America: The Authority of Eyewitness Testimony in the Writing of History,” William and Mary Quarterly 49 (1992), 210 - 28 Berler, Beatrice, The Conquest o f Mexico: A Modern Rendering o f William H. Prescott's History, San Antonio, TX: Corona, 1988 Cerwin, Herbert, Bernal Diaz: Historian o f the Conquest, Norman: University of Oklahoma Press, 1963 Colston, Stephen A., ‘“ No Longer Will There be a Mexico ” : Omens, Prophecies, and the Conquest of the Aztec Empire,” American Indian Quarterly 9 (1985), 239 - 58 Diaz del Castillo, Bernal, Historia verdadera de la conquista de la Nueva Espaha, written 1568, published c.1575; in English as The Discovery and Conquest o f Mexico, 1517 - 1521, New York: Harper, and London: Routledge, 1928, and as The Conquest o f New Spain, London: Penguin, 1963

E US E BI US OF CAESAREA

Greenblatt, Stephen, Marvelous Possessions: The Wonder o f the N ew World, Chicago: University of Chicago Press, and Oxford: Oxford University Press, 1991 Greenblatt, Stephen, ed., New World Encounters, Berkeley: University of California Press, 1993 Las Casas, Bartolome de, Brevisima relacion de la destruccion de las Indias, 1552; in English as The Tears o f the Indians, 1656, and Thq Devastation o f the Indies: A Brief Account, New York: Seabury Press 1974 Leon-Portilla, Miguel, ed., Vision de los vencidos: relaciones indi'genas de la conquista, Mexico City: UNAM, 1959; in English as The Broken Spears: The Aztec Account o f the Conquest o f Mexico, Boston: Beacon Press, 1962 McAlister, Lyle N., Spain and Portugal in the New World, 1492 - 1700, Minneapolis: University of Minnesota Press, 1984 McNeill, William H., The Pursuit o f Power: Technology, Armed Force, and Society since AD 1000, Chicago: University of Chicago Press, 1982; Oxford: Blackwell, 1983 Parker, Geoffrey, The Military Revolution: Military Innovation and the Rise o f the West, 1500 - 1800, Cambridge and New York: Cambridge University Press, 1988 Parry, J.H., Europe and a Wider World, London: Hutchinson, 1949, revised 1961; as The Establishment o f the European Hegemony, 1415 - 1715: Trade and Exploration in the Age o f the Renaissance, New York: Harper, 1961 Parry, J.H., The Age o f Reconnaissance, Cleveland: World, and London: Weidenfeld and Nicolson, 1963 Scammell, G.V., The World Encompassed: The First European Maritime Empires, c.800 - 1650, Berkeley: University of California Press, and London: Methuen, 1981 Scammell, G.V., The First Imperial Age: European Overseas Expansion, c.1400 - 1715, London and Boston: Unwin Hyman, 1989 Seed, Patricia, “Taking Possession and Reading Texts: Establishing the Authority of Overseas Empires,” William and Mary Quarterly 49 (1992.), 184 - 209 Thomas, Hugh, The Conquest o f Mexico, London: Hutchinson, 1993; as Conquest: Montezuma, Cortes, and the Fall o f Old Mexico, New York: Simon and Schuster, 1993 Todorov, Tsvetan, La Conquete de VAmerique: la question de Vautre, Paris: Seuil, 1982; in English as The Conquest o f America: The Question o f the Other, New York: Harper, 1984

Eusebius of Caesarea C.265-339CE Early Christian historian Eusebius lived in Caesarea on the shores of Palestine during the years that Christians experienced their final persecutions under Roman rule and achieved their final acceptance under the emperor Constantine. As a young man, Eusebius studied Christian thought, and later served the church as a presbyter of Caesarea. Eusebius’ intimate involvement with the Christian church during this crucial time meant that he was also intimately involved with the politics of empire. He observed martyrdoms and their impact; he gained the respect of Constantine and enjoyed the emperor’s confidence throughout his life; and he became involved in the theological controversies of the day (specifically the Christian struggle against Arianism) that had strong political consequences. Eusebius’ impact as a historian is due in large part to his central participation in the formation of a Christian empire, a historical event of profound consequence. Eusebius was a prolific writer. He is credited with writing 46 works, of which only 15 have survived intact. His writings

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reflect his overwhelming religious interest, and include works that engaged the religious controversies of the day. He also wrote many biblical works, such as commentaries on scripture and works on biblical place-names and geography. However, the works that are most influential today are his historical works: The Martyrs of Palestine, the Life of Constantine, the Chronological Tables, and best-known, The History o f the Church. The History of the Church is an influential work both for its content and for its method. In content, Eusebius presumes to write the history of the progress of the Christian church from the time of Christ through its victory in the time of Constantine. Within the ten books of this history, Eusebius offers testimony to the major events of Christian history. This work remains a crucial source for historians of this period. Eusebius approached his historical study from a method similar to that of his biblical analysis. He proceeded from the point of view that his present was a fulfillment of that which had gone before, in the same way that the coming of Christ was a fulfillment of the Old Testament prophecies. History, for Eusebius, was a linear progression of cause and effect, so when he included accounts of persecutions, martyrdoms, and disagreements, it was from the optimistic view that these events were leading to the ultimate victory of the church during the time of Constantine. This approach foreshadowed and influenced many historical accounts. Eusebius’ history was not simply a personal recollection, and this increased its importance. He included quotations or summaries of more than a hundred texts to prove the validity of his history. Many of these texts would have been lost if it had not been for their reproduction by Eusebius. Eusebius furthermore did not simply quote his sources uncritically. He compared differing accounts of the same event. For example, he compared the version of an event recorded in the scriptural account in Acts with that recounted by the Roman historian Josephus, to reconcile any discrepancies (History of the Church, book 1, 11). While his analysis would not hold up to modern critical methodology, it nevertheless established principles of analysis of historical sources. Eusebius was an historian of a critically important time in the formation of Western culture. He offers information unavailable elsewhere, and he offered a model of historical study, both in his expression of a linear, causal history and in his use of historical methods, that was influential for at least a millennium. J o y c e E. S a l i s b u r y See also Bauer; Bede; Byzantium; Cassiodorus; Catholicism; Christianity; Eastern Orthodoxy; Ecclesiastical; Josephus; Medieval Chronicles Biography

Eusebius or Eusebios. Born Palestine C.265CE. Disciple of Pamphilos; imprisoned with him in anti-Christian persecutions of Diocletian, 303-11; elected bishop of Caesarea, c.313, adviser to emperor Constantine, 323; participated in first Council of Nicaea, 325, and Council of Tyre, 335. Died 339.

Principal Writings

Texts in Patrologiae cursus completus, series Graeca (Patrologia Graeca), edited by J.-P. Migne, vols. 19 -24; and in Die

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griecbischen christlichen Schriftsteller (Berlin Academy series): Ecclesiastical History edited by Eduard Schwartz, 1908; Life of Constantine edited by Friedhelm Winkelmann, revised 1992 The Ecclesiastical History (Loeb edition), translated by Kirsopp Lake and J.E.L. Oulton, 2 vols., 1926 - 32 The History o f the Church from Christ to Constantine, translated by G.A. Williamson, 1965

Further Reading

Barnes, Timothy David, Constantine and Eusebius, Cambridge, MA: Harvard University Press, 1981 Baynes, Norman H., “ Eusebios and the Christian Empire,” in Melanges Bidez [Essays in honor of Joseph Bidez], vol. 1, Brussels, 1934, 13 -18

Croke, Brian, and Alanna Emmett, eds., History and Historians in Late Antiquity, Oxford and New York: Pergamon Press, 1983 Grant, Robert M., Eusebius as Church Historian, Oxford: Clarendon Press, 1980 Lawlor, H.J., Eusebiana: Essays on the Ecclesiastical History o f Eusebius, Bishop o f Caesarea, Oxford: Clarendon Press, 1912 Markus, R.A., From Augustine to Gregory the Great: History and Christianity in Late Antiquity, London: Variorum, 1983 Mosshammer, Alden, The Chronicle o f Eusebius and Greek Chronographic Tradition, Lewisburg, PA: Bucknell University Press, 1979 Sirinelli, Jean-Fran^ois, Les Vues historiques d ’Eusebe de Cesaree durant la periode preniceenne (The Historical Views of Eusebius during the pre -Nicene Period), Dakar: Universite de Dakar, 1961 Wallace-Hadrill, David S., Eusebius o f Caesarea, London: Mowbray, i960; Westminster, MD: Canterbury Press, 1961

F Fairbank, John K.

China were accused of being either too sympathetic to the Communists, or too critical of the Nationalists, or both. As Fairbank had worked for the American government in China during and after World War II and was not affectionate toward the Nationalists, he became a target. The extent to which the political climate stifled his scholarship and commentary is difficult to measure, but until Richard Nixon’s trip to China in 1972, when China analysts again came into vogue, Fairbank produced a prodigious amount of academic and popular literature. One student recalls Fairbank introducing with fulsome praise Owen Lattimore to a Harvard audience in the late 1950s, suggesting that the Harvard professor stood his ground. To Fairbank it was obvious that one needed to understand the broad contours of China’s past, and that of the 19th century in particular, if one hoped to fathom the eruptions of the 20th century. Since very little work had been done to develop such an understanding, he plunged into the task of producing rudimentary knowledge about the preceding century so that scholars could at least ask sophisticated questions. The estimable Trade and Diplomacy on the China Coast (1953) became a model for young China specialists because of its thorough research and nuanced portrait of Confucian China confronting the West. Fairbank and collaborators facilitated further research with such works as Ch’ing (Qing) Administration (i960), which provided insights into the Manchu bureaucracy in operation; Ch ’ing (Qing) Documents (1952, revised 1965), a guide to the literary language of the bureaucracy; China's Response to the West (1954), a translation of documents accompanied by a useful bibliography; and Japanese Studies o f Modern China (1955), an annotated list of Japanese research, created on the assumption that the Japanese had long studied China and could thus render valuable insights. A History o f East Asian Civilization (1958), a 2-volume text that has undergone several transformations, continues to provide a solid reference for undergraduates. Perhaps the culmination of Fairbank’s efforts to make China research more accessible is found in The Cambridge History of China (1977-), which he edited with Denis Twitchett. It is a multivolume project consisting of stateof-the-field articles, many written by Fairbank’s students. In addition to his scholarly production, Fairbank trained scholars who staff the leading universities of North America. A few, such as Benjamin Schwartz and Philip Kuhn, teach at Harvard; other leading centers of Asian studies read like the roster of a Fairbank seminar: Albert Feuerwerker at Michigan; the late Lloyd Eastman at Illinois; the late Joseph Levenson at Berkeley; Japanologists Robert Scalapino of Berkeley, Peter

1907 - 1991

US historian of China Most historians of modern China recognize John K. Fairbank as a pivotal figure in our understanding of developments in the “Middle Kingdom” over the past two centuries. Fairbank’s importance rests on his abundant scholarship, his cultivation of a talented cadre of graduate students at Harvard, and his shaping of Asian and Chinese studies programs in universities, particularly in North America. Although many may take issue with Fairbank’s historical interpretations, political preferences, or administrative absorption, few will dispute that he was largely responsible for taking Chinese studies from the narrow confines of philology and diplomacy in the early 20th century and placing it within the ordinary curriculum of late 20thcentury university departments, especially history. Fairbank graduated from Harvard in 1929 with a degree in history, but his embryonic interest in China was not nurtured until he arrived at Oxford on a Rhodes scholarship and had the opportunity to study under Hosea Ballou Morse. Morse, a former official in the Chinese Imperial Maritime Customs Service, encouraged Fairbank to go to China, counseling the young graduate student that any serious study of China needed to be grounded in language competence. Living in Beijing (then Peiping) from 1932 to 1936, he worked under T.F. Tsiang (Jiang Tingfu), head of the History department at Tsing Hua (Qinghua) University, where he also lectured and conducted research for his doctorate. Fairbank received a DPhil from Oxford in 1936 and returned to teach at Harvard, beginning an academic relationship with his alma mater that continued until his death. From the outset, China’s prevalent adversities influenced Fairbank’s scholarship. In an article that appeared in the September 1937 Amerasia, he attempted to draw a parallel between Western imperialism in the 19th century and the recent Japanese invasion. The civil war between the Nationalists and Communists (1945-49) prompted his classic The United States and China (1949), which sought to explain the Chinese political situation to an America entering the Cold War. With the Communist victory in 1949 came an effort to account for yet another tumultuous political upheaval with A Documentary History o f Chinese Communism (1952). By the early 1950s, a heated debate raged in the United States over why the Communists succeeded in China. Many China specialists who had been associated with American policy formulation toward 375

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Duus of Stanford, and Marius Jansen of Princeton also came under Fairbanks tutelage. Outside of the academy, newspaper writers Theodore White and Fox Butterfield were his students. And Robert Irick has been toiling in Taiwan since the 1960s to reprint much of China’s written legacy for the research universities of the world. This represents just a small sampling of a much larger body of sinologists whom Fairbank trained and influenced over the decades. Fairbank’s students invariably have fond memories of their mentor. They often disagreed with his historical emphases or political positions, but this did not lessen their respect for the man. For example, Lloyd Eastman wanted to work on 20thcentury China while at Harvard; Fairbank insisted on a 19thcentury topic for his dissertation: Eastman dutifully produced a solid study of the Sino-French War of the 1880s, and he then proceeded to become the leading authority on the Nationalist period (1927-49), while remaining close friends with his teacher. In an early May 1995 discussion on the Internet of Fairbank’s influence, former student Marilyn Young related that “ Fairbank and I disagreed - sometimes virulently - on the subject of imperialism, on the best ways to oppose the Vietnam War, etc. But he was open, flexible, and above all intellectually skeptical and always ironic.” Upon his death, students and colleagues wrote brief reflections about the man and his impact on them, published as Fairbank Remembered, which provides insight into the many facets of the scholar and the gentleman. Fairbank nonetheless had critics - in the United States on the new left and on the right, and in China from both the Nationalists and the Communists. Some of the complaints were chiefly political. Thus many in the Committee of Concerned Asian Scholars, a new left organization formed during the Vietnam War, viewed Fairbank as a cold warrior. In mainland China, historians since the Communist revolution have usually characterized Fairbank as an apologist for imperialism. In Taiwan he fared little better, being labelled a minion of Moscow. Anticommunists in the United States, such as Karl Wittfogel, considered Fairbank much too sympathetic to the Chinese Communists. Yet as the Chinese revolution moderated with the ascendancy of Deng Xiaoping in the late 1970s and the Cold War concluded in the late 1980s, the political vitriol receded as well. More absorbing are the assessments of Fairbank’s scholarship. In China Misperceived sinologist Steven Mosher argues that the Fairbank school places too much emphasis on the continuities between China’s despotic past and the totalitarian present. Actually, “ far more striking than any connections between China past and present . . . was the organizational, ideological, and policy isomorphism between” the People’s Republic of China and the Soviet Union. That same criticism came from Marxist social scientists, who maintained that Communist China represents a sharp break with that despotic past. One Taiwan historian assailed Fairbank’s contention that a Chinese society imbued with Confucian values could not modernize. This position, most fully developed in Mary Wright’s The Last Stand o f Chinese Conservatism, held sway during the 1960s and 1970s but has since been questioned given the rise of the “Four Dragons.” Fairbank also reproached himself for faulty analysis. In the posthumously published China: A New History (1992), Fairbank acknowledged that

his assessment of the Communist revolution as “the best thing” that had occurred in China in centuries was “sentimental sinophilia.” Conceivably the most consequential legacy of Fairbank will be the institutions he created or utilized to spread Chinese and Asian studies. The East Asian Center at Harvard became a prototype for other universities, whether or not they were staffed by Fairbank’s students. His election to the presidencies of the Association of Asian Studies and the American Historical Association reflect the high esteem in which he was held by peers. But former student Thomas Metzger best sums up Fairbank’s importance: “he not only turned modern Chinese history into one of the world’s most interesting historiographical fields but also did more than anyone else to develop an interdisciplinary approach to this field.” T h o m a s D. R e i n s See also China: Modern

Biography

John King Fairbank. Born Huron, South Dakota, 24 May 1907. Received BA in history, Harvard University, 1929; Rhodes scholarship, then DPhil, Oxford University, 1936 with study at Tsing Hua (Qinghua) University, Beijing, 1932 -36. Taught at Harvard University j 936 - 77: director, East Asian Research Center, 1959 - 73; and chairman, Council on East Asian Studies, 1972 -77 (emeritus from 1977). Special assistant to American ambassador, China, 1942 -43; Office of Strategic Services and Office of War Information, 1942 -45; director, US Information Service, China, 1945 -47. Married Wilma Cannon, 1932 (2 daughters). Died 14 December 1991.

Principal Writings Monographs

The United States and China, 1949; 4th edition 1979 Trade and Diplomacy on the China Coast: The Opening o f the Treaty Ports, 1842 -1854, 1953 China Perceived: Images and Policies in Chinese -American Relations, 1974 Chinabound: A Fifty Year Memoir, 1982 The Great Chinese Revolution, 1800 - 1985, 1986 China Watch [collected essays], 1987 China: A New History, 1992

Edited Works

With Conrad Brandt and Benjamin Schwartz, A Documentary History o f Chinese Communism, 1952 Ch'ing Documents: An Introductory Syllabus, 2 vols., 1952; revised J959, 1965 With Ssu-yu Teng, China's Response to the West: A Documentary Survey, 1859 -1925, by Liang Qichao, 1954 With Masataka Banno, Japanese Studies o f Modern China: A Bibliographical Guide to Historical and Social Science Research on the 19th and . . . 20th Centuries, 1955 Chinese Thought and Institutions, 1957 With Edwin O. Reischauer and Albert Craig, A History o f East Asian Civilization, 2 vols., 1958 -60 With Ssu-yu Teng, Ch'ing Administration: Three Studies, i960 The Chinese World Order: Traditional China's Foreign Relations, 1968 With Frank A. Kierman, Jr., Chinese Ways in Warfare, 1974 Series editor with Denis Twitchett, The Cambridge History o f China, 1977 With Suzanne Wilson Barnett, Christianity in China: Early Protestant Missionary Writings, 1985

FAMILY

Further Reading

Cohen, Paul A., and Merle Goldman, eds., Fairbank Remembered, Cambridge, MA: Harvard University Press, 1992 Evans, Paul M., John Fairbank and the American Understanding o f Modern China, Oxford and New York: Blackwell, 1988 Gordon, Leonard H.D., and Sydney Chang, “John K. Fairbank and His Critics in the Republic of China,” Journal o f Asian Studies, 30 (1970), 137 -49 Mosher, Steven W., China Misperceived: American Illusions and Chinese Reality, New York: Basic Books, 1990 Wright, Mary C., The Last Stand o f Chinese Conservatism: The T ’ung-Chih Restoration, 1862 -1874, Stanford, CA: Stanford University Press, 1957

The Family The history of the family originated in the study of individual family lines, but in the past thirty years it has incorporated the insights of demography, anthropology, sociology, feminism, and economic history to transform the way the family is treated historically. It has been used to reshape the way historians understand the past, and been employed by politicians to try to mold current policies. Genealogy first dominated family history, with a stress on the continuity of discrete elite family lines. From biblical tracings of family trees to African oral traditions, genealogy accented lineage, with an emphasis on powerful families. Peasant families, on the other hand, were assumed to be historically unrecoverable, leaving few written records. In the middle of the 19th century the French social scientist Frederic LePlay created a model to describe the historical family. He delineated three family types: the patriarchal, the stem, and the unstable. The patriarchal family centered on a male head of household, who continued to command blood kin even after they had left his household. The stem he characterized as large, with several generations under one roof. The unstable family had no powerful center, and was variable in form. LePlay argued that the stem, not the patriarchal family, had been the most prevalent form in pre-industrial Europe; he saw it as the most stable of all patterns. In contrast he feared the rise of the unstable family which he characterized as typical of the new industrial areas. LePlay’s theories came to predominate in thinking about the historical family. In the postwar period, several new disciplines emerged with theories that reinvigorated the study of the family. Population studies, or demography, assisted historians in discovering what the family structures of the past had been in practice, rather than in theory. Family structure encompassed many issues, including completed family size, composition of the household, and age of marriage. Most historians had followed LePlay in assuming that the pre-industrial era was dominated by the stem family. However, the work of Peter Laslett of the Cambridge Group for Population History and Social Structure on the records of early modern England contradicted LePlay’s model. In The World We Have Lost (1965) Laslett argued that the typical early modern family was a nuclear one, although servants might also be included as family members. The Cambridge Group used family reconstitution (originally developed by French historical demographer Louis Henry) painstakingly to link different types of

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records about a small community. Family reconstitution has since been employed wherever sufficient records might exist to explore other cultures. More recently studies from other European locales have challenged Laslett’s findings by revealing that family form varied widely within similar geographical areas and cultures. Indeed, Martine Segalen’s study of ancien regime France illustrated that family form could vary over a small geographical area. Furthermore, Michael Anderson’s work suggested that the extended family was likely to exist in industrialized cultures, such as 19th-century England, where life expectancy was lengthening and age of marriage was lowering. Demographers also traced the changing size of the family, noting that the large pre-industrial family was closer in size to the modern family than might have been expected, due to late marriage and a high infant mortality rate. Completed family size only really began to drop in the industrial period. Whether this was due to more effective birth control or parental decisions which saw the small family as more economically viable is still being debated. Kinship bonds were another way of examining the history of the family. How did families deal with their kin? How did they interact within their communities? What were their patterns of inheritance? This anthropological approach (especially in the work of Jack Goody) was particularly helpful in exploring how families functioned in medieval Europe and Asia. Nonliterate cultures, whose histories had been assumed lost, suddenly re-emerged as peasant culture was elucidated from archaeological and manorial records. In UEnfant et la vie familiale (i960; Centuries of Childhood, 1962), Philippe Aries investigated the crucial relationship between parent and child that was central to most family life. Although his contentions that only recently has childhood come to be seen as a separate category and that most parents in the early modern world sought to distance themselves from their children have been effectively countered by Linda Pollock and others, his study of the mentalite of family life inspired much work on the social relations within families. This inspired deeper scrutiny of the modern family. How did the family change and survive in the industrial period? Feminist historians Louise Tilly and Joan Scott traced the shift of work from the home in the pre-industrial period to the public sphere in the 19th century. A by-product of this was the transformation of the family from a place of work to one where sentiment ruled. In The Family, Sex and Marriage in England (1977), Lawrence Stone located the rise of this sentimental family in the aristocratic families of early modern England, while Edward Shorter investigated the middle-class household. Christopher Lasch added a psychological element in his exploration of the middle-class home as a “haven in a heartless world.” All agreed that the modern family was distinguished by its separation from the workplace. However, historians of the working-class family have demonstrated that work did not disappear from home and that for them, the family was not quite the oasis depicted in Lasch’s writings. Ellen Ross’ work on family strategies in late 19th-century London illustrated ways the working-class families integrated occasional work into family life. Class formation was another crucial role of the family. In the 1980s, three 19th-century studies, Mary Ryan’s of upstate

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New York, Bonnie Smith’s of France, and Leonore Davidoff and Catherine Hall’s of England, located the establishment of a family’s class status solidly in the family, particularly through the gender roles of the men and women within. They proposed that class formation resided in the social relations a family constructed, particularly the informal ties constructed by women of the family. Current political debates often suggested paths for study. Black family life was examined by Herbert Gutman in order to counter current assumptions that the experience of slavery meant that African Americans were incapable of sustaining family affinities. He demonstrated that the family had been alive, well, and adaptive within African American culture from its earliest inception. However, the recent work of Ann Patton Malone challenges Gutman’s analysis through a family reconstitution of several slave families in Louisiana. She emphasized the flexibility needed to endure the constant threats to family life in the antebellum South. The growth of family history as an academic discipline was spurred by postwar fears about the instability of family forms. Most historians have demonstrated that the current expansion of family forms has historical antecedents. The field is now moving into an exploration of relationships within the family between siblings, domesticity, and how families evolve over time. The life-course approach has been especially helpful in understanding how families deal with different stages in their existence, from early marriage to retirement. All these approaches will continue to be applied more rigorously to a range of subjects. Kel l y

Bo y d

See also Aries; Cambridge Group; Davidoff; Demography; Gutman; Henry; Lasch; Scott, Joan; Stone; Tilly, L. Further Reading

Anderson, Michael, Family Structure in Nineteenth -Century Lancashire, London: Cambridge University Press, 1971 Anderson, Michael, Approaches to the History o f the Western Family, 1500 - 1914, London: Macmillan, 1980; New York: Cambridge University Press, 1995 Aries, Philippe, UEnfant et la vie familiale sous VAncien Regime, Paris: Plon, i960; in English as Centuries o f Childhood: A Social History o f Family Life, London: Cape, and New York: Knopf, 1962 Boyer, Richard E., Lives o f the Bigamists: Marriage, Family, and Community in Colonial Mexico, Albuquerque: University of New Mexico Press, 1995 Burguiere, Andre, ed., Histoire de la famille, Paris: Colin, 1986; in English as A History o f the Family, 2 vols., Cambridge, MA: Harvard University Press, and Cambridge: Polity Press, 1996 Davidoff, Leonore, and Catherine Hall, Family Fortunes: Men and Women o f the English Middle Class, 1780 -1850, London: Hutchinson, and Chicago: University of Chicago Press, 1987 Demos, John, Past, Present and Personal: The Family and the Life Course in American History, Oxford and New York: Oxford University Press, 1986 Engel, Barbara Alpern, Between the Fields and the City: Women, Work and Family in Russia, 1861 - 1914, Cambridge and New York: Cambridge University Press, 1994 Flandrin, Jean-Louis, Families: parente, maison, sexualite dans Vancienne societe, Paris: Hachette, 1976; in English as Families in

Former Times: Kinship, Household and Sexuality, Cambridge and New York: Cambridge University Press, 1979 Gillis, John R., A World o f Their Own Making: Myth, Ritual, and the Quest for Family Values, New York: Basic Books, 1996; and as A World o f Their Own Making: A History o f Myth and Ritual in Family Life, Oxford: Oxford University Press, 1997 Goody, Jack, Joan Thirsk, and E.P. Thompson, eds., Family and Inheritance: Rural Society in Western Europe, 1200 -1800, Cambridge and New York: Cambridge University Press, 1976 Goody, Jack, The Oriental, the Ancient and the Primitive: Systems o f Marriage and the Family in the Pre-Industrial Societies o f Eurasia, Cambridge and New York: Cambridge University Press, 1990 Grubb, James S., Provincial Families o f the Renaissance: Private and Public Life in the Veneto, Baltimore: Johns Hopkins University Press, 1996 Gutman, Herbert G., The Black Family in Slavery and Freedom, 1750 - 1925, New York: Pantheon, and Oxford, Blackwell, 1976 Hareven, Tamara, ed., Transitions: The Family and the Life Course in Historical Perspective, New York and London: Academic Press, 1978 Journal o f Family History: Studies in Family, Kinship and Demography, 1976 Kertzer, David I., and Richard P. Sailer, eds., The Family in Italy from Antiquity to the Present, New Haven and London: Yale University Press, 1991 Lasch, Christopher, Haven in a Heartless World: The Family Besieged, New York: Basic Books, 1977; London: Norton, 1995 Laslett, Peter, The World We Have Lost, London: Methuen, 1965, New York: Scribner, 1966; revised 1984 Laslett, Peter, and Richard Wall, eds., Household and Family in Past Time: Comparative Studies in the Size and Structure o f the Domestic Group over the Last Three Centuries in England, France, Serbia, Japan and Colonial North America, Cambridge and New York: Cambridge University Press, 1972 Le Play, Frederic, VOrganisation de la famille selon le vrai modele signale par Vhistoire de toutes les races et de tous les temps, Paris: Tequi, 1871; in English as Frederic Le Play on Family, Work, and Social Change, Chicago: University of Chicago Press, 1982 Levine, David, Family Formation in an Age o f Nascent Capitalism, New York and London: Academic Press, 1977 Malone, Ann Patton, Sweet Chariot: Slave Family and Household Structure in Nineteenth -Century Louisiana, Chapel Hill and London: University of North Carolina Press, 1992 Medick, Hans, “ The Proto -industrial Family Economy: The Structural Function of Household and Family during the Transition from Peasant to Industrial Capitalism,” Social History 1 (1976), 291 - 316 Metcalf, Alida C., Family and Frontier in Colonial Brazil: Santana de Parnai'ba, 1580 - 1822, Berkeley: University of California Press, 1992 Mitterauer, Michael, and Reinhard Sieder, Vom Patriarchat zur Partnerschaft zum Strukturwandel die Familie, Munich: Beck, 1982; in English as The European Family: Patriarchy to Partnership from the Middle Ages to the Present, Chicago: University of Chicago Press, and Oxford: Blackwell, 1982 Moxnes, Halvor, Constructing Early Christian Families: Family as Social Reality and Metaphor, London and New York: Routledge, 1997 O ’Day, Rosemary, The Family and Family Relationships, 1500 -1900: England, France, and the United States o f America, London: Macmillan, and New York: St. M artin ’s Press, 1994 Pollock, Linda, Forgotten Children: Parent- Child Relations from 1500 to 1900, Cambridge and New York: Cambridge University Press, 1983 Ross, Ellen, Love and Toil: Motherhood in Outcast London, 1870 - 1918, Oxford and New York: Oxford University Press, 1993

FEBVRE

Rudolph, Richard L., The European Peasant Family and Society: Historical Studies, Liverpool: Liverpool University Press, 1995 Ryan, Mary P., Cradle o f the Middle Class: The Family in Oneida County, New York, 1790 -1865, Cambridge and New York: Cambridge University Press, 1981 Segalen, Martine, Sociologie de la famille, Paris: Colin, 1981; in English as Historical Anthropology o f the Family, Cambridge and New York: Cambridge University Press, 1986 Shorter, Edward, The Making o f the Modern Family, New York: Basic Books, 1975; London: Collins, 1976 Smith, Bonnie G., Ladies o f the Leisure Class: The Bourgeoises o f Northern France in the Nineteenth Century, Princeton: Princeton University Press, 1981 Stevenson, Brenda E., Life in Black and White: Family and Community in the Slave South, Oxford and New York: Oxford University Press, 1996 Stone, Lawrence, The Family, Sex and Marriage in England, 1500 - 1800, London: Weidenfeld and Nicolson, and New York: Harper, 1977 Tilly, Louise A., and Joan Wallach Scott, Women, Work, and Family, New York: Holt Rinehart, 1978; London: Methuen, 1987 Turner, Barry, and Tony Rennell, When Daddy Came Home: How Family Life Changed Forever in 1945, London: Hutchinson, 1995 Wall, Richard, ed., Family Forms in Historic Europe, Cambridge and New York: Cambridge University Press, 1982 Wrigley, E.A. et al., English Population History from Family Reconstitution, 1580 - 1857, Cambridge and New York: Cambridge University Press, 1997

Febvre, Lucien

1878 - 1956

French historian As a founder of the Annales school, Lucien Febvre was one of French historiography’s most influential figures. Febvre’s contribution began early as a contributor to Henri Berr’s Revue de synthese (founded 1900). Along with Marc Bloch he began publication of Annales d ’histoire economique et sociale, which became the Annales d ’histoire sodales, later the Melanges d ’histoire sociale, and finally the Annales: economies, societes, civilisations (or Annales: ESC) in 1929. Finally, he was instru mental in the creation of Section 6 (Social and Economic Sciences) in the Ecole Pratique des Hautes Etudes of the University of Paris, the most important center for historical study in France. Underlying this was Febvre’s belief in the necessity of synthesizing all knowledge in a historical framework. The essence of Febvre’s approach was to abolish the barriers between the human sciences and the social sciences. Through the Annales he argued that in practice there should be no distinction between history and geography, history and economy, history and sociology, history and politics, history and psychology, history and religion, and so on. The individual works of Febvre are essentially steps in the direction of putting this proposal into action. A major characteristic of Febvre’s work was his attitude toward knowledge. He was open to a wide variety of sources and types of analysis at a time when most historians were wedded either to archives or to literary sources. His openness helped to cast him as a rebel in the academic world. He was severe to the narrow-minded criticisms typical of highly specialized academics. In a 1933 letter written to “a dear friend,” Febvre commented on the plan for an encyclopedia noting: “an Encyclopedia is a work in perpetual evolution, hence, year

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by year, it will be completed, reformed, redone. Finally, a third argument - and then our separation is very clear. You tell me “Where is Geography in all that?.’ My dear friend, it is everywhere and nowhere. The same as the History of Art. The same as Law. The same as Moral. The same as . . ., well, I will not continue. Why? Because I am not writing an Encyclopedia of the Sciences.” Febvre could not accept barriers between disciplines; he believed in the unity of knowledge. He applied the same criticism to history based solely on specifics, which he termed, following Berr, histoire historisante. This does not mean Febvre wished to eliminate facts from historical analysis. But he believed that history as a discipline embraced more than the political and diplomatic topics thought traditionally to be the heart of history. He also gave much thought to the study of personalities. Thus the intimate relations between history and psychology - both a psychology of individuals who might be considered the makers of history, and a psychology of the masses - were crucial to his work. Although devoted to the study of the work of some individuals and of the corresponding social repercussions, Febvre did not concentrate on class. Febvre recognized that the social environment is an organic reality which attracts the individual, thus is a determinant in the creative process. Hence, the individual and the social are not in conflict, but complement each other. These views are clearly illustrated in his important review of the works of Arnold Toynbee and Oswald Spengler, written in 1953. Febvre said about the latter “ Let us not judge him; to judge is not proper for a historian; let us try to understand him, what does it mean, in his case, to relate his book and his success with the needs of a Germany then already building up what would become Hitler’s national socialism.” This defined, in his own words, the idea of what it means to be a historian. And he revealed himself to be caustic in his criticism. Of Toynbee he wrote: “What A Study of History brings us which deserves to be lauded is not new. And what it brings new is not noteworthy.” Febvre’s works reflected the evolution of his teaching and in a sense can be interpreted as intellectual history. This is very clear in his most important work, Le Probleme de I’incroyance au XVIe siecle (1942; The Problem of Unbelief in the Sixteenth Century, 1982). In this influential book, Febvre produced not a mere relation of facts, but a study of Rabelais’ mental processes. This desire to integrate a range of approaches was central to his historiographical contribution. Ubir a t a n

D ’A m b r o s i o

See also Agrarian; Annales School; Anthropology; Barkan; Bloch; Braudel; Burke; Cantimori; Chevalier; Europe: M odern; France: 1000 - 1450; France: 1450 - 1789; Frontiers; Ganshof; Labrousse; M entalities; Michelet; N eedham; Pirenne; Power; Reform ation; Renouvin; Seignobos; Semple; Vovelle; Weber

Biography

Lucien Paul Victor Febvre. Born Nancy, Lorraine, 22 July 1878. Educated at Ecole Normale Superieure; received doctorate, the Sorbonne, 1912. Taught at University of Dijon, 1912 -14; served in French Army, 1914 -18; lecturer, University of Strasbourg, 1919 -33; founded (with Marc Bloch), Annales d ’histoire economique et sociale, 1929; professor, College de France, 1933 -50; founder/president, 6th section, Ecole Pratique des Hautes Etudes, from 1948. Married Suzanne Dognon, 1921 (3 children). Died Saint-Amour, Jura, 27 September 1956.

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Principal Writings

Philippe II et la Franche-Comte: etude d'histoire politique, religieuse et sociale (Philip II and la Franche-Comte: A Study of Political, Religious, and Social History), 1911 La Terre et revolution humaine: introduction geographique a Vhistoire, 1922; in English as A Geographical Introduction to History, 1925 Un destin: Martin Luther, 1928; in English as Martin Luther: A Destiny, 1929 Le Probleme de Vincroyance au XVIe siecle: la religion de Rabelais, 1942; in English The Problem o f Unbelief in the Sixteenth Century: The Religion o f Rabelais, 1982 Autour de PHeptameron, amour sacre, amour profane: les classiques de la liberte: Michelet (On the Heptameron, Sacred Love, Profane Love: The Classics of Liberty), 1944; as Michelet et la Renaissance (Michelet and the Renaissance), 1992 Combats pour PHistoire (Battles for History), 1953 Au coeur religieux du XVIe siecle (The Heart of 16th -Century Religion), 1957 With Henri-Jean Martin, UApparition du livre, 1958; in English as The Coming o f the Book: The Impact o f Printing, 1450 - 1800, 1976 Pour une histoire a part entiere (For a Fully-Fledged History), 1962; selections in English as Life in Renaissance France, 1977 A New Kind o f History: From the Writings o f Febvre, edited by Peter Burke, 1973

Further Reading

Burguiere, Andre, “ La Notion de ‘mentalites’ chez Marc Bloch et Lucien Febvre: Deux conceptions, deux filiations” (The Idea of “ Mentalities ” in Marc Bloch and Lucien Febvre: Two Concepts, Two Legacies), Revue de Synthese 104 (1983), 333 -48 Lyon, Bryce, and Mary Lyon, eds., The Birth o f Annales History: The Letters o f Lucien Febvre and Marc Bloch to Henri Pirenne, 1921 - 1935, Brussels: Academie Royale de Belgique, 1991 Mastrogregori, Massimo, II genio dello storico: le considerazioni sulla storia di Marc Bloch e Lucien Febvre e la tradizione metodologica francese (The Genius of the Historian: Considerations on the History of Marc Bloch and Lucien Febvre and the French Methodological Tradition), Naples: Edizioni Scientifiche Italiene, 1987 Raminelli, Ronald, “ Lucien Febvre no caminho das mentalidades” (Lucien Febvre on the Road to Mentalities), Revista de Historia 122 (1990), 97 - 115 Rhodes, Colbert, “ Emile Durkheim and the Socio-Historical Thought of Lucien Febvre,” International Journal o f Contemporary Sociology 25 (1988), 65 - 82 Wessel, Marleen, “ Lucien Febvre und Europa: An den Grenzen der Geschichte” (Lucien Febvre and Europe: At the Boundaries of History), Comparativ 3 (1993), 2-8-39 Wootton, David, “ Lucien Febvre and the Problem of Unbelief in the Early Modern Period,” Journal o f Modern History 60 (1988), 695 - 730

Feierman, Steven

i 94o -

US historian of Africa Steven Feierman received his training in the late 1960s and early 1970s and can be considered to be among the second generation of historians of Africa in the United States. He has made a number of important historiographical contributions by creating changes in ways of analyzing oral tradition, health, and resistance to colonialism. Feierman began his academic career as a historian of oral traditions. His dissertation, which was later published as The

Shambaa Kingdom (1974), used Shambaa oral tradition in its investigation into the precolonial past of Shambaa. Feierman employed two research strategies simultaneously for this study. First, he collected and organized Shambaa oral traditions, much like the first generation of Africanist historians had done. The oral traditions provided the basis for the study’s history and chronology. Second, Feierman also conducted a study of Shambaa culture and society, much like traditional anthropo logical fieldwork. This data was then used to supplement the oral traditions, providing a more well rounded investigation into Shambaa history. Feierman did not see this undertaking as a dichotomized methodology involving two separate projects. Rather he saw them as one, and researched them accordingly. While previous oral historians had certainly not neglected culture, it was Feierman who discussed a methodology for its study. Feierman is best known for the numerous contributions he has made to research on African health and healing. The historiography of African health until the late 1970s described health systems as existing at the level of the ethnic group. Therapeutic systems were held to be similar throughout an ethnic group; variations did not exist among practitioners of the same ethnic group. The new interpretation, instead, held that healing systems varied from practitioner to practitioner. This is not to say that healing systems were mutually incomprehensible. Coherent systems can spread across an ethnic group, a nation, or even several nations. But the theory that healing systems are contained within ethnic boundaries is no longer held to fit African reality. Feierman was an instrumental figure in propagating a nonethnic mode of analysis for African health research. Health and healing have numerous linkages to social structure and culture as well, claimed Feierman. One cannot understand health in Africa unless one understands African social structure and culture as well. How disease, the body, and life and death are defined are all culturally determined. Health practitioners work within their own cultural milieu and interpret health and wellness accordingly. Society and culture also influence the patient as one’s social network affects the choices and interpretations one makes concerning health. In most communities several kinds of healers work side by side, including biomedical physicians, Islamic or Christian religious healers, spirit possession cult leaders, indigenous religious leaders, and many others. Which of them one attends, or attends first, is determined by the social network of the patient. Kin, friends, and community leaders can all influence the sort of health care an individual seeks. Health and healing are also intimately related to the environment. A study of African health cannot be divorced from space. The social, political, and economic choices that a community makes have repercussions in the natural world. Decisions on whether to invest in sanitation, education, health care, or agriculture all have important effects on a community’s health. Colonialism becomes an important factor when considering health because it removed a portion of these choices from the Africans themselves. As Feierman illustrated in “Struggles for Control” (1985), the colonial system made a number of developmental choices which had severe repercussions upon African health. Decisions to dam rivers, cut forests, and alter African agricultural patterns all changed the disease climate of Africa by increasing the size of ecosystems favored by particular pathogens and/or their carriers.

FEMINISM

Feierman recently made a research request to Africanists to rejoin healing and religion in their studies. In research relating to resistance to colonialism, healing was split from religion. Yet, says Feierman in “Healing as Social Criticism” (1995), they were intimately linked in precolonial Africa. Religious leaders of territorial religions or affliction religions were thought of as healers of the land. Their patrons were entire communities who depended on them for rain, the dispelling of plagues or insects, or the eradication of witchcraft. But there is little doubt that they were considered healers by Africans themselves. These religious leaders were often involved in resistance to colonialism, which has been well researched for many regions. Yet this research does not recognize these leaders as healers. Healing as merely a transaction between a healer and an individual patient is just a portion of the story regarding African healing systems. Feierman has made a number of important contributions to African studies. He has been a major voice in promoting the study of an Africa free of Western-imposed intellectual categories (such as those of religion and health) which do not apply to African reality. The legitimization of oral traditions also received support from Feierman. But Feierman is perhaps best known for his contributions to the study of African health, with which his name is almost synonymous. T o y i n F a l o l a a n d J o e l E. T i s h k e n See also Curtin; Vansina

Biography

Steven Mark Feierman. Born New York City, 12 December 1940. Received BA, Columbia University 1961; MA, Northwestern University 1962, PhD 1970; diploma in social anthropology, Oxford University, 1965, PhD 1972. Taught at University of Wisconsin, Madison, from 1969; then moved to University of Florida. Married Elizabeth Karlin, 1964 (1 son, 1 daughter).

Principal Writings

The Shambaa Kingdom: A History, 1974 “ The Social History of Disease and Medicine in Africa,” Social Science and Medicine 136:4 (1979), 239 -43 “ History of Pluralistic Medical Systems: Change in African Therapeutic Systems,” Social Science and Medicine 136:4 (1979), 277 - 84 “Therapy as a System in Action in Northeastern Tanzania,” Social Science and Medicine 156:3 (1981), 353 - 60 The Social Origins o f Health and Healing in Africa, 1984 “ Struggles for Control: The Social Roots of Health and Healing in Modern Africa,” African Studies Review 28 (1985), 73 - 147 Peasant Intellectuals: Anthropology and History in Tanzania, 1990 Editor with John M. Janzen, The Social Basis o f Health and Healing in Africa, 1992 “ African Histories and the Dissolution of World History,” in Robert Bates and others, eds., Africa and the Disciplines, 1993 “ Healing as Social Criticism in the Time of Colonial Conquest,” African Studies 54:1 (1995), 73 - 88

Feminism The resurgence of European and Anglo-American feminism in the 1960s and 1970s engendered women’s history as a discipline

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and prodded historians to reconceptualize the practice of history. The large number of women who rode the crest of secondwave feminism, and who joined the historical profession in the 1970s, transformed the historical field entirely, urging historians to ask different questions, seek alternative sources, and apply new methods to old historical problems. Feminist historians tried to merge grassroots activism with scholarly rigor, hoping that by uncovering women’s narratives they would enrich our understanding of the past and help dismantle the patriarchy of the present. Since the 1970s, feminist historians have successfully taken up the challenge presented by Natalie Zemon Davis in “ ‘Women’s History’ in Transition: The European Case” (1976) to use “the study of the sexes” to “help promote a rethinking of some of the central issues faced by historians power, social structure, property, symbols, and periodization.” At least four streams of feminist historical writing have evolved over the last five centuries. One stream, represented by the arguably protofeminist 15th-century writer Christine de Pizan, or the 19th-century feminist Grimke sisters, highlighted the accomplishments of notable women in history, to legitimate their own demands for equality in the social, political, or legal spheres. Another group of feminist writers incorporated the Marxist analyses of Friedrich Engels and August Bebel, or the existentialist-feminist approach of Simone de Beauvoir, to trace the origins of patriarchy. These feminists, who were most active in the 1970s, viewed all historical inequality as a reflection of men’s desire to oppress women, an approach that Gerda Lerner (1969) dubbed the “oppression model.” In the 1970s and 1980s, another strand of feminist historiography sought to uncover women’s contributions to major historical events such as the American Revolution, the French Revolution, and World War I, events that had been traditionally written about as if men had been the sole participants. Titles such as Becoming Visible (1976) and Hidden from History (1973) reflected this desire to place women back into the grand narrative of history. And most recently, in the 1980s and 1990s, feminist scholarship, with the help of anthro pology, literary criticism, psychoanalysis, and poststructuralism, has transformed historical scholarship by challenging such time-honored tools of the profession as historical periodization. The contemporary practice of feminist history grew out of the subjects and methods of social history. Using what were once thought to be non-traditional sources, - e.g., parish and inquisitional records, folktales - social historians uncovered the history of those who could not write, those who fell outside of the traditional centers of power. By combining these sources with social historians’ demographic studies, for example, feminist historians began interpreting social historians’ statistics to show continuities and discontinuities in women’s marriage, reproductive, and working patterns. The changing role of women during the Industrial Revolution is a case in point. For example, it had been long assumed by Marxists that the political and social status of women improved with their entry into the industrial economy. Paradoxically, many historians claimed that the rise of the Industrial Revolution contributed to the evolution of “ separate spheres” for men and women by taking “productive” labor out of the household and leaving middle-class women economically dependent upon their husbands and confined to the

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domestic sphere. In Women, Work, and Family (1978) Louise Tilly and Joan Scott incorporated social history to show that “wage work in itself represented a change but not an improvement in women’s social position and did not dramatically alter the relationship of women . . . to their families.” One of the most radical effects of feminism on historical scholarship is its challenge to traditional historical periodization. In her path-breaking essay, “Did Women Have a Renaissance?” (1974), Joan Kelly-Gadol argued that the period long known to historians as the Renaissance was decidedly not a Renaissance for women, and in fact the changing social relations brought about by emerging states and early capitalism produced a restriction in the number of roles available to women. This application of feminist thought begat a whole series of studies determined to break down these traditional periodizations by looking at history through the lens of gender. Joan Landes’ Women and the Public Sphere in the Age of the French Revolution (1988) undercut the idea of an Enlightenment by demonstrating how ideologies of Republican motherhood perpetuated by writers such as Rousseau, shunted public, educated women into the private sphere. Some feminist historians, such as Juliet Mitchell, went so far as to call for a new periodization based on a woman’s life cycle, using marriage, childbirth, and sexuality as historical markers. Feminism has also affected the practice of non-Western history. Many feminist historians have employed feminist critiques to study non-Western cultures. In Feminism and Nationalism in the Third World (1986) Kumari Jayawardena traced the history of feminist movements in Asia and the Middle East, and posited that feminism in many Third World countries was an indigenous ideology, not one imposed by the Western world. Margaret Strobel and Nupur Chaudhuri each demonstrated that Western feminism often relied on an ideology of imperialism. Most contemporary feminist historians have now moved away from the mono-causal “oppressed group model” whereby all women across time and place were oppressed by patriarchy - to explain women’s political, social, and economic inequality. Historians have criticized this model for being ahistorical and essentialist. They have also veered from studying women in isolation, calling instead for studies that are relational. These studies demonstrate how the effects of structural changes differ among men and women, and among women of different classes and races. One way to achieve this goal, Joan Scott argued in “ Gender: A Useful Category of Historical Analysis” (1986; reprinted in Gender and the Politics of History, 1988) is to use gender - “the social organization of the relationship between the sexes” - as a category of historical analysis. Employing gender as an analytical tool, and combining it with poststructuralist theories, she has claimed, will produce more fruitful historical analyses for contemporary scholars. Contemporary feminist historiography is going through tumultuous but exciting times. Some feminist historians feel that the influence of postmodern theories have gutted the political agenda of early feminist histories and have rendered women without historical agency. Others claim that these new methods of historical inquiry provide a greater texture to the histories of women and men. For example, in what is known in feminist academic circles as the “equality/difference

debate,” some historians now claim that feminism cannot be defined solely in terms of women’s attempts to attain equal rights, but that feminism sometimes implies “equality in difference,” i.e., that women are different from but complementary to men. Though the meaning of second-wave feminism is still being debated today among feminist historians, there is no doubt that the questions raised by feminist historiography have touched all fields of historical inquiry, including family history, diplomatic and military history, and the history of science. Sa n d i e

H o l g u In

See also Davis, N.; Lerner; Women’s History

Further Reading

Bridenthal, Renate, and Claudia Koonz, eds., Becoming Visible, Boston: Houghton Mifflin, 1977; revised with Susan Mosher Stuard, 1987 Chaudhuri, Nupur, “ Memsahibs and Motherhood in Nineteenth Century Colonial India,” Victorian Studies 31 (1988), 417 - 37 Davis, Natalie Zemon, “ ‘Women ’s History ’ in Transition: The European Case,” Feminist Studies 3 (1976), 83 -103 Hartman, Mary S., and Lois W. Banner, eds., Clio's Consciousness Raised: New Perspectives on the History o f Women, New York: Harper, 1974 Jayawardena, Kumari, Feminism and Nationalism in the Third World, New Delhi: Kali for Women, London: Zed, and Totowa, NJ: Biblio, 1986 Kelly, Joan, Women, History, and Theory: The Essays o f Joan Kelly, Chicago: University of Chicago Press, 1984 [includes “ Did Women Have a Renaissance?” (1974)] Kessler-Harris, Alice, Women Have Always Worked: A Historical Overview, Old Westbury, NY: Feminist Press, 1981 Landes, Joan B., Women and the Public Sphere in the Age o f the French Revolution, Ithaca, NY: Cornell University Press, 1988 Lerner, Gerda, “ New Approaches to the Study of Women in American History,” Journal o f Social History 3 (1969), 53 -62 Mitchell, Juliet, Woman's Estate, Harmondsworth: Penguin, 1971; New York: Pantheon, 1972 Offen, Karen, “ Defining Feminism: A Comparative Historical Approach,” Signs 14 (1988), 119 -57 Rowbotham, Sheila, Women, Resistance and Revolution, London: Allen Lane, and New York: Pantheon, 1972 Rowbotham, Sheila, Hidden from History: 300 Years o f Women's Oppression and the Fight Against It, London: Pluto, 1973; New York: Pantheon, 1975 Scott, Joan Wallach, Gender and the Politics o f History, New York: Columbia University Press, 1988 Scott, Joan Wallach, ed., Feminism and History, Oxford and New York: Oxford University Press, 1996 Strobel, Margaret, European Women in British Africa and Asia, New York: Holt Rinehart, 1978 Tilly, Louise A., and Joan Wallach Scott, Women, Work, and Family, New York: Holt Rinehart, 1978; London: Methuen, 1987 Vicinus, Martha, ed., Suffer and Be Still: Women in the Victorian Age, Bloomington: Indiana University Press, 1972; London: Methuen, 1980

Feudalism Feudalism is a model or construct devised to encompass a specified constellation of political and institutional elements present in medieval European societies. The word originates with the Latin feudum, fief, and was coined by English and European

FEUDALISM

legal scholars of the 16th through the 18th centuries to define a set of land-tenure relationships thought characteristic of the European nobility of the Middle Ages. For “feudalism” we should understand a limited number of related heuristic models: first, an institutional one, commonly known as “ feudo-vassalic”; second, a more encompassing social one, such as Marc Bloch’s concept of “feudal society”; and third, a Marxist notion based on a “feudal” mode of production and considered as a universal stage in human history. The feudo-vassalic model was most completely schematized by Ganshof, for whom the linkage of fief and vassalage was basic to an institutional conception of feudalism. But Ganshof omitted what, for Strayer and others, is the defining element of the system: public power privately exercised. Bloch’s model was less formalistic (fiefs and vassalage were not inevitably linked), and more inclusive, since for Bloch the relationship of peasants to lords was parallel to that of vassals to men of higher rank. Marx described feudal society as an extension of early Germanic tribal society in which the nobility exercised a kind of communal ownership of land, worked by a dependent peasantry. There are a number of problems with the Marxist approach. First, there is considerable confusion over the owner of the means of production. In fact, this was shared by the nobility and the peasantry, which makes little sense in Marxist social theory. Second, Engels (in a letter to Marx of 15 December 1882) defined a “ second serfdom” which began in the 15th century and extended to the end of the Old Regime in France. Bloch accepted the reality of post-medieval feudalism, especially in the form of rural seignories. The transition from “ ancient society” to feudalism has attracted recent attention. For Wickham, the transition occurred whenever and wherever more rents are paid to lords than are taxes paid into a public treasury. Inasmuch as the Roman fiscal system had collapsed by the 6th century, such a rule would push the transition to an earlier date than the watershed year of 1000CE favored by other historians. Bois suggested a multiple criteria for the transition: How long did rural slavery last? When did the smallholder become subject to a lord? When did the water-powered gristmill cease being one of the motors of peasant economic expansion and become an instrument of seignorial oppression? These indicators point to a 10th- or 11thcentury transition in central and southern France and in Catalonia in particular. Reynolds, in an extreme revisionist stance, concluded that feudo-vassalic relations were a kind of legalist overlay on a very different underlying social reality, and not, in any case, the product of early medieval governmental disintegration, but rather of bureaucratic, legalistic royal administrations of the 12th century and later. Another group of theorists led by Pierre Toubert has centered the transition on the phenomenon of incastellamento - the reorganization of the countryside into “castral units” wherein the peasantry is dominated by feudal castellans. This movement began in the mid -ioth century in northern Italy, Provence, and Catalonia, somewhat later in central and northern France and southern Italy. Note that incastellamento promotes instrumentalist criteria rather than the formal or legalistic insistence on the presence of specific forms of fiefs or vassalage. In spite of consistent complaints about the limited value of any such construct, feudalism has been a tremendously

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successful model because it has generated an impressive amount of research, (see, for example, the 1272 citations in Historical Abstracts, 1960-96), which is a good yardstick by which to measure the value of a hypothesis to any specific generation of historians. It has been a universalizing hypothesis that has forced virtually every medieval historian to come to grips with it and weigh their own evidence against it, even though it is not a unified model but rather a multifocal one. In historical analysis generally, and comparative history even more so, the most fruitful models are those with many elements. Feudalism is such a model: it is loaded with formal elements (e.g., fief, vassalage, homage, etc.) whose substantive content displays regional and chronological variation. There is then the further issue of what elements of feudalism ought to be considered as normative. Traditionally, the institutions of areas identified as the “hearth ” of an innovation are taken as normative - in this case, the feudal institutions of northern France, western Germany, the Low Countries, and England. But this is a purely conventional distinction and, in comparative perspective, normativity tends to dissolve as an issue. Feudalism has been a highly successful model in terms of generating significant research. But Brown suggests that just as happens in natural science, a reigning paradigm should be overthrown when enough anomalies build up to discredit it. The epistemology of social science is quite different however. Here, paradigms change over time and among different disciplinary groups, depending on a variety of mainly exogenous factors, including general social values or shifts in the research programs of different groups of scholars. Anomalies, instead of destroying paradigms, may simply force them to broaden. This explains why a single term like feudalism can have so many different meanings, each defined by a different disciplinary tradition. The construct has been criticized as oversimplified; yet (based on Ganshof only) the feudo-vassalic model has a minimum of fifty variables. Indeed the richness and complexity of the model account for its longevity and success. There is the further problem of the inevitable confusion of feudalism as a conventional, popular term (“feudal” as a synonym of “medieval” in common parlance) with a variety of technical meanings. Medieval scholars themselves frequently mix technical and conventional usages. T h o m a s F. G l i c k See also Bloch; Ganshof Further Reading

Bloch, Marc, “ Feudalism,” in Edwin R.A. Seligmann, ed., Encyclopedia o f the Social Sciences, 15 vols., New York: Macmillan, 1930 -35 Bloch, Marc, La Societe feodale, 2 vols., Paris: Michel, 1939 -40; in English as Feudal Society, 2 vols., Chicago: University of Chicago Press, and London: Roudedge, 1961 Bois, Guy, La Mutation de Van mil: Lournand , ville maconnaise de Vantiquite au feodalisme, Paris: Fayard, 1989; in English as The Transformation o f the Year One Thousand: The Village o f Lournand from Antiquity to Feudalism, Manchester: Manchester University Press, 1992 Brown, Elizabeth A.R., “The Tyranny of a Construct: Feudalism and Historians of Medieval Europe, 1063 - 88, ” American Historical Review 79 (1974), I 2 ^

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Ganshof, F.L., Q u ’est-ce que la feodalite?, Brussels: Lebegue, 1944; in English as Feudalism, London: Longman, 1952, New York: Harper, 1961 Marx, Karl, Formen, die der kapitalistischen Produktion vorhergehen [part of Grundrisse der Kritik der politischen Okonomie], Berlin: Dietz, 1952; abridged translation as Pre-Capitalist Economic Formations, London: Lawrence and Wishart, 1964, New York: International, 1965 Reynolds, Susan, Fiefs and Vassals: The Medieval Evidence Reinterpreted, Oxford and New York: Oxford University Press, 1994 Strayer, Joseph R., “ Feudalism,” in Strayer, ed., Dictionary o f the Middle Ages, 13 vols., New York: Scribner, 1985, 5:82 - 89 Toubert, Pierre, ed., Structures feodales et feodalisme dans VOccident mediterraneen: X e - X llle siecles (Feudal Structures and Feudalism in the Western Mediterranean from the 10th to the 13th Centuries), Rome: Ecole Fran 1 daughter).

Principal Writings

The Grimke Sisters from South Carolina: Rebels Against Slavery, 1967 The Woman in American History, 1971 Editor, Black Women in White America: A Documentary History, 1972 Editor, The Female Experience: An American Documentary, 1977 The Majority Finds Its Past: Placing Women in History, 1979 The Creation o f Patriarchy, 1986 The Creation o f Feminist Consciousness: From the Middle Ages to Eighteen -Seventy, 1993 Why History Matters: Life and Thought, 1997 The Feminist Thought o f Sarah Grimke, 1998

Le Roy Ladurie, Emmanuel 1929French social historian Emmanuel Le Roy Ladurie has not only a good claim to be the most wide-ranging and prolific of the Annales historians, but the development of his career is also paradigmatic of the triumph and subsequent atrophy of the Annales school. The publication of his doctoral thesis Les Paysans de Languedoc (1966; The Peasants o f Languedoc, 1974) established his reputation

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as the leading member of the second generation of Annales scholars. Le Roy Ladurie was indebted to his mentor Braudel, whom he succeeded as professor at the College de France in 1973, for the methodological innovations in the structure of his thesis. This work attempted to construct the “ total history” (social, economic, and cultural) of one region over the long term, stressing the constraints imposed by the physical environment on the individual. He was also indebted to the work of Labrousse who argued for a scientific and quantitative approach to history in order to uncover long-term structural and demographic patterns. Le Roy Ladurie demonstrated how the level of subsistence of the peasants of Languedoc was determined by the Malthusian-Ricardian model of population growth. He distinguished three phases in the agrarian cycle between the 15th and 18th centuries. Between the Black Death and the early 16th century the low population level ensured that resources and consumption were in equilibrium: there was an abundance of land, a low level of rents, and high wages. During the 16th century population growth continued to fuel economic expansion, but population began to outstrip agricultural production. After 1600 Languedoc became locked in the Malthusian cycle of economic and demographic stagnation. Population outstripped resources as inheritances were subdivided and lords were able to increase rents, consequently subsistence crises became more acute. War and adverse climatic conditions contributed to the abject condition of the peasantry. In contrast to many of the Annales historians, Le Roy Ladurie did not neglect cultural and religious history. However, he argued for the primacy of the underlying demographic and economic structures in determining change. The superstructure of ideas, politics, and belief (vie culturelle) was influenced and often conditioned by imperceptible long-term changes in the base (vie materielle). Le Roy Ladurie’s continuing interest in long-term ecological change was developed in L’Histoire du climat depuis Van mil (1967; Times o f Feast, Times of Famine, 1971). His methodological approach had a profound impact in the 1960s, causing him to remark that “the quantitative model has completely transformed the craft of the historian in France.” By the 1970s a number of historians were beginning to question the validity of the demographic model as the prime cause of historical change (see, for example, Brenner, 1976). Few would now accept that cultural and political change are largely the products of long-term developments in the economic and demographic base. Indeed, Le Roy Ladurie’s next major work, Montaillou (1975), demonstrated how far he himself had moved away from quantitative history over the long term to an interest in the developing field of social anthropology. Montaillou was a radical departure. Ladurie used the trial records left by the early 13th-century repression of Catharism in Languedoc both to reconstruct the material existence of Pyrenean mountain villagers and to explore their mental world. Using this microhistorical approach he aspired to a wider understanding of medieval mentalites (mentalities), to see “the ocean through a drop of liquid.” His evocation of the lives of ordinary villagers and his reconstruction of their mental horizons earned him the plaudits of professional historians, as well as making him a household name in France. Critics of Montaillou have questioned both Montaillou’s typicality and Ladurie’s rudimentary understanding of the Inquisition registers, which are not, as he claimed, unmediated texts. His move

away from the Annales paradigm was confirmed by Le Carnaval de Romans (1979; Carnival in Romans, 1979). Although the Annalistes had previously rejected event history in favor of long-term structural change, Le Roy Ladurie analyzed the events of the uprising of 1580 in Romans as a social drama that provided an example of “the mental and social layers which made up the Old Regime.” It attempted to explore the nature of social conflict in early modern France and to demonstrate the manner in which conflicts were structured. In recent years Le Roy Ladurie has concentrated on the types of history that thirty years previously he and his colleagues had rejected as outdated. UEtat royal (1987; The Royal French State, 1994) and Le Siecle des Platter (The Century of the Platter Family, 1995) displayed signs of the positivist event history and biography that he claimed in 1973 in Le Territoire de Vhistorien (The Territory o f the Historian, 1979) had been replaced by the primacy of quantitative methods and the analysis of long-term structural change. As professor at the College de France, co-editor of Annales, and more recently as director of the Bibliotheque Nationale, Le Roy Ladurie has had a profound impact on the development of the historical profession in France and beyond. In particular, his interest in developments in other disciplines and his commitment to an interdisciplinary approach to historical analysis will be an enduring legacy. St u a r t

Ca r r o l l

See also Agrarian; Annales School; Anthropology; Burke; Computing; Consumerism; Environmental; France: 1000-1450; France: 1450-1789; History from Below; Indigenous; Mentalities Biography

Emmanuel Bernard Le Roy Ladurie. Born Moutiers-en-Cinglais, 19 July 1929. Received agregation, Sorbonne, DesL, 1952. Taught at Lycee de Montpellier, 1953 -57; research assistant, Centre National de la Recherche Scientifique (CNRS), 1957 -60; assistant, Faculte des Lettres de Montpellier, 1960 -63; assistant lecturer, 1963, Ecole Pratique des Hautes Etudes, director of studies, from 1965; professor of the history of modern civilization, College de France, from 1973; general administrator, Bibliotheque Nationale, from 1987. Married Madeleine Pupponi, 1955 (1 son, 1 daughter).

Principal Writings

Les Paysans de Languedoc, 2 vols., 1966; in English as The Peasants o f Languedoc, 1974 L ’Histoire du climat depuis Van mil, 1967; in English as Times o f Feast, Times o f Famine: A History o f Climate since the Year 1000, 1971 Le Territoire de Vhistorien, 2 vols. 1973 -78; selections in English as The Territory o f the Historian, 1979; and The Mind and Method o f the Historian, 1981 Montaillou, village occitan de 1294 I 324> - 1 9 7 5 ; in E n g lis h a s Montaillou: Cathars and Catholics in a French Village, 1294 -1324 and as Montaillou: The Promised Land o f Error, 1978 “ Symposium: Agrarian Class Structure and Economic Development in Pre-Industrial Europe: A Reply,” Past and Present 79 (1978), 55-59

Le Carnaval de Romans: de la chandeleur au mereredi des cendres, 1579 -1580, 1979; in English as Carnival in Romans, 1979 LArgent, Vamour et la mort en pays d ’Oc, 1980; in English as Love, Death, and Money in the Pays d ’Oc, 1982 Paris-Montpellier: PC-PSU, 1945 - 63, 1982

LEUCHTENBURG

Parmi les historiens: articles et comptes rendus (Collected Book Reviews), 2 vols. to date, 1983 -94 La Sorciere de Jasmin, 1983; in English as Jasmin's Witch, 1987 L ’Etat royal: de Louis X I a Henri IV, 1460 - 1610, 1987; in English as The Royal French State, 1460 - 1610, 1994 The French Peasantry, 1430 -1660, 1987 L ’Ancien Regime de Louis XIII a Louis XV, 1610 - 1774, 2 vols., 1991; in English as The Ancien Regime: A History o f France, 1610 -1774, 199& Le Siecle des Platter, 1499 -1628 (T h e C e n tu r y o f th e P la tte r fa m ily ) , vol.i, 1 9 9 5 ; in E n g lis h a s The Beggar and the Professor, 1 9 9 7

Further Reading

Brenner, Robert, “ Agrarian Class Structure and Economic Development in Pre-Industrial Europe,” Past and Present 70 (February 1976), 30 - 74 Burke, Peter, The French Historical Revolution, Stanford, CA: University of Stanford Press, and Cambridge: Polity Press, 1990 Carrard, Philippe, Poetics o f the New History: French Historical Discourse from Braudel to Chartier, Baltimore: Johns Hopkins University Press, 1992 Peters, Jan, “ Das Angebot der Annales und das Beispiel Le Roy Ladurie: Nachdenkenswertes liber franzosische Sozialgeschichtseforschung ” (The Offering of the Annales School and the Example of Le Roy Ladurie: Reflections on French Social History Research), Jahrbuch fur Wirtschaftsgeschichte 1 ( 1 9 8 9 ) , 1 3 9 - 5 9

Leuchtenburg, William E. 1922US political historian As one reviewer of William E. Leuchtenburg’s The Supreme Court Reborn (1995) noted, Leuchtenburg has occupied a unique position in the historiography of Franklin D. Roosevelt’s New Deal and, more broadly, in 20th-century American political historiography. Leuchtenburg’s generation (including, most famously, Arthur M. Schlesinger, Jr., John Morton Blum, and Frank Freidel), which lived through the 1930s Depression, has been more likely than a succeeding generation of historians to judge the New Deal in terms of the creative solutions it generated to address a host of weaknesses in American socioeconomic institutions. That generation’s students, who were themselves either born after the Depression or are too young to remember it, have been more critical of FDR’s programs, choosing to view them in the light of problems that the New Deal either could not solve or positively ignored - problems such as gross economic inequality and the political subjugation of African Americans. The body of Leuchtenburg’s work has provided an ideological balance and an intellectual bridge between these two camps. The author of The Perils of Prosperity, 1914-1932 (1958), one of the first scholarly syntheses of the period between World War I and the Depression, Leuchtenburg was uniquely qualified to comment later on the New Deal as an answer to problems that the Depression exposed, but did not create, in American society. Weaving together cultural, political, and social history, he covered the range of events from the US entrance into a world war through internal debates over the League of Nations, Red Scares, the decline of progressivism, the resurgence of the Ku Klux Klan and immigration restriction, Prohibition, and, finally, the collapse of the stock

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market in 1929. Leuchtenburg saw these conflicts, by themselves and in total, as reflections of the conflict between rural and urban values in a society that was urbanizing, centralizing political power, and industrializing. Seen from this perspective, the economic collapse of 1929 and the social catastrophe of the Depression were more the natural result of wrenching internal divides than unexplainable aberrations. Leuchtenburg established himself as the pre-eminent political historian of the decade of the 1930s with his landmark book, Franklin D. Roosevelt and the New Deal, 1932-1940. First published in 1963, the book won the Bancroft and Parkman prizes and framed debates over Roosevelt’s responses to the Depression that have yet to be satisfactorily transcended. Unlike some of the historians and Roosevelt biographers who had come to be associated with Leuchtenburg and who had been accused of fawning over FDR, their political hero, Leuchtenburg applied a passionate but critical analysis to the New Deal. Franklin D. Roosevelt and the New Deal addressed the dominant historiographical questions of its time, but it also opened the door for a more critical interpretation of Roosevelt’s programs, an interpretation that has dominated the great majority of work on the New Deal that followed. It also showcased a fluent writing style that wove together material from oral histories, memoirs, contemporary journal and newspaper articles, and an astonishing array of documents from manuscript collections. If any one thing has characterized Leuchtenburg’s writing style, it is his use of anecdotal evidence that would at times seem to border on the fictional, and which has served to “ bring history alive” for countless numbers of undergraduates. As an example, Leuchtenburg illustrated the depth of feeling negative as well as positive - that FDR generated as the first modern president, with the following vignette culled from the Naomi Achenbach Benson manuscript collection: “In Kansas, a man went down into his cyclone cellar and announced he would not emerge until Roosevelt was out of office. (While he was there, his wife ran off with a traveling salesman.)” The vast majority of Leuchtenburg’s work has focused on Roosevelt and his legacy. Subsequent books and scores of articles have assessed Roosevelt’s influence on the presidents who succeeded him. Fie has also tried to make sense of the ill-fated “court-packing” scheme of 1937, by which - Leuchtenburg concludes - FDR doomed his own New Deal by overreaching his own political possibilities. Among his students are many of the most important political and cultural historians of 20thcentury America: William Fi. Chafe, Robert Dallek, Jacquelyn Dowd Hall, Alonzo Hamby, Steven F. Lawson, Harvard Sitkoff, and Howard Zinn. Leuchtenburg has also been active in the “popular history” movement, contributing articles to the magazine American Heritage and serving as a consultant to Ken Burns, the creator of The Civil War and Baseball, the documentaries that won immense popular success by way of America’s Public Broadcasting System. In this way the historian has improved the quality and depth of public debate on issues of historical importance. Among historians, however, Leuchtenburg will be remembered for the way he has shaped debates over the Depression and the New Deal, arguably the most important event and transformative government program in American history since the Civil War. J. T o d d

M o y e

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LEUCHTENBURG

See also Political; United States: 20th Century

Biography

William Edward Leuchtenburg. Born Ridgewood, New York, 28 September 1922. Received BA, Cornell University, 1943; MA, Columbia University, 1944, PhD 1951. Taught at New York University, 1947; Smith College 1949 -51; Harvard University, 1951 -52; Columbia University, 1952 -82; and University of North Carolina from 1983. Married 1948 (second marriage; 3 children from first marriage).

Principal Writings

Flood Control Politics: The Connecticut River Valley Problem, 1927 - 1950 , 1953 The Perils o f Prosperity, 1914 - 1932, 1958 Franklin D. Roosevelt and the New Deal, 1932 - 1940, 1963 Editor, Franklin D. Roosevelt: A Profile, 1967 A Troubled Feast: American Society since 1943, 1973; revised 1979, 1983 In the Shadow o f FDR: From Harry Truman to Ronald Reagan, 1983; revised [with subtitle From Harry Truman to Bill Clinton], 1993 The Supreme Court Reborn: The Constitutional Revolution in the Age o f Roosevelt, 1995 The FDR Years: On Roosevelt and His Legacy, 1995

Further Reading

Garraty, John A., Interpreting American History: Conversations with Historians, 2 vols., New York: Macmillan, 1970

Levene, Ricardo

1885-1959

Argentinian historian Ricardo Levene took some of the tendencies of 19th-century Argentine and Latin American historiography and carried them into the 20th century. He wrote a 2-volume textbook on Argentine history, Lecciones de historia Argentina (1913; A History o f Argentina, 1937), which became the standard textbook in Argentine schools for many years, going through 23 editions. In addition he edited a well-received 10-volume national history. But these were not his only, nor his major contributions. Levene was interested in the history of all of Latin America and he contrasted the history of his native Argentina with the histories of other Latin American countries, thereby introducing the concept of comparative history at a time when most Latin American historians confined themselves to studying their own past. Beyond that he wrote on Argentine law and he researched the economic and judicial history of Argentina’s independence period. Still another of his works examined the role of Bartolome Mitre in Argentine historiography in the 19th century through an examination of Mitre’s Historia del Belgrano de la independencia Argentina (History of Belgrano and of Argentine Independence, 1859) in which Levene concluded that Mitre had, in that study and in the subsequent historiographic polemics with other historians, charted the historiographic field for his contemporaries and for later historians. Levene also wrote social and cultural histories moving away from the typical political studies written by his Latin American contemporaries.

Levene not only introduced new areas for historical study in Argentina, he also moved the study of history chronologically forward from a concentration on colonial and independence themes to the contemporary period. Even more significant, however, was his participation in a debate among historians concerning the proper method for carrying out research. Some of his peers after 1930 announced that a “New ” school of Argentine historians was then advancing historiography far beyond the so-called “ Erudite” school of the early historians such as Bartolome Mitre, Pablo Groussac, and others. This “ New ” school presumably was influenced by French historians and by the German Leopold von Ranke. Ever the committed nationalist, Levene leaped into this polemic and insisted that the “New ” school was not new at all and certainly was not inspired by European historians, but was merely a continuation of Mitre’s research ideas along with an acceptance of Mitre’s work in social and intellectual history. Levene argued that the same emphasis on documentary research on which Mitre had insisted and the same determination to test documentary evidence was accepted by the “New ” school historians. Consequently, the “New ” school was nothing more than an extension of the “Erudite” school. If Mitre was the leading Argentine historian of the 19th century, Levene was the outstanding historian of the 20th century. Not only did he influence historical method by his forays into historiographic debates, but his own works served as models for younger historians. Additionally, he founded and directed the Instituto de Historia del Derecho (Institute of Legal History) which produced more than fifty publications under his direction. He also founded in 1926 the Archivo Historico de la Provincia de Buenos Aires (Buenos Aires Provincial Historical Archive) in which he could carry out his historiographic commitment on the need for documentary evidence for historiographic study. This archive not only enabled historians to research a wide range of topics, but it published a large number of histories written from its materials. Levene assisted young historians in their research, and, by providing the opportunity for young scholars to follow his concepts, he left a distinct imprint on Argentine historiography. At the same time his interest in other nations led him to provide information on Argentine history for scholars from other countries with whom he corresponded extensively. Beyond these many activities he was a prolific writer in his own right, publishing more than twenty books between 1911 and 1958. Ja c k

Ray

Th o m a s

Biography

Born Buenos Aires, 7 February 1885. Studied at Buenos Aires National College; graduated in law, University of Buenos Aires, 1906. Taught history, National College, 1906 -11; professor of sociology, University of Buenos Aires, 1911 - 14, professor of judicial and social sciences, 1914 - 19; professor of history, later dean, then president, University of La Plata, from 1919. Founder /director, Institute of Legal History. Founder, Buenos Aires Provincial Historical Archive, 1926. Married Amelia Rosa Peylonbet (1 son). Died Buenos Aires, 13 March 1959.

Principal Writings

Lecciones de historia Argentina, 2 vols., 1913; later retitled Historia argentina y americana; in English as A History o f Argentina, 1937

L EV I N E

Introduction a la historia del derecho indiano (Introduction to the History of Indian Law), 1924 Investigaciones acerca de la historia economica del Virreinato (Research on the Economic History of the La Plata Viceroyalty), 2 vols., 1927 -29 La anarquia de 1820 en Buenos Aires (1820 Anarchy in Buenos Aires), 1933 General editor, Historia de la nation argentina (History of the Argentine Nation), 10 vols., 1936 - 42 La Academia de Jurisprudencia y la vida de su fundador, Manuel Antonio de Castro: con apendice documental (The Academy of Jurisprudence and the Life of Its Founder, Manuel Antonio Castro: with a Documental Appendix), 1941 La cultura historica y el sentimiento de la nacionalidad (Historical Culture and the Perception of Nationality), 1942 Mitre y los estudios historicos en la Argentina (Mitre and Historical Studies in Argentina), 1944 Historia del derecho argentino (History of Argentine Law), 11 vols., 1945-57

Las Indias no eran colonias (The Indies were Not Colonies), 1951 Manual de historia del derecho Argentino (Historical Manual of Argentine Law), 1952 El mundo de las ideas y la revolution hispanoamericana de 1810 (The World of Ideas and the Hispanic American Revolution of 1810), 1956 Obras (Works), 1961 -

Further Reading

Barager, Joseph R., “The Historiography of the Rio de la Plata Area since 1830,” Hispanic American Historical Review 39 (1959), 587 -642 Instituto Panamericano de Geografia e Historia, Gui'a de personas que cultivan la historia de America (Guide to Scholars of American History), Mexico City, 1951 Mariluz Urquijo, Jose M., “ Ricardo Levene, 1885 - 1959,” Hispanic American Historical Review 39 (1959), 643 - 46 Parker, William Belmont, Argentines o f Today, New York: Hispanic Society of America, 1920 Pla, Alberto J., Ideologi'a y metodo en la historiografia argentina (Ideology and Method in Argentine Historiography), Buenos Aires: Nueva Vision, 1972 Wright, lone S., and Lisa M. Nekhom, Historical Dictionary o f Argentina, Metuchen, NJ: Scarecrow Press, 1978

Levine, Lawrence W.

1933-

US social historian Lawrence Levine has played an important role in shaping the fields of African American and US social history. By employing sources which previously had been bypassed or ignored, Levine has added great complexity to our understanding of the mental world of African Americans before and after emancipation. He has consistently emphasized the value of popular culture as a means for understanding American society, and has played an important role in redefining intellectual history, in Joseph Levenson’s words, as “the history not of thought, but of men thinking.” Levine’s first book, Defender of the Faith (1965), a biography of William Jennings Bryan, grew out of the doctoral dissertation he wrote at Columbia University under the supervision of Richard Hofstadter. Where earlier studies had traced Bryan’s transformation from reform to reaction in the years after he resigned from Wilson’s cabinet, Levine contended that Bryan’s

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involvement in fundamentalist and anti-evolution crusades late in life was consistent with his earlier reform activities. Throughout his career, Levine argued, Bryan had always fought to preserve and strengthen the values and beliefs of the rural West and South which formed the core of his constituency, and with which he had always been closely identified. In the process of completing his study of Bryan, Levine became, as he wrote in 1989, increasingly troubled by the assumption in Defender of the Faith “that one necessarily can derive the consciousness of people from the goals and aspirations of their leaders.” Thereafter, he turned increasingly to folk sources, historical materials produced by ordinary people, which shed light on their mental universe. The result was his important study, Black Culture and Black Consciousness ( i 9 7 7 )By scrutinizing folk sources - the humor, songs, dance, speech patterns, tales, games, folk beliefs, and aphorisms of African Americans - Levine was able to contribute to a number of long-running debates about the nature of slavery, the origins and development of slave culture, and the effects of slavery on post-emancipation African American society. Scholars as diverse as the black sociologist E. Franklin Frazier and the historian Stanley Elkins had argued that the brutality of slavery had destroyed all vestiges of African culture, leaving the slave a tabula rasa, ready to receive either the imprint of white American values, or a dysfunctional slave culture. Levine strongly disagreed. African Americans successfully kept alive important elements of African consciousness in their folk culture, and they were able to do so because these cultural forms proved both resistant to, and a means of resisting, white influences. Whites tended not to interfere with black folk practices, because these practices often supported white assumptions about black inferiority. In other areas there existed important cultural parallels that provided wide room for the syncretic coexistence of African and European beliefs. The important point was that these African cultural forms were more than merely an accommodation to slavery or a strategy for survival. “ Slave music, slave religion, slave folk beliefs the entire sacred world of the black slaves,” Levine argued, “created the necessary space between the slaves and their owners and were the means of preventing legal slavery from becoming spiritual slavery.” Slavery was a brutal institution, but within it slaves were able to forge cultural bonds that enabled them to develop a greater sense of group pride than the system of slavery ever intended them to have. While Levine showed that the strong traces of African consciousness preserved in the folk life of the slave helped African Americans survive the horrors and degradation of slavery, he also pointed out that African cultural forms helped shape the contours of black life after emancipation. African Americans refashioned slave tales, humor, and music to reflect the new realities of a world free from slavery, but not of the power and force of white racism. As African Americans adapted to freedom, so did their folk culture. There was little room in Levine’s account for what Daniel Patrick Moynihan described as the “tangle of pathologies” that left the African American male emasculated, and the black family deeply dysfunctional. The story of African Americans, Levine recognized, was not one solely of brutalization and victimization. In the face of adversity African Americans forged cultural

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institutions that helped them to cope with the pain of slavery and resist the burden of white racism. After the publication of Black Culture and Black Consciousness, Levine continued to research American folk and popular culture. Both as a historian and as president of the Organization of American Historians, Levine has consistently defended a multicultural approach to American history on scholarly grounds. No history, he has argued, can be complete unless it embraces the diversity of the ethnic, class, gender, racial, regional, and occupational groups which for so long had been ignored by American historians, yet which have contributed fundamentally to the development of American culture. Many historians in recent years have joined Levine in broadening the range of historical inquiry, and in recognizing the multifaceted complexity of the American past. M i c h a e l L. O b e r g See also African American; Elkins; Slavery: Modern

Biography

Lawrence William Levine. Born New York City, 27 February 1933. Received BA, City College, New York, 1948; University of Pennsylvania, MA, PhD 1954. Taught at City College of New York, 1959 - 61; Princeton University, 1961 - 62; University of California, Berkeley, from 1962; and George Mason University from mid-1980s.

Principal Writings

Defender o f the Faith: William Jennings Bryan, The Last Decade, 1915 -1925, 1965 Black Culture and Black Consciousness: Afro -American Folk Thought from Slavery to Freedom, 1977 Flighbrow / Lowbrow: The Emergence o f Cultural Flierarchy in America, 1988 The Unpredictable Past: Explorations in American Cultural History, 1993

Levi-Proven^al, Evariste 1894-1956 French medievalist, Arabist, and Hispanist Born in Algiers, Evariste Levi-Proven^al was a member of the great school of French Arabists associated with the Institute of Higher Moroccan Studies in Rabat, along with Georges S. Colin and Henri Terrasse, and was director of the Institute after the death of Henri Basset in 1926. He was thus in the right place to take advantage of the opening of a sealed chamber of the Qarawiyin mosque in Fez which revealed numerous important new sources of the history of Islamic Spain, including many of the early chapters of Ibn Hayyan’s al-Muqtabas, which allowed him to give a much more complete narrative of the Umayyad period of the history of Islamic Spain than had been possible before. Moreover, his Moroccan perspective led him to promote a view of a unified “Western Islamic” culture that still carries considerable influence. Levi-Proven^al defined for his and all succeeding generations the narrative structure of the history of the Umayyads of Islamic Spain, or al-Andalus. It is his narrative of Umayyad emirate and caliphate that has determined the particular emphases of all subsequent narratives, because he was the first historian of Islamic Spain who dominated the historical sources of Umayyad times.

Levi-Proven^al criticized Reinhart Dozy (whose history of Islamic Spain he revised in 1932) for overemphasizing the role of tribal in-fighting in the political history of the emirate. But in downplaying the role of tribalism, he exaggerated both the nature and speed of the cultural fusion that took place among the conquering Muslims and the indigenous Hispano-Roman population. First, he overestimated the rapidity of the conversion process, and, second, he mistook the massive conversion of Christians in the 8th and 9th centuries for a process of fusion with their Arab overlords, a process better described in terms of acculturation and assimilation. He believed that the process of conversion was quite rapid, more so in cities than in rural areas, and that it was pushed by “ matrimonial alliances and a communality of material interests” among all ethnic groups, whether Arab, Berber, or indigenous. These groups eventually were able to form a distinctive and unified Andalusi ethnic group, in part characterized by somatic diversity unknown elsewhere in the Arab world and by the residual use of Romance dialect, which combined to present the Eastern traveler with an impression of an exotic society. His account of the social history, particularly of the emirate, is vitiated by his lack of understanding of tribal social structure as well as by his tendency to revert to analogies with Morocco in order to explain events in al-Andalus. The institutions of the Umayyad state, however, were almost wholly of Eastern inspiration, both Umayyad and ‘Abbasid. Nothing remained of Visigothic institutions except for certain elements of the regime of land tenure. Levi-Proven^al’s account of the fall of Caliphate consisted simply of a minute description of the political events of 1010-23, concluding with an expression of the historian’s inability to comprehend the suddenness of the phenomenon. Among Levi-Proven^al’s important editions of Arabic texts was al-Himyari’s geography of al-Andalus, containing detailed descriptions of the great cities of Islamic Spain. This text served as the basis for his numerous articles on Andalusi cities in the first and second editions of the Encyclopaedia of Islam. LeviProven^al also stimulated interest in the institution known as hisba in al-Andalus by his translation of the treatise of Ibn ‘Abdun and his insistence on the genre’s importance for understanding the fine texture of urban life. Hisba manuals were chapbooks for the guidance of the muhtasib, an urban magistrate who oversaw the daily life of the city: as market inspector, overseer of building codes, and as censor of public morality. Levi-Proven^al also edited the Arabic texts of the treatises of Ibn ‘Abdun, Abd ‘al-Ra’uf, and al-Jarsifi. T h o m a s F. G l i c k See also Guichard; Middle East; Sanchez-Albornoz; Spain: Islamic;

Spain: to 1450

Biography

Born Algiers, 4 January 1894. Took a degree in Arabic, University of Algiers, 1913. Served in French army and was wounded in Dardanelles during World War I. Worked in Office of Native Affairs, Morocco, 1919. Taught Arabic, Institut des Hautes Etudes Marocaines, Rabat, 1919 -35, where he also earned his PhD. Chair of history, University of Algiers, 1935: dismissed under Vichy because he was Jewish; chair in Islam, the Sorbonne, 1945 -56; director, Institut des Etudes Islamiques, 1950 -56. Died 1956.

LEVI SON

Principal Writings

Contributor, The Encyclopaedia o f Islam: A Dictionary o f the

Geography, Ethnography and Biography o f the Muhammadan Peoples, 4 vols., 1913-36 L ’Espagne musulmane au Xeme siecle: institutions et vie sociale

(Muslim Spain in the 10th century), 1932 Editor of new edition, Histoire des Musulmans d'Espagne jusqu ’a la conquete de VAndalousie par les Almoravides (711 - 1110)

(History of the Muslims of Spain) by Reinhart Dozy, 3 vols., 1932

Editor/translator, La Peninsule iberique au Moyen Age d ’apres le Kitab al- Rawd al- mi‘tar ’ d ’lbn (Abd al-Muncim al-Himyari (The Iberian Peninsula in the Middle Ages), 1938 Editor/translator, Seville musulmane au debut du X IIe siecle: le traite dTbn ‘Abdun sur la vie urbaine et les corps de metiers

(Muslim Seville in the 12th Century), 1947

Islam d ’Occident: etudes d ’histoire medievale (Islam in the West:

Studies in Medieval History), 1948

Histoire de PEspagne musulmane (A History of Muslim Spain), 3

vols., 1950-67 [vol. 1 originally published 1945]

Further Reading

“Bibliografie analytique de l’oeuvre d’E. Levi-Proven^al” (Analytic Bibliography of the work of E. Levi-Proven^al), in Etudes d ’orientalisme dediees a la memoire de Levi-Provengal, 2 vols., Paris: Maisonneuve et Larose, 1962

Levison, Wilhelm 1876-1947 German medievalist Wilhelm Levison’s list of his publications bore this quotation from Bede: “I have always found it delightful to learn and to teach and to write.” Levison was a consistently popular, indeed venerated, teacher-scholar. He devoted significant energy simply to making relevant information available to the historical community, typically asserting his intention to put future debates on a more secure evidentiary footing. Levison’s 1898 discussion of the sources relevant to the (still-debated) date of the Christian baptism of Clovis brought him to the attention of Bruno Krusch. Krusch brought Levison to work at the Monumenta Germaniae Historica (MGH), a collaborative scholarly effort dedicated to identifying sources for the early history of “ Germany” and publishing them in critical editions. Critical editions, based on the comparison of numerous manuscripts, were a relatively new development in 1899, and the MGH project was central to creating the conventions of the genre; Levison, due to his meticulous approach to texts and his dedication to his scholarly calling, contributed broadly to the new era of professional medieval Geschichtswissenschaft (historical science) by undertaking to compile indices, check proofs, and fulfill other ancillary but essential tasks even for departments of the MGH outside his own specialization. Levison himself worked primarily (although not exclusively) on early medieval saints’ biographies, attempting to establish their relative degrees of “ source-worthiness” (Quellenwert), then publishing (in the MGH and elsewhere) all or part of those texts that he determined to possess value. At the time, these sources were relatively little known or used, and Levison - following his mentor Krusch - was a pioneer among nonclerical historians. Levison’s expertise in the field was so respected that he was called on to

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train new members of the (Jesuit) Society of Bollandists, the clerical group which had inaugurated, centuries earlier, the critical analysis of the legends of the saints. Through his editorial work at the MGH, Levison became tremendously influential: the products of his labor are owned in multiple copies by every serious research library in Europe and North America, are regularly consulted by almost every active medievalist, and effectively constitute a canon of essential sources for medieval history. Not only the sources which Levison made available, but also his posthumous Deutschlands Geschichtsquellen im Mittelalter (Germany’s Historical Sources of the Middle Ages 1952-73), remain fundamental for medieval historical scholarship. He published hundreds of contributions of varying length in scholarly journals - including a constant flow of short notices concerning manuscripts and sources which appeared in the journal of the MGH, the Neues Archiv - and was the primary mentor of dozens of prominent German medievalists. Levison must be reckoned as one of the most influential medieval historians of the 20th century. Levison eschewed outright controversy. Instead, he gave meaning to historical evidence in more subtle ways, for example, through providing each edited text with an elaborate apparatus, which itself would determine how future users would interpret the evidence. Levison sifted through saints’ biographies with the intention of labelling some narratives as more reliable than others, and sifted through the narratives themselves searching for nuggets of “data ” among the disposable filler. Rooted in the 19th-century German philological approach to history, Levison dated and localized the genesis of each text largely on the basis of linguistic evidence, to which other considerations were added: codicological evidence; textual references to dateable events and personages; comparisons with liturgical, calendrical, documentary, and similar ancillary materials; and the identification of prior sources used and posterior narratives influenced by the text in question. Through decades of low-key source-critical work dedicated to distinguishing reliable “ historical” evidence from unreliable “legendary” accretions, Levison constructed a picture of the process of the Christianization of the British Isles and of continental Europe north of the Alps. Despite all his sophisticated source-critical methods, Levison rarely controlled for bias in narrative sources; as a result, the picture he painted effectively repeated the historiographic views of whatever sources he had judged to be reliable. Nor did his vision of the past remain unaffected by contemporary events. Levison was forced to flee his beloved ancestral Rhineland Heimat (homeland) as a result of Nazi racial laws, and produced his only full-fledged monograph, England and the Continent in the Eighth Century (1946), while in England; the work, written during World War II, is a synthetic statement of the salvific influence of insular pilgrims on a decrepit continental religious culture. Levison - himself named in honor of a German emperor was a victim of the so-called “ fatal embrace” of the liberal state by European-Jewish intellectuals, who saw in the secular, bureaucratic authority of the nation-state a sort of latter-day savior. Levison worked assiduously, along with a large number of other Jewish Germans, on the MGH project, serving from 1925 onwards on the Board of Directors (Zentraldirektion) of that state-supported scholarly effort. The nationalism Levison worked to promote in Germany was not without effect on

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l e v is o n

the popularity of anti-Semitic, Blut-und-Boden (“Blood-andSoil”) Nazism. Furthermore, as medieval literary scholars have increasingly questioned the validity of “editions” of texts whose manuscript witnesses diverge from one another, the very ideal of creating monumental textual editions - a project to which Levison contributed so much - has been criticized as politically motivated. A provocative analysis of Levison’s editorial work can be found in David Townsend’s 1993 article. The role of Levison and other Jewish intellectuals in the creation of a German nationalist consciousness is one of the tragic ironies of the modern historical profession, an example of the unintended consequences that can result from historical representations. Fe l ic e

Lif s h it z

See also Britain: Anglo-Saxon; France: to 1000; Krusch

Biography

Born Diisseldorf, 25 May 1876, to an assimilated Jewish family. Studied history and classical languages in Bonn and Berlin, 1894 -95. Editor on the Monumenta Germaniae Historica from 1898; taught at the University of Bonn, from 1909; because of Nazi racial laws, dismissed from his post, 1933; settled in Durham, England, 1939, where he was connected to the university. Married Elsa Freundlich, 1917. Died Durham, 17 January 1947.

Principal Writings

“ Zur Geschichte des Frankenkonigs Chlodowech ” (On the History of Clovis, King of the Franks), Bonner jahrbiicher 103 (1898), 42 - 86 “ Bischof Germanus von Auxerre und die Quellen zu seiner Geschichte” (Bishop Germanus of Auxerre and the Sources for His History), Neues Archiv 29 (1903), 95 - 175 “ Die Iren und die Frankische Kirche” (The Irish and the Frankish Church), Historische Zeitschrift 109 (1912), 1 - 22 “ Konstantinische Schenkung und Silvester-Legende” (The Donation of Constantine and the Legend of Silvester), Miscellanea Francesco Erie II (Rome, 1924), 159 - 247 Das Werden der Ursula-Legende (The Making of the Ursula Legend), 1928 “ Die Anfange rheinischer Bistiimer in der Legende” (The Beginning of Rhenish Bishoprics in Legend), Annalen des Historischen Vereins fur den Niederrhein 116 (1930), 5 -28 “ St. Willibrord and His Place in History ” Durham University Journal new series 1 (1940), 23 -41 England and the Continent in the Eighth Century, 1946 Aus rheinischer und frankischer Fruhzeit: Ausgewahlte Aufsatze (Rhenish and Frankish Early Middle Ages: Selected Essays), edited by Walther Holtzmann, 1948 [collected articles and bibliography]

Critical Editions

With Bruno Krusch, Passionaes vitaeque sanctorum aevi Merovingici et antiquiorum aliquot (Passion-Accounts and Biographies of Saints of the Merovingian Age and Earlier), 5 vols., 1896 -1920 With Bruno Krusch, lonae Vitae sanctorum Columbani, Vedastis, Iohannis (Jonas’ Biographies of Saints Columbanus, Vedast, John), 1905 Vitae sancti Bonifatii archiepiscopi moguntini (Biographies of St. Boniface, Archbishop of Mainz), 1905 Gregorii Turonensis Opera (The Works of Gregory of Tours), revised edition, 1951 With Heinz Lowe, Deutschlands Geschichtsquellen im Mittelalter: Vorzeit und Karolinger (Germany ’s Historical Sources of the Middle Ages: Antiquity and the Carolingians), 1952 -73 [revision of Wilhelm Wattenbach ’s edition]

Further Reading

Schieffer, Theodor et al., In memoriam, Wilhelm Levison (1876 - 1947), Cologne: Hanstein, 1977 Townsend, David, “ Alcuin ’s Willibrod, Wilhelm Levison and the Monumenta Germaniae Historica, ” in Roberta Frank, ed., The Politics o f Editing Medieval Texts, New York: AMS Press, 1993

Lewin, Moshe 1921Polish-born historian of Russia Moshe Lewin came late to the world of professional history but soon established a reputation as the most influential social historian of 20-century Russia. He was born into left-wing Zionist circles in Poland in 1921, fled to the East in 1941 where he saw Stalin’s Russia at first hand, and worked on a kolkhoz and in industry before joining the Red Army. He returned to Poland after the war, and after staying in France, spent most of the 1950s in Israel. In 1961 he obtained a research scholarship at the Sorbonne which led to his pioneering thesis on the collectivization of the Russian peasantry, published as Russian Peasants and Soviet Power (1968), and described by one commentator as “a manifesto for social history.” He then taught in France, Britain, and the US, playing a central role in each country in helping to define the agenda of a new concern with Russian social history. Lewin rejected the then prevailing totalitarian model of the USSR, arguing that it was “useless as a conceptual category . . . the term was . . . itself ‘totalitarian’ in its empty self-sufficiency; it did not recognize any mechanism of change in the Soviet Union and had no use for even a shadow of some historical process.” In its place Lewin emphasized, first, the importance of alternatives in modern Russian history. This can be seen in his sympathy with many of the aims of the 1917 Revolution but his rejection of many of its eventual outcomes. He made a pioneering study of Lenin ’s Last Struggle (1967, translated 1968) to document Lenin’s own deathbed resistance to the bureaucratization of the Revolution. He went on to stress later policies, arguing that modern Russia emerged more from the era of collectivization and industrialization than the Revolution, although recognizing that Stalin’s power depended on pressures evident earlier. Lewin emphasized, second, the centrality of social change to Soviet and Russian history. Although his early work focused on the 193os, he was unusual in stressing the scale of change after 1945. This was reflected, for instance, in the growing urban share from 18 per cent of the population in 1926 to 32 per cent in 1939, to 49 per cent in i960 and 70 per cent in 1980. For Lewin the true urban-industrial revolution in Russia was occurring from the 1950s to the 1970s when many political commentators were emphasizing relative immobility in the system, and it was this social change, he argued, that eventually allowed Gorbachev to appear with his reform program. Lewin emphasized, third, the role of Russian society, arguing for the need to break down “the usual antithesis of ‘state’ versus ‘society.’ ” Russian Peasants and Soviet Power offered an initial analysis of collectivization that he later extended backward and forward into a discussion of what he called “ the rural nexus” in Russian life - the dominance of peasant mores across

LEWI S

society well into the 1950s. Collectivization and industrialization only partly broke this rural nexus but helped in the short run to establish a “quicksand society” in the 1930s. Both the working class and bureaucratic professional groups were in constant turmoil without completely losing all possibility of resisting those above. For Lewin, however, “ Stalinism turned out to be a passing phenomenon.” He argued that the main theme of post-194 5 Soviet history was the re-emergence of civil society. In Political Undercurrents in Soviet Economic Debates (1974) he looked at the coded debates about economic reform in the 1960s revealing their concern with alternative pasts, presents, and futures as well as showing how they had spilled over into a wider concern with law, culture, and democratization. He later argued that the reformers of the 1960s, although defeated in the short run, prefigured perestroika under Gorbachev. In 1988 he published The Gorbachev Phenomenon: An Historical Interpretation, one of the first attempts to explore the social preconditions of the rise of perestroika and glasnost’. Like growing numbers on the left from the 1960s, Lewin rejected the view that the USSR was socialist but he never offered a clear analysis of an alternative categorization. He was an optimistic supporter of Gorbachev’s reforms and therefore disappointed with their eventual outcome. Ironically, with hindsight, he could be criticized for failing to extend his own analysis to an appreciation of the social contours of power and the way that these might condition eventual political and economic choices. But his rejection of “one-dimensional analysis” of Russia’s past continues to be a powerful inspiration for those following in the footsteps of his pioneering analysis of Russian social history. M ic h a e l

H a y ne s

See also Davies, N.; Russia: Modern Biography

Born Wilno, Poland, 6 November 1921. Grew up in Poland, but fled to Russia in 1941, working and eventually joining the Red Army. Returned to Poland after the war, but left, first for France, then for Israel. Received BA, Tel Aviv University, 1961; PhD, the Sorbonne, 1964. Taught at Ecole des Hautes Etudes, Paris, 1965 -66; Columbia University, 1967 -68; University of Birmingham, England, 1968 -78; and University of Pennsylvania, from 1978.

Principal Writings

La Paysannerie et le pouvoir sovietique, 1928 - 1930, 1966; in English as Russian Peasants and Soviet Power: A Study o f Collectivization , 1968 Le Dernier Combat de Lenine, 1967; in English as Lenin's Last Struggle, 1968 Political Undercurrents in Soviet Economic Debates: From Bukharin to the Modern Reformers, 1974; reprinted with new introduction as Stalinism and the Seeds o f Soviet Reform: The Debates o f the 1960s, 1991 The Making o f the Soviet System: Essays in the Social History o f Interwar Russia, 1985 The Gorbachev Phenomenon: An Historical Interpretation, 1988 Russia -U.S.S.R.- Russia: The Drive and Drift o f a Superstate, 1995

Further Reading

Abelove, Henry et al., eds., Visions o f History, by MARHO: The Radical Historians Organisation, Manchester: Manchester University Press, and New York: Pantheon, 1983

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Andrle, Vladimir, A Social History o f Twentieth -Century Russia, London and New York: Arnold, 1994 Lampert, Nick, and Gabor T. Rittersporn, eds., Stalinism: Its Nature and Aftermath: Essays in Honour o f Moshe Lewin, London: Macmillan, and Armonk, NY: Sharpe, 1992 Lew, R., “ Grappling with Soviet Realities: Moshe Lewin and the Making of Social History,” in Nick Lampert and Gabor T. Rittersporn, eds., Stalinism: Its Nature and Aftermath: Essays in Honour o f Moshe Lewin, London: Macmillan, and Armonk, NY: Sharpe, 1992

Lewis, Bernard 1916 US (British-born) historian of Islam, the Ottoman Empire, and the modern Middle East Over a 60-year career, Bernard Lewis emerged as the most influential postwar historian of Islam and the Middle East. His elegant syntheses made Islamic history accessible to a broad public in Europe and America. In his more specialized studies, he pioneered social and economic history and the use of the vast Ottoman archives. His work on the premodern Muslim world conveyed both its splendid richness and its smug selfsatisfaction. His studies in modern history rendered intelligible the inner dialogues of Muslim peoples in their encounter with the values and power of the West. While Lewis’ work demonstrated a remarkable capacity for empathy across time and place, he stood firm against the Third Worldism that came to exercise a broad influence over the historiography of the Middle East. In Lewis’ work, the liberal tradition in Islamic historical studies reached its apex. Lewis drew upon the reservoir of Orientalism, with its emphasis on philology, culture, and religion. But while Lewis possessed all the tools of Orientalist scholarship - his work displayed an astonishing mastery of languages - he was a historian by training and discipline, intimately familiar with new trends in historical writing. He was one of the very first historians (along with the Frenchman Claude Cahen) to apply new approaches in economic and social history to the Islamic world. While a student in Paris, Lewis had a brief encounter with the Annales school, which inspired an early and influential article on guilds in Islamic history. A youthful Marxism colored his first book, The Origins of IsmaHlism (1940: his doctorate for the University of London, where he taught for thirty years). He subsequently jettisoned this approach, refusing the straitjacket of any overarching theory. But his studies of dissident Muslim sects, slaves, and Jews in Muslim societies broke new ground by expanding the scope of history beyond the palace and the mosque. Lewis’ early work centered on medieval Arab-Islamic history, especially in what is now Syria. However, after the creation of Israel, it became impossible for scholars of Jewish origin to conduct archival and field research in most Arab countries. Lewis turned his efforts to the study of Arab lands through Ottoman archives available in Istanbul, and to the study of the Ottoman empire itself. The Emergence o f Modern Turkey (1961) examined the history of modernizing reform not through the European lens of the “ Eastern Question,” but through the eyes of the Ottoman reformers themselves. Lewis relied almost entirely on Turkish sources, and his history from

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within became a model for many other studies of 19th-century reform in the Middle East. It also signaled his own deepening interest in the history of ideas and attitudes in Islam’s relationship to the West. Lewis regarded the “challenge” or “impact” of the West as the watershed between the premodern and modern Middle East. Over the last two decades, some historians have sought to establish that the Ottoman empire remained vital through the 18th century and even began to regenerate - a process nipped in the bud by Europe’s economic and military expansion. Lewis, however, insisted that Ottoman decline was both real and self-inflicted. It resulted not only from the West’s material superiority, but from a Muslim attitude of cultural superiority, which impeded borrowing. The importance of creative borrowing, and the costs of Muslim insularity, were major themes in The Muslim Discovery o f Europe (1982). Twentieth-century Turkey’s eagerness to belong to the West accorded it a privileged place in Lewis’s vision of the Middle East. From the early 1950s, Lewis became alarmed by the expansion of Soviet influence in the region, and he consistently advocated close Western ties with Turkey. Soviet support for the Arabs from the 1960s likewise led him to emphasize the importance of Western relations with Israel. In 1974, Lewis relocated from London to Princeton, where he became a public intellectual. His long-standing critique of the Soviet Union was reinforced by his revulsion at the combined Soviet and Arab effort to delegitimize Israel as racist. He expressed his views in several articles, and later in a book, Semites and Anti-Semites (1986). His engagement in these controversies set the scene for his confrontation with the Palestinian-American literary critic Edward Said. In 1978, Said published Orientalism, which argued that the modern study of Islam in the West had evolved as a tool of imperialist domination, and that the West’s pursuit of knowledge had conspired with its pursuit of power. Orientalism, effectively a form of racism, had misrepresented Islam as static, irrational, and in permanent opposition to the West. Lewis maintained that the development of Orientalism was a facet of Europe’s humanism, which arose independently of, and sometimes in opposition to, imperial interests. Islamic studies, after neutralizing the medieval religious prejudice against Islam, had been an important arena of discovery and achievement. Lewis rejected the view that only Muslims, Arabs, or their political sympathizers could write the region’s history: he called this “intellectual protectionism.” A combination of curiosity, empathy, competence, and self-awareness was the only prerequisite for the writing of “other people’s history.” The Said-Lewis exchange prompted a charged debate about the representation of Islam and the Arabs in Western academe. It created a new awareness among Western historians that their readers included Arabs and Muslims. It also exposed ethnic and political differences among historians in their rawest form. Lewis’s influence extended far beyond academe. He wrote three major syntheses for general audiences: The Arabs in History (1950), The Middle East and the West (1964), and The Middle East (1995). These books were translated into more than 20 languages, and made his name synonymous with Islamic history for educated publics in the West. Leading newspapers often interviewed him on past and present issues. (One such interview, granted to Le Monde in 1993, resulted in a

controversial suit against him by opponents of his interpretation of the Armenian tragedy of 1915-16.) Lewis has had an active retirement and his views carry weight in Western capitals, and are sought by prime ministers, presidents, and monarchs in Israel, Turkey, and Jordan. M a r t in

Kr a me r

See also Islamic; Middle East; Orientalism; Ottoman Biography

Born London, 31 May 1916. Attended Wilson College and The Polytechnic; received BA, University of London, 1936; Diplome des Etudes Semitiques, University of Paris, 1937; PhD, University of London, 1939. Served in Royal Armoured Corps and Intelligence Corps, 1940 -41; attached to Foreign Office, 1941 -45. Taught (rising to professor), School of Oriental and African Studies, University of London, 1938 -39, 1945 -74; Princeton University, 1974 -86 (also member, Institute for Advanced Study, Princeton); and Cornell University, 1986 -90. Naturalized US citizen, 1982. Married Ruth Helene Oppenhejm, 1947 (marriage dissolved 1974; 1 daughter, 1 son).

Principal Writings

The Origins o f Isma'ilism: A Study o f the Historical Background o f the Fatimid Caliphate, 1940 The Arabs in History, 1950, revised 1958; 6th edition, 1993 The Emergence o f Modern Turkey, 1961; revised 1968 Editor, with Peter Malcolm Holt, Historians o f the Middle East, 1962 Istanbul and the Civilization o f the Ottoman Empire, 1963 The Middle East and the West, 1964; revised as The Shaping o f the Middle East, 1994 The Assassins: A Radical Sect in Islam, 1967 Editor, with Peter Malcolm Holt and Ann K.S. Lambton, The Cambridge History o f Islam, 2 vols., 1970; revised in 4 vols., 1978 Race and Color in Islam, 1971; revised and expanded as Race and Slavery in the Middle East: An Historical Enquiry, 1990 Islam in History: Ideas, Men and Events in the Middle East, 1973; revised, 1993 Editor, Islam: From the Prophet Muhammad to the Capture o f Constantinople, 2 vols., 1974 History - Remembered, Recovered, Invented, 1975 Editor, with Benjamin Braude, Christians and Jews in the Ottoman Empire: The Functioning o f a Plural Society, 2 vols., 1982 The Muslim Discovery o f Europe, 1982 The Jews o f Islam, 1984 Semites and Anti-Semites: An Inquiry into Conflict and Prejudice, 1986 The Political Language o f Islam, 1988 Islam and the West, 1994 The Middle East: A Brief History o f the Last 2,000 Years, 1995; m UK as The Middle East: 2,000 Years o f History from the Rise o f Christianity to the Present Day, 1995

Further Reading

Humphreys, R. Stephen, “ Bernard Lewis: An Appreciation,” Humanities 11 I t, (May/June 1990), 17 -20

Lewis, David Levering 1936US intellectual historian Currently the holder of the Martin Luther King, Jr. chair in history at Rutgers University, David Levering Lewis has made

LEYSER

his mark as a historian by producing significant monographs in the fields of Afro-American, European, and African history. Concern with interactions as well as similarities and differences between European, African, and American social, political, and cultural history has led Lewis to merge his dominant interest in European history with African American and African history. His 1993 Pulitzer Prize-winning biography, W.E.B. Du Bois: Biography o f a Race, 1868-1919, aptly demonstrates this point. Lewis’ biography places the life of W.E.B. Du Bois, the first African American to receive the PhD from Harvard University (1895) within the larger context of the Gilded Age and the Progressive Era. But the study is also informed by a keen awareness of the international milieu in which Du Bois’ life was formed. Issues such as European imperialism in Africa, the intensification of scientific racism, and larger trends of modernization command Lewis’ attention. The biography also makes a dramatic break with the earlier historiography on Du Bois’ life. Lewis, through a combination of prodigious research and extensive knowledge of American and European history, moves away from constructing Du Bois as simply a petit bourgeois intellectual or as a consistent advocate of one position or another throughout his lifetime. Instead, Lewis utilizes a more multifaceted and complex approach to reconstruct Du Bois’ life. First, he explores the centrality of race in the development Du Bois’ personality and lifework. Second, he uncovers the importance of intellectual pursuits and engagement. Finally, he examines the significance of Du Bois’ organizational affiliations in the actualization of his goals and achievements. Lewis’ other work in African American history has also been significant. King (1970) was one of the earliest biographical assessments of Martin Luther King’s contribution to civil rights in America. When Harlem Was in Vogue (1981) was an intellectual history of the black literati during the Harlem Renaissance of the 1920s. Focusing on writers and academics such as Claude McKay, Countee Cullen, W.E.B Du Bois, Alain Locke, and Walter Thurman, Lewis recreated the dynamism of post-World War I Harlem. However, Lewis’ focus on the literati leads to a stilted portrait of the Harlem Renaissance. While correcting the image of Harlem as a tragic slum in the 1920s, Lewis failed to engage with the role of music and religion in the creation of its culture. His engaging style and considerable literary skills have also been brought to bear on seminal events in European history. With the publication of Prisoner of Honor (1973), Lewis renewed his interest in modern French history. The Dreyfus affair, possibly the most infamous legal case in modern European history, involved a French artillery captain of Jewish faith, Alfred Dreyfus (c. 1859-193 5). Dreyfus, who was assigned to the general staff in Paris, was accused of having written a bordereau (“schedule”) for delivery to the German embassy in Paris. Dreyfus was charged with treason and in 1894, found guilty and transported to Devil’s Island to serve out a sentence of lifelong imprisonment. Lewis constructs his text against the backdrop of the larger implications of the Dreyfus affair. Issues of national security, religious intolerance, institutional corruption, and minority rights dominate his account. The recurring theme of the intersection between national experiences also finds its way into Lewis’ work on African history.

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The Race to Fashoda (1987) identified the linkages between national characters and interactions between nations as a means of drawing larger meanings. Lewis used Fashoda not to re-examine the tensions between European imperial powers, but to investigate African resistance and twenty years of earlier negotiations. Lewis’ treatment of the Fashoda incident (1898), which brought France and Britain to the brink of war in the Sudan, represents a balanced portrait of both European imperialism and African resistance. As an African American historian, Lewis continues to set high standards for African American and American history. His emphasis on research, contextualization, the examination of a multiplicity of causal factors, and an advanced understanding of the influence of European history on the development of African American history, makes him an important contributor to the historical debate. St e p h e n

G il r o y

H al l

Biography

Born Little Rock, Arkansas, 25 May 1936. Received BA, Fisk University, 1956; MA, Columbia University, 1959; PhD, London School of Economics, 1962. Taught at University of Ghana, Legon, 1963 -64; Howard University, 1964 -65; Morgan State University, 1966 -70; rose to professor, University of the District of Columbia, 1970 -80; University of California, San Diego, 1981 -85; and Rutgers University, from 1985. Married 1) Sharon Lynn Siskind, 1965 (divorced 1988; 2 sons, 1 daughter); 2) Ruth Ann Stewart, 1994 (1 daughter).

Principal Writings

King: A Critical Biography, 1970 Prisoner o f Honor: The Dreyfus Affair, 1973 When Harlem Was in Vogue, 1981 The Race to Fashoda: Colonialism and African Resistance, 1987 W.E.B. Du Bois: Biography o f a Race, 1868 - 1919 , 1993

Leyser, Karl 1920-1992 British (German-born) medieval historian Karl Leyser was the son of a prosperous Jewish mercantile family from Diisseldorf, who came to England as a refugee in 1937 and studied history at St. Paul’s School and Magdalen College, Oxford, where he was particularly influenced by the medievalist Bruce McFarlane. During the war he served in the Pioneer Corps and then the Black Watch, rising to the rank of captain, before returning to complete his degree at Oxford and then to take up a teaching fellowship at his college; except for brief visiting professorships in the US at the end of his life he spent his entire scholarly career in Oxford, becoming professor of medieval history in 1984. A heavy teaching load meant that he published virtually nothing before the age of 45, and it took the shock of a near-fatal car accident in 1977 to propel him into publishing ideas that had already inspired generations of undergraduates, and latterly also postgraduates. Once Rule and Conflict in an Early Medieval Society (1979) had appeared, he became a more prolific writer, producing some thirty articles between then and his death in 1992. Rule and Conflict was a work of startling originality, which has had considerable impact on the way in which many

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LEYSER

medievalists have come to view the archaic polities of the early Middle Ages. Leyser stressed the alterity of the 10th-century world: it could not be understood by mere intuitive empathy or by the unthinking application of modern notions of political behavior. Its rulers and magnates were not locked in a permanent structural conflict with each other, but they were involved in some conflicts, and in particular 10th-century rulers “ did not stand outside the circle of feud and revenge.” Equally novel was his stress on the significance of the women of the Saxon aristocracy and their religious life, and his interpretation of the Ottomans’ “sacral kingship” as a means of allowing magnates and rulers to end conflicts in ways that the harsh rules of feud and honor might otherwise not have allowed. This ability to take an apparently well-studied topic and view it from an angle throwing unusual highlights and shadows was found in most of Leyser’s published work. He was particularly sensitive to the insights that we can gain from close reading of narrative sources, at a time when many medievalists had come to dismiss these as inherently “ unreliable” and not to be used if “record evidence” was available. His writing was at its most characteristic when he lingered over a strange or inconsequential detail in a narrative and used it to reveal a whole set of contemporary attitudes and beliefs that we had forgotten or ignored. Saints, for example, showed themselves to be aristocratic in their behavior by not visiting kings and bishops directly; they sent their messages via servants, who were almost as terrified of interrupting their masters as they were of the saints who had appeared to them in visions, and usually needed reminding and even the application of physical violence before they would act. Leyser’s own life history was more closely linked with his historical work than it has usually been for later generations of historians growing up in a more sheltered and untroubled world. His early experiences of persecution and exile gave him, as with many other emigre Central European intellectuals, a deep sense of the fragility of human society and institutions; his war service offered profound insights into the problems presented by the raising, feeding, and leading of armies; and his early historical training under McFarlane, who remained a mentor and powerful influence even after his death in 1966, drew him to the study of medieval aristocracies. In historical outlook he was in many ways an English empiricist, eschewing wide-ranging theories and model-based interpretations; yet his very wide reading and his fluent German - a highly unusual accomplishment for a medievalist of his generation, even though he had little contact with German medievalists for the first two decades of his scholarly career - made it impossible for him to accept the kind of historical stance that he would denounce as “ bloody British pragmatism.” He had few pupils and founded no “school,” but few medievalists since World War II have been more influential. Tim o t h y

Re ut e r

See also Germany: to 1450; Widukind

Biography

Born Diisseldorf, Germany, 24 October 1920, son of a manufacturer and a musician. Educated at Hindenburg Gymnasium, Diisseldorf, before emigrating to England, where he attended St. Paul’s School, London. Served in Pioneer Corps, 1940 - 43; the Black Watch,

1943 -45: received command, 1944; officer, Territorial Army, 1945 -63. Studied at Magdalen College, Oxford, BA 1947; graduate study, 1947 -48. Taught at Oxford University (rising to professor) 1948 -88 (emeritus); fellow: Magdalen College, 1948 - 84; All Souls College, 1984 - 88. Married Henrietta Bateman, historian, 1962 (2 sons, 2 daughters). Died 27 May 1992.

Principal Writings

Rule and Conflict in an Early Medieval Society: Ottoman Saxony , 1979 Medieval Germany and Its Neighbours, 900 - 1250, 1982 Communications and Power in Medieval Europe, vol 1: The Carolingian and Ottoman Centuries; vol. 2: The Gregorian Revolution and Beyond, edited by Timothy Reuter, 2 vols., 1994

Further Reading

Campbell, James, “ Review of Communications and Power, ” Bulletin o f the German Historical Institute, London 17 (1995) Harriss, Gerald, “ Karl Leyser as a Teacher” in Timothy Reuter, ed., Warriors and Churchmen in the High Middle Ages: Essays Presented to Karl Leyser, London and Rio Grande, OH: Hambledon Press, 1992 Leyser, Karl, “ Kenneth Bruce McFarlane, 1903 - 1966, ” Proceedings o f the British Academy 62 (1976), 485 - 506 Mayr -Harting, Henry, “ Karl Leyser, 1920 - 1992, ” Proceedings o f the British Academy 94 (1996)

Reuter, Timothy, “Karl Leyser the Historian,” in Leyser,

Communications and Power in Medieval Europe, vol. 2: The Gregorian Revolution and Beyond, London and Rio Grande, OH: Hambledon Press, 1994

Liang Qichao

[Liang Ch’i-ch’ao]

1873 - 1929 Chinese political activist, journalist, and historian The intellectual history of modern China cannot be adequately understood without reference to Liang Qichao. His keen mind and prolific writings addressed the problem of what to do about the declining fortunes of China and its imperial Confucian order, and once it collapsed in 1912, what to substitute for it. This involved not only consideration of political institutions but of social and economic thought and behavior, since Confucianism articulated a worldview for both elite and multitude. In this undertaking, Liang occasionally became an active participant in politics, usually to little effect. More substantive are the accomplishments of Liang the journalist or historian, for his essays and books not only influenced his generation but raised questions about the future of China that are still being debated. Born near Canton [Guangzhou] in 1873, the precocious Liang took the traditional path that young boys of intellectual promise pursued, namely a study of the Confucian classics (such as the Analects) and commentaries on them, which served as the bases of civil service examination testing. Since the classics and questions about them emphasized rule by moral example and tended to neglect more pragmatic subject matter, and because the examination system served as the “ladder of success” to government office, China’s elite comprised a Confucian elite equipped with agile minds, knowledge of general principles, and explanations for social and natural phenomena.

LIANG Q I C H AO

By the time Liang became a member of that elite by passing county and provincial examinations in the 1890s, however, chronic domestic rebellion and successful foreign assaults called into question the efficacy of Confucianism. China’s lopsided defeat in the First Sino-Japanese War (1894-95) generated heated debate that divided intellectuals into three broad positions: conservatives who wanted no substantive change; various assortments of reformers; and revolutionaries. Liang became a radical reformer determined to accommodate the Confucian system to modern ways (just as Meiji Japan had successfully adapted its tradition) so that it could protect China from the hostile international environment of the late 19th and early 20th centuries. Liang became part of an activist triumvirate which convinced the young Guangxu [Kuang-hsu] emperor to launch a major modernization program in the spring of 1898. Crushed by the empress dowager Cixi [Tz’u-hsi] on 21 September, this Hundred Days of Reform resulted in the emperor being placed under house arrest, the execution of triumvirate member Tan Sitong [T’an Ssu-t’ung], and the escape of leader Kang Youwei [K’ang Yu-wei] and Liang to foreign legations. Until the collapse of the Qing [Ch’ing] dynasty in 1912, Liang travelled through Asia and America, raising funds and organizing overseas Chinese for Kang’s Protect the Emperor Society, and resided in Japan, where he edited and wrote for several newspapers and journals. The founding of the Republic of China in 1912 did not solve China’s political problems, and although Liang worked for president Yuan Shikai [Yuan Shih-k’ai] and a successor warlord government, his political activism all but ended by 1919. Thereafter until his death in 1929 he turned to a life of writing and teaching, hoping to develop an intellectual consensus about what would replace the imperial order. Liang’s historical vision was both controversial and stimulating. Thus he did not attempt to justify modernization in the late 19th century in the typical way, by claiming that the Confucian tradition would continue to form the moral foundation of China while Western innovations would serve as mere subsidiary techniques. Instead he insisted that Confucius had always been a reformer whose approach to proper governing had been obscured and obfuscated by generations of Confucian literati interpreting counterfeit classics. His biographer Joseph Levenson has argued that “ Liang’s constant concern is to protect Chinese culture from the imputation of failure. Therefore, borrowings must be converted into natural elements of the native tradition.” Moving further away from orthodox Confucianism, Liang turned to nationalism as the device that would revive China’s fortunes. By the turn of the century, in exile in Japan editing the fortnightly journal New People, he apparently looked to the common man (or “ new citizen” ) and not earlier moral exemplars as the key to progress. As Liang put it, “ Morality cannot remain absolutely unchanged. It is not something that could be put into a fixed formula by the ancients several thousand years ago, to be followed by all generations to come. Hence, we who live in the present group should observe the main trends of the world, study what will suit our nation, and create a new morality in order to solidify, benefit, and develop our group ” (Sources o f Chinese Tradition). How far Liang departed from the Confucian heritage is the issue most debated among historians. Levenson’s view that the divergence was psychologically intense and intellectually

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sweeping has been challenged by more recent assessments. Philip Huang asserts that although Liang’s liberalism and nationalism represented a break with China’s tradition, it “had not been total; his Confucian ideas had continued to influence and interact with his new ideas.” Chang Hao likewise contends that the “inner dimensions” of Chinese culture continued to affect profoundly Liang’s thinking. Thus his “new citizen” who operates within a modern constitutional political framework seems to be the model of classical liberalism in action. But instead of liberalism’s goals of freedom from government that we might associate with Adam Smith and Thomas Jefferson, Liang’s notion of liberalism more closely mirrored the political and social arrangements in Bismarck’s Germany or in Meiji Japan: authoritarian rule, statist economics, and collectivist goals. Individual “citizen” input was valued only to the extent that it benefited the nation; rights and freedoms were viewed as collective, not individual. Perhaps Liang’s radicalism did not depart substantially from China’s Confucian past. However one chooses to interpret Liang before World War I, there is little disagreement that after the war the allure of the West diminished considerably in his eyes. Upon his return to China from Versailles in January 1920, Liang taught at Qinghua [Tsinghua] University in Beijing and Nankai University in Tianjin [Tientsin], and devoted himself to serious scholarship, most of it surveys of ideas. And although he did not ignore Western thought, its most radical manifestations such as Marxism were rejected, as he returned to China’s patrimony for guidance. Qingdai xueshu gailun (Intellectual Trends in the Qing Period, 1920) examined the movement away from the more abstract notions of Ming times (1368-1644) and the beginnings of a more practical analysis that, alas, itself became pedantic even as the clash between China and the West commenced and generated a revitalization of pensive discourse. A History ofPreQin Political Thought (1930) not only outlined the Confucian, Daoist [Taoist], Moist, and Legalist schools of thought, but pondered various other issues, ancient and modern (e.g., disarmament, democracy, the class system). Other writings included a study of Chinese historical research methods (1921-22) and a history of 300 years of Chinese scholarship (1924), and Liang was working on a world history, a history of China, and a cultural history of China when he died of kidney disease in 1929. Liang Qichao’s impact on modern China has been immense. He has animated several generations of intellectuals and political leaders, beginning with Confucian scholars in the late Qing, New Culture and May Fourth radicals and revolutionaries such as Hu Shi [Hu Shih] and Ch’en Tu-hsiu [Chen Duxiu], communists such as Mao Zedong [Mao Tse-tung], and concerned Chinese today. His questions about how past and present, native and foreign, and citizen and government interact are just as vital today as they were a century ago, owing to China’s continuing quest for an acceptable modern political and social order. T h o m a s D. R e i n s See also China: Modern; World Biography

Born Zinhui, Guangdong, 23 February 1873. Classical Chinese education; passed provincial examination, ju ren degree, 1889.

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LIANG Q I CH AO

Influenced by Kang Yuwei, took part in failed 1890s reform movement, then took refuge in Japan; returned to China after revolution of 1911; served in various ministries, and as adviser to China delegation to Versailles peace conference, 1919. Taught at Qinghua [Tsinghuaj University, Beijing; and Nankai University, Tianjin [Tientsin], 1923 -29. Died Beijing, 19 January 1929.

Principal Writings

Zhongguo tongshi (A General History of China) Zhongguoshi xulun (Discussion of Chinese History), 1901 Xinshixue (The New Historiography), 1902 Lun Zhongguo xueshu sixiang hiangian zhi dashi (Major Trends in Chinese Scholarly Thought), 1902 Qingdai xueshu gailun (Intellectual Trends in the Qing Period, 1644 - 1911), 1920 Zhongguo lijiufa (Methodology of Chinese Historical Research), 1921 - 22 Zhongguo jin sanbainian xueshushi (A History of Chinese Scholarship over the Past 300 Years), 1924 Zhongguo lishi yanjiufa hubian (Supplement to Methodology of Chinese Historical Research), 1926 -27 Yinbingshi heji, wenji (Collected Essays from the Ice-drinker’s Studio), 1936 Yinbingshi heji, zhuanji (Collected Works from the Ice-drinker’s Studio), 1936

In translation

History o f Chinese Political Thought in the Early Tsin Period (better rendered as A History o f Pre-Qin Political Thought), translated by L. T. Chen, London: Kegan Paul, 1930 Ssu-yu Teng and John K. Fairbank, eds., China's Response to the West: A Documentary Survey, 1839 - 1923, Cambridge, MA: Harvard University Press, 1954 Intellectual Trends o f the Ch'ing Period (Qingdai xueshu gailun), translated by Immanuel C. Y. Hsu, Cambridge, MA: Harvard University Press, 1959 Contributor to William T. de Bary, Wing-tsit Chan, and Burton Watson, eds., Sources o f Chinese Tradition, 2 vols., New York: Columbia University Press, i960

Further Reading

Beasley, William G., and Edwin G. Pulleyblank, eds., Historians o f China and Japan, London: Oxford University Press, 1961 Chang Hao, Liang Ch ’i- ch ’ao and Intellectual Transition in China, 1890 - 1907, Cambridge, MA: Harvard University Press, 1971 Hsiao Kung-ch’uan [Xiao Gungquan], Zhongguo zhengzhi sixiang shi, 6 vols., Taipei: Commercial Press, i960; in English as A History o f Chinese Political Thought, vol. 1, Princeton: Princeton University Press, 1979 Huang, Philip C.C., Liang Ch'i-ch'ao and Modern Chinese Liberalism, Seattle: University of Washington Press, 1972 Levenson, Joseph R., Liang Ch'i-ch'ao and the Mind o f Modern China, Cambridge, MA: Harvard University Press, 1953; revised 1959

Nathan, Andrew J., Chinese Democracy: An Investigation into the Nature and Meaning o f “Democracy " in China Today, New York: Knopf, 1985 Schwartz, Benjamin I., In Search o f Wealth and Power: Yen Fu and the West, Cambridge, MA: Harvard University Press, 1964 Wills, John E., Jr., Mountain o f Fame: Portraits in Chinese History, Princeton: Princeton University Press, 1994

Young, Ernest P., “The Reformer as Conspirator: Liang Ch’i-ch’ao and the 1911 Revolution,” in Albert Feuerwerker, ed., Approaches to Modern Chinese History, Berkeley: University of California Press, 1967

Link, Arthur S. 1920-1998 US political historian, biographer, and editor Arthur S. Link was the unquestioned primus inter pares among scholars of president Woodrow Wilson, all of whom acknowledged his unrivaled pre-eminence. Since the late 1940s, Link has devoted his life to the study of Wilson: his works include a 5-volume biography, which takes Wilson up to April 1917; the 69 volumes of The Papers of Woodrow Wilson, a project on which Link served as editor-in-chief for over thirty years; three shorter, interpretive volumes on Wilson; numerous articles; and several edited volumes of essays by other scholars. A highly productive scholar in the tradition of Allan Nevins and Henry Steele Commager, in the late 20th century Link stands alone among American historians, a monumental figure, sui generis. Link’s doctoral research carried the seeds of his lifelong interest in Wilson; by the time he had completed his doctoral dissertation, “The South and the Democratic Campaign of 1910 -1912,” he had already decided to undertake a full-scale, multivolume Wilson biography. Over the next fifteen years, first as an instructor in history at Princeton University (1945-49), then as an increasingly senior professor at Northwestern University (1949-60), Link produced the first three volumes of this biography, together with a volume in the New American Nation series, Woodrow Wilson and the Progressive Era, 1910 -191J (1954), and Wilson the Diplomatist: A Look at His Major Foreign Policies (1957), an overview of Wilsonian diplomacy. In the late 1950s, Link was offered the position of chief editor of a massive project, supported by Princeton University and the Ford, Rockefeller, and Woodrow Wilson foundations, to produce a full documentary version of the papers of Woodrow Wilson. Despite justified misgivings that this would prevent the completion of his biography of Wilson - two further volumes appeared in 1964 and 1965, but they took the story only up to 1917 - Link accepted this offer, and would devote the next thirty years of his life to the publication of this series. The series is a tribute to Link’s awesome industry, energy, and scholarship, as he scoured scores of archives for all materials relating to its subject. It is universally admired as a model of historical editing, a project that was brought to completion relatively speedily, and which has made the character and attainments of Wilson far more accessible to both the general public and the scholar. Link also continued to publish articles and essays on Wilson, and encouraged other scholars’ work in this area; several of the resulting monographs were published as supplementary volumes to the Wilson papers, and he also edited collections of essays on Wilson. Overall, Link did more than anyone to further the study of Wilson, and to focus scholarly attention upon the president’s achievements, particularly in the field of foreign affairs. (Link’s own monumental work on Wilson’s earlier years has perhaps inhibited his successors from tackling the domestic field to the same extent.) In his own essay of 1962, “The Higher Realism of Woodrow Wilson,” Link suggested that, far from being an ineffectual idealist, Wilson “was in fact the supreme realist,” who was percipient enough to know that only a peace of justice, reconciliation, and mercy would endure, and whose international

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aims were rooted in a sophisticated understanding of the world. By no means all those who have studied Wilson have accepted Link’s interpretation, but the accessibility of materials on Wilson has undoubtedly enhanced both the quantity of historical writing on his presidency and the president’s general stature in the eyes of historians. Link’s concentration upon the 28th president has perhaps been enhanced by certain parallels between the two men’s careers. Both southerners, who received their high school education in that region, and went on to distinguished academic careers in the Northwest, the two were also devout Presbyterians, sons of the manse whose faith informed their entire outlook on life. Indeed, in his entry in Who's Who in America, Link states: “I have no thoughts on life that do not stem from my Christian faith. I believe that God created me to be a loving, caring person to do His work in the world. I also believe that He called me to my vocation of teacher and scholar.” Link bears a pronounced physical resemblance to Wilson, and in later years has done his editorial work at the former President’s desk. In his works published in the 1950s, Link was sometimes critical of the president - to the extent that Wilson’s daughter, Margaret Wilson McAdoo, expressed serious misgivings when he was appointed editor-in-chief of her father’s papers - but over time he came to take an extremely sympathetic view of Wilson. Some historians have suggested that in his later years Link identified himself so strongly with Wilson that he was unwilling to admit that his subject had any flaws, though others defend Link’s impartiality. Beside his work on Wilson, Link influenced generations of undergraduates through several textbooks, collections of readings, and short works on particular historical problems. He supervised numerous doctoral dissertations, and was known for his close attention to detail when dealing with graduate students’ work. He also served on many professional committees of the National Historical Publications Commission, the Organization of American Historians, the Southern Historical Association, and the American Historical Association. He frequently received academic awards and honors, including two Bancroft prizes for different volumes of his biography of Wilson. Undoubtedly, though, he will be best remembered for his work as biographer and editor of Woodrow Wilson, which has set many of the terms of the historical debate on the 28th president. P r i s c i l l a M. R o b e r t s See also United States: 20th Century

Biography

Born New Market, Virginia, 8 August 1920. Received BA, University of North Carolina, 1941, MA 1942, PhD 1945. Taught at North Carolina State College, 1943 - 44; Princeton University, 1945 - 49; and Northwestern University, 1949 -60; returned to Princeton in i960 to serve as director of the Woodrow Wilson Papers. Married Margaret McDowell Douglas, 1945 (4 children). Died Bermuda Village, North Carolina, 26 March 1998.

Principal Writings

Wilson, 5 vols., 1947 -65 Woodrow Wilson and the Progressive Era, 1910 - 1917, 1954 Wilson the Diplomatist: A Look at His Major Foreign Policies, 1957

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General editor, The Papers o f Woodrow Wilson, 69 vols., 1966 -94 The Higher Realism o f Woodrow Wilson, and Other Essays, 1971 Woodrow Wilson: Revolution, War, and Peace, 1979

Further Reading

Accinelli, Robert D., “ Confronting the Modern World: Woodrow Wilson and Harry S. Truman: Link’s Case for Wilson the Diplomatist,” Reviews in American History 9 (1981), 285 - 94 Cooper, John Milton, Jr., and Charles E. Neu, eds., The Wilson Era: Essays in Honor o f Arthur S. Link, Arlington Heights, IL: Harlan Davidson, 1991. Grantham, Dewey S., Foreword, in Arthur S. Link, The Higher Realism o f Woodrow Wilson, and Other Essays, Nashville: Vanderbilt University Press, 1971 Link, Arthur S., Thomas D. Clark, Brooks D. Simpson, and John Milton Cooper, Jr., “ Round Table: The Papers of Woodrow Wilson,” O AH Newsletter (November 1993), 4 -5 Smith, Daniel M., “ National Interest and American Intervention, 1917: An Historiographical Appraisal,” Journal o f American History 52 (1965), 5 -24 Synnott, Marcia G., “ Arthur S. Link,” in Clyde N. Wilson, ed., Twentieth -Century American Historians, Detroit: Gale, 1983 [Dictionary o f Literary Biography, vol. 17] Watson, Richard L., Jr, “ Woodrow Wilson and His Interpreters, 1947 - 1957, ” Mississippi Valley Historical Review 44 (1957), 207 - 36

Literature and History The topic “ Literature and History” immediately raises the question of how we are to define two extremely broad terms. We shall here take “ history” to mean not the past, but historians’ texts dealing with the past. As for the even more amorphous term, “ literature,” the most obvious approach in the present context is to define it as writing that is not literally true, but is instead fictional, imaginative, creative. But this will not do: there is much fact in works of literature and much fiction in works of history (for example, every explanatory statement that a historian makes presupposes a contrary-tofact conditional: the claim that imperialism caused World War I presupposes our imagining a Active world in which there was no imperialism and hence no World War I). Another approach, proposed by the French critic Roland Barthes, is to focus not on the content but on the form of the text, and specifically on authorial voice. Thus Barthes claimed that whereas fictional discourse is characterized by authorial presence, in “the discourse of history” a neutral voice prevails. But as Philippe Carrard has shown, Barthes’ claim is false: historians are not, in fact, absent from their texts. Moreover, Carrard, Lionel Gossman, and others have established that history is a heterogeneous field, and consequently that there is no such thing as one historical discourse. In short, uncertainty of definition arises on both sides of the literature/history divide. Until the 19th century an encyclopedia entry on “ Literature and History” would have been all but inconceivable. One complication is that, as Raymond Williams has noted, the concept of literature became fully developed only in that century, as a specialization of what was earlier known as rhetoric and grammar. Until the 19th century, history was generally seen as a species of the genus “rhetoric.” Commentators saw no problem

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in the rhetoric /history relation and hence paid little attention to it. Rhetoricians, from Cicero and Quintilian in Roman antiquity to Hugh Blair in the 18th century, devoted some minor attention to the matter of style in history, but said little of theoretical interest. The general claim was that historians ought to write truthfully and for the instruction of mankind. “Truth ” did not imply an obsessive concern with conformity to particular fact; on the contrary, moral edification was just as important a consideration. But the French Revolution and its aftermath led people to think differently about their world and about the task of making sense of that world. In the wake of Leopold von Ranke (1795-1886) and his successors, the very meaning of history changed. In Ranke’s view, the historian should not seek to derive moral lessons from the past, as many earlier, rhetorically-oriented historians held, but should seek only to “show ” or “tell” the past wie es eigentlich gewesen ist - as it actually was. Furthermore, history in this new conception was a collective enterprise, aimed at a convergence of historians on a single, not yet told universal history of mankind that would reveal the meaning of historical change (see the article Universal History). In brief, the impulse of Ranke and of countless disciplinary historians after him was to remove history from the rubric of rhetoric and to classify it as, fundamentally, a scientific pursuit (as Bonnie Smith has shown, the pursuit was also defined as essentially male). Meanwhile, with the advent of what we now think of as pre-Romanticism and Romanticism, literature came to be seen in many quarters as having a special concern with the subjective and personal, a shift that tended to put it at a greater distance from history in the Rankean, disciplinary tradition, which was concerned with the public and political. To be sure, the story is more complicated than this, since, on the one hand, many 19th-century historians (e.g., Thomas Carlyle, Jules Michelet, Jacob Burckhardt) insisted on seeing history as essentially a rhetorical, literary, or aesthetic project, while, on the other hand, many creative writers (e.g., Walter Scott, Honore de Balzac, Emile Zola) insisted on seeing literature as historical, sociological, and even scientific. But our concern is with the history/literature relation viewed as a problem. It was the Verwissenschaftlichung (scientization) of history championed by partisans of the newly emergent historical discipline, combined with a certain subjectivization of literature, that allowed the problem to emerge. The problem was often encapsulated in the question: is history an art or a science? A minor literature canvassing the question arose: interested readers can consult excerpts on the subject from Thomas Babington Macaulay (1800-59), J. B. Bury (1861-1927), and G. M. Trevelyan (1876-1962) in Fritz Stern’s collection The Varieties o f History from Voltaire to the Present (1973), as well as H. Stuart Hughes’ History as Art and as Science (1964). Until the 1960s, answers to the question were utterly predictable. Famously, Bury insisted that “history is a science, no less and no more.” Other commentators held that it ought to be a combination of art (imagination) and science (reason). One widely held view among professional historians was that history is moving from literature to science. For example, in Apologie pour I’histoire (1949; The Historian's Craft, 1953), Marc Bloch, holding that history is a “science in its infancy,” expressed the hope that it would outgrow the embryonic form

of “mere narrative,” would reject “legend and rhetoric,” and would become a “ reasoned enterprise of analysis.” Left unexamined by Bloch was the question of how such analysis was to be made interesting, intelligible, and persuasive to its presumed audience. Historians’ attempts to address the literature/history, art/science relation are interesting mainly as manifestations of the hopes and anxieties occasioned by history’s scientization. On a theoretical plane, however, they are banal, as the maverick American historian Hayden White pointed out in 1966 in a controversial article, “The Burden of History.” The problem first became theoretically interesting as a result of discussions in “ historiology,” or philosophy of historical writing (see the article Historiology). Much early work in historiology addressed the so-called “covering law model” (CLM) of historical explanation. By the 1960s, problems with the CLM led some theorists of history to examine the role of narrative in history. In addition, R.G. Collingwood in The Idea of History (1946), and some other theorists, argued that the historian constructs the past, a view that opened the way for some later theorists to ask what role the historian’s language might play in this construction. The three theorists who did the most to animate discussion of the literature/history relation were Hayden White and the American philosopher Louis Mink, both of whom were deeply influenced by historiological discussion, and the French literary critic Roland Barthes, who was not. An important book on the subject was White’s Metahistory (1973). Also worthy of note are Mink’s “Narrative Form as a Cognitive Instrument” (1978) and Barthes’ “The Discourse of History” (1967) and “The Reality Effect” (1968) - although the Barthes essays need to be read in the light of Carrard ’s criticisms in his Poetics o f the New History (1992). In “History and Literature: Reproduction or Signification” (1978), Lionel Gossman offers a valuable survey of treatments of the literature/history relation to that date. Carrard ’s Poetics o f the New History is perhaps the most illuminating recent discussion. There is also a useful anthology, with many references, edited by Frank Ankersmit and Hans Kellner (1995). An important question is why, beyond the internal dynamics of theoretical discussion, there has been something of a “return to literature” in some parts of the historical discipline since the 1970s. In The Idea o f History Collingwood noted three points of distinction between history and fiction: 1) the historian, unlike the novelist or artist, must localize his account in time and space; 2) all history must be consistent with itself; and 3) the historical imagination has to take account of “something called evidence.” As Gossman has observed, point (1) is really an aspect of point (2), since localization in time and space means localization to a single time and space determined by historians generally. Underlying the two points is the assumption that the historical world is ultimately unified (whereas there exist a multiplicity of fictional worlds). How ever, since Collingwood’s time a great diversification in the perspectives and interests of historians has occurred. The greater multiplicity of history’s possible objects brings the discipline closer to literature than it was when disciplinary historians defined history as more or less exclusively European, male, and political. Multiplicity of object implies some multiplicity of approach. Issues of arrangement, enunciation,

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rhetoric, and stylistics (as discussed by Carrard and others) now begin to appear as choices made by the historian, rather than as the fully predetermined consequences of disciplinary rules. Diversification in the objects of historical interest makes history more “literary,” in the sense that, with more choices in matters of presentation available to historians, a more intelligent assessment of the various options becomes necessary; and rhetoric and literary criticism offer resources for such an assessment. A further, quite unpredictable element is the possibility of a shift “from book to screen” associated with improving computer and video technology (see Lanham), which would also require a rethinking of modes of presentation. However, the fact that literature has something to contribute to history does not mean that there is any strong possibility of a unification of history and literature into some sort of historical-literary metafield. Even a unification of history and literary studies is highly unlikely. The myriad differences between the conventions of the historical discipline on the one hand and the conventions of literature (as a body of texts) and of literary studies (as a way of thinking about these texts) on the other cannot be canvassed here. Instead, consider a matter that is both highly relevant and of great interest to historians, namely, evidence. Issues of evidence are only one part of the larger prob lem of the history/literature relation, but from the point of view of historians it is perhaps the most important part. It seems clear that talk of the “ literary” dimension of history, vague though that talk sometimes is, has to do with history’s interpretive task. “Interpretation” is here taken to mean the task of making a historical account appear meaningful (significant, important) to an audience in the present - to an identity or subjectivity, whether collective or individual, that the author intends to be affected by the account (on “ interpretation ” in this sense, see Megill). Historians “ interpret,” that is, they attempt to connect their statements about the past to a present subjectivity, just as we expect literary artists to do. In this task, literature and history are in close conjunction. But another task of historiography is the evidential or justificatory one of establishing that the statements the historian makes about the past are true. In the view of most historians, history differs from literature in its adherence to standards of evidence that are sharply different from the evaluative standards that prevail in literature. It is in their evidential or justificatory aspects that history and literature, it appears, stand furthest apart. From time to time commentators have reflected on the evidential status, for history, of literary texts or literary approaches. As noted above, Collingwood held that the historical imagination is constrained by evidence whereas the literary imagination is not. The difference persists, it seems, even when greater multiplicity brings history closer to literature in others respects. In two articles published in the late 1940s the historian William O. Aydelotte commented on the limits of literature as a historical source. Further, both Benedetto Croce in Teoria e storia della storiografia (1917; History: Its Theory and Practice, 1921) and Siegfried Kracauer in History: The Last Things Before the Last (1969) commented on the limits of an aesthetic approach to history. Croce referred to “the new erroneous form,” which he called “poetical history,” in which “aesthetic coherence” is allowed to substitute for “ logical coherence.” Kracauer referred to the “ sham transitions” and the “ harmonizing tendency” involved in “the aesthetic approach.”

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In many ways a more appropriate parallel to the work of historians is not literature but the study of literature, for literary scholars need to cite evidence for their views, just as historians do. In this respect, an interesting test case is provided by the movement in literary scholarship known as “the new historicism,” associated with Stephen Greenblatt and other literary scholars, which emerged in the 1980s (two anthologies edited by H. Aram Veeser offer a sampling of their work). Characteristically, “new historicists” sought to engage in at least a partial contextualization of literary texts, usually by juxtaposing one set of literary or nonliterary texts to some other set. This project of juxtaposition was not in principle different from what disciplinary historians often do, and indeed there has been productive collaboration between new historicists and disciplinary historians (manifested in, for example, the journal Representations). But there are also differences, two of which seem interesting here. First, new historicists characteristically paid more attention to works that could be seen as part of the literary canon (albeit a canon that they were eager to expand), and less attention to the almost always humdrum contents of past archives and libraries, than do historians. In other words, sharing in the axiological, or value-oriented, perspective that is prominent in literary studies, new historicists were attracted to sources that appeared to have some inherent interest or value as texts, whereas historians tend to look at sources only for the information about the past that they convey. Second, new historicists were often more “abductive” in their use of evidence than historians tend to be. That is, new historicists were more inclined to make claims that were possibly true, but that in the eyes of most historians would require a wider canvassing of sources before being raised to probability. For example, they were often willing to suggest, or at least imply, broad conclusions on the basis of some striking detail or anecdote. However, one should not overestimate these differences. The second difference, especially, is a matter of degree, for the “perhapses” and “maybes” of the past are an important aspect of historical study. In sum, literature and literary studies seem to offer historians two things. First, they alert historians to the importance of rhetoric, style, and the literary dimension of history generally, and to the importance of making intelligent choices in these domains; they also offer an instructive repertoire of different modes of presentation. Modes of presentation are not merely decorative, but on the contrary are intimately connected to the historical enterprise, especially in its interpretive aspect. Second, literature and literary studies cultivate an awareness of aspects of human experience, particularly those related to subjectivity and to identity, that risk being missed by historians not aware of and sensitive to modern literature, and to aesthetically creative work generally. Indeed, in its recent questioning (in postcolonial criticism and elsewhere) of the very notions of subjectivity and identity, literary studies promotes a salutary skepticism concerning any simple use of history for identity-promoting purposes. Having made these points, one must also note that the changeableness of the two categories - but especially of the category “ literature” - makes it hard to be definitive about the relations between them. A l l a n

M e g il l

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See also Bloch; Burckhardt; Bury; Carlyle; Collingwood; Croce;

Macaulay; Michelet; Ranke; Trevelyan; Universal; White, H. Further Reading

Ankersmit, F.R., and Hans Kellner, eds., A New Philosophy o f History, Chicago: University of Chicago Press, and London: Reaktion, 1995 Aydelotte, William O., “ The England of Marx and Mill as Reflected in Fiction,” Journal o f Economic History 8 (1948), supplement: 42 - 58 Aydelotte, William O., “ The Detective Story as a Historical Source,” Yale Review 39 (1949), 76 - 95 Barthes, Roland, “ The Discourse of History ” (1967) and “The Reality Effect” (1968), in Barthes, The Rustle o f Language, New York: Hill and Wang, and Oxford: Blackwell, 1986 Bloch, Marc, Apologie pour Phistoire, ou, metier d 'historien, Paris: Colin, 1949; in English as The Historian's Craft, New York: Knopf, 1953, Manchester: Manchester University Press, 1954 Britain, Ian, “The Empiricist’s New Clothes: Some Personal Reflections on the ‘State of the Art’ in Literature and History,” Critical Review (Melbourne) 32 (1992), 174 -94 Carrard, Philippe, Poetics o f the New History: French Historical Discourse from Braudel to Chartier, Baltimore: Johns Hopkins University Press, 1992 Collingwood, R.G., The Idea o f History, edited by T.M. Knox, Oxford: Oxford University Press, 1946, New York: Oxford University Press, 1956; revised edition, with Lectures 1926 -1928, edited by Jan van der Dussen, Oxford: Clarendon Press, 1993, New York: Oxford University Press, 1994 Croce, Benedetto, Teoria e storia della storiografia, Bari: Laterza, 1917; in English as Theory and History o f Historiography, London: Harrap, 1921, and as History: Its Theory and Practice, New York: Harcourt Brace, 1921 Gossman, Lionel, “ History and Literature: Reproduction or Signification” (1978), in his Between History and Literature, Cambridge, MA: Harvard University Press, 1990 Hughes, H. Stuart, History as Art and as Science: Twin Vistas on the Past, New York: Harper, 1964 Kracauer, Siegfried, History: The Last Things before the Last, New York: Oxford University Press, 1969; reprinted 1995 Lanham, Richard A., The Electronic Word: Democracy, Technology, and the Arts, Chicago: University of Chicago Press, 1993 Megill, Allan, “ Recounting the Past: ‘Description,’ Explanation, and Narrative in Historiography,” American Historical Review 94 (1989), 627 -53 Mink, Louis O., Historical Understanding, edited by Brian Fay, Eugene O. Golob, and Richard T. Vann, Ithaca, NY: Cornell University Press, 1987 Nadel, George H., “ Philosophy of History before Historicism,” History and Theory 3 (1963), 291 -315 Representations, Berkeley: University of California Press, 1983 Smith, Bonnie G., “ Gender and the Practices of Scientific History: The Seminar and Archival Research in the Nineteenth Century,” American Historical Review 100 (1995), 1150 -76 Stern, Fritz, ed., The Varieties o f History from Voltaire to the Present, 2nd edition, New York: Random House, 1973 Unger, Rudolf, “The Problem of Historical Objectivity: A Sketch of Its Development to the Time of Hegel” (1923), History and Theory, Beiheft 11 (1971), 60 -68 Veeser, H. Aram, ed., The New Historicism, New York: Routledge, 1989 Veeser, H. Aram, ed., The New Historicism Reader, New York: Routledge, 1994 White, Hayden V., “ The Burden of History,” History and Theory 5 (1966), 111 -34; reprinted in White, Tropics o f Discourse: Essays in Cultural Criticism, Baltimore: Johns Hopkins University Press, 1978

White, Hayden V., Metahistory: The Historical Imagination in Nineteenth -Century Europe, Baltimore: Johns Hopkins University Press, 1973 White, Hayden V., “The Historical Text as Literary Artifact,” Clio 3 (1974), 277- 3 ° 3; reprinted in Robert H. Canary and Henry Kozicki, eds., The Writing o f History: Literary Form and Historical Understanding, Madison: University of Wisconsin Press, 1978 Williams, Raymond, Marxism and Literature, Oxford and New York: Oxford University Press, 1977

Litwack, Leon F. 1929 US historian of African American and labor history A widely respected authority on 19th-century African American history, Leon Litwack reached intellectual maturity as a historian during the turbulent period of change ushered in by the black civil rights movement in the United States from 1955 to 1968. Like other historians of his generation, Litwack was inspired to research into the history of race relations in America, but with a more critical, radical perspective than had been displayed in most existing studies. This approach was reflected in his first major work, North o f Slavery (1961). Examining northern white attitudes towards African Americans during the antebellum period, Litwack demonstrated that racial intolerance was not an exclusively southern problem. North of Slavery was a key work in highlighting the political, legal, and social injustices suffered by free blacks in the northern states before the Civil War. Litwack’s research has been guided by a belief in the need to study history from the “ bottom up ” - to focus on the historical experience of poor and oppressed groups in society rather than the political and socioeconomic elites. This commitment was evident in his next significant publication, The American Labor Movement (1962), a collection of edited primary sources on the struggle for trade union recognition in 19th- and 20thcentury America. However, Litwack’s main area of work continued to be the study of 19th-century African American history, specifically the black experience in the South during the Reconstruction era, 1865-77, that followed the American Civil War. In this research Litwack was guided and influenced by his colleague and mentor Kenneth M. Stampp, with whom he jointly edited a collection of essays, Reconstruction (1969). By the 1950s changing racial attitudes in America had led some revisionist historians, such as Stampp and John Hope Franklin, to engage in a fundamental reappraisal of existing standard accounts on the Civil War and Reconstruction. These earlier works, many published in the first years of the 20th century, by historians such as William A. Dunning and James Ford Rhodes, were now seen to be seriously marred by their racial conservatism. Dunning, and scholars influenced by him, had viewed Reconstruction as a decade when the southern states had been subjected to a period of wholesale corruption, financial mismanagement and abuse, at the hands of northern “ Carpetbagger” politicians, their renegade southern white allies, the “ Scalawags,” and newly enfranchised but ignorant ex-slaves. Stampp and other revisionists challenged this interpretation.

LI U Z H I J I

They showed conservative critiques to be exaggerated, and pointed to the positive achievements of Reconstruction, for example the introduction of state public education systems in the South. Building on the work of Stampp, Litwack’s own research culminated in Been in the Storm So Long (1979), his single most important publication, for which he was awarded the Pulitzer prize in history. Been in the Storm So Long confirmed Litwack’s individual reputation as a writer on Reconstruction. It also marked him out as one of the leading influences of the newly emerging historiographical school of radical revisionism or post-revisionism. Post-revisionists, such as Litwack and Eric Foner, went further than previous revisionist writers, dismissing as all but irrelevant the now badly dated accounts of Dunning and others. Concentrating on the experiences of African Americans, rather than southern whites, Been in the Storm So Long, like other post-revisionist works, tended to criticize Republican politicians during Reconstruction for being insufficiently radical in advancing the interests of southern blacks. Attention was paid to the failure to provide effective means for emancipated slaves to achieve landownership, and to the inability of politicians to bring about any widespread redistribution of socio-economic power in the South after the Civil War. Although sometimes criticized for not taking full account of the deeply laissez-faire values of 19th-century America, postrevisionism has emerged as the new dominant school in Reconstruction historiography. Ke v e r n

J. V e r n e y

See also African American

Biography

Leon Frank Litwack. Born Santa Barbara, California, 2 December 1929. Received BA, University of California, 1951, MA 1952, PhD 1958. Taught at University of Wisconsin, Madison, 1958-65; University of California, Berkeley (rising to professor), from 1965. Married Rhoda Lee Goldberg, 1952 (2 children).

Principal Writings

North o f Slavery: The Negro in the Free States, 1790 - 1860 , 1961 Editor, The American Labor Movement, 1962 Editor with Kenneth M. Stampp, Reconstruction: An Anthology o f Revisionist 'Writings, 1969 Been in the Storm So Long: The Aftermath o f Slavery, 1979

Liu Zhiji

[Liu Chih-chi] 661 - 721 Chinese historian

Based upon his creation of one of the first works in Chinese historical criticism, Liu Zhiji has been lauded by some as the one of the few true historians produced by China before the modern period. At the same time, others have argued that his understanding of historical method was not accompanied by an equal ability to draw meaning from history. The difference of opinion stems from Liu’s relationship with traditional Chinese historiography as practiced up to his lifetime and, with little alteration, after his death. Liu lived during a crucial

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juncture in the writing of Chinese history. During the early years of the Tang dynasty, a state-sponsored Bureau of Historiography was established, recognizing history as a discipline separate from literary writing, while maintaining state control over the production of the historical record. In 705 Liu was called upon to serve as one of the historians working on the official record of the reign of the recently deceased empress Wu. The task was politically charged, since the empress had usurped the throne, and although she was gone, many of those who had supported her, or at least acquiesced to her actions, were still alive. For Liu this context underscored many of his criticisms of official historiography. In general, Chinese official historiography has been characterized as strongly didactic. The role of the historian was to dole out praise and blame, in order to give readers models of action. The political climate during Liu’s period in office created an atmosphere in which such moralizing statements could be dangerous, especially since the late empress’s nephew oversaw Liu’s official work. Liu found this unacceptable and resigned in 708. In 710 he completed his magnum opus, Shitong (Study of Historiography). Shitong can arguably be considered the first work of historical criticism in China. Twitchett has gone so far to call it “the most important single book on the craft of the historian in Chinese.” Liu discussed the history of Chinese historiography, its strengths and weaknesses, and provided examples from previous texts. He was particularly adamant about independent, individual scholars writing objective history. Objectivity was to be based on proper selection and presentation of evidence, stressing the need for honesty and truth in forming the record. Liu recognized two sources for writing history: documents (or “records of words” ) and records of events. Liu argued that greater trust could be put into documentary history, since the historian had the words in front of him; whereas records of events could never capture the full story. Furthermore, if one did not know the author recording the event, Liu questioned whether the record itself could be fully understood. In particular, he was wary of accounts that tried to rewrite history in order to please the powerful by creating images of imperial courts brimming with totally moral or totally immoral figures, depending on the historian’s audience. Liu also objected to ascribing events to supernatural rather than to human causes. This is a particularly important point, because writing history is also critiquing past human action. His penchant for accurate accounts even led Liu to question passages in the hitherto sacrosanct classical historical records. His chapters in Shitong entitled “Yigu” (Suspicions about the Past) and “Huo jing” (Doubting the Classics) drew strong disapproval from later readers, since Liu cast doubts upon classical events based either on conflicting reports, or on his sense of plausibility. In sum, Liu Zhiji was the first historian in China to create a guide focusing on the craft of historical writing. As such, Shitong presents the reader with the means to write history, but not the means to analyze it. Liu maintained the centrality of history as a moral record, but demanded accuracy in compiling it. Ro be r t

Wa l l a c e

See also China: Historical Writing, Early and Middle

Fo s t e r

730

LIU ZHIJI

Biography

Born Pencheng, Xuzhou in the Tang, now Xuzhou, 6 6 1. Arrived Changan, 669; passed civil service exam, 680, and received jin - shi degree. Provincial civil servant, then returned to Changan, 699; appointed to staff of history office, 701, resigned 708. Died Anzhou, now Anlu, Hubei, 721.

Principal Writings

Shitong (Study of Historiography), 710

Further Reading

Byongik Koh, “ Zur Werttheorie in der chinesischen Historiographie auf Grund der Shih-t’ung des Liu Chih-chi (661 - 721) ” (Toward a Value-Theory in Chinese Historiography, Based on Liu Zhiji’s S tu dy o f H istoriograph y), O riens Extrem us 4 (1957), 5 - 51, 125-81 Fu Zhenlun, Liu Z h iji nianpu (Chronological Biography of Liu Zhiji), Beijing, 1963 Gagnon, Guy, C oncordance com hinee du Shitong et du Shitong xiaofan (Combined Concordance of S tu dy o f H istoriograph y and the R evised Stu dy o f H istoriograph y), 2 vols., Paris: Maisonneuve, 1977 Hung, William, “ A T ’ang Historiographer ’s Letter of Resignation,” H arvard Journal o f A siatic Studies 29 (1969), 5 - 52 Masui, Tsuneo, “ Liu Chih-chi and the Shih - t ' ung ,” M em oirs o f the T oyo B unko 34 (1976), 113 -62 Qilong, Fu, Shitong tongshi (A Comprehensive Explanation of the S tu dy o f H istoriograph y), Taibei: Yiwen yinshu guan, 1978 Pulleyblank, E.G., “ Chinese Historical Criticism: Liu Chih-chi and Ssu-ma Kuang,” in William G. Beasley and Edwin G. Pulleyblank, eds., H istorians o f China an d Japan, London: Oxford University Press, 1961 Twitchett, Denis, The W riting o f O fficial H istory under the V a n g . Cambridge and New York: Cambridge University Press, 1992 Yin Da, ed., Z hon ggu o shixue fazhanshi (History of the Development of Chinese Historiography), Henan, China, 1985

Livy 59BCE-C.17CE Roman historian Livy is considered the foremost Latin historian, approached only by Sallust and Tacitus. Fie is the author of Ah urhe condita (From the Founding of the City or The History). The scope of The History was vast. Composed of 142 ancient books or scrolls equal to some 25 modern books of approximately 300 pages each, Livy’s History told Rome’s story. It is reckoned he produced the equivalent of about 900 modern pages per year. The enormity of Livy’s project alone made him a celebrity in the ancient world. The History began with the founding of Rome in 753 BCE continuing to 9 BCE and the death of Drusus the Elder, son of Livia, Augustus’s wife, and brother of Tiberius the future emperor. The last portion of the work on the reign of Augustus avoided controversy and may not have been published in the emperor’s lifetime. Only 35 books survive, covering the period 753-243 and 210-167. The other 107 books are lost or survive only in fragments, extracts, or epitomes. In the 16th century rumors circulated that a complete copy of Livy existed, but the rumors were never proven. Livy used the traditional theme of the decline of Rome. This decline was usually ascribed by the historian Sallust and most educated Romans to the loss of virtues in Roman life such as

propriety, courage, self-restraint, discipline, frugality, and respect for authority. While Sallust had ascribed this change in morality to Rome’s lack of an external enemy, after the destruction of Carthage, Livy also saw the influence of Eastern cultures as changing the nature of Roman morality. In agreement with Augustus and the giants of the Augustan literary world, Livy saw not the end of Rome but the end of Old Rome in history. New Rome would continue the promise of Eternal Rome as found in Virgil’s epic The Aeneid. Livy and Virgil both reflect the Augustan age and it moral seriousness. Although he was influenced by the Augustan spirit, Livy should not be taken to be a court historian. His work was not done for the court of Augustus. Like Virgil, Livy gave public readings from his History, although the work was never meant to be taken as a prose poem. Critics who have faulted Livy as a bad poet seem to be missing the point. His popularity in the ancient world attests to the entertaining nature of his work, but his ability to dramatize events and characters should not be seen as a lack of concern for accuracy. He claimed to be aiming for a style between the informality of conversation and the formality of writing. Therefore, Livy abandoned Sallust’s pointed abruptness in favor of a rhetorical Ciceronian rotundity. He structured his stories dramatically and probed his characters whom he portrayed not as representives of partisan politics but as individuals. Bringing the emotional conflicts and desperations of historical figures to his readers, Livy had the ability to recreate atmosphere and convey the feelings of those involved in stirring events. Livy believed that a lively narrative of Roman history would rekindle Roman patriotism. Having drawn his material from a wide range of sources, his personal moralizing holds together his History. Quintilian said that in Livy’s inclination to dra matize stories he wished to emphasize and abbreviate to abruptness matters of lesser concern in order to produce a “milky richness.” Through dramatic writing he drew attention to certain characters, and was a great influence on Tacitus. Livy devoted himself to his History in his youth. He moved to Rome after the Battle of Actium in 27 BCE to be near his sources. Livy was never a Roman official or priest. He never served in the military nor does it seem that he ever traveled. This lack of experience contributed to errors within his work and bookish naivety about the functioning of Roman institutions. Some modern critics have seen Livy as a compiler rather than a composer of history. There is internal evidence that Livy did compare sources and noted that the credibility of one source over another is sometimes impossible to discern. He admitted that much of what had been passed down to the Romans as their history before the Second Punic War was probably legend not fact. Still, critics have accused him of being a novelist rather than a historian. The scientific methods of modern historians were not known to Livy. The process of writing a history of Rome in Livy’s time was much less complex than today when literary sources are scrutinized with archaeologic, numismatic, and other sources. The physical process of rolling, unrolling, and comparing passages in the scrolls that contained Livy’s sources must have presented a different sort of complexity over the many years of labor on the History. Livy’s popularity among his contemporaries in Augustan Rome should tell us that his work offered

L OC A L H I S T O R Y

something more than they could expect to glean from reading various histories for themselves. For later readers Livy is the only historian in whose work we can find how Romans evaluated their own history. Critics of Livy’s History should bear in mind the author’s philosophy of history: “What chiefly makes the study of history wholesome and profitable is this, that in history you have a record of the infinite variety of human experience plainly set out for all to see, and in that record you can find for yourself and your country both examples and warnings.” N a nc y

See a lso

Pippe n

Ec k e r m a n

Dionysius; Machiavelli; Niebuhr; Roman; Sallust

Biography

Titus Livius. Born Patavium [now Padua, Italy], 59 BCE, to a prominent but not aristocratic family which probably suffered during the civil wars of the 40s. Moved to Rome, where from about 27 he began writing his H isto ry , which seems to have been his sole occupation throughout his adult life; literary adviser to the future emperor Claudius. Had a daughter and a son. Died Patavium, C.17CE.

Principal Works

A b urbe con dita (From the Founding of the City), 31 BCE— c. 17 BCE

Works (Loeb edition), translated by B.O. Foster, F.G. Moore, E.T. Sage, and A.C. Schlesinger, 14 vols., 1919 -59

Further Reading

Breisach, Ernst, H istoriography: Ancient, M edieval, an d M odern , Chicago: University of Chicago Press, 1983; revised 1994 Dorey, Thomas Alan, ed., Latin H istorians , New York: Basic Books, and London: Routledge, 1966 Dorey, Thomas Alan, ed., L iv y , London: Routledge, 1971 Grant, Michael, ed., Readings in the Classical H istorians , New York: Scribner, and London: Maxwell Macmillan, 1992 Laistner, Max Ludwig Wolfram, The G reater R om an H istorians , Berkeley: University of California Press, 1947 Lipovsky, James P., “ Livy” in T. James Luce, ed., A n cien t Writers: G reece an d R o m e , 2 vols., New York: Scribner, 1982 Luce, T. James, L ivy: The C om position o f H is H istories , Princeton: Princeton University Press, 1977 Miles, Gary B., L ivy: R econstructing Early R o m e , Ithaca, NY: Cornell University Press, 1995 Ogilivie, Robert M., A C om m en tary on Livy, B ooks 1 - 5, Oxford: Clarendon Press, 1965 Walsh, P.G., “ The Negligent Historian: ‘Howlers ’ in Livy,” G reece a n d R o m e new series 5 (1958), 83 - 88 Walsh, P.G., Livy: H is H istorical A im s an d M eth o d s , Cambridge: Cambridge University Press, 1961

Local History Local history most often describes a range of historical writings focusing on specific, geographically small areas, frequently produced by non-professional historians for a non-academic audience. Yet, since the advent of the “new social history ” in the 1960s and 1970s, professional historians - increasingly specialized - have also conducted intensive studies on urban neighborhoods and rural villages in an attempt to reveal the

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“ undersides” of history. Although this has resulted in a great deal of in-depth information about certain areas, it has usually not been classified as “local history.” Thus, the term “local history” continues to be associated, unfairly or not, with antiquarianism and amateur historians. The first systematic local studies were undertaken in the 18th and early 19th centuries by talented local elites, particularly in Britain, France, and the United States. In England, the creation of survey maps showing local areas in great detail, helped spur the process on. Influenced by the ideals of the Enlightenment, many amateur scholars developed a distinctly scientific bent. In a process described by Peter Burke as “the discovery of the people,” these individuals, including, for example, Thomas Jefferson, conducted archaeological digs, studied local flora and fauna, recorded regional folklore and customs, and surveyed the local past. Despite the fact that amateur archaeological digs, in particular, caused severe problems for later scholars, such work revealed a wealth of information. The United States experienced a boom in the creation of local studies during the late 19th century. Usually commissioned by native-born local elites with a view toward enshrining their social status, these local histories combined a narrative of the founding of a particular region, lists of early local political officials, and short biographies of area leaders. These studies were undertaken consciously to promote the locale as a matter of civic pride. Thus, the process of writing local history often began while the area was still being settled, and state and county historical societies were formed quite early on. In Minnesota, for example, the state historical society came into being before the state was incorporated. Many counties boasted large, multivolume histories within half a century of their founding. Although such works have proved of somewhat limited value for later scholars, they are storehouses of detailed factual information. Since World War II there has been a increasing interest in local history by professional historians. Part of this results from simply having more historians, in the United States and Western Europe as well as in traditionally understudied areas such as Eastern and Central Europe. Part also results from the influence of new methodologies such as the Annales school in France. Local history has found especially fertile ground in France, with the work of historians such as Guy Thuillier, whose work has in turn influenced such prominent scholars as Eugen Weber. In the United States local history was encouraged by the celebration of the national bicentennial in 1976, as well as by increasing interest in genealogy in a nation long the victim of poor history teaching in primary and secondary schools. Most local histories remain largely exercises in antiquarianism, but with greater emphasis on ethnicity, women, religion, crime, and other previously ignored topics. New approaches to local and regional history are in evidence, with the work of scholars such as Joseph Amato, who has used the approach of the Annales school in the American Midwest, as well as in the greater professionalization in state and local historical societies. Although professionalization and the interest of the new social historians has provided a cure for excessive antiquarianism, it is still unclear whether such historians will retain the interest of non-academics who have long been the primary audience for local history. Jo h n

Ra d z il o w sk i

732.

L OC A L H I S T O R Y

See a lso

Burke; Le Roy Ladurie

Further Reading

Amato, Joseph A., Servants o f the Land: G o d , Family, an d Farm: A

Trinity o f Belgian E conom ic F olkw ays in S outhw estern M in n esota , Marshall, MN: Crossings Press, 1990 Amato, Joseph A., The G reat Jerusalem A rtich oke Circus: The Buying an d Selling o f the R ural Am erican D rea m , Minneapolis:

University of Minnesota Press, 1993 Amato, Joseph A., “ Guy Thuillier: ‘Paris Will Save Nothing,’” Journal o f Social H istory 27 (1993), 375 - 80 Burke, Peter, Popular Culture in Early M odern E u rope , London: Temple Smith, and New York: New York University Press, 1978 Kostash, Myrna, A ll o f B aba ’s C hildren , Edmonton: Hurtig, 1977 Le Roy Ladurie, Emmanuel, M on taillou , village occitan de 1294 a 1 3 2 4 , Paris: Gallimard, 1975; in English as M ontaillou: The P rom ised L and o f Error, New York: Braziller, 1978, and as

M ontaillou: C atbars an d C atholics in a French Village, 1 2 9 4 - 1 3 2 4 , London: Scolar Press, 1978 Thuillier, Guy, Les Ecoles historiques (Schools of History), Paris:

Presses Universitaires de France, 1990 Thuillier, Guy, and Jean Tulard, Le M etier d ’historien (The Historian ’s Profession), Paris: Presses Universitaires de France, 1991 Thuillier, Guy, and Jean Tulard, H istoire locale et regionale (Local and Regional History), Paris: Presses Universitaires de France, 1992

Lopez, Robert S.

1910 - 1986 Italian medieval economic historian Roberto Lopez began his career as an archivally-based specialist on the late medieval economic history of his native Genoa, publishing three monographs and over three times as many articles on that subject between 1933 and 1938. Even as a “ local” historian, Lopez was required to range from the Sea of Azov to the Straits of Gibraltar, from Flandgrs to Egypt, for “the history of Genoa was made more from without than from within; her inhabitants lived, struggled, distinguished themselves more outside the walls.” Thus, along with narratives of Genoese merchants, the young Lopez produced a thoroughly documented picture of the interconnected workings of the late medieval Mediterranean and beyond. Lopez’s ability to combine methodological rigor with a broad view of the Mediterranean world enabled him to distinguish himself, like his predecessors, far outside the walls of his native town. Like many other Jewish medievalists, Lopez emigrated to the United States where he helped to transform US medieval historiography. More than any of his fellow exiles, Lopez was himself influenced by US academic structures. He turned his attention to the general economic history of Europe; his shift to the early Middle Ages and to the evidence of printed sources and of coinage enabled him to keep working despite reduced access to archives. Lopez was, in effect, a historian of the relations among Europeans, Asians, and Africans, seen particularly from an economic perspective. Such issues had been of special interest in Italy during the 1930s (when the fascist government sought historical precedents for more recent activities) and continued to preoccupy European and North American analysts throughout the widespread decolonization movements of succeeding

decades. Despite the clear political importance, during the 1940s, 1950s, and 1960s, of global economic relations, Lopez was almost alone among medievalists in pursuing continuous active research in the field; in his final synthetic work, The Commercial Revolution of the Middle Ages (1971), Lopez situated his research within the “Development Paradigm” (now under attack as a “ Eurocentric Masterplot” ) which has in fact determined relations with the “Third World” for decades. Furthermore, throughout the early Cold War, which pitted against one another communist and capitalist visions of the ideal economy, Lopez was the leading US specialist on European economic growth and commercial development along capitalist lines, the origins of which he traced to the Italian Middle Ages, that “outstanding anticipation of the European future.” Lopez became one of the most eminent US medievalists of the 20th century, and attracted large numbers of graduate students. Beginning in 1942 with “ Byzantine Law in the Seventh Century and its Reception by the Germans and the Arabs,” Lopez produced a string of classic articles. By taking a bird’s-eye view, he was able to demonstrate the equivalent of biology’s “ Butterfly Effect,” wherein a butterfly beating its wings on one side of the globe eventually influences events on the other side. One of his most famous works, “Mohammed and Charlemagne: A Revision” (1943), constituted a specific refutation of the work of the still-influential Belgian historian, Henri Pirenne, and his vision of an isolated medieval West. For Lopez, when the use of gold coinage declined - not disappeared - in Latin Europe in the early Middle Ages, it was a result of Byzantine legal policies concerning state monopolies and of Carolingian political decisions, not of simple isolation and economic depression; when the importation of papyrus ceased in Latin Europe in the 10th century, it was a result of specific Caliphal industrial developments and monopolistic trade policies, not of the general absence of trade contacts between Europe and the rest of Eurasia. In another essential work, “ Settecento anni fa: il ritorno all’oro nell’occidente duecentesco” (1953; “ Back to Gold,” 1956), Lopez focused on the continuous circulation of gold coins, of Byzantine or Islamic manufacture, in the complex economy of medieval Europe and (again in opposition to Pirenne and the French medievalist Marc Bloch) ascribed the mid-13th-century striking of gold currency by Genoa and Florence to a complex series of largely political motivations and to changes in the African gold and European silver industries, rather than to some simple and sudden return to prosperity in Europe after centuries of depression. Another essential article, published in the same year (“An Aristocracy of Money in the Early Middle Ages,” 1:953), posed an equally stunning challenge to the Francophoneinfluenced vision of medieval Europe which has nevertheless tended to dominate Anglophone scholarship. Lopez demonstrated once more - with characteristically exhaustive documentation - the continuous, sophisticated innovations of medieval economic actors, analyzing “a bourgeois aristocracy founded on money at a time when the survival of money and of the bourgeoisie has been doubted.” Lopez did much to create, during the 1940s and 1950s, the new fields of social and economic history. He asserted in 1971 that “the main achievement of [his] generation has been to shift the emphasis from prominent individuals to ordinary people, and from a small number to entire collectivities.” He was among the first to exploit the numerous contracts and other

LOV E J O Y

commercial documents preserved in Italian archives, many of which have since been used (including by his own students) to illuminate the lives of ordinary women and men. In 1955, at the height of his path-breaking career, he produced a sourcebook (Medieval Trade in the Mediterranean World - still in print) so that students, normally shown a world of cathedrals and castles, could be introduced to medieval Italian business, a “gift of that gifted nation to the modern world . . . the proto type of the modern commercial economy.” Fe l ic e

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Byzantium and the World Around It: Economic and Institutional Relations, 1978 [collected essays] The Shape o f Medieval Monetary History, 1986 [collected essays]

Further Reading

Miskimin, Harry A., David Herlihy, and A.L. Udovitch, eds., The Medieval City, New Haven: Yale University Press, 1977 [includes bibliography]

Lif s h it z

See also Cipolla; Italy: Renaissance

Lovejoy, Arthur O. 1873-1962

US philosopher and historian of ideas Biography

Roberto Sabatini Lopez. Born Genoa, Italy, 8 October 1910. Received DLitt, University of Milan, 1932; PhD, University of Wisconsin, 1952. Taught at teachers colleges in Cagliari, Pavia, and Genoa, 1933 -36; University of Genoa, 1936 -38; emigrated to US, 1938; research assistant, University of Wisconsin, 1939 -42. Script editor, Italian section, Office of War Information, 1942 -43; foreign news editor, CBS, 1944 -45. Taught at Brooklyn College, 1943 -44; Columbia University, 1945 - 46; and (rising to professor), Yale University, 1946 -81 (emeritus). Married Claudia Kirschen, 1946 (2 sons). Died New Haven, 6 July 1986.

Principal Writings

Storia delle colonie genovesi nel Mediterraneo (History of Genoese Colonies in the Mediterranean), 1938 “ Byzantine Law in the Seventh Century and Its Reception by the Germans and Arabs,” Byzantion 16 (1942 - 43), 445 - 61 “ European Merchants in the Medieval Indies: The Evidence of Commercial Documents,” Journal o f Economic History 3 (1943), 164 -84 “ Mohammed and Charlemagne: A Revision,” Speculum 18 (1943), 14 -38 “ Silk Industry in the Byzantine Empire,” Speculum 20 (1945), I _ 4 2 “The Dollar of the Middle Ages,” Journal o f Economic History 11 (1951), 209 -34 “ Still Another Renaissance?” American Historical Review 57 (1951 - 52), 1-21 “ An Aristocracy of Money in the Early Middle Ages,” Speculum 28 (r 953), i - 4 3

“ Settecento anni fa: il ritorno all’oro nell’occidente duecentesco ” (700 Years Ago: The Return of Gold in the 13th -Century West) Rivista storica Italiana 65 (1953), 19 -55 and 161 -98; partially summarized and simplified in “ Back to Gold, 1252,” Economic History Review 2nd series, 9 (1956), 219 - 40 “ La citta dell’Europa post-carolingia: il commercio dell’Europa postcarolingia ” (The City in Post-Carolingian Europe) Settimane di studio del centro italiano di studi sulPalto medioevo 2 (1955), 547 - 99

“ East and West in the Early Middle Ages: Economic Relations,” Relazioni del X Congresso internazionale di scienze storiche, Roma 1955, vol. 3, 1955 With Irving W. Raymond, Medieval Trade in the Mediterranean World: Illustrative Documents Translated, 1955 “The Evolution of Land Transport in the Middle Ages,” Past and Present 9 (1956), 17 -29 “ Il medioevo negli Stati Uniti” (The Middle Ages in the United States), Studi medievali 3 (1962), 677 - 82 Naissance de VEurope, 1962; in English as The Birth o f Europe, 1967 The Three Ages o f the Italian Renaissance, 1970 The Commercial Revolution o f the Middle Ages, 950 - 1350, 1971 “ Medieval and Renaissance Economy and Society,” in Norman F. Cantor, ed., Perspectives on the European Past: Conversations with Historians, 1971

Few individuals can be said to have created a discipline, but Arthur O. Lovejoy, on top of his considerable influence as an important early 20th-century American epistemologist, was the virtual father of the history of ideas. He is responsible for the reinvigoration of the practice of intellectual history in the United States, significant not only for his extensive and influential writings, but also for his establishment in 1940 of perhaps what is the dominant journal in intellectual history, the Journal o f the History o f Ideas. Additionally, Lovejoy is notable for his role in promoting scientific standards to foster the development of philosophy as an American academic pro fession through his participation in the American Philosophical Society. He played a pivotal role, as well, in the establishment of the Association of American University Professors. Born in Berlin, Lovejoy went on to study at Berkeley and then Harvard before teaching at a number of American universities. Most of his academic career was spent at Johns Hopkins University where he retired in 1938. His early career was dominated by the writing of articles, mostly of a philosophical nature, where his work took a critical realist position against pragmatism, absolute idealism in the work of thinkers such as Josiah Royce, and against what Lovejoy perceived to be “antiintellectualism” not only in philosophy, but generally within western intellectual life. His major philosophical work was The Revolt Against Dualism (1930), a philosophical defense of dualism against monist forms of epistemology. Lovejoy’s philosophical position was to be the foundation of his view of intellectual history. His earliest work in history was in religious thought and it was there that he began to formulate his notion of “ unit-ideas,” that is, ideas that have continued over time, manifesting themselves in a variety of guises and espoused by major and minor thinkers alike. The study of these unit-ideas focused on considerations of their presence in the tacitly held assumptions of a particular time or group. Critical in this endeavor is a consideration of etymology and morphology, the meaning of words in these ideas, and the recurrent use of certain terms or phrases over time. The clearest exposition of Lovejoy’s purpose and methodology can be seen in his preface to Essays in the History o f Ideas (1948) and demonstrated in his most celebrated work, The Great Chain o f Being (1936). The Great Chain of Being traced the history of the doctrine of plenitude in western thought from Plato’s Timaeus to its decline in the late 18th and early 19th centuries. The doctrine of plenitude had led to the idea of a “ Great Chain of Being” linking all forms of being in a single chain from highest to

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L OVEJ OY

lowest. In the modern period evolutionary ideas effectively replaced this idea as the dominant explanation of diversity, gradations of being, and continuity. Nevertheless, throughout its history this unit-idea manifested itself in all western conceptions of being as the organizing assumption on which religious, metaphysical, and ethical ideas were based. Lovejoy’s scholarly interests were wide-ranging and included important work on romanticism, religion, ethics, and natu ralism. He was greatly interested in primitivism, and with George Boas embarked on a multivolume project to produce a documentary history of it even though only one volume was to be realized. Lovejoy was a noted defender of academic freedom and helped write the American Association of University Professors’ statements on it in the 1910s. While his work on epistemology has been largely eclipsed, the history of ideas has sustained itself as a discipline even while it has been increasingly challenged by the history of discourses as well as by alternative approaches to intellectual history. Se a n

See a lso

Fa r r e l l

M o r a n

Mahoney, Edward P., “ Lovejoy and the Hierarchy of Being,” Journal o f the H istory o f E ducation 48 (1987), 211 -31 Mandelbaum, Maurice, “ Arthur O. Lovejoy and the Theory of Historiography,” Journal o f the H istory o f Ideas 9 (1948), 412 -23 Murphy, Arthur, “ Mr. Lovejoy’s Counter- Revolution,” Journal o f P hilosoph y 28 (1931), 29 - 42, 57 -71 Oakley, Francis, “ Lovejoy’s Unexplored O ption, ” Journal o f the H istory o f Ideas 48 (1987), 231 - 47 Taylor, Harold A., “ Further Reflections on the History of Ideas: An Examination of A.O. Lovejoy’s Program,” Journal o f P hilosoph y 40 (1943), 281 -99 Wiener, Philip, “ Lovejoy’s Role in American Philosophy,” in Studies in Intellectual H istory, Baltimore: Johns Hopkins Press, 1953

Wilson, Daniel J., A rth ur O. L o vejo y an d the Q u est for Intelligibility, Chapel Hill: University of North Carolina Press, 1980 Wilson, Daniel J., A rth ur O. L ovejoy: An A n n o ta ted B ibliography, New York: Garland, 1982 Wilson, Daniel J., “ Lovejoy’s Great Chain of Being after Fifty Years,” Journal o f the H isto ry o f Ideas 48 (1987), 187 - 207

Curti; Gilbert; Intellectual; Miller; Science; Skinner

Biography

Arthur Oncken Lovejoy. Born Berlin, 10 October 1873, where his American father was studying medicine. After his mother’s death from an accidental drug overdose, his father became a clergyman. Graduated from Germantown Academy, 1891; studied philosophy with George Holmes Howison, University of California, Berkeley, BA 1895; then with Josiah Royce and William James, Harvard University, MA 1897; studied comparative religions, the Sorbonne, 1898 -99. Taught philosophy at Stanford University, 1899 -1901: resigned over issues of academic freedom; Washington University, St. Louis, 1901 -07; Columbia University, 1907 - 08; University of Missouri, 1908 - 10; and Johns Hopkins University, 1910 - 38. Died Baltimore, 30 December 1962.

Principal Writings

“ Reflections of a Temporalist on the New Realism,” Journal o f P hilosoph y 8 (1911), 589 - 99 “ Some Antecedents of the Philosophy of Bergson,” M in d 22 (1913), 465 - 83 “ On Some Conditions of Progress in Philosophical Inquiry,” Philosophical R eview 26 (1917), 123 -63 “ The Paradox of the Thinking Behaviorist,” P hilosophical R eview 31 (1922), 135 - 47

The R e vo lt A gainst D ualism : A n Inquiry in to the Existence o f Ideas , 1930

Editor with Gilbert Chinaud, George Boas, and Ronald S. Crane, D ocu m en tary H istory o f P rim itivism an d R elated Ideas , 1935 Editor with George Boas, P rim itivism an d R elated Ideas in A n tiq u ity , 1935 The G reat Chain o f Being: A S tu dy o f the H istory o f an Idea , 1936 Essays in the H isto ry o f Ideas, 1948 The R eason , the U nderstanding , an d T im e , 1961 Reflections on H um an N a tu re , 1961 The Thirteen P ragm atism s , an d O th er Essays, 1963

Further Reading

Boas, George, “ A.O. Lovejoy as Historian of Philosophy,” Journal o f the H isto ry o f Ideas, 9 (1948), 404 - 11 Kelley, Donald R., “ Historians of Intellectual History: Retrospect, Circumspect, Prospect,” Journal o f the H istory o f Ideas 48 (1987), 143 - 70

Lovejoy, Paul E. 1943US historian of Africa

Paul E. Lovejoy perceives himself not as an Africanist historian but rather as a social and economic historian who studies African topics. He rejects any schema that treats African history as a sub-discipline, seeing it rather, as part of mainstream history which uses the same methodology and theories as other aspects of history. Lovejoy has focused on the colonial context of West African history, concentrating on northern Nigerian history, as well as on the impact of the slave trade. He has produced outstanding works discussing the internal consequences of the slave trade, its abolition, and overseas repercussions. In “ Revolutionary Mahdism and Resistance to Colonial Rule in the Sokoto Caliphate, 1905 -06 ” (1990), he examined the connection between Mahdism and the colonial conquest. Fierce Mahdist resistance met the spread of British rule in northern Nigeria and, as Lovejoy argued, can only be understood in context. This careful attention to context that has marked all of Lovejoy’s work. His studies of slavery, for example, reveal his meticulous attention to detail. In his 1989 review of the literature on the Atlantic slave trade, he argued that not only did Africa suffer an enormous net loss of population, but also that there was a significant increase in the enslaved population within Africa itself. Thus Lovejoy rejected earlier notions that downplayed the amount of indigenous slavery within Africa, and contended that the amount of slavery within West Africa was proportionately higher than in the Americas. In Slow Death for Slavery (1993) Lovejoy traced the abolition of slavery in one significant area of West Africa, among the Hausa-Fulani emirates. Large internal raids were carried out by the Fulani and the elimination of slavery among these people was difficult and long-drawn-out. As the Fulani emir and slaver Ngawase was reputed to have said, “I can no more give up slaving than a cat can give up mousing. I shall die with a slave in my mouth!” Furthermore, in his 1995 article on British abolition, Lovejoy suggested that long-held views

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regarding the drop in slave prices in Africa after Britain’s 1807 abolition of the slave trade along the Atlantic coast of Africa were incorrect. Careful and detailed analysis of prices before and after abolition demonstrate that rather than dropping, the prices had, in fact, increased. This careful attention to detail and willingness to go against accepted and popular wisdom marks Lovejoy’s writings. He often embraces unpopular positions, risking attack from those who would use history as a means of ethnic cheerleading to counter past distortions. Lovejoy has clung to a more oldfashioned perspective that holds to empirical evidence and to the possibility of good and evil in all peoples. His use of economic records is impeccable and has proved useful in bringing rationality back into many debates on the slave trade. F r a n k A. S a l a m o n e See a lso Africa: West Biography

Paul Ellsworth Lovejoy. Born Girard, Pennsylvania, 6 May 1943. Received BA, Clarkson University, 1965; MS, University of Wisconsin, 1967, PhD 1973. Taught at York University, Ontario, (rising to professor) from 1971. Editor, Sage Series on African Modernization and Development. Married Elspeth Cameron, 1977.

Principal Writings

Caravans o f Kola: The H ausa K ola Trade, 1 7 0 0 - 1 9 0 0 , 1980 Editor, The Id eology o f Slavery in A frica, 1981 T ransform ations in Slavery: A H istory o f Slavery in A frica , 1983 Editor with Catherine Coquery-Vidrovitch, The W orkers o f African Trade, 1985 Editor, A fricans in Bondage: Studies in Slavery an d the Slave Trade: Essays in H o n o r o f Philip D. Curtin on the O ccasion o f the Twenty - Fifth A nniversary o f African Studies a t the U niversity o f W isconsin, 1986 Salt o f the D esert Sun: A H istory o f Salt P rodu ction an d Trade in the C entral Sudan, 1986

“ The Impact of the Atlantic Slave Trade on Africa: A Review of the Literature,” Journal o f African H istory 30 (1989), 365 -94 “ Revolutionary Mahdism and Resistance to Colonial Rule in the Sokoto Caliphate, 1905 - 06, ” Journal o f African H istory 31 (1990), 217 -44 With Jan S. Hogendorn, S low D eath fo r Slavery: The Course for A b o litio n in N orth ern N igeria, 1 8 9 7 - 1 9 3 6 , 1993 Editor with Toyin Falola, P aw nship in Africa: D e b t Bondage in H istorical P erspective, 1994 Editor with A.S. Kanya-Forstner, The S o k o to C aliphate an d the E uropean P ow ers, 1 8 9 0 - 1 9 0 7 , 1994 Editor with Nicholas Rogers, Unfree L abou r in the D evelo p m en t o f the A tla n tic W orld, 1994 With David Richardson, “ British Abolition and Its Impact on Slave Prices along the Atlantic Coast of Africa, 1783 - 1850, ” Journal o f E conom ic H isto ry 55 (1995), 98 - 119 Editor with Jordan Goodman and Andrew Sherratt, C onsum ing H abits: D rugs in H istory an d A n th ro p o lo g y, 1995

Low Countries Sharp religious divisions in Dutch society and linguistic divisions in Belgium determined the approaches to history in the Low Countries up to World War II, while strongly nationalist

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perspectives inhibited any research into variations in regional or social experience. In the Netherlands, more resources were provided to national and local archives than in Belgium; public access was assured from the mid-19th century, while strict Belgian privacy laws prevented historians’ access to many documents, so that the history of the Dutch has been studied in much greater volume than that of the Belgians. After the war, some broadening began to appear, which is reflected in Houtte’s 12-volume Algemene Geschiedenis der Nederlanden (General History of the Low Countries), produced between 1949 and 1958. But only since the 1960s, when the social segmentation began to break down, greater attention began to be given to social and cultural history, and the archival situation in Belgium improved, did an ever more complex picture of the Low Countries’ past emerge. This made necessary a new Algemene Geschiedenis der Nederlanden (15 volumes edited by Blok), published between 1977 and 1983. The revolt of the Netherlands against Spain during the 16th and 17th centuries has been the most studied topic in Low Countries history since the 19th century, when historians sought to find the roots of the Dutch and Belgian nations in the revolt. The standard Protestant interpretation held that the revolt was the work of Calvinists seeking to throw off the persecution they suffered under the Catholic rulers of Spain. In contrast, Robert Fruin argued in Het voorspel van den Tachtigjarigen Oorlog (The Prologue of the Eighty Years’ War, 1859-60) and other works that the revolt was a rebellion against foreign rule that linked Calvinist and Catholic, burgher and noble in a war for independence. Meanwhile, a growing Catholic historiography, best represented by L.J. Rogier’s Geschiedenis van het katholicisme in Noord Nederland in de XVIe en XVIIe eeuw (History of Catholicism in the Northern Netherlands in the 16th and 17th Centuries, 1945-47) began to dispute the Protestant interpretation. Pieter Geyl shifted the focus away from religious conflict, convinced that an undivided Great Netherlands nation was coming into existence during the 16th century, one which was split into two nations only because the Spanish army could not operate effectively in the north. More recently, the secularization of Dutch intellectual life has permitted development of a more nuanced understanding of religious ideas in the 16th century, particularly in the work of Alastair Duke and J.J. Woltjer. Other works, including James Tracy’s A Financial Revolution in the Habsburg Netherlands (1985) and his Holland under Habsburg Rule, 1506-1566 (1990), focused on highly detailed analyses of the centralization process under the Habsburgs, since local elites were rebelling to protect local privilege against this centralization. These strands have been brought together by Jonathan Israel in his synthesis, The Dutch Republic (1995), which covers not only the revolt, but the entire history of the Republic. Politics in the 17th-century Dutch Republic were dominated by the conflict between the urban oligarchies or regents and the stadholders of the House of Orange-Nassau. While 19thcentury histories of the period were critical of the stadholders, 20th-century scholars tended to view the regents as defenders of liberty. D.J. Roorda has led a school of historians in shifting the emphasis to prosopographical analyses of local urban elites and especially of the factions within those groups in Partij en factie (Party and Faction, 1978) and, with Hendrik van Dijk, Het Patriciaat in Zierikzee tijdens de Republiek (The Patriciate in Zierikzee during the Republic, 1980).

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Until recently, the 18th century, seen as an age of decline and ending with invasion and occupation by foreign armies, attracted much less attention from historians than the Golden Age. Typical of this attitude was H.T. Colenbrander’s De Patriottentijd (The Patriots’ Time, 1897-99), which denied that the conflicts of the period (the Patriotic and Batavian revolutions) were anything more than a by-product of international diplomacy. Geyl, however, pointed out similarities between the Patriots’ ideas and those of earlier Dutch reformers in the last volume of De geschiedenis van de Nederlandsche Stam (1930-59) and in his De Patriottenbeweging, 1780-1787 (The Patriot Movement, 1947), bringing the revolution into the mainstream of Dutch history. In the 1960s, C.H.E. de Wit provided the “social interpretation” of the Patriot Revolution in De Strijd tussen aristocratie en democratie in Nederland, 1780-1848 (The Struggle between Aristocracy and Democracy in the Netherlands, 1965), making it the beginning of a long struggle between aristocrats (i.e., the regents) and burghers seeking political emancipation, a struggle that ended only when the latter won a democratic constitution in 1848. Wit is generally faulted for over-simplifying the picture, and Simon Schama, whose Patriots and Liberators (1977) is largely a synthesis of all three interpretations, has been likewise criticized for accepting Wit’s categories too uncritically. Subsequently, historians have taken a much closer look at the ways in which the Dutch Enlightenment created the political culture that framed the conflict. A good introduction to this research is The Dutch Republic in the Eighteenth Century, edited by Margaret C. Jacob and Wijnand W. Mijnhardt (1992). E.H. Kossmann’s The Low Countries, 1780-1940 (1978) is a comprehensive survey of the history of the Netherlands and of Belgium in the modern period and contains a useful bibliographic essay. When it appeared in Dutch as De Lage Landen, 1780-1980 in 1986, several chapters on the years from 1940 to 1980 were added. The Dutch experience of German occupation during World War II is probably the most fertile area of 20th-century history in the Netherlands. The central study of the period is Louis de Jong’s 14-volume Het Koninkrijk der Nederlanden in de Tweede Wereldoorlog (The Kingdom of the Netherlands in World War II, 1969-91). Werner Warmbrunn’s The Dutch under German Occupation, 1940-45 is a good English-language survey. More recently, scholars such as Gerhard Hirschfeld in his Fremdherrschaft und Kollaboration (1984; revised as Nazi Rule and Dutch Collaboration, 1988) have tended to veer away from Jong’s simple categorization of the population into either collaborators or resistance fighters. No synthesis of the Belgian experience on the scale of Jong’s exists, but Jules Gerard-Libois, Van 40 (The Year ’40, 1971) and A. de Jonghe’s, Hitler en het politieke lot van Belgie, 1940-1944 (Hitler and the Political Destiny of Belgium, 1972) were seminal. Significant work in the economic and social history of the Low Countries during the early modern period is usually thought to have begun only in the 1960s, but the important work of N.W. Posthumus, De Geschiedenis van de Leidsche lakenindustrie (The History of the Leiden Cloth Industry, 1908-39) and J.G. van Dillen’s synthesis, Van rijkdom en regenten (Of Wealth and Regents, 1970) should not be overlooked. The real breakthrough in this area, however, came with the publication of B. Slicher van Bath’s Een samenleving onder spanning (A

Society under Stress, 1957). Slicher van Bath’s book, which presented a great deal of quantitative data regarding the province of Overijssel’s rural population, economy, and social structure between 1600 and 1800, was the model for a whole series of case studies of the Dutch countryside published by scholars associated with the Department of Rural History at the University of Wageningen, usually in the journal, A.A.G. Bijdragen. One of the major debates in Dutch history has been on the reasons for Holland’s economic growth in the early modern period. One school emphasizes the contributions of skilled immigrants (and their capital) fleeing north from Flanders and Brabant during the revolt. Another credits the absence of any feudal system in Holland, thus permitting the early development of a free market economy. A third school argues that various favorable conditions outside Holland were the decisive factors. The articles in The Dutch Economy in the Golden Age, edited by Karel Davids and Leo Noordegraaf (1993), provide a good overview of these viewpoints. Economic historians have also focused on explaining the end of the era of strong economic growth, beginning sometime in the middle of the 1600s. Research into this topic began with Johannes de Vries’ De economische achteruitgang der Republiek in de achttiende eeuw (The Economic Decline of the Republic in the 18th Century, 1959). Vries denied that there had been any real overall economic decline until around 1780, suggesting instead that certain sectors of the Dutch economy stood still while the economies of other nations grew, resulting in a relative decline only. He has been repeatedly attacked by historians whose research into demography, agriculture, and export industries give them a more pessimistic view. These include the Wageningen group, especially A.M. van der Woude, Jan de Vries in Barges and Capitalism (1981), and J.L. van Zanden in The Rise and Decline o f Holland’s Economy (1993). But James C. Riley in International Government Finance and the Amsterdam Capital Market (1980) pointed to the financial sector to suggest that the Republic’s economy remained buoyant until the last decades of the century. Related to this debate is the attempt to explain the late industrialization of the Netherlands. Notable here are Richard T. Griffiths’ Industrial Retardation in the Netherlands, 1830-1850 (1979) and Joel Mokyr’s Industrialization in the Low Countries, 1795-1850 (197b). Meanwhile, the image of Belgium as a backward and stagnant society in the 18th century has been revised. Recent interpretations, such as those of Mokyr, of Franklin Mendels in his 1972 article, and of Pierre Lebrun and others, in Essai sur la revolution industrielle en Belgique (Essay on the Industrial Revolution in Belgium, 1979), have demonstrated that the roots of Belgium’s position as the “second industrial nation ” are apparent in the 18th century. While significant individual works in women’s history in the Low Countries have been produced for many decades, this area truly began to flourish from the 1970s onward. Various topics have received attention, including working women, education, witchcraft. A number of theoretical debates also have been central to this historiography. A good introduction to this literature can be found in Jose Eijt’s 1992 essay on women’s history. Postcolonial work on the colonial past of the Netherlands has been marked by attempts to place the Dutch East India Company and later government officials into a more Asian

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context. This trend began with J.C. van Leur in Eenige beschouwingen betreffende den ouden Aziatischen handel (1934; included in Indonesian Trade and Society: Essays in Asian Social and Economic History, 1955). His influence can be seen in much current research, notably Meilink-Roelofsz’s Asian Trade and European Influence in the Indonesian Archipelago Between 1500 and about 1640 (1962). M a r y be t h

Ca r l s o n

See also de Vries; Geyl; Huizinga; Schama Further Reading

Blok, D.P., general editor, Algemene Geschiedenis der Nederlanden (General History of the Low Countries), 15 vols., Haarlem: Fibula Van Dishoeck, 1977 -83 Blok, Petrus Johannes, Geschiedenis van het Nederlandsche volk, 8 vols., Groningen: Wolters, 1892 - 1908; in English as The History o f the People o f the Netherlands, 5 vols., New York: Putnam, 1898 -1912 Boogman, J.C., Rondom 1848: de politieke ontwikkeling van Nederland, 1840 - 1858 (Around 1848: The Political Development of the Netherlands, 1840 -1858), Amsterdam: Fibula Van Dishoeck, 1978 Bosch, Mineke, with Annemarie Kloosterman, eds., Lieve Dr Jacobs: Breven uit de wereldbond voor Vrouwenkiesrecht, 1902 -1942, Amsterdam: Sava, 1985; in English as Politics and Friendship: Letters from the International Woman Suffrage Alliance, 1902 - 1942, Columbus: Ohio State University Press, 1990 Brugmans, I.J., Paardenkracht en mensenmacht: sociaal-economische geschiedenis van Nederland 1795 - 1940 (Horsepower and Human Power: Social-Economic History of the Netherlands, 1795 -1940), The Hague: Nijhoff, 1961 Buck, Hendrik de, Bibliografie der geschiedenis van Nederland (Bibliography on the History of the Netherlands), Leiden: Brill, 1968 Bulletin critique d ’histoire de Belgique (Critical Bulletin on the History of Belgium), Ghent: Universite de Gand, 1967 -75 Carter, Alice C., “ Bibliographical Surveys,” Acta Historiae Neerlandicae 6 - 8 (1973 - 75) Carter, Alice C. et al., eds., Historical Research in the Low Countries, 1970 -1975: A Critical Survey, The Hague: Nijhoff, 1981 Colenbrander, H.T., De Patriottentijd: Hoofdzakelijk naar buitenlandse beschieden (The Patriots ’ Time: Chiefly from Foreign Documents), 3 vols., The Hague: M. Nijhoff, 1897 -99 Coolhaas, Willem Phillipus, A Critical Survey o f Studies on Dutch Colonial History, The Hague: Nijhoff, i960; revised by G.J. Schutte, 1980 Davids, Karel, and Leo Noordegraaf, eds., The Dutch Economy in the Golden Age: Nine Studies, Amsterdam: Nederlandsch Economisch-Historisch Archief, 1993 Davids, Karel, “ Honderd jaar beachtzaamheid: denken over sociale en economische geschiedenis in Nederland, 1894 - 1994 (One Hundred Years of Caution: Social and Economic History in the Netherlands, 1894 -1994), Tijdschrift voor Sociale Geschiedenis 20 (1994), 2.51-62 Dekker, Rudolf, Holland in beroering: oproeren in de iyd e en i8de eeuw (Holland in Turmoil: Uprisings in the 17th and 18th Centuries), Baarn: Ambo, 1982 Deursen, Arie Theodorus van, Het kopergeld van de Gouden Eeuw, 4 vols., Assen: Van Gorcum, 1978 -81; in English as Plain Lives in a Golden Age, Cambridge: Cambridge University Press, 1991 de Vries, Jan, Barges and Capitalism: Passenger Transportation in the Dutch Economy, 1652 - 1859, Utrecht: HES, 1981 Dijk, Hendrik van, and D.J. Roorda, “ Sociale mobiliteit onder regenten van de Republiek ” (Social Mobility under the Regents of the Republic), Tijdschrift voor geschiedenis 84 (1971), 306 -28

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Dijk, Hendrik van, and D.J. Roorda, Het Patriciaat in Zierikzee tijdens de Republiek (The Patriciate in Zierikzee during the Republic), 1980 Dillen, Johannes Gerard van, Van rijkdom en regenten (Of Wealth and Regents), The Hague: Nijhoff, 1970 Duke, A.C., and C.A. Tamse, Clio ’s Mirror: Historiography in Britain and the Netherlands, Zutphen: De Walburg Pers, 1985 Duke, A.C., Reformation and Revolt in the Low Countries, London: Hambledon Press, 1990 Dumont, Sylvia et al., eds., In haar verleden ingewijd: de ontwikkeling van vrouwengeschiedenis in Nederland (Initiated into Her History: The Development of Women’s History in the Netherlands), Zutphen: Walburg Pers, 1991 Dumoulin, M., “ Historiens etrangers et historiographie de l’expansion beige aux XIXe et XX siecles” (Foreign Historians and Historiography Concerning Belgian Expansion in the 19th and 20th centuries), Bijdragen en Mededelingen betreffende de Geschiedenis der Nederlanden 100 (1985), 685 - 99 Eijt, Jose, “ Women’s History: The ‘Take-Off’ of an Important Discipline: Developments in the Netherlands and Belgium since 1985,” N.C.F. van Sas and Els Witte, eds., Historical Research in the Low Countries, The Hague: Nederlands Historisch Genootschap, 1992 Essen, Mineke van, Opvoeden met een dubbel doel: twee eeuwen meisjesonderwijs in Nederland (Education with a Double Goal: Two Centuries of Girls’ Schooling in the Netherlands), Amsterdam: SUA, 1990 Faber, J.A. et al., “ Population Changes and Economic Developments in the Netherlands: A Historical Survey,” A.A.G. Bijdragen 12 (1965), 4 7 - H 3 Fruin, Robert, Het voorspel van den Tachtigjarigen Oorlog (The Prologue of the Eighty Years’ War), Utrecht: Spektrum, 1859 -60 Genicot, Leopold, ed., Vingt Ans de recherche historique en Belgique, 1969 - 1988 (Twenty Years of Historical Research in Belgium), Brussels: Credit Communal, 1990 Gerard -Libois, Jules, Van 40: la Belgique occupee (The Year ’40: Occupied Belgium), Brussels: CRISP, 1971 Geyl, Pieter, De geschiedenis van de Nederlandsche Stam, 3 vols., Amsterdam: Wereldbibliothek, 1930 -59; partially translated as The Revolt o f the Netherlands, 1555 -1609, and The Netherlands Divided, 1609 -1648, London: Williams and Norgate, 1932 -36; revised and expanded as The Netherlands in the Seventeenth Century, London: Benn, and New York: Barnes and Noble, 1961 - 64 Geyl, Pieter, De Patriottenbeweging, 1780 - 1787 (The Patriot Movement), Amsterdam: van Kampen, 1947 Grever, Maria, “ Het verborgen continent: een historiografische verkenning van vrouwengeschiedenis” (The Hidden Continent: A Historiographical Explanation of Women’s History), Tijdschrift voor Sociale Geschiedenis 12 (1986), 221 - 68 Griffiths, Richard T., Industrial Retardation in the Netherlands, 1850 - 1850, The Hague: Nijhoff, 1979 Haan, Francisca de, “ Women’s History behind the Dykes: Reflections on the Situation in the Netherlands,” in Karen Offen, Ruth Roach Pierson, and Jane Rendall, eds., Writing Women ’s History: International Persepectives, Bloomington: Indiana University Press, 1991 Hirschfeld, Gerhard, Fremdherrschaft und Kollaboration: die Niederlande unter deutscher Besatzung, 1940 - 1945, Stuttgart: Deutsche Verlags-Anstalt, 1984; revised and expanded in English as Nazi Rule and Dutch Collaboration: The Netherlands under German Occupation, 1940 - 1945, Oxford and New York: Berg, 1988 Houtte, J.A. van, ed., Un quart de siecle de recherche historique en Belgique, 1944 - 1968 (A Quarter of a Century ’s Historical Research in Belgium), 1944 - 1968, Louvain: Nauwelaerts, 1970 Houtte, J.A. van, general editor, Algemene Geschiedenis der Nederlanden (General History of the Low Countries), 12 vols., Utrecht: De Haan, 1949 -58

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Huizinga, Johan, Dutch Civilization in the Seventeenth Century and Other Essays, London: Collins, and New York: Ungar, 1968 Israel, Jonathan, The Dutch Republic: Its Rise, Greatness, and Fall, 147-7-1806, Oxford and New York: Oxford University Press, 1995

Jacob, Margaret, and W.W. Mijnhardt, eds., The Dutch Republic in the Eighteenth Century: Decline, Enlightenment, and Revolution, Ithaca, NY: Cornell University Press, 1992 Jong, Louis de, Het Koninkrijk der Nederlanden in de Tweede Wereldoorlog (The Kingdom of the Netherlands in World War II), 14 vols., The Hague: Staatsdruukerij en uitgeverijbedrijt, 1969 -91 Jonghe, A. de, Hitler en het politieke lot van Belgie, 1940 -1944 (Hitler and the Political Destiny of Belgium), Antwerp: Uitgeverij de Nederlandsche Boehke, 1972 Keymolen, Denise, Vrowenarbied in Belgie van c.1860 tot 1914 (Women’s Work in Belgium from c.1860 to 1914), Leuven: Acco, 1977 Keymolen, Denise, De geschiedenis geweld aangdaan: de strijd voor het vrouwenstemrecht, 1886 - 1948 (History Done Violence: The Fight for Women’s Suffrage, 1886 -1948), Brussels: Instituut voor Politieke Vorming, 1981 Kossmann, E.H., and J. Kossmann, “ Bulletin critique de l’historiographie neerlandaise ” (Critical Bulletin of Dutch History), Revue du Nord 36 - 43, 46 - 47 (1954 - 61, 1964 -65) Kossmann, E.H., The Low Countries, 1780 - 1940, Oxford and New York: Oxford University Press, 1978; revised and expanded in Dutch as De Lage Landen, 1780 -1980: twee eeuwen Nederland en Belgie, 2 vols., Amsterdam: Elsevier, 1986 Kossmann -Putto, J., and Els Witte, eds., Historical Research in the Low Countries, 1981 -1983: A Critical Survey, Leiden: Brill, 1985 Kossmann -Putto, J., Els Witte, and C.R. Emery, eds., Historical Research in the Low Countries, 1983 -1983: A Critical Survey, The Hague: Nederlands Historisch Genootschap, 1990 Lebrun, Pierre et al., Essai sur la revolution industrielle en Belgique (Essay on the Industrial Revolution in Belgium), Brussels: Palais des Akademies, 1979 Leur, J.C. van, Indonesian Trade and Society: Essays in Asian Social and Economic History, The Hague: Van Hoeve, 1955 Lijphart, Arend, The Politics o f Accommodation: Pluralism and Democracy in the Netherlands, Berkeley: University of California Press, 1968 Lucassen, Jan, and Rinus Penninx, Nieuwkomers, nakomelingen, Nederlanders: immigranten in Nederland, 1550 -1993 (Newcomers, Descendants, Dutch People: Immigrants in the Netherlands, 1550 -1993), Amsterdam: Spinhuis, 1994 Meilink-Roelofsz, Marie Antoinette Petronella, Asian Trade and European Influence in the Indonesian Archipelago Between 1500 and about 1640, The Hague: Nijhoff, 1962 Mendels, Franklin F., “ Proto -industrialization,” Journal o f Economic History 32 (1972), 241 -61 Mijnhardt, W.W., ed., Kantelend geschiedbeeld: nederlandse historiografie sinds 1945 (History Upended: Dutch Historiography since 1945), Utrecht: Spectrum, 1983 Mokyr, Joel, Industrialization in the Low Countries, 1795 - 1850, New Haven: Yale University Press, 1976 Pirenne, Henri, Histoire de Belgique (History of Belgium), 7 vols., 1899 -1932 Posthumus, N.W., De Geschiedenis van de Leidsche lakenindustrie (The History of the Leiden Cloth Industry), 3 vols., The Hague: Nijhoff, 1908 -39 Prak, Maarten, “ De nieuwe sociale geschiedschrijving in Nederland ” (The New Social History in the Netherlands), Tijdschrift voor Social Geschiedenis 20 (1994), 121 -48 Raxhon, Philippe, La Revolution liegeoise de 1789 vue par les historiens beiges de 1805 a nos jours (The 1789 Revolution of Liege Seen by Belgian Historians from 1805 to Our Time), Brussels: Editions de l’Universite de Bruxelles, 1989

Riley, James C., International Government Finance and the Amsterdam Capital Market, 1740 - 1815, Cambridge and New York: Cambridge University Press, 1980 Rogier, L.J., Geschiedenis van het katholicisme in Noord Nederland in de XVIe en XVIIe eeuw (History of Catholicism in the Northern Netherlands in the 16th and 17th Centuries), 3 vols., Amsterdam: Urbi et Orbi, 1945 -47 Roorda, D.J., Partij en factie: de oproeren van 1672 in de steden van Holland en Zeeland, een Krachtmeting tussen partijen en facties (Party and Faction: The Riots of 1672 in the Towns of Holland and Zeeland, A Trial of Strength Between Parties and Factions), Groningen: Wolters, 1978 Sas, N.C.F. van, and Els Witte, eds., Historical Research in the Low Countries, The Hague: Nederlands Historisch Genootschap, 1992 Schama, Simon, Patriots and Liberators: Revolution in the Netherlands, 1780 - 1813, New York: Knopf, and London: Collins, 1977 Schama, Simon, The Embarrassment o f Riches: An Interpretation o f Dutch Culture in the Golden Age, New York: Knopf, 1987; London: Collins, 1988 Slicher van Bath, B., Een samenleving onder spanning: geschiedenis van het platteland van Overijssel (A Society under Stress: A History of the Countryside of Overijssel), Assen: Van Gorcum, 1957

Smits, A., 1830: Scheming in de Nederlanden (1830: A Split in the Low Countries), 2 vols., Heule: UGA, 1983 Tollebeek, Jo, De toga van Fruin: denken over geschiedenis in Nederland sinds i860 (Fruin ’s Toga: Thinking about History in the Netherlands since i860), Amsterdam: Wereldbibliotheek, 1990 Tracy, James D., A Financial Revolution in the Habsburg Netherlands: Renten and Renteniers in the County o f Holland, 1515 - 1565, Berkeley: University of California Press, 1985 Tracy, James D., Holland under Habsburg Rule, 1506 -1566: The Formation o f a Body Politic, Berkeley: University of California Press, 1990 Verhaegen, Paul, La Belgique sous la domination frangaise, 1792 - 1814 (Belgium under French Domination), 5 vols., Brussels: Goemaere, 1922 -29 Vries, Johannes de, De economische achteruitgang der Republiek in de achttiende eeuw (The Economic Decline of the Republic in the 18th Century), Amsterdam: Harms, 1959 Warmbrunn, Werner, The Dutch under German Occupation, 1940 - 45, Stanford, CA: Stanford University Press, 1963 Warmbrunn, Werner, The German Occupation o f Belgium, 1940 - 1944, New York: Lang, 1993 Wee, Herman van der, The Growth o f the Antwerp Market and the European Economy, 3 vols., The Hague: Nijhoff, 1963 Weerdt, Denise de, En de vrouwen: vrouw, vrouwenbegweging en feminisme in Belgie 1830 -1960 (And the Women: Women, Women’s Movement, and Feminism in Belgium, 1830 - 1960), Ghent: Masereelfonds, 1980 Wesseling, H.L., Onder historici: opstellen over geschiedenis en geschiedschrijving (Among Historians: Essays on History and Historical Writing), Amsterdam: Bakker, 1995 Wils, Lode, Honderd jaar vlaamse beweging (One Hundred Years of the Flemish Movement), 3 vols., Leuven: Davidsfonds, 1977 -89 Wit, C.H.E. de, De Strijd tussen aristocratie en democratie in Nederland, 1780 - 1848 (The Struggle Between Aristocracy and Democracy in the Netherlands), Heerlen: Winants, 1965 Woltjer, J.J., Friesland in hervormingstijd (Friesland during the Time of the Reformation), Leiden: Universitaire Pers, 1962 Woude, A.M. van der, “The A.A.G Bijdragen and the Study of Dutch Rural History,” Journal o f European Economic History 4 (1975), 215 - 42 Zanden, J.L. van, The Rise and Decline o f Holland 's Economy: Merchant Capitalism and the Labour Market, Manchester: Manchester University Press, 1993

L OWER

Lower, A.R.M. 1889-1988 Canadian historian It is possible to divide A.R.M. Lower’s work into two types: analytical, research-based monographs on the timber industry in Canada; and polemical ruminations on the nature of the Canadian nation. Yet to do so is to minimize the linkages between the two, for in Lower’s work they were simply different ways to come to terms with the same fundamental problem: the need to give Canada a deeper appreciation of its own nationhood. From his earliest formative years, Lower was determined to search out and interpret the historical facts that underlay Canadian national identity. That search led him to write four penetrating accounts of the North American forestry industry. These dense, detailed studies (Lower himself called them arid) reflected his interest in metropolitanism, and examined through the lens of the lumber industry the relationship between the European commercial metropolis and the resource hinterland it exploited. In this sense, Lower’s timber books placed his work squarely in the staples thesis of Harold Innis. But Lower brought a different dimension to the theory. In the first place, he demonstrated a well-developed environmental conscience (born of his youth spent in the wilds of northern Canada) that led him to deplore the commercial plunder of North America’s forests. More importantly, Lower lacked Innis’ fondness for the more technical aspects of the staples trades. Instead, he was interested in the human side of the timber industry, and his books are underpinned by a fascination with the way the wilderness shaped the character and outlook of Canadians. It was this interest in the relationship between a community and its environment that informed most of Lower’s work. The frontier thesis of Frederick Jackson Turner stimulated Lower intellectually, but he found it profoundly unsatisfying when applied to Canada. Above all, he believed the thesis was too parochial, and took no account of the conflict between French- and English-Canadian ways of life. As one of the few English-Canadian academics to attempt to understand FrenchCanadian society in the interwar years, he married the two nations theory with his metropolitanism and concluded that Canada could only be understood in terms of two dialectics: between the French and English faces of the country; and between colony and metropolis. Lower’s fullest discussion of these dialectics appeared in Colony to Nation (1946), his greatest contribution to Canadian history. It combines impressive evidence, impassioned arguments, and no mean literary flair into a plea for Canadians to realize the importance of national feeling, not only in their past but also in their future. Where other academics turned to collectivism as a way for Canada to realize its destiny, Lower turned to nationalism, and Colony to Nation stood as his prescription for the nation’s ills. Lower wrote considerably more broadly than this brief synopsis suggests. With Canada and the Far East (1940), he became one of the first observers to consider Canada as a Pacific nation. His judgmental and provocative Canadians in the Making (1958) was an early attempt at cultural and intellectual history which emphasized piety as a force that shaped Canada in its formative years. Historical theory, political

739

philosophy, religion, educational policy - all were tackled by Lower’s keen eye and sometimes acerbic pen. In his later years, Lower devoted himself primarily to thought-pieces on his earlier work, polemical essays, and tributes to his contemporaries, most of whom he outlived. Indeed, with Colony to Nation, his historical thought was essentially complete. He refined his ideas but never substantially revised them. Although Lower tried to assume the mantle of both social scientist and humanist, he was never entirely happy about considering himself in the former role. The timber books, his most assiduous attempts at being a social scientist, struck Lower as having “no epoch-making significance.” Damning them with faint praise, he considered them to be merely “ useful in the sense that snow shovels or cars are useful.” Much like Donald Creighton, Lower conceived of the historian in more than utilitarian terms: the historian should be an artist. The role of the historian demanded more than a facility for facts; it also demanded imagination, literary ability, and above all the willingness to combine reality and perception into a story of the past. For this reason he saw his later works, particularly Colony to Nation and Canadians in the Making as being greater achievements than his more empirical works. Few people who have read Lower’s entire corpus would disagree with him. J o n a t h a n F. V a n c e See also Canada; Innis; Morton Biography

Arthur Reginald Marsden Lower. Born Barrie, Ontario, 12 August 1889. Educated at University of Toronto, BA 1914, MA 1923; Harvard University, MA 1926, PhD 1929. Briefly a country school teacher, then taught language and history, University of Toronto, 1914 -16. Served in Royal Naval Volunteer Reserve, 1916 -19. Assistant chairman, Board of Historical Publications, Canadian Archives, 1919 -25. Taught at Tufts College, 1926 -27; Harvard University, 1927, while working on doctorate; professor, United College, University of Manitoba, 1929 -47; professor of Canadian history, Queen ’s University, Kingston, Ontario, 1947 -59. Married Evelyn Marion Smith, 1920 (1 daughter). Died 7 January 1988.

Principal Works

The Square Timber Trade in Canada, 1932 Settlement and the Forest Frontier in Eastern Canada, 1936 The North American Assault on the Canadian Forest: A Flistory o f the Lumber Trade Between Canada and the United States, 1938 Canada and the Far East, 1940 Colony to Nation: A History o f Canada, 1946 Canadians in the Making: A Social History o f Canada, 1958 Great Britain's Woodyard: British America and the Timber Trade, 1763 - 1867, 1973 Ocean o f Destiny: A Concise History o f the North Pacific, 1500 -1978, 1978 A Pattern for History, 1978

Further Reading

Berger, Carl, The Writing o f Canadian History: Aspects o f EnglishCanadian Historical Writing, 1900 -1970, Toronto: Oxford University Press, 1976; 2nd edition Toronto: University of Toronto Press, 1986 Cook, Ramsay, The Craft o f History, Toronto: Canadian Broadcasting Corporation, 1973

740

LO WER

Heick, Welf H., ed., His Own Man: Essays in Honour o f Arthur Reginald Marsden Lower, Montreal: McGill-Queen ’s University Press, 1974 Heick, Welf H., ed., History and Myth: Arthur Lower and the Making o f Canadian Nationalism, Vancouver: University of British Columbia Press, 1975 Levitt, Joseph, A Vision beyond Reach: A Century o f Images o f Canadian Destiny, Ottawa: Deneau, 1982 Lower, A.R.M., My First Seventy-Live Years, Toronto: Macmillan, 1967

Liidtke, Alf

1943-

German anthropological and political historian A pioneer in developing both the theory and practice of Alltagsgeschichte (the history of everyday life), Alf Liidtke is a fellow of the Max-Planck-Institut for History, currently the only major center for work on Alltagsgeschichte, anthropological history, and “microhistory.” Liidtke has also been central in supporting and showcasing this work as produced by other pro fessional historians, as well as within a wider community of practitioners of history, the latter particularly through his active role in the German history workshop movement. Liidtke has written widely in historical theory, drawing on an array of historical traditions and on methods outside the discipline, and considering forms of historical practice and expression that reach outside its traditional purview. He has focused on Alltagsgeschichte, a method that emphasizes the lives of “ordinary” people, by examining their experiences, their webs of relationships with others and with the material world, and their individual and collective agency. This approach leads Liidtke to redefine politics and political activism, viewing the latter as a subset of available “ survival tactics” by which people negotiate their lives through the endless contradictions in which they find themselves. Liidtke has emphasized the virtues of a “microhistorical” site of study, permitting familiarity with a dense network of interactions and “fields of force” that highlight specificity and contingency, enriching and revising studies that identify broad and apparently general historical trends. This theoretical work has earned Liidtke a high international profile; his most difficult task, perhaps, has been to assert Alltagsgeschichte's value in his native Germany - a setting in which structural history has been for several decades the dominant paradigm, and whose practitioners have criticized Alltagsgeschichte as “ unscientific” and lacking “objectivity.” In his own development of the method Liidtke notes rather Alltagsgeschichte's emphasis on the necessity of the historian’s critical self-examination and distancing from the object of study. This methodological rancor is traced in part to a subtext of the political implications of different historical practices, related most specifically to how Germans should best understand the Third Reich. Liidtke’s own historical studies have taken on some of the most difficult and contentious themes relating to this period, including workers’ lack of resistance to the Nazi regime, despite their general lack of interest in and even antipathy to the party. This work emphasizes individual and collective choice and agency, such as it was, precisely as a counter to a “romanticization” of the role of ordinary Germans in this period.

Liidtke has as a practitioner of Alltagsgeschichte written voluminously on a broad range of subjects; these topics seem to reflect a postwar West German experience of confronting widespread political complacency, German state deference to Western military interests, and state willingness to curtail civil liberties, especially in response to the threat of terrorism. His subjects may be generally clustered into two areas, both of which span the modern era: the first is state violence and bureaucratic domination; the second is worker experience and politics, industrial work processes, and images of work and workers. Liidtke spelled out his findings on the former in most sustained fashion in his work on the development of a “police state” in early 19thcentury Prussia. He found that the Prussian state commanded police and military forces to counteract all perceived potential unrest through “short shrift” : sure, rapid, and preemptive physical violence, which created a climate of fear and repression. Liidtke concluded by observing the potential dangers of bureaucratic state structures that purport to operate for the “common good,” but which through “citadel practices” exercise both physical violence and invasive symbolic authority on individual state subjects. His work considers such practices, among others, under the GDR regime as well. Liidtke has also done considerable work on the German working class, between i860 and 1945, and again in East Germany in the 1980s. It is through this work that he has developed his central concept of Eigensinn, or, “sense of self.” Through numerous articles Liidtke examines laborers at work; with great concreteness and attention to detail, he recreates the repetitive motion and loud noises of factory work, linking this experience to workers’ relationships with workmates, bosses, and even with the state. He consistently identifies workers’ practice of Eigensinn: spontaneous efforts to create and take charge of their own domain, and to assert themselves in it, on the job, and in the broader world. Liidtke carefully connects such quotidian practices with prevailing political processes. He finds, for example, that, during the Third Reich, workers practiced their “opposition” to the regime primarily through horseplay and pranks, through extended coffee breaks, and through other means that caused little actual damage to the regime. Through such painstaking study, Liidtke helps explain what has been little understood: how the Nazis maintained their power despite the large segments of society from whom they had little support. As part of a broader social critique, crossing academic boundaries, the impact of this work has been considerable, just as Liidtke’s theoretical writings continue to provoke widespread discussion. Be l in d a

Da v is

See also Anthropology; Crime Biography

Born 18 October 1943. Received doctorate, University of Konstanz, 1981; Habilitation, University of Hannover, 1988. Affiliated faculty member, University of Hannover. Married Helga Mueller (1 daughter).

Principal Writings

“ The Role of State Violence in the Period of Transition to Industrial Capitalism: The Example of Prussia from 1815 to 1848,” Social History 4 (1979), 175 -222

LYON S

“Gemeinwohl, ” Polizei und “F estungspraxisstaatliche Gewaltsamkeit und innere Verwaltung in Preussen, 1815 -1850, 1982; in English as Police and State in Prussia, 1815 -1850, 1989 “The Historiography of Everyday Life: The Personal and the Political,” in Raphael Samuel and Gareth Stedman Jones, eds., Culture, Ideology and Politics: Essays for Eric Hobsbawm, 1982 “ Organizational Order or ‘Eigensinn’? Workers’ Privacy and Workers’ Politics in Imperial Germany,” in Sean Wilentz, ed., Rites o f Power, 1985 “ Cash, Coffee-breaks, Horseplay: Eigensinn and Politics among Factory Workers in Germany circa 1900,” in Michael Hanagan and Charles Stephenson, eds., Confrontation , Class Consciousness, and the Labor Process: Studies in Proletarian Class Formation, 1986 “ Hunger in der grossen Depression ” (Hunger in the Great Depression), Archiv fur Sozialgeschichte 27 (1987), 145 -76 Editor, Alltagsgeschichte: zur Rekonstruktion historischer Erfahrungen und Lebensweisen, 1989; in English as The History o f Everyday Life: Reconstructing Historical Experiences and Ways o f Life, 1995 Editor, Herrschaft als soziale Praxis: historische und sozialanthropologische Studien (Domination as Social Practice: Historical and Social-Anthropological Studies), 1991 “The Appeal of Exterminating ‘Others ’: German Workers and the Limits of Resistance,” Journal o f Modern History 64 (1992), supplement: 46 - 67 Editor, “Sicherheit” und “Wohlfahrt”: Polizei, Gesellschaft und Herrschaft im 19. und 20. Jahrhundert (“ Security” and “ Welfare” : Police, Society, and Domination in the 19th and 20th Centuries), 1992 “ ‘Coming to Terms with the Past’: Illusions of Remembering, Ways of Forgetting Nazism in West Germany,” Journal o f Modern History 65 (1993b 54* - 7* Eigen-Sinn: Fabrikalltag, Arbeitererfahrungen und Politik vom Kaiserreich bis in den Faschismus (“Sense of Self”: Everyday Factory Life, Worker Experience and Politics from the Second Empire to Fascism), 1993 “ Polymorphous Synchrony: German Industrial Workers and the Politics of Everyday Life,” International Review o f Social History 38 (I993K 39 - 84 “ Geschichte und Eigensinn” (History and Sense of Self), in Berliner Geschichtswerkstatt, ed., Alltagsgeschichte, Subjektivitat und Geschichte: zur Theorie und Praxis von Alltagsgeschichte, 1994 “ ‘Helden der Arbeit’: Miihen beim Arbeiten, Zur missmutigen Loyalitat von Industriearbeitern in der DDR ” (“Heroes of Work ” : Labors of Work: On the Discontented Loyalty of Industrial Workers in the GDR), in Hartmut Kaelble, Jurgen Kocka, and Hartmut Zwahr, eds., Sozialgeschichte der DDR,

1994

Editor with Thomas Lindenberger, Physische Gewalt: Studien zur Geschichte der Neuzeit (Physical violence: Studies in Modern History), 1995 Editor with Inge Marssolek and Adelheid von Saldern, Amerikanisierung: Traum und Alptraum im Deutschland des 20. Jahrhunderts (Americanization: Dreams and Nightmares in Germany in the 20th Century), 1996 “ Der Bann der Worter: ‘Todesfabriken,’ ” (The Banishment of Words: “ Death Factories” ) Werkstatt Geschichte 13 (1996)

Further Reading

Crew, David F., “Alltagsgeschichte: A New Social History from Below?,” Central European History 22 (1989), 394 - 407 Eley, Geoff, “ Labor History, Social History, Alltagsgeschichte: Experience, Culture, and the Politics of the Everyday - A New Direction for German Social History? ” Journal o f Modern History 61 (1989), 297 - 343 Rosenhaft, Eve, “ History, Anthropology, and the Study of Everyday Life: A Review Article,” Comparative Studies in History and Society 29 (1987), 99 - 105

741

Lyons, F.S.L. 1923-1983 Irish historian In divided societies history can be an explosive commodity. As one Irish historian, A.T.Q. Stewart, once remarked, “to the Irish all history is applied history, and the past is simply a convenient quarry which provides ammunition to use against enemies in the present.” Leland Lyons’ aim was to write history which would convert that quarry back to its legitimate purpose. In temperament a private man, he took on an increasingly public role; he had few research students, yet he influenced the method and approach of a generation of Irish historians. Birth and family linked him to the north of Ireland, but in outlook he was very much a southern Irish Protestant of the post-independence era; his work was described on occasion as unsympathetic towards Ulster Unionism, or even as neo-republican, yet he was as much at home in England as in Ireland, while in later years he spoke and wrote against the stifling of the southern Protestant identity by the majority Catholic tradition in the Republic. Lyons published seven books, three of them blockbusters, and at the time of his death had just embarked on the official biography of W.B. Yeats. His third book, Internationalism in Europe, 1815-1914 (1963), was a commissioned study for the Council of Europe and is not well known, though its conception reflected his inclusive and pluralist approach to the problem of national conflict. His reputation as the leading Irish historian of the postwar generation is based on the remaining six books, and on twenty or so published articles, which all deal with the history of Ireland since the mid-19th century. His work was characterized by a fine style and balanced judgments. His approach was cool and analytical, and his ideological underpinnings liberal, integrationist, and inclusive. Lyons’ method was based on scrupulous examination of archival evidence, mainly private correspondence, in a way that is taken for granted by later generations of historians, but which had not been much applied in Irish history prior to the work of his teacher and friend T.W. Moody (1907-84) and others who founded the journal Irish Historical Studies in 1938. Although his PhD thesis and, interestingly, to a lesser degree, his related first book, drew quite markedly on political science methods, he did not subsequently use social-scientific or theoretical approaches. He adhered to the classic historian’s virtues of evidential rigor and a striving for objectivity, tending to regard theory almost as the articulation of prejudice. In the Moody Festschrift (1980) Lyons acknowledged a debt to his mentor for “a training in how to define one’s subject, how to locate one’s sources, how to evaluate different kinds of evidence, how to progress from description to analysis, how to handle footnotes and bibliographies, and at the end how to set out one’s conclusions clearly, reasonably and, if all went well, even with some degree of style.” The historian, Lyons observed in The Burden of Our History (1979), while being “ imaginatively committed to his subject . . . must use all the disciplines of his training to distance himself from that subject. He deals in explanations, not solutions.” Likewise he thought that historical revisionism “is proper revisionism if it is a response to new evidence which, after being duly tested, brings us nearer to a truth independent of the wishes and aspirations of those for whom

742-

LYONS

truth consists solely of what happens to coincide with those wishes and aspirations.” For much of his career Lyons was closely wedded to the study of high politics and, in four books, effectively wrote the history of the constitutional nationalist movement from its origins in the 1870s to its demise at the hands of Sinn Fein in the general election of 1918. But in his later work he branched out encouraged, perhaps, by his successful handling of a wider gamut of historical themes in Ireland since the Famine (1971) where, though confessing to feeling something like an “ancient Israelite condemned to make bricks without straw,” he managed to transcend both the textbook format and the lack of research on many topics to produce a major piece of total history, which is still a standard work. First came his acceptance of the sadly unfulfilled Yeats commission, then his Ford lectures at Oxford, Culture and Anarchy in Ireland, 1890-1939 (1979), which opened up debate on the cultural and social history of the period in the way that his earliest work had done for high politics a generation earlier. A private comment made during the final year of his life, that biography was “the last refuge of a disillusioned historian,” was probably no more than modest self-deprecation on the part of the author of two acclaimed biographies who was in process of embarking on a third. The remark did, however, accord with his continued preoccupation with epistolary sources and with questions of personality and relationships in public life, as well as reflecting that recurring sense of fatalism that must have struck a chord with him in the personality of John Dillon. Lyons’ main achievement was to rescue Dillon’s reputation as the leading figure in constitutional nationalism after Parnell. Dillon published nothing himself: he was cast as villain of the piece in the recriminatory and voluminous memoirs of his rivals William O ’Brien and Tim Healy; while Denis Gwynn’s 1932 study of John Redmond, though solidly researched, is uncritical in praise of its subject. In Lyons’ accounts Dillon is the lynchpin of the movement, first seeing more clearly than Parnell the future direction for party strategy, and later making his Dublin home the real interface between the Irish grassroots and Westminster politics. Redmond by contrast is seen as more of a figurehead, Healy a vituperative spoiler, and O ’Brien as increasingly raving and demented. This view still holds the field, although two impressive books by Paul Bew have presented subtle and rather different slants both on Parnell and on the roles of Redmond and O ’Brien, while also providing insights into the connections between nationalist politics and rural society at a more intimate level than Lyons in his time could have hoped to achieve. But Lyons’ work continues to

set the terms for debate in many areas, not only in the study of the parliamentary party, but also through the general text which still competes with Roy Foster’s excellent study, and in his late work on the clash of cultures. A .C .

H e pbu r n

See also Ireland

Biography

Francis Stewart Leland Lyons. Born Londonderry, Northern Ireland, 11 November 1923, but spent most of his childhood in the Irish Republic, in County Roscommon and in Dublin. Educated at Dover College; in England; and at Trinity College, University of Dublin, BA in modern history and political science, 1945, PhD 1948. Taught at University of Hull, 1947 - 51; fellow, Trinity College, Dublin, 1951 - 64; rose to professor, University of Kent at Canterbury, 1964 -74; returned to Trinity College, Dublin: provost [i.e., president], 1974 -81: professor, 1981 -83. Married Jennifer Ann McAlister, 1954 (2 sons). Died Dublin, 21 September 1983.

Principal Writings

The Irish Parliamentary Party, 1890 -1910, 1951 The Fall o f Parnell, 1890 -91, i960 Internationalism in Europe, 1815 -1914, 1963 John Dillon: A Biography, 1968 Ireland since the Famine, 1971; revised 1973 Charles Stewart Parnell, 1977 The Burden o f Our History, 1979 Culture and Anarchy in Ireland, 1890 -1959, 1979 Editor with R.A.J. Hawkins, Ireland under the Union: Varieties o f Tension: Essays in Honour o f T.W. Moody, 1980 Editor, The Bank o f Ireland, 1783 -1985: Bicentenary Essays, 1983

Further Reading

Bew, Paul, C.S. Parnell, Dublin: Gill and Macmillan, 1980 Bew, Paul, Conflict and Conciliation in Ireland, 1890 -1910, Oxford and New York: Oxford University Press, 1987 Boyce, David George, and Alan O ’Day, eds., The Making o f Modern Irish History: Revisionism and the Revisionist Controversy, London and New York: Routledge, 1996 Brady, Ciaran, ed., Interpreting Irish History: The Debate on Historical Revisionism, 1938 - 1994, Dublin: Irish Academic Press, 1994 Foster, Roy, “ Francis Stewart Leland Lyons, 1923 - 1983, ” Proceedings o f the British Academy 70 (1985), 463 - 79 Foster, Roy, Modern Ireland, 1600 -1972, London: Allen Lane, and New York: Penguin, 1988 O ’Day, Alan, “ F.S.L. Lyons: Historian of Modern Ireland,” in Walter L. Arnstein, ed., Recent Historians o f Great Britain: Essays on the post - 1945 Generation, Ames: Iowa State University Press, 1990

Encyclopedia of

HISTORIANS AND

HISTORICAL WRITING Volume

2

Encyclopedia

of

Historians and

Historical Writing 2

M-Z

Editor KELLY BOYD

First

published 1999 by Fitzroy Dearborn Publishers

Published 2019 by Routledge Park Square, Milton Park, Abingdon, Oxon OX144RN Avenue, New 52 Vanderbilt York, NY 10017 2

Routledge is an imprint of the Taylor & Francis Group, an informa business Copyright © 1999 Taylor & Francis All

rights reserved. No part of this book may be reprinted or reproduced or utilised in any form or by any electronic, mechanical, or other means, now known or hereafter invented, including photocopying and recording, or in any information storage or retrieval system, without permission in writing from the publishers. Notice: Product used

or corporate names may be trademarks or registered trademarks, and are only for identification and explanation without intent to infringe.

British Library Cataloguing in Publication Data Encyclopedia of historians and historical writing Historians – Encyclopedias I. I.

Boyd, Kelly

907.2'02

Library of Congress Cataloging

in Publication Data is available.

Typeset by The Florence Group, Stoodleigh, Devon Cover

design by Philip

Lewis

ISBN 13:978-1-884964-33-6 (hbk) (vol II)

CONTENTS

Alphabetical

List of Entries

Thematic List: Entries

Chronological

by Category

List of Historians

Encyclopedia of Historians and Historical Writing, M-Z

vii xv

xxvii

743

1357 Title Index

Further Notes

Reading Index

on

Advisers and Contributors

1411 1539

ALPHABETICAL LIST OF ENTRIES

VOLUME

1

Hans Baron

Salo Wittmayer Baron Lord Acton Henry Adams A.E.

Afigbo

Africa: Central Africa: Eastern and Southern Africa: North and the Horn Africa: West African American History History African Diaspora

Agrarian History F. Ade Ajayi Ali Haji Raja

Jacob

Louis Althusser

Stephen

E. Ambrose

America: Pre-Columbian

Geoffrey Barraclough Vasilii Vladimirovich Bartol'd Iorge Basadre Jorge Walter Bauer

John John

C.

Beaglehole

C.E.W Bean C.E.W.

Charles A. Beard and Mary Ritter Beard Carl L. L. Becker Bede

Begriffsgeschichte Karl Julius Beloch Isaiah Berlin Martin Bernal Abu Rayhān Abū al-BTrüní Rayhân al-Bīrunī

Geoffrey Blainey

Ammianus Marcellinus

Marc Bloch

Benedict Anderson Perry Anderson Charles McLean Andrews Anglo-Saxon Chronicle Annales regni Francorum Annales School Anthropology, Historical Arai Hakuseki

Jerome Blum

Archaeology Argentina Argentina Philippe Ariès Art History Astrology Australia

Austro-Hungarian Empire James Axtell Emmanuel Ayankami Ayankami Ayandele

A. Adu Boahen

Gisela Bock Jean Bodin The Body Jean Bolland Herbert E. E. Bolton Daniel J. Boorstin Daniel Woodrow Borah Pierre Bourdieu C.R. Boxer

Karl Dietrich Bracher Randolph L. Braham Fernand Braudel Brazil lames Henry Breasted James Robert Brenner Asa

Briggs Anglo-Saxon Britain: 1066-1485 Britain: 1485-1750

Babad Bernard Bailyn Bailyn The Balkans

Britain:

Ban Gu

Britain: since 1750

George Bancroft George

British Empire

Ömer Lütfi Líitfi Barkan

Martin Broszat

Pierre Broué Peter Brown

Edward G. Browne Otto Brunner

Henry Thomas Buckle Bueis Bugis and Makasar (Sulawesi) Chronicles Rudolf Bultmann Jacob Burckhardt Peter Burke Robert Ignatius Burns

J.B. Bury Business History History

Catherine Coquery-Vidrovitch Alain Corbin Daniel Cosío Villegas Nancy F. Cott Counter-Reformation Donald Grant Creighton Crime and Deviance Benedetto Croce Alfred W. Crosby, Jr. Crusades

Byzantium Caesar

Claude Cahen Helen Cam

Cambridge Group William Camden Averil Cameron Canada Delio Cantimori Fernando Henrique Cardoso Thomas Carlyle Carlyle

Cuba

Cultural History History Merle Curti Curti

E.H. Carr

Raymond

John R. Commons Comparative History Computers and Computing, History of Computing and History Auguste Comte Consumerism and Consumption Werner Conze

Herbert Butterfield

Julius Julius

Richard Cobb Alfred Cobban G.D.H. Cole R.G. R.G. Collingwood Henry Steele Commager

Philip

D. Curtin

Carr

Cassiodorus

Robert Darnton David Daube Leonore Davidoff Basil Davidson

Ernst Cassirer Cassius Dio Américo Castro

Catholicism/Catholic Church Central America Central Asia: since 1850 1850 Central Europe Federico Chabod Cha bod Owen Chadwick Alfred D. Chandler, Jr. Jr. Roger Chartier K.N. Chaudhuri Chen Yinke

Natalie Zemon Davis Angie Debo Renzo De Felice Carl Ν. Degler Degler Hans Delbrück Léopold Delisle Jean Delumeau Jean

C.R.

Demography

Norman Davies R.W. Davies David Brion Davis

Cheney François Chevalier

Dening Greg Dening

Childhood China: Ancient (C.I1500-221 bce) (£.1500-221 BCE) China: Early and Middle Imperial (221 BCE-959 CE) ce) China: Late Imperial 9 1) Imperial (1960-1(960-1911) China: Modern (since (since 1911)1911) China: Historical Writing, Ancient

(c.1100-221 BCE) China: Historical Writing,

Early

and Middle

Imperial (221BCE-959CE) China: Historical Writing, Late

(960-1911) Christianity Carlo M. Cipolla J.H. Clapham Alice Clark Manning Clark

Imperial Imperia!

Francesco De Sanctis Design History Design History Isaac Deutscher

Jan de Vries Bernal Díaz Diaz del Castillo A.G. Dickens Wilhelm Dilthey Diodorus Siculus Dionysius of Halicarnassus Cheikh Anta Diop Diop

Diplomatic Diplomatie History/International Relations Documentary Documentary Film Antonio Domínguez Domínguez Ortiz Alfons Dopsch Dopsch Dress

J.G. Droysen J.G. Simon Dubnov

W.E.B. Du Bois

Erik Fügedi François Furet J.S. Furnivall

Georges Duby Pierre Duhem William A. Dunning Dunning

Numa Fustel de

Coulanges

R.C. Dutt

H.J. Dyos

Lothar Gall

John Gallagher East Central

Europe

F.L. Ganshof

Eastern Orthodoxy Richard Maxwell Eaton

Garcilaso de la Vega Vega Samuel Rawson Gardiner

Wolfram Eberhard W.I. Eccles W.J. Eccles Ecclesiastical History

Eugenio Garin Johann Christoph Peter Gay Gay

Ecology

Clifford Geertz Gender

Economic History History

Egypt: Egypt:

Ancient since the 7th 7th

Eugene Century

CE

Einhard

Stanley Elkins J.H. Elliott J.H.

D. Genovese

Gino Germani

Germany: to 1450 1450 Germany: 1450-1800 Germany: 1800-1945 1800-1945

G.R. Elton

Germany:

Friedrich

Pieter Geyl Geyl

Engels

Gatterer

since 1945

Enlightenment Historical Writing

Pietro Giannone

Edith Ennen Environmental History Erik H. Erikson Ethnicity and "Race" Ethnohistory Ethnohistory Europe: Modern

Edward Gibbon Charles Gibson Wilhelm von Giesebrecht Felix Gilbert Etienne Gilson Carlo Ginzburg Paolo Giovio

European Expansion Eusebius of Caesarea

Lawrence

Jacques John The

Κ. K. Fairbank

Family

Lucien Febvre

Henry Gipson

Léon Godechot

S.D. Goitein Eric Goldman E.H. Gombrich

Steven Feierman

Mario

Feminism

Pablo Gonzalez González Casanova

Feudalism Film M.I.

Finley Finley

Góngora

Sarvepalli Gopal Gopal Linda Gordon Heinrich Graetz

Fritz Fischer

Antonio Gramsci

Ludwig Fleck

Greece: Ancient Greece: Modern Alice Stopford Green

Robert William Fogel Eric Foner

Philip

S. Foner

Michel Foucault

John

Foxe

France: to 1000 1000

France: 1000-1450 1000-1450 France: 1450-1789 France: French Revolution France: since the Revolution John Hope Franklin

Guy Frégault Sigmund Freud Gilberto Freyre Freyre Jean Froissart

Jack P. Greene Gregory of Tours Patricia Grimshaw

Lionel Groulx Stéphane Gsell Gu Jiegang Tieeane Ranaiit Ranajit Guha Francesco Guicciardini Pierre Guichard

François Guizot Gunki monoeatari monogatari Aron Gurevich

Herbert G. Gutman

Frontiers J. A. Froude J.A.

Robert Fruin

H.J. Habakkuk Jürgen Habermas

Halecki Oskar Haiecki Elie Halévy Johannes Haller Tulio Halperin-Donghi Halperin-Donchi J.L. Hammond and Barbara Hammond Oscar Handlin Lewis Hanke lohn D. Harereaves John Hargreaves

Harold A. Innis Intellectual History/History of Ideas Intelligence and Espionage

Italy:

Renaissance

Fritz

Italy:

since the Renaissance

Härtung

Iran: since 1500 Ireland

Islamic Nations and Cultures Charles P. Issawi

Louis Hartz

Charles Homer Haskins Karin Hausen Hayashi School F. Heckscher Eli F. G.W.F. Hegel Hegel J.L. Heilbron Louis Henry J.G. Herder

Herodotus

J.H.

Hexter

Raul Hilbere Hilberg

C.L.R. James James Johannes Janssen Janssen Johannes Japan Japan Japanese Chronicles Barbara Jelavich and Charles Jelavich Merrill Jensen Jensen Jewish History James Joll Joli A.H.M. Jones Jones Gareth Stedman Jones Jones Jordan Winthrop D. Jordan

Christopher Hill Andreas Hillgruber Rodney Hilton

Josephus Josephus

Darlene Clark Hine

Ernst H. Kantorowicz

Charles-André Julien

Otto Hintze

N.M. Karamzin

Historical Geography Historical Maps and Atlases Historiologv/Philosophy Historiology/Philosophy of Historical Writing Writing History from Below

Ahmad Kasravi Jacob Katz Jacob A.R Kazhdan A.P. Elie Kedourie

History Workshop E.J. Hobsbawm Marshall G.S. Hodgson Richard Hofstadter S.B. de Holanda W.S. Holdsworth Raphael Holinshed Holocaust Holy Roman Empire Homosexuality

John Keegan Keegan

Morton J. J. Horwitz

Jürgen Kocka

Albert Hourani Michael Howard Olwen H. Hufton Kathleen Hughes Thomas P. Hughes Johan Huizinga Johan Huizinga David Hume Lynn Hunt

Leszek Kołakowski Kotakowski Gabriel Kolko

Ίζζ al-Dīn 'Ίzz al-Dïn Ibn al-Athīr al-Athlr

Ibn Khaldûn Khaldun lieto Reynaldo Clemeña Ileto John Iliffe

Imperial History Halil Inalcik Jndia: India: since 1750 Indian Ocean Region Indigenous Peonies Indigenous Peoples Industrial Revolution

Eckart Kehr

Joan Kelly-Gadol Joan Paul M. Kennedy Kennedy Linda Κ. Kerber Alice Kessler-Harris V.G. Kiernan

Kitabatake Chikafusa V.O. Kliuchevskü Kliuchevskii

David Knowles

Anna Komnene

Kong-zi [Confucius] Claudia Koonz M.F. Köprülü Korea D.D. Kosambi

Reinhart Koselleck Paul Oskar Kristeller Pau! Bruno Krusch

Jürgen Kuczynski Thomas S. Kuhn Witold Kula Labor History Ernest Labrousse

Walter LaFeber Marilyn Lake

Karl Lamprecht David S. Landes Abdaliah Laroui Bartolomé de Las Casas Christopher Lasch Latin America: Colonial Latin America: National (since 1810)

José Antonio Maravall José

Ernest Lavisse

Maruyama Maruyama

Asunción Lavrin

Karl Marx Marxist Interpretation of History History Masculinity Masculinity

Henry Henry Charles Lea W.E.H.

Lecky

Georges Lefebvre Legal History Leisure

loachim Joachim

Lelewel Miguel León-Portilla Le Quy Don Gerda Lerner Emmanuel Le Roy Ladurie William E. Leuchtenburg Leuchtenburg Ricardo Levene Lawrence W. Levine Fvariste Evariste Lévi-Provencal Lévi-Provençal Wilhelm Levison

Moshe Lewin Bernard Lewis David Levering Lewis Karl Leyser Ley ser Liang Liang Oichao Qichao Arthur S. Link Literature and History Leon F. Litwack Liu

Livy Local History History Robert S. Lopez Lovejoy Arthur O. Lovejoy Paul E. Lovejoy Low Countries A.R.M. Lower

Alf Lüdtke

Lyons

VOLUME

Marriage Michael R. Marrus Lauro Martines Masan Masao

Tim Mason Henri Ma Maspero spero Louis Massignon Massignon

Albert Mathiez Garrett Mattingly Mattingly J. Mayer Arno J. Arno Mayer

Ali A. Mazrui Media Medicine, History History of Medieval Chronicles Medieval Historical Writing Writing Roy Medvedev August Meier Friedrich Meinecke

Memory Ramón Menéndez Pidal

Mentalities, History of Carolyn Merchant Robert Κ. K. Merton

Metahistory Mexico

Eduard Meyer Jules Michelet

Zhiji

ES.L. F.S.L.

Henrik Marczali Maritime History Shula Marks

2

Middle East: Medieval Migration

Military History Pavel Miliukov Perry Perry Miller Susanne Miller S.F.C. Milsom Mito School Bartolomé Mitre Arnaldo Momigliano Hans Mommsen

Ma Huan

Jean Mabillon C.A. Macartney C.A. Macartney Thomas Babington Macaulav Babington Macaulay Ernst Mach

Niccolò Machiavelli Denis Mack Smith Marshall McLuhan William William H. McNeill Alfred Thayer Thayer Mahan F.W. Maitland Malay Annals lames C. Malin James Giovanni Domenico Mansi

Alessandro Manzoni

Theodor Mommsen Wolfgang J.I. Mommsen Mongoi Mongol Empire Montesquieu Montesquieu David Montgomery Montgomery

Moody Jr. Barrington Moore, Jr. Harrington Manuel Moreno Fraginals Edmund S. Morgan

T.W.

Samuel Eliot Morison W.L. Morton

George L. Mosse John Lothrop Motley Roland Mousnier Lewis Mumford

L.A. Muratori

S.F. Platonov

Musicology

T.F.T. Plucknett J.H. Plumb J.H.

Mustafa Naima

Plutarch

Naitö Torajirō Naitō Torajirö

J.G.A. Pocock

Lewis Namier

Poland: to the 18th i8th Century Century Poland: since the 18th i8th Century Karl Polanvi Polanyi Léon Poliakov Political and Constitutional History History

Napoleonic Napoleonic Wars (1800-1815) B. Nash Gary Β. Nationalism Native American

History

Natural Sciences, Sciences, Historical

Polybius Polybius

Naval History

Karl Popper Popular History Popular History Alessandro Portelli

Near East: Ancient

Joseph Needham Joseph Allan Nevins New Zealand B.G. Niebuhr Β.G. Lutz Niethammer Friedrich Nietzsche Niida Noboru Dimitri

Obolensky

Edmundo O'Gorman Bethwell A. Ogot Ogot Roland Oliver Oral History Orderic Vitalis Orientalism Margaret A. Ormsby Fernando Ortiz Herbert Levi Osgood Osgood George Ostrogorsky Otsuka Hisao Otto of Freising Ottoman

Empire

Fernand Ouellet Frank Lawrence Owsley Owsley Mona Ozouf Pacific/Oceanic History History

Elaine Pagels Nell Irvin Painter Frantisek Palacký František Palacky Erwin Panofsky Matthew Paris Geoffrey Parker Geoffrey Francis Parkman Vernon Louis Parrington Parrington

Josef

Pekar Pekař

Paul Pelliot Louis A. Pérez. Jr. Pérez, Jr.

Edward Pessen Nikolaus Pevsner Ulrich Bonnell Phillips Philosophy of History

M.M. Postan

Postcolonialism Postmodernism David M. Potter Eileen Power Caio Prado Junior Júnior Raúl Prebisch Prehistory William H. Prescott Giuliano Procacci Procopius

Prosopography Protestantism Francis Paul Prucha

Michael Psellos

Quantitative Method David Β. B. Quinn Leon Radzinowicz Marc Raeff Terence O. Ranger

Raden Ngabei Ranggawarsita Nur ud-Din ar-Raniri Leonold Leopold von Ranke Fazlallah Rashïd al-Dīn al-Dîn Guillaume-Thomas Raynal Raynal The Reformation The Religion Religion Relgion(s), Comparative History of Renaissance Historical Writing Writing Pierre Renouvin

Rhetoric and History Gerhard Α. Ritter James Harvey James Harvey Robinson David Rock Maxime Rodinson Walter Rodney Rodney

José Honorio Rodrigues Roger of Wendover Roman Empire

Piero Pieri

Rosario Romeo

Franca Pieroni Bortolotti

José José

Ivy Pinchbeck Richard Pipes Pipes

Fritz Rörig Rörig

Henri Pirenne

Luis Romero

Arthur Rosenberg Rosenberg Charles E. Rosenberg

Hans Rosenberg

Carroll Smith-Rosenberg

M.I. Rostovtzeff

Snorri Sturluson

W.W. Rostow

Albert Soboul Social History Sociology and History History S.M. Solov'ev South Africa Southeast Asia R.W. Southern Spain: Islamic

Joseph Rothschild Joseph Sheila Rowbotham George Rudé Steven Runciman

Conrad Russell Russia: Medieval Modem (1462-1689) Russia: Early Modern Modem (since 1690) Russia: Modern Russia: Russian Revolution Edward W. Said Sallust Gaetano Salvemini Raphael Samuel Claudio Sánchez-Albornoz Gaetano de Sanctis Paolo Sarpi George Sarton Carl O. Sauer Cari Friedrich Karl von Savigny Saxo Grammaticus Simon Schama Theodor Schieder Jr. Arthur M. Schlesinger, Jr. August Ludwig von Schlözer Franz Schnabel Carl E. Schorske Percy Ernst Schramm Science, History of James R. Scobie James Scotland

Spain:

to 1450

Spain: Imperial Spain: Modern (since 1808) Jonathan D. Spence Jonathan Oswald Spengler Sport, History History of Sport, Paolo Spriano Paolo Julia Cherry Spruill Heinrich von Srbik Kenneth M. Stampp The State Leiten Stavros Stavrianos

Stanley J. J.

Stein

F.M. Stenton Lawrence Stone

Anne Firor Scott

William Stubbs Subaltern Studies Karl Sudhoff Suetonius Peter F. Sugar Sugar Sweden Switzerland Heinrich von Sybel Ronald Syme Gyula Szekfű

James C. Scott James Joan Wallach Scott

Tacitus

R.W. Scribner Históriáé Aueustae Scriptores Augustae Scriptores Historiae

J.R. Seeley Maurice Seguin Séguin Charles Charles Seignobos John Selden Seiden John Ellen Churchill Semple Hugh Seton-Watson R.W. Seton-Watson

Sexuality Shieeno Yasutsueu Shigeno Yasutsugu Shiratori Kurakichi Henry E. Sigerist Sigerist Sima Guang Guang Sima Qian Francois François Simiand A.W.B.

Simpson

Ronald Takaki Frank Tannenbaum R.H. Tawnev Tawney

A.J.P. Taylor Technology Technology Owsei Temkin Romila Thapar Thapar Theatre Aueustin Augustin Thierry Thietmar,bishop Thietmar, bishop of Merseburg Joan Thirsk Hugh Hugh Thomas Keith Thomas E.P. Ε.Ρ. Thompson F.M.L. Thompson Leonard Thompson Thompson Thorne Samuel E. Thorne

Keith Sinclair

Thuydides Thucydides

Quentin Skinner Slavery: Ancient Slavery: Modem Slavery: Modern Henry Nash Smith Merrirt Roe Smith Merritt

Charles Charles Tilly Tilly Louise A. Tilly Alexis de Alexis de Tocqueville Tocqueville Tsvetan Todorov Tsvetan Arnold J. J. Toynbee

Heinrich von Treitschke G.M. G.M. Trevelvan Trevelyan

Max Weber

Hugh Trevor-Roper Hugh Trevor-Roper

Alfred Vagts

Hans-Ulrich Wehler Julius Wellhausen Julius William Whewell Whig History Whig Interpretation Interpretation of History Hayden V. White White, Jr. Jr. Lynn White, Widukind of Corvey Robert H. Wiebe Ulrich von Wilämovitz-Möllertdorff Wilamovitz-Möllendorff William of Malmesbury Malmesbury William of Tyre Tyre Eric Williams Raymond Williams William Appleman Williams Charles H. Wilson J.J. Winckelmann J.J. Women's History: History: Africa Women's History: History: African American

Jan Jan

Women's History: History: Asia

Bruce G.

Trigger

Ernst Troeltsch

Frederick Jackson Jackson Turner Victor Turner

Berthold L. Ullman Walter Ullmann Ulimann Laurel Thatcher Ulrich United States: Colonial United States: American Revolution United States: 19th Century United States: 20th Century United States: Historical Writing, 20th Century Universal History History Urban History

Vansina

C.V.

Wedgwood

Francisco Adolfo de Varnhagen Varnhagen

Women's History; History: Australia and New Zealand

A.A. Vasiliev

Women's History: History: Europe Europe

Vellerns Paterculus

Women's

Franco Venturi

Women's History: Latin America Women's History: North America

Polydore Vergil George Vernadsky Jean-Pierre Vernant Giambattista Vico Vietnam Vietnamese Chronicles

Giovanni Villani Pasquale Viliari Paul Vinogradoff Vinogradoff Voltaire Michel Vovelle

History: India

G.A. Wood Gordon S. Wood Carter G. Woodson C. Vann Woodward World History World War I World War II Donald Worster E.A.

Wrigley

Xenophon Georg Judith

Waitz

R. Walkowitz Immanuel Wallerstein Wang Fuzhi Alan Watson

Muhammad Yamin

W. Montgomery Watt Beatrice Webb and Sidney Webb

Jurji Zaydän Zaydān Jurjï

Eugen Weber Hermann Weber

Frances A. Yates P.A. Zaionchkovskii

Theodore Zeldin Xuecheng Zhang Xuecheng Howard Zinn

THEMATIC LIST Entries

by Category

Regions

and

Periods

Africa

4) 5)

Ancient World

France

6) Germany 7) Ireland

Asia

1) China 2) India

3) Japan and Korea 4) Middle East 5) Southeast Asia and Australasia Byzantium Europe 1) Medieval 2) Early Modern and Modern 3) Britain

Eastern and Central

8) Italy 9) Low Countries 10) Russia and Central Asia 11) Scandinavia 12.) Spain and Portugal North and South America 1) Canada 2) Latin America 3) United States

Topics

Economic History Intellectual History

Military History Periods, Themes, Branches of History Political History Religion Science, Medicine, Technology, and Ecology Social History

Jewish History Legal History

Theories and Theorists Women's and Gender History

Art

History

Cultural History

Demographic History Diplomatic History

Regions

and

Periods

Africa Afigbo, A.E. Africa entries African Diaspora Ajayi, Jacob F. Ade Ayandele, Emmanuel Ayankami Bernal, Martin Boahen, A. Adu Coquery-Vidrovitch, Catherine Davidson, Basil Diop, Cheikh Anta

Egypt: since the 7th Century Feierman, Steven Gallagher, John Gsell, Stéphane Hargreaves, John D. Iliffe, John Julien, Charles-André Laroui, Abdallah Lovejoy, Paul E. Marks, Shula

CE

Mazrui, Ali Α. Ogot, Bethwell Α. Oliver, Roland Ranger, Terence O, Rodney, Walter South Africa

Thompson, Leonard Vansina, Jan

Ancient World Ammianus Marceilinus Bauer, Walter Beloch, Karl Julius Bernal, Martin

Breasted, James Henry Brown, Peter Caesar, Julius Cassiodorus Cassius Dio Daube, David Diodorus Siculus Dionysius of Halicarnassus

Finley, M.I. Fustel de Coulanges, Gibbon, Edward

Sallust

Greece: Ancient Herodotus Jones, A.H.M.

Sanctis, Gaetano de Scriptores Históriáé Augustae Suetonius Syme, Ronald Tacitus

Josephus Livy Meyer, Eduard Momigliano, Arnaldo Mommsen, Theodor

Droysen, J.G. Egypt: Ancient

Near East: Ancient Niebuhr, B.G. Plutarch

Eusebius of Caesarea

Polybius

Asia Ban Gu Chen Yinke China entries China: Historical Writing entries Eberhard, Wolfram Fairbank, John K, Gu Jiegang

Roman Empire Rostovtzeff, M.I.

Numa

:

Thucydides Vellerns Paterculus

Vernant, Jean-Pierre Watson, Alan Wilamowitz-Möllendorff, Ulrich Xenophon

1)

China Needham, Joseph Pelliot, Paul Sima Guang Sima Qian Spence, Jonathan Wang Fuzhi Zhang Xuecheng

Kong-zi Liang Qichao Liu Zhiji Ma Huan

Maspero, Henri Mongol Empire Naitô Torajirô

D.

Asia: 2) India

Birūnī, Abū Rayhān alChaudhuri, K.N. Dutt, R.C.

Eaton, Richard Maxwell Gopal, Sarvepalli Guha, Ranajit

Asia:

3) Japan and

Arai Hakuseki Boxer, C.R. Gunki monogatari Hayashi School

Japanese Chronicles

Japan

Mito School

Kitabatake Chikafusa Korea

Maruyama

Masa o

India; since 1750 Kosambi, D.D.

Thapar,

Romila

Korea Niida Noboru Otsuka Hisao

Shigeno Yasutsugu Shiratori Kurakichi

von

Asia: 4) Middle East Bartol'd, Vasilii Vladimirovich Browne, Edward G. Byzantium Cahen, Claude Eberhard, Wolfram Hodgson, Marshall G.S Hourani, Albert Ibn ai-Athïr, Ίzz al-Dīn Ibn Khaldūn

Inalale, Halil

Naima, Mustafa

Iran:: since 1500 Issawi, Charles P. Kasravi, Ahmad Kedourie, Elie Köprūlū, M.F. Lewis, Bernard Massignon, Louis Middle East: Medieval

Near Hast: Ancient

Ottoman Empire Rashïd al-Dīn, Faziallah Rodinson, Maxime Said, Edward

Watt, W. Montgomery Zaydān, Jurjī

Asia: 5) Southeast Asia and Australasia Ali Haji, Raja Anderson, Benedict Australia Babad Beaglehole, John C. Bean, C.E.W.

Blainey, Geoffrey Bugis and Makasar Chronicles Clark, Manning

Dening, Greg Furnivall, J.S. Grimshaw, Patricia lieto, Reynaldo Clemeña Indian Ocean Region Lake, Marilyn Le Quy Don Malay Annals New Zealand

Pacific/Oceanic History Ranggawarsita, Raden Ngabei Raniri, Nur ud-Din arScott, James C. Southeast Asia Vietnam Vietnamese Chronicles Wood, G.A. Yamin, Muhammad

Byzantium Kazhdan, A.P. Komnene, Anna Obolensky, Dimitri Ostrogorsky, George

Brown, Peter Bury, J.B. Byzantium Cameron, Averil

Europe: Anglo-Saxon Chronicle Annales regni Francorum Barraclough, Geoffrey Bede

Bloch, Marc Rolland, Jean Burns, Robert Ignatius Byzantium Cam, Helen Camden, William Castro, Americo Cheney, C.R. Crusades

Delisle, Leopold Duby, Georges Einhard

Froissart, Jean Ganshof, F.L. Giesebrecht, Wilhelm Gilson, Etienne Gregory of Tours Guichard, Pierre Gurevich, Aron

von

Procopius Psellos, Michael Runciman, Steven Vasiliev, A.A.

1)

Medieval

Haller, Johannes Haskins, Charles Homer Hilton, Rodney Holy Roman Empire Hughes, Kathleen Huizinga, Johan Janssen, Johannes Kantorowicz, Ernst H. Knowles, David Krusch, Bruno Lea, Henry Charles Lévi-Provençal, Evariste Levison, Wilhelm Leyser, Karl Lopez, Roberto S. Mabilion, Jean Maitland, EW. Medieval Chronicles Medieval Historical Writing Muratori, L.A. Orderic Vitalis Otto of Freising Paris, Matthew

Pirenne, Henri Postan, M.M. Power, Eileen Roger of Wendover Rörig, Fritz Salvemini, Gaetano Savigny, Friedrich Karl Saxo Grammaticus

Schramm, Percy Ernst Snorri Sturluson Southern, R.W. Switzerland Thietmar Thorne, Samuel E. Ullmann, Walter

Vernadsky, George Villani, Giovanni Waitz, Georg White, Lynn, Jr. Widukind of Corvey William of Malmesbury William of Tyre

von

Europe: 2) Early Modern and Modern Blum, Jerome Boxer, C.R. Braudel, Fernand Brenner, Robert Broué, Pierre Burckhardt, Jacob Burke, Peter Carr, E.H. Chartier, Roger Cipolla, Carlo M. Darnton, Robert Davies, Norman

Davies, R.W. Davis, Natalie Zemon Delbrück, Hans Delumeau, Jean Deutscher, Isaac de Vries, Jan Dickens, A.G. Elliott, J.H. Enlightenment Historical Writing Europe: Modern

European Expansion Froude, J.A. Fruin, Robert Gallagher, John Gay, Peter Geyl, Pieter Gilbert, Felix Ginzburg, Carlo Giovio, Paolo Greece: Modern Guicciardini, Francesco

Hobsbawm, E.J. Howard, Michael Hufton, Olwen H. Hunt, Lynn Joll, James Kelly-Gadol, Joan Kennedy, Paul M. Kristeller, Paul Oskar Machiavelli, Niccolò McNeill, William H. Mahan, Alfred Thayer

Marrus, Michael R. Mattingly, Garrett Mayer, Arno J. Mosse, George L. Motley, John Lothrop Parker, Geoffrey Guillaume-Thomas Renaissance Historical Writing

Raynal,

Robinson, James Harvey Rostow, W.W. Schama, Simon Schorske, Carl E. Scott, Joan Wallach Scribner, R.W. Switzerland

Thorne, Samuel E. Ullman, Berthold L. Venturi, Franco Vergil, Polydore Walierstein, Immanuel Wedgwood, C.V. Yates, Frances A.

Europe: 3) Britain Acton, Lord Anderson, Perry Anglo-Saxon Chronicle Bede

Briggs, Asa Britain entries British Empire

Buckle, Henry Thomas Butterfield, Herbert Cam, Helen Camden, William Carlyle, Thomas Carr, E.H. Chadwick, Owen Cheney, C.R. Clapham, J.H. Clark, Alice Cole, G.D.H. Davidoff, Leonore Dickens, A.C. Dyos, H.J. Elton, G.R.

Engels,

Friedrich

Foxe, John Froude, J.A. Gallagher, John Gardiner, Samuel Rawson Habakkuk, H.J.

Halévy, Elie Hammond, J.L. and Barbara Hexter, J.H. Hill, Christopher Hilton, Rodney Hobsbawm, E.J. Holdsworth, W.S. Holinshed, Raphael Howard, Michael Hughes, Kathleen Hume, David Jones, Gareth Stedman Knowles, David Landes, David Macaulay, Thomas Babington Maitland, F.W. Milsom, S.F.C. Namier, Lewis Paris, Matthew Pinchbeck, Ivy Plucknett, T.F.T. Plumb, J.H. Pocock, J.G.A. Radzinowicz, Leon Roger of Wendover Rostow, W.W. Rowbotham, Sheila Russell, Conrad

Samuel, Raphael Scotland

Seeley, J.R, Seiden, John Skinner, Quentin Southern, R.W. Stenton, F.M. Stone, Lawrence Stubbs, William Tawney, R.H. Taylor, A.J.R Thirsk, Joan Thomas, Keith Thompson, E.R

Thompson,

F.M.L.

Thome, Samuel E. Trevelyan, G.M. Trevor-Roper, Hugh Vergil, Polydore Walkowitz, Judith R. Webb, Beatrice and Sidney Wedgwood, C.V. William of Malmesbury Williams, Raymond Wilson, Charles H. Wrigley, E.A.

Europe: 4) Austro-Hungarian Empire The Balkans Barkan, Ömer Lütfi

Blum, Jerome Brunner, Otto Central Europe Davies, Norman East Central Europe Fügedi, Erik

Eastern and Central

Halecki, Oskar Jelavich, Barbara and Charles Kołakowski, Leszek Kula, Witold Lelewel, Joachim Macartney, C.A. Marczali, Henrik Palacky, Frantisěk Pekar, Josef

Europe: 5) Annales regni Francorum Ariès, Philippe Bloch, Marc Bodin, Jean Chartier, Roger Cobb, Richard Cobban, Alfred Corbin, Alain Darnton, Robert Davis, Natalie Zemon Delisle, Leopold Delumeau, Jean Duby, Georges Einhard

Febvre, Lucien Foucault, Michel France entries

Poland entries Polanyi, Karl

Rothschild, Joseph Seton-Watson, Hugh Seton-Watson, R.W. Srbik, Heinrich von Stavrianos, Leiten Stavros Sugar, Peter F. Szekfű, Gyula

France

Froissart, Jean Furet, Francois Fustel de Coulanges, Numa Gilson, Etienne Godechot, Jacques Léon Gregory of Tours Guizot, François Henry, Louis Hufton, Olwen H. Hunt, Lynn Labrousse, Ernest Lavisse, Ernest Lefebvre, Georges Le Roy Ladurie, Emmanuel Marrus, Michael R. Mathiez, Albert Michelet, Jules

Mousnier, Roland Ozouf, Mona Renouvin, Pierre Rudé, George Scott, Joan Wallach Seignobos, Charles Simiand, François Soboul, Albert Thierry, Augustin Tilly, Charles Tilly, Louise A. Tocqueville, Alexis de Voltaire

Vovelle, Michel Weber, Eugen Zeldin, Theodore

Europe: 6) Germany Barraciough, Geoffrey Bock, Gisela Bracher, Karl Dietrich Broszat, Martin Conze, Werner Delbrück, Hans

Dopsch,

Alfons

Droysen

,

J.G.

Friedrich Ennen, Edith Fischer, Fritz Gall, Lothar

Engels,

Gatterer, Johann Christoph Germany entries Giesebrecht, Wilhelm von Haller, Johannes Härtung, Fritz Hausen, Karin Hillgruber, Andreas

Hintze, Otto Janssen, Johannes Joli, James Kehr, Eckart Kocka, Jürgen Koonz, Claudia Koselleck, Reinhart Krusch, Bruno Kuczynski, Jürgen Lamprecht, Karl Levison, Wilhelm Lüdtke, Alf Mason, Tim Meinecke, Friedrich Miller, Susanne Mommsen, Hans Mommsen, Wolfgang J. Mosse, George L. Niethammer, Lutz

Otto of

Freising Ranke, Leopold von Ritter, Gerhard A. Rörig, Fritz Rosenberg, Arthur Rosenberg, Hans Schieder, Theodor Schnabel, Franz Schramm, Percy Ernst Scribner, R.W. Sudhoff, Karl

Sybel, Heinrich von Thietmar Treitschke, Heinrich Vagts, Alfred Waitz, Georg Weber, Hermann Wehler, Hans-Ulrich Widukind of Corvey

von

Europe: 7) Ireland Froude, J.Α. Green, Alice Stopford

Lyons, F.S.L. Moody, T.W.

Ireland

Lecky, W.E.H.

Europe: 8) Italy Baron, Hans Cantimori, Delio Chabod, Federico Cipolla, Carlo M. Croce, Benedetto De Felice, Renzo De Sanctis, Francesco Garin, Eugenio Giannone, Pietro Gilbert, Felix Ginzburg, Carlo

Giovio, Paolo Gramsci, Antonio Guicciardini, Francesco Italy entries Kelly-Gadol, Joan Machiavelli, Niccolò Mack Smith, Denis Manzoni, Alessandro Martines, Lauro Momigliano, Arnaldo Pieri, Piero

Europe: 9) de Vries, Jan Fruin, Robert Geyl, Pieter

Central Asia Davies, R.W. Deutscher, Isaac

Karamzin,

N.M.

Low Countries

Pirenne, Henri Schama, Simon

Motley, John Lothrop Parker, Geoffrey

10)

Russia and Central Asia

Kliuchevskii, V.O. Lewin, Moshe Medvedev, Roy Miliukov, Pavel Pipes, Richard Platoriov, S.F. Poliakov, Léon

Europe: Gurevich, Aron Heckscher, Eli F.

Villani, Giovanni Villari, Pasquale

Low Countries

Europe: Bartol'd, Vasilii Vladimirovich Blum, Jerome Carr, E.H.

Pieroni Bortolotti, Franca Portelli, Alessandro Procacci, Giuliano Renaissance Historical Writing Romeo, Rosario Salvemini, Gaetano Sarpi, Paolo Spriano, Paolo Ullman, Berthold L.

Raeff,

Marc

Russia entries

Solov'ev, Sergei Vasiliev, A.A. Vernadsky, George Vinogradoff, Paul Zaionchkovskii, P.A.

11)

Scandinavia

Saxo Grammaticus Snorri Sturi uson

Sweden

Europe: 12) Spain and Portugal Boxer, C.R. Braudel, Fernand Burns, Robert Ignatius Carr, Raymond Domínguez Ortiz, Antonio

Elliott, J.H. Guichard, Pierre Lea, Henry Charles Lévi-Provençal, Evariste Maravall, José Antonio

North and South America: Canada

Creighton, Donald Grant Eccles, W.J. Frégault, Guy

Groulx, Lionel Innis, Harold A, Lower, A.R.M. Morton, W.L.

Menéndez Pidal, Ramón

Parker, Geoffrey Sánchez-Albornoz, Claudio Spain entries Thomas, Hugh

1)

Canada Ormsby, Margaret A. Oueilet, Fernand Séguin, Maurice Trigger, Bruce G.

North and South America: Argentina Basadre, Jorge Bolton, Herbert E. Borah, Woodrow Boxer, C.R. Brazil

Castro, Americo Central America

Chevalier, François Cosío Villegas, Daniel Cuba Díaz del

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CHRONOLOGICAL LIST OF HISTORIANS

551-479 Ben

Kong-zi [Confucius]

1276-1348

Giovanni Villani

c.484-after

Herodotus

i¿93-i354

Thucydides Xenophon Polybius Sima Qian

1332-1406

Kitabatake Chikafusa Ibn Khaldûn

424 bce

C.460/455-C.399

bce

bce

C.428-C.354

C.ZOO-C.I18 bce

C.145-C.87 C. [

bce

Diodorus Siculus

O4-C. IO bce

Caesar

c.ï337_aiter ^•1413-33

I4°4

Jean

Froissart

Ma Huan

1469-1527

Niccolò Machiavelli

i470(?)-i 555(?) 1474-1566

Polydore Vergil Bartolomé de Las Casas

IOO-44 bce

Julius

86-35

Sallust

1483-1540

Francesco Guicciardini

Dionysius of Halicarnassus Livy

C.1486-1552 c.1492-1584 1516-1587 1529/30-1596 1539-1616 1551-1623

Paolo Giovio Bernal Diaz del Castillo

BCE

c.6o-after 7

bce

59 bce-c.17 CE

c.20/19 bce-after c.

3 2-9 2

CE

37/8-C.94

30 CE Velleius Paterculus Ban Gu

50-after 120 c. 56-after ri8 CE C.70-C.140 CE C.I

Josephus

CE

before

50-235 CE

C.265-339

CE

C.33O-C.395 CE

C.487-C.585

c.500-after

542

538/9-594/5 661-721

CE

Plutarch

Procopius Gregory of Tours Liu Zhiji

1019-1086

Sima

1075-1142/3 1083-C.1153/4

Orderic Vitalis

c-925-after

973

973-C.1050

975-1018

C.1090-C.1143

C.1114-1158 C.1130-1186 ιr6o-i233

1178/9-1241 fl.i 185-1208 C.1200-C.1259 d. 1236

1247-1318

1676-1748

Pietro Giannone

1689-1755 1692-1769

Montesquieu

1694-1778 1711-1776 1713-1796 1717-1768 C.1726-C.1784

Voltaire David Hume Guillaume-Thomas Raynal J.J. Winckelmann

fl. 15 60-80

1018-after 1081

672/3-73 5 c.770-840

d. 1658 1668-1744 1672-1750

1552-1623

Suetonius

Bede Einhard Widukind of Corvey Abu Rayhän al-Blrûnî Thietmar, bishop of Merseburg Michael Psellos

c.

Garcilaso de la Vega William Camden Paolo Sarpi Raphael Holinshed John Seiden Jean Bolland Wang Fuzhi Jean Mabillon Mustafa Naima Arai Hakuseki Nur ud-Din ar-Raniri Giambattista Vico L.A. Muratori

Tacitus

Cassius Dio Eusebius of Caesarea Ammianus Marcellinus Cassiodorus

Guang

Anna Komnene

William of Malmesbury Otto of Freising William of Tyre Ίζζ al-Dïn Ibn al-Athlr Snorri Sturluson Saxo Grammaticus Matthew Paris Roger of Wendover Fazlallah Rashîd al-Dïn

John Foxe Jean Bodin

1584-1654

1596-1665 1619-1692 1632-1707

1655-1716 1657-1725

Giovanni Domenico Mansi

1735-1809

Quy Don Johann Christoph Gatterer August Ludwig von Schlözer

1737-1794

Edward Gibbon

1738-1801 1744-1803

Zhang Xuecheng J.G. Herder

1766-1826

N.M. Karamzin

1770-1831 1776-1831

G.W.F.

1729-1799

Le

Hegel

B.G. Niebuhr

Friedrich Karl von Savigny Alessandro Manzoni Joachim Lelewel

1779- 861

i785- 873 1786- 861 1787- 874

François

Guizot

i853- 938 ι854- 929 1854- 942 1854- 925

1855-

I795~ 886

William Whewell Thomas Carlyle Leopold von Ranke

1795- 856

Augustin Thierry

17 96- 859

William H. Prescott

18561856-

1798- 857 1798- 874

Auguste Comte Jules Michelet

Ï857" 922 1857- 94 0

179 δ- 876 ι 800- 891

Frantisek Palacky George Bancroft Thomas Babington Macaulay Raden Ngabei Ranggawarsita Alexis de Tocqueville

185818591859-

J.G. Droysen Raja Ali Haji Georg Waitz

1861- 927 1861- 916

X794- 866 Ϊ795- 881

ι8οο- 859 1802- 873

1805- 859 1808- 884 c. 1809 è Η 00

1813-

886

1814- 889 1814- 877 I8I6- 878 1817- 883 1817- 891 1817- 903 1817- 895 I8I8- 897 I8I8- 894 I8I8- 883 1820-

Wilhelm

von

Giesebrecht

Henri Pirenne

Charles McLean Andrews James Harvey Robinson Ellen Churchill Semple Stéphane Gsell Max Weber James Henry Breasted Johannes Haller Shiratori Kurakichi Ernst Troeltsch G.A. Wood Benedetto Croce

?

1833-

9ΙΙ

1834-

9O2

Lord Acton

1834- 895

J.R. Seeley

1834- 896 1838- 918 1838- 903 1838- 916

Heinrich von Treitschke Henry Adams

?

914

184118421844-

911 922 900

1844- 918 1847- 929

1848ι8481848-

929

W.E.H.

Lecky

Ernst Mach Alfred Thayer Mahan V.O. Kliuchevskii Ernest Lavisse Friedrich Nietzsche Julius Wellhausen Alice Stopford Green Hans Delbrück

909

R.C. Dutt

931

Ulrich von Wilamovitz-Möllendorff F.W. Maitland

1850- 906

Otto Hintze

Frederick Jackson Turner

1862- 935

Johannes Janssen Numa Fustel de Coulanges Wilhelm Dilthey

Η 00

Pierre Duhem

1863- 943 1863- 936 1863- 932 1864- 93^ 1864- 920 1865- 935 1865- 947

89Ι 889

Η 00

1861- 940 1861- 932

J.B. Bury

John

Samuel Rawson Gardiner

1826- 9ΙΟ

1860- 941 1860- 933

1862- 945 1862- 954

9O2

1825- 9ΟΙ

943 947

Francesco De Sanctis

Shigeno Yasutsugu

1823- 899 1823- 893 1825- 909

943

Jurjï Zaydän

9ΙΟ

1821- 906

940

1861- 9T4 1862- 926

9Ι7

895

91S

John Lothrop Motley Francisco Adolfo de Varnhagen Heinrich Graetz Theodor Mommsen Heinrich von Sybel Jacob Burckhardt J.A. Froude Karl Marx Friedrich Engels S.M. Solov'ev Henry Thomas Buckle Bartolomé Mitre Robert Fruin Francis Parkman Henry Charles Lea William Stubbs Léopold Delisle Pasquale Viliari

1820- 879 1821- 862

1827182718291829-

0

930

1855- 918 1856- 939

Karl Sudhoff Karl Julius Beloch Charles Seignobos Paul Vinogradoff Eduard Meyer Herbert Levi Osgood Sigmund Freud Karl Lamprecht Henrik Marczali William A. Dunning Bruno Krusch Beatrice Webb Pavel Miliukov Sidney Webb Simon Dubnov S.F. Platonov

1865-

942

1865- 923 1865- 928 1866- 952 1866- 934

1867- 953 1868- 953 1868- 963

1869186918701870187018701870187αi87i1871187218721873-

1873187318731873187318731874-

93°

968 953 937 937 937 952

Edward G. Browne R. Commons

Friedrich Meinecke

Naitö

Torajirö

A.A. Vasiliev Alfons Dopsch W.E.B. Du Bois

Vasilii Vladimirovich BartoPd Ramón Menéndez Pidal Herbert E. Bolton Elie Halévy Charles Homer Haskins Josef Pekar M.I. Rostovtzeff

957

Gaetano de Sanctis

944

W.S. Holdsworth

929

Vernon Louis

949 945

Parrington J.L. Hammond Johan Huizinga

945

Carl L. Becker

946

J.H. Clapham

961

Barbara Hammond

929

962

Liang Qichao Arthur O. Lovejoy

957

Gaetano Salvemini

935

François Simiand

948

Charles A. Beard

1874-1945 1874-1934 1874-1959 1874-19321875-1950 1876-1958 1876-1947 1876-1962

Ernst Cassirer

Alice Clark Georges Lefebvre Albert Mathiez Carter G. Woodson Mary Ritter Beard Wilhelm Levison

Trevelyan

G.M.

E.H. Carr

189218921892i893-

982 968 986 980

H 00 ^o

979

Gu Jiegang James C. Malin

1893-

974

Piero Pieri

00 ON rO

974

00 ON m

1

1

Panofsky

Erwin

Alfred Vagts

Pierre Renouvin

Claudio Sánchez-Albornoz Frank Tannenbaum Harold A, Innis

1878-1951

Walter Bauer Ulrich Bonnell Phillips Lucien Febvre J.S. Furnivall Lionel Groulx Paul Pelliot Heinrich von Srbik

1879-1968

C.E.W. Bean

1879-1952

Eli F. Heckscher

984 1893- 969 1894- 952 1894- 956 1894- 970 1895- 989 1895- 980 OO ON 963 1895- 988 1895- 978

1879-1951 1880-1971

R.W. Seton-Watson

1895-

99 0

Lewis Mumford

Lawrence

Oswald Spengler

1880-1967 1880-1962 1881-1969

F.M. Stenton

Ludwig Fleck David Knowles Merle Curti T.F.T. Plucknett

1882-1952

Fritz

1882-1965

Berthold L. Ullman

1883-1967

Fritz

1883-1945

Henri

1896189618971897189818981898189918991899-

961

1880-1936

i877_i96o 1877-1934 1878-1956 1878-1960 1878-1967 1878-1945

1883-1962 1883-1955 1884-1976

1884-1978 1884-1956

R.H.

Henry Gipson

Tawney

Fernando Ortiz

Rörig

Härtung Maspero Louis Massignon Gyula Szekfű Rudolf Bultmann Etienne Gilson

M

1

1

974

996 965 982 976 982 981 986 981

Evariste

Lévi-Provençal Percy Ernst Schramm Salo Wittmayer Baron F.L. Ganshof Ernst H. Kantorowicz Ernest Labrousse C.A.

Macartney

Otto Brunner

Daniel Cosío Villegas Ivy Pinchbeck M.M. Postan

Julia Cherry Spruill Frances A. Yates

I9OO- ON 00 00

Hans Baron

I9OO- 979 I9OO- 987

Herbert Butterfield Gilberto Freyre

I9OO- 980

S.D. Goitein

1885-1968

Helen Cam

I9OO- 962

Garrett

1885-1972 1885-1959

Américo Castro

H NO O ?

Joseph

Ricardo Levene Marc Bloch Karl Polanyi

1901- 971

Pieter

1901-

1886-1944 1886-1964 1887-1966 1887-1976 1887-1966 1887-1973 1888-1960 1888-1967 1889-1959 1889-1943

George

Sarton

Geyl

j

901

-

1901-

995

960 968 989 986 985 998

John

Mattingly Needham

C.

Beaglehole

Federico Cha bod Alfred Cobban C.L.R.

James

1902- 933

Raúl Prebisch Fernand Braudel Henry Steele Commager Donald Grant Creighton Erik H. Erikson S.B. de Holanda Eckart Kehr

1889-1988

A.R.M. Lower

1902- 976

George Ostrogorsky

1889-1940 1889-1943 1889-1975 1889-1975 1890-1988 1890-1946 1890-1966 1890-1971 1890-1956 1890-1969

Eileen Power Arthur Rosenberg Carl O. Sauer

1902- 983

Nikolaus Pevsner Karl Popper

1902-

Owsei Temkin

Arnold J.

Toynbee Angie Debo

1903- 980

Jorge Basadre

1903-

Steven Runciman

Ahmad Kasravi

1903- 989

M.F.

1903- 962

Ronald Syme Muhammad Yamin

Allan Nevins Frank Lawrence Owsley Chen Yinke

1904-

C.R. Boxer

1904- 9 66

Delio Cantimori

1904- 970

1891-1937

Antonio Gramsci

1904-

1891-1973 1891-1989 1891-1957

Oskar Halecki Charles-André Julien

1904- 997

A.H.M. Jones Jacob Katz Jürgen Kuczynski

1904- 9 66

Niida Noboru

1904- 988

Hans

Samuel Eliot Morison Franz Schnabel

1901-

George Vernadsky

1902-

Lewis Namier

1902- 979

Gerhard A. Ritter G.D.H. Cole

1902- 994

Collingwood

R.G.

Köprülü

Henry

E.

Sigerist

1902.-

1902- 982

1902- 994

Rosenberg

1904-1983

P.A. Zaionchkovskii

I9I2-

ΐ9θ5(?)-ΐ9 79

Omer Liitfi Barkan

I9I2—

1905-1991

Felix Gilbert Lewis Hanke Merrill Jensen Paul Oskar Kristeller Perry Miller

1913-1993

R.W. Southern Kenneth M. Stampp Jerome Blum

«913-

V.G. Kiernan

1913-

1913-1987

Barrington Moore, Jr. José Honorio Rodrigues

1913-

Leiten Stavros Stavrianos

I9°5-I993

1905-1980 1905-

1905-1963 1906-1987

1906-1995 19061906-1986 1906-1990 1907-1967 19071907-1991

1907-1989 1907-1966 1907-1984

i9I4_i984

Philippe

Edmundo O'Gorman Leon Radzinowicz Henry Nash Smith

Cheney

1914-

Daniel J. Boorstin François Chevalier Basil Davidson

A.J.P. Taylor

1914-1996 1914-1982

Maruyama

Edith Ennen John K. Fairbank Jacques Léon Godechot D.D. Kosambi

1914-

Hugh Trevor-Roper

T.W.

1915-1991

C.R.

Isaac Deutscher

Moody

19141914-

Franco Venturi

1914-

Jean-Pierre

1914-1991

Charles H. Wilson Manning Clark John Hope Franklin Eric Goldman

1915-

1907-

1907-1987

Lynn White, Jr.

19.15-

1908-1984

Geoffrey Barraclough

1915-1993

19081908-1987

Fritz Fischer

1915-

1907-1996 1907-1990

1915-1989 1915-1985 1915-

Arnaldo Momigliano

19.15-

W.L. Morton

1915-

1916-

1:909-1989

Theodor Schieder C. Vann Woodward Isaiah Berlin Claude Cahen David Daube Antonio Domínguez Ortiz Wolfram Eberhard

1909-

Eugenio

1909-

E.H. Gombrich

1909-1996

Margaret

19091909-1977

David B. Quinn José Luis Romero

1909-

W.

1910-1986

Werner Conze

1910-

A.G. Dickens

1917-

1910-1994

I9I7-

1910-1986

Philip S. Foner J.H. Hexter Robert S. Lopez

1910-

Robert K. Merton

1908-1980 1908-1984 19081909-1997 1909-1991 19091909-

1910-1996

Garin A.

Ormsby

Montgomery

Watt

Masao

Albert Soboul

1914-

Roland Mousnier Otsuka Hisao Caio Prado Junior Samuel E. Thorne

1907-1993

Ariès

1916-1993 19161916-1970 191619161916-1988 1916191619161916-1984 19 6τ

1917-1996 1917-

1917-

Vernant

Mario

Góngora H.J. Habakkuk Oscar Handlin Albert Hourani Susanne Miller Maxime Rodinson Cari E. Schorske Owen Chadwick Erik Fügedi Rodney Hilton Richard Hofstadter Halil Inalcik Charles P. Issawi Witold Kula Bernard Lewis Edmund S. Morgan W.W. Rostow

Hugh

Seton-Watson

Leonard Thompson Richard Cobb W.J. Eccles E.J. Hobsbawm William H. McNeill Arthur M. Schlesinger, Jr. Louis Althusser Alfred D. Chandler, Jr.

1918-1990 19181918-1977 1918-1994 1918-

Guy Frégault James Joli George L. Mosse

1918-

Dimitri

Η σ\ Η οο Τ ON 00

Maurice

1910-1997

Léon Poliakov

1910-1971

1910-1983

David M. Potter George Rudé Walter Ullmann

1910-1997

C.V.

1911-1979

Gino Germani

1919-

1911-1991

Louis

1911-1980 1911-1986

1919-1996 1919-1980

Ι9ΐ9-Ι986

Louis Hartz

Ι9Ι9-

Lawrence Stone

Ι9Ι9-

Peter F.

1912-

Marshall McLuhan José Antonio Maravall J.H. Plumb Eric Williams Woodrow Borah

Séguin Raymond Carr Georges Duby John Gallagher

1920-1985

1912-1986

M.I.

1912-

Christopher

Charles Gibson Gerda Lerner Karl Leyser

1910-1993

1911-

1911-1981

Wedgwood Henry

Finley

Ι920-

Hill

1920-1992.

Obolensky

Sugar

Arthur S. Link Denis Mack Smith Manuel Moreno Fraginals Edward Pessen

Martin Broszat

I92I-

Robert Ignatius Burns Carl N. Degler

1921-1978

H.J. Dyos

19-2.6-1989 192.6192.6-1984 192.6192.6192.61926-1977 1926-1992. 19261926-

I92I-I994

G.R. Elton

1926-

I92I-

Moshe Lewin Francis Paul Prucha

1926-

I92I-

1927-

Fernand Ouellet Giuliano Procacci David Brion Davis

I92I-

Anne Firor Scott

1927-1:997

François

I92I-I990

William

1927-

Leszek Kolakowski

1921-1988

Raymond Williams Bernard Bailyn

1927-

Lauro Martines

1927-

19281928-1985

David Montgomery Natalie Zemon Davis Herbert G. Gutman

1922-

Karl Dietrich Bracher Randolph L. Braham Carlo M. Cipolla

1922-

Philip

1922-

1929-

Bethwell A. Ogot

1929-

Terence O.

1929-1981

James

1923-1985

Pablo González Casanova Ranajit Guha Marshall G.S. Hodgson Michael Howard Charles Jelavich A.P. Kazhdan Thomas S. Kuhn William E. Leuchtenburg Keith Sinclair Joan Thirsk Howard Zinn Jean Delumeau Cheikh Anta Diop

Ι93°-

Pierre Bourdieu

192.3-

Peter

Gay Sarvepalli Gopal

Ι93°-

J.H. Elliott Eugene D. Genovese

1930-

Hans Mommsen

Ι93°-

1923

Thomas P. Hughes Barbara Jelavich Reinhart Koselleck

Wolfgang J. Mommsen Louise A. Tilly

1923-1983

F.S.L.

Ι93°-

1923-

Lyons August Meier

χ93°-

Immanuel Wallerstein Robert H. Wiebe

1923-

S.F.C. Milsom

C.

1930s

Asunción Lavrin

1923-

c.

1930s

Mona Ozouf

1924-

Roland Oliver Richard Pipes Marc Raeff Aron Gurevich

1924-

John

1924-

Ι93Ι_

1924-

David S. Landes J.G.A. Pocock

Greg Dening Jack P. Greene Winthrop D. Jordan

Ι93Ι-

Joseph

Rothschild

1924-1987

Rosario Romeo

Ι93Χ-

A.W.B.

Simpson

I924-I993

E.P.

Ι93Ι~

1925-

R.W. Davies

Ι93Ι_

1925-

Ι93Ι_ Ι93ϊ-

E.A.

1925-

Stanley Elkins Andreas Hillgruber Roy Medvedev

Romila Thapar Hugh Thomas Hans-Ulrich Wehler

1932-

A. Adu Boahen

1925-1985

Franca Pieroni Bortolotti

ϊ932-

Leonore Davidoff

1925-1988

Paolo Spriano

Ι932_

1925-

F.M.L.

1925-

Eugen Weber

1933-

1926-

Pierre Broué

1933-

192.0I92.0192.01920-1992

Stein

192. o-

Stanley J.

1920-1983

Victor Turner

I92I-

Asa

I92I-

192219221922-

1922-

1922-1968 19221922I922-I997

1922-1996 19221922-1993 1922-

19221923-

192319231923-1995

19231923-

1925-1989

Briggs

Appleman

Williams

D. Curtin

D.

Hargreaves

Thompson

Thompson

1928-1982 1928-

Robert William Fogel Michel Foucault Clifford Geertz Tulio Halperín-Donghi Raul Hilberg Kathleen Hughes Elie Kedourie Miguel León-Portilla Arno

J. Mayer

Furet

Joan Kelly-Gadol Hermann Weber V. White

1928-

Hayden

1929-

Jacob

1929-1996

Renzo De Felice

19291929-

Jürgen Habermas Emmanuel Le Roy Ladurie

1929-

Leon F. Litwack

F. Ade

Ajayi

Ranger

R. Scobie

1929-

Charles

1929-

Jan

τ93°-

Geoffrey Blainey

Ι93°-

ΐ93°-

Ι931Í931Ι93Ι_ Ι93Ι_

1932-1994

Tilly

Vansina

Fernando Henrique Cardoso Alfred W. Crosby, Jr.

Wrigley

Gabriel Kolko Lasch Walter La Fe ber Abdallah Laroui

Christopher

Lutz Niethammer

1933-

Lawrence W. Levine

1939-

1933-

1939-

Ronald Takaki

1939-

Tsvetan Todorov

I94°1940-

Averil Cameron Richard Maxwell Eaton

1940-

Steven Feierman

19401940-

Linda Gordon Linda K. Kerber

1934-

Ali A. Mazrui Gary Β. Nash Keith Thomas Michel Vovelle Alan Watson Gordon S. Wood Theodore Zeldin K.N. Chaudhuri J.L. Heilbron

1934-

John Keegan

1934-1996

Raphael

1935-

Peter Brown

1941-

1935-

Catherine Coquery-Vidrovitch Edward W. Said Stephen E. Ambrose Benedict Anderson Emmanuel Ayankami Ayandele Alain Corbin Lothar Gall David Levering Lewis Shula Marks Carolyn Merchant Charles E. Rosenberg

1941-

Alice Kessler-Harris

1-941-

Jürgen Kocka

1933193319331933Γ933I933_ 1934-

1935-

1936193619361936193 6-

1936193619361936193619361936-

James

Samuel

C. Scott

1940-1990

Tim Mason

1940-

Quentin Skinner

1940-

Merritt Roe Smith

c.

1940s

Claudia Koonz

James Axtell

1941-

Michael R. Marrus

1941-

Joan Wallach

1941-1998

R.W. Scribner

1941-

Donald Worster Gisela Bock Gareth Stedman Jones Nell Irvin Painter Alessandro Portelli Walter Rodney Robert Brenner Jan de Vries

1942194219421942-

1942-1980 1943-

Scott

Carroll Smith-Rosenberg

1943-

Jonathan D. Spence A.E. Afigbo

1943-

Eric Foner

1937-

1943-

1937-

Martin Bernal

1943-

1937-

Peter Burke

1943-

1937-

Conrad Russell

1943-

1937Η ON ΓΑ 00

Bruce G.

1943-

Perry Anderson

1943-

1938-

Patricia Grimshaw

1945-

Paul E. Lovejoy Alf Lüdtke Elaine Pagels Geoffrey Parker Louis A. Pérez, Jr. Sheila Rowbotham Roger Chartier

193 8-

Karin Hausen

1945-

1938-

Morton

1945-

193819381939-

Olwen H. Hufton Laurel Thatcher Ulrich Robert Darnton

1945-

1939-

Norman Davies

1945-

1939-

Carlo Ginzburg Pierre Guichard John Iliffe

1946-

I

19391939-

Trigger

J.

Horwitz

19451945-

19471949-

Nancy F. Cott Lynn Hunt Paul M. Kennedy David Rock Simon Schama Judith R. Walkowitz Reynaldo Clemeña lieto Darlene Clark Hine Marilyn Lake

M Ma Huan fl. Chinese

of the expeditions that are to be found nowhere else. From his account alone, for instance, we learn that squadrons were specifically detached from main fleet of each expedition and

1413-33

traveler, interpreter,

and

journalist

dispatched The diarist Ma Huan is remembered chiefly for his participation in one of the greatest but least heralded achievements of the Ming dynasty (1368-1644) the launching of an ambitious series of maritime expeditions between the years 1405 and 1433. The leader of these expeditions was the grand eunuch-admiral Zheng He. Ma Huan became attached to the voyages by imperial decree because of his reputed knowledge of Arabic and Persian languages. He accompanied Zheng He's fleet on three of its seven expeditions across the "Western Ocean" -the fourth, in 1413-15;the sixth, in 1421-22; and the seventh, -

unprecedentedly

in 1431-33.

The most impressive fact about the Ming naval expeditions their astonishing scale. Zheng He's flotillas, each of which had more than 25,000 men, comprised the largest peaceful expeditions ever launched by the Chinese traditional empire. Over the course of the seven voyages, the immense Chinese ships (the largest of which perhaps approached 300 feet in length) landed at all the major territories of the Indian Ocean and even called at the Arabian ports of Hormuz and Jidda as well as at several ports along the northeastern coast of Africa, as far south as modern-day Kenya's Malindi. Immediately upon his return from his first expedition in 1415, Ma Huan arranged the notes of his observations in the form of the book Yingyai shenglan (Ying-yai sheng-lan: The Overall Survey of the Ocean's Shores, 1433, 1970), to which he added much more material from his two subsequent Ma Huan was probably at least 25 years old when he received his first assignment in 1413. Thus, when his book was finally published in 1451, Ma Huan, if still alive, was possibly 80 years old. Ma Huan's is neither the only account of Zheng He's nor even the first. Earlier reports were assembled by his contemporaries Gong Zhen and Fei Xin, both of whom accompanied Ma Huan on the seventh and last expedition. But Ma Huan's account is by far the lengthiest being twice and the most thorough. It provides as long as Fei Xin's information drawn from visits to 21 "countries" under nearly as many separate headings. While his work, like those of his fellow authors, contains many mistakes and distortions, Ma Huan's observations are, by and large, offered in relative and with the least degree of prejudice. We are also indebted to Ma Huan for furnishing us with logistical details

was

expeditions.

expeditions -

-

fairness

on subsidiary voyages to prescribed sites. Through its descriptions of foreign lands like Java, Malacca, the Nicobar, Maldive, and Laccadive islands, Sri Lanka, and the port of Mogadishu in Somalia, Ma Huan's Overall Survey not only affords us information about places and peoples never before visited or commented on by the Chinese but also not yet encountered by European travelers. However, the single most important explanation that is absent from Ma Huan's account (as well as those of all others) is why the expeditions were undertaken in the first place. Religion was clearly a personal impetus for both Zheng He and Ma Huan. As devout Muslims, both men naturally desired to make the meritorious pilgrimage to Mecca, though it is questionable whether either ever which One of the main responsibilities of the fleets was to secure exotic were after all led by "treasure ships" objects, animals, spices, and other curiosities for the personal amusement of the Chinese throne. But it would hardly seem necessary to send missions of such grand size to accomplish this particular task. In short, the most plausible motivation for the expeditions seems to have been quasi-diplomatic and closely

succeeded. -

-

linked to Chinese notions of a hierarchical world order. The mobilization of such huge spectacles of seapower, sent to what were then so many unknown corners of the world, clearly enhanced the prestige of the Ming emperors Yongle (1403-24) and Xuande (1426-35) who were responsible for them. Yongle who authorized the first six missions was especially and though the missions were expressly one aim of such enormous displays of Chinese seapower was no doubt to awe the foreign monarchs visited, commit them to the reciprocal exchange of tribute gifts, and extract from them either real or nominal acknowledgments of the suzerainty of the Chinese emperor. Despite its flaws, the value of Ma Huan's Overall Survey remains incontestable. Its misinformation and occasional flights into fantasy notwithstanding, Ma Huan's Chinese record much reliable, firsthand data on customs and conditions prevailing among the peoples of southern Asia, the Arabian peninsula, and the eastern coastline of Africa some eighty years before the Portuguese observations attributed to Vasco da Gama. The great pity is perhaps that the early investigation of these unknown regions by Chinese explorers did not continue beyond a single generation. The remarkable Ming voyages were because of their expense, their non-productivity, and the -

-

expansionist-minded

nonbelligerent,

supplies

terminated

MA

HUAN

consuming desire of the dominating literati class to undermine any achievements that glorified their perennial eunuch enemies. Thereafter, China's dynastic rulers never again launched ships for the purpose of promoting cultural exploration or interchange. DON J. WYATT

and

some of its principles remain key to the study of medieval paleography to this day. Marc Bloch called the year 1681 "a truly great one in the history of the human mind, for the

criticism of documents of archives definitely established." Mabillon contended that documents be carefully scrutinized merely for specific verbal formulae, Papebroch was

must

not

was

Biography Attached

Zheng He's imperial

to

voyages , 1413 15 ; 1421-22; and -

1431-33·

Principal Writings Yingyai shenglan written 1415-33 published 1451 ; in English as Ying-yai sheng-lan: The Overall Survey of the Ocean's Shores, ,

,

1433 , 1970

as

do, but for general style,

provenance, external etc. He presented a

and internal clues to age, orthography, taxonomy of charters, discussions, and examples of different scripts, materials, formulae, seals, and an entire volume of chronologically arranged documents as exemplars. Papebroch conceded the superiority of Mabillon's scholarship. This modest man was dogged by controversies that had the fortunate effect of eliciting from him distinguished to the development of rigorous and sophisticated methods. When the Trappist reformer Armand de Rancé asserted that study played no essential part in monastic Mabillon replied with his 1691 Traité des études monastiques (Treatise on Monastic Studies) that not only study as a mode of worship but prescribed a curriculum that included study of the documentary and traditional sources of theology as well as sacred and secular history. In another instance, controversy over a spurious relic led to his writing a 1698 dissertation on the cult of unknown saints, which explored the problems of authentication of the lives of saints and their relics. These and other of Mabillon's considerable researches, such as his pioneer works in liturgical history, De liturgia gallica (On the Gallican Liturgy, 1685) and Musaeum Italicum (The Italian Library, 1687-89), and his Annales ordinis sancti Benedicti (Annals of the Benedictine Order), which he began publishing in 1703, were immeasurably improved by the three great journeys he undertook in search of manuscript resources: to Burgundy in 1682.; Germany, Austria, and Switzerland in 1683; and to Italy in 1685-86. On the last of these, financed by the royal purse, he spent 6096 francs purchasing 2192 manuscripts and books to send back to France. Lesser journeys took him at various times to Flanders, Alsace and Lorraine, Tours and Angers, and Champagne and Normandy. As a result, he achieved a breadth and depth of historical knowledge rare in his own, or indeed any, age. Oblivious to his physical surroundings except when hindered his work, indifferent to the monuments of pagan antiquity, Mabillon was unexcelled in his knowledge of the 7th through 12th centuries, though uninformed about earlier and later ages. His contributions to textual criticism were crucial to the development of historical method. JOSEPH M. MCCARTHY

contributions

historical

Further Reading Anderson Mary M. Hidden Power: The Palace Eunuchs of imperial China Buffalo, NY: Prometheus 1990 ,

,

,

,

Levathes , Louise , When China Ruled the Seas: The Treasure Fleet of the Dragon Throne, 1405-1433 , New York : Simon and Schuster , 1994

Mirsky Jeannette ed., The Great Chinese Travelers New York : Pantheon 1964 ; London: Allen and Unwin, 1965 Swanson Bruce Eighth Voyage of the Dragon: A History of China's Quest for Seapower Annapolis, MD : Naval Institute Press 1982 Wolf Ken Personalities and Problems: Interpretive Essays in World Civilizations vol. 1 New York : McGraw-Hill 1994 ,

,

,

,

,

,

,

,

,

wont to

,

,

,

,

Mabillon, Jean

1632-1707

French document collector and critic Soon after his ordination

order, Jean Mabillon

was

the

priesthood in the Benedictine assigned to the order's house at Saintto

Germain-des-Prés which boasted one of the best libraries in Europe, a circle of scholars which included Luc d'Achéry, Charles Du Fresne Du Cange, Thierry Ruinart, and others, as well as weekly gatherings of scholars and connoisseurs the likes of Bossuet and Colbert. Within three years he had completed the project of editing the complete works of Bernard of Clairvaux, an edition he would revise in 1690 and 1701 and which remained the standard until the middle of the 20th century. He also began assisting d'Achéry in a collection of the lives of saints of the Benedictine order for which he wrote brilliant prefaces and critical essays and which was published in nine volumes from 1668 to 1701. Forced to defend the excellent critical apparatus of the early volumes against attacks from within his order, Mabillon wrote a spirited defense of his historical methods and prevailed on his order to vindicate him. This exercise served him in good stead when the Bollandist Daniel Papebroch claimed that the Benedictine charters of St. Denis were not authentic. In response, Mabillon published in 1681 his De re diplomatica (The Science of Diplomatic), which, in elaborating and justifying a sounder set of principles than Papebroch's for determining the date and authenticity of medieval manuscripts and charters, created the discipline of diplomatics and the scientific study of Latin paleography. The book was a text for two centuries

methodological virtually

spirituality, justified

bibliographical

discomfort

See also

Catholicism; Historiology; Knowles

France:

to

1000;

France:

1000-1450;

Biography Born Saint-Pierremont , 23 November 1632 Studied at Reims; master of arts, 1652 Entered the Order of Saint Benedict , 1654 ; ordained a priest, 1660 Assisted in editing the works of Bernard of .

.

.

Clairvaux and in collecting documents relative to saints of his order, organizing the search of manuscript depositories in western Europe. Admitted to the Royal Academy of Inscriptions, 1701 Died SaintGermain-des-Prés, 27 December 1707 .

.

MACARTNEY

With jean Luc d'Achéry, Sancii Bernardi opera omnia (Complete Works of St. Bernard), 1667 ; revised 1690 , 1701 With Thierry Ruinart , Acta sanctorum ordinis sancti Benedicti (Acts of the Benedictine Saints), 9 vols., 1668-1701 Vetera analecta (Collections of Ancient Writings), 4 vols., 1675-78 De re diplomatica (The Science of Diplomatic), 1681 De liturgia gallica (On the Gallican Liturgy), 3 vols., 1685 Itinerarium Burgundicum, Itinerarium Germanicum (The Burgundián Journey, The German Journey), 1685 Musaeum Italicum ( The Italian Library ), 2. vols., 1687 -89 Traité des études monastiques ( Treatise on Monastic Studies ), 1691 Eusebiì Romani ad Theophilum Galium Epistola de Cultu Sanctorum Ignotorum (The Letter of Eusebius the Roman to Theophilus the Gaul Concerning the Unknown Saints), 1698 With R. Massuet and Edmond Martène , Annales ordinis sancti Benedicti (Annals of the Benedictine Order), 6 vols., 1703-39 Ouvrages posthumes de D. Jean Mabillon et D. Thierry Ruinart (Posthumous Works of Mabillon and Ruinart), 3 vols., 1724

Further

Poussielique 1908 ,

Rosenmund , Richard , Die Fortschritte der Diplomatik seit Mabillon ( The Development of Diplomatics since Mabillon ), Munich :

Oldenbourg 1897 ,

Ruinart , Thierry, Abrégé de la vie de dom Jean Mabillon, prêtre et religieux bénédictin de la congrégation de Saint-Maur ( Summary of the Life of Jean Mabillon, Priest and Benedictine Monk of the Congregation of Saint-Maur ), Paris : Muguet et Robustel , 1709 Valery, M. , Correspondance inédite de Mabillon et Montfaucon avec l'Italie ( Unpublished Correspondence of Mabillon and Montfaucon with Italy ), 3 vols., Paris : Labitte , 1846-47

Macartney,

Reading

"

Aris , Rutherford ,

"

Mabillon ," in Dictionnaire d'archéologie , , chrétienne et de liturgie , Paris : Letouzey, 1907-53 Leclercq , Henri , Mabillon , 2 vols., Paris : Letouzey et Ané , 1954-57 Mélanges et documents publiés à l'occasion du deuxième centenaire de la mort de Mabillon ( Miscellanies and Documents Published on the Second Centenary of Mabillon's Death ), Paris : Veuve

Leclercq Henri

Principal Writings

Jean Mabillon (1632-1707) ," in Helen Damico and Joseph B. Zavedil eds., Medieval Scholarship: Biographical Studies in the Formation of a Discipline New York : Garland

C.A. 1895-1978

British historian of Eastern

Europe

,

,

,

1995

Barrett-Kriegel Blandine Jean Mabillon Paris : Presses Universitaires ,

,

,

de France , 1988 Bauckner, Α. , Mabillons Reise durch Bayern im Jahre 1683 ( Mabillon's Journey Through Bavaria in 1683 ), Munich : Wild , 1910

Baumer, Suitbert , Johannes Mabillon: ein Lebens- und Literaturbild aus dem XVII. und XVIII. Jahrhundert (Jean Mabillon: A Biographical and Literary Portrait from the 17th and 18th Centuries ), Augsburg : Seitz, 1892 Bergkamp , Joseph U. , Dom Jean Mabillon and the Benedictine Historical School of Saint-Maur , Washington, DC : Catholic University of America Press , 1928 Besse , Jean Martial Léon , Les Etudes ecclésiastiques d'après la méthode de Mabillon ( Ecclesiastical Studies According to Mabillon's Method ), Paris : Bloud et Barral, 1900 Broglie , Emmanuel de , Mabillon et la société de l'abbaye de SaintCermain-des-Prés à la fin du dix-septième siècle 1664-1707 ( Mabillon and the Community of the Abbey of Saint-Germaindes-Prés at the End of the 17th Century, 1664-1707 ), 2 vols., Paris : Plon , 1888 Denis , Paul , Trois dissertations de Dom Mabillon (Three Essays on Mabillon ), Vienne : Aubin , 1909 Denis , Paul , Dom Mabillon et sa méthode historique ( Dom Mabillon and His Historical Method ), Paris : Jouve , 1910 Deries , Léon , Un moine et un savant: Dom Jean Mabillon, religieux bénédictin de la Congrégation de Saint-Maur (1632-1707) ( A Monk and a Scholar: Dom Jean Mabillon, Monk of the Congregation of Saint-Maur ), Vienne : Abbaye Saint-Martin , 1932 Didiot , Henri , La Querelle de Mabillon et de l'Abbé de Rancé (The Dispute of Mabillon and the Abbé de Rancé ), Amiens : Rousseau.

Leroy 1892 ,

Heer Gall , Johannes Mabillon und die schweizer Benediktiner (Jean Mabillon and the Swiss Benedictines ), St. Gallen : ,

Leobuchhandlung 1938 ,

Jadart Henri Dom Jean Mabillon (1632-1707): étude suivie des documents inédits sur sa vie, ses oeuvres, sa mémoire ( Dom Jean Mabillon: A Study of His Life, His Works, and His Memory, Based on Some Unpublished Documents ), Reims : Deligne et Renart 1879 Knowles David Jean Mabillon ," in his The Historian and Character Cambridge : Cambridge University Press 1963 Knowles David The Maurists ," in his Great Historical Enterprises London and New York : Nelson 1963 ,

,

,

"

,

,

,

,

"

,

,

,

,

For

most

of the 20th century C.A. Macartney

was

the

historian of the Danube region when principal the western

at a

time

region was being racked with change. His interests ranged from the early medieval period to the Habsburg empire, and culminated in his engagement with the reshaping of Central and Eastern Europe in the post-Habsburg period. Macartney's interest sprang from his experiences during World War I, when he volunteered for service in the army and rejected a at Trinity College, Cambridge, from which he had recently received his degree. After the war his credentials resulted in his posting to Vienna as vice-consul, then to the League of Nations in Geneva. He began to write on the region before returning to academic life in 1936 as a research fellow at Oxford University. His expertise was also used by the Foreign Office during World War II. Macartney's first book, The Social Revolution in Austria (1926), dealt with conditions in postwar Austria, and drew upon his considerable knowledge of the country. His next work, The Magyars in the Ninth Century (1930), focused its attention on the problem of the Magyars' migration in this crucial period of their history, using as its basis an analysis of Greek and Arabic sources in order to understand the of the future Hungarian oligarchic political system, a theme that his Hungary (1934), continued to pursue. Hungary and Her Successors (1937) was a comprehensive analysis of the nationalities question in the region, and was a work in which Macartney supported the claims of the losers of the post-1918 settlements. He regarded the Treaty of Trianon, which had handed over nearly one third of Hungary's to the successor states, as unfair, and advocated border revisions to redress the balance. His hungarophile attitude did not, however, cause him to lose sight of the wider problems of contemporary European security, a subject discussed in Problems of the Danube Basin (1942). Macartney's z-volume October Fifteenth (1961, ist edition as A History of Hungary, 1929-1945 dealt with GermanHungarian relations in the 15 years leading to the thwarted attempt by the regent to end the alliance with Hitler. It contained illuminating portraits of the principal personalities

fellowship

peculiarities

population

and is

regarded

the

as

Hungarian politics

principal

in the 1930s.

western

Macartney's

also his best known work. The

perhaps

of

language history

magnum opus is

Habsburg Empire,

1790-1918 (1968) is a comprehensive narrative account of the political and social history of the empire, although it has been criticized for focusing its attention upon the German and Hungarian elements that made up the population, at the expense of the Slavs. Despite this mild criticism, it is a huge achievement, and stands as a fitting monument to its author. MICHAEL ALMOND-WELTON

See also Central

Europe; Germany: 1450-1800; Seton-Watson,

R.

Biography

Carlile Aylmer Macartney Born in Kent, 24 January 1895 Educated Winchester College; Trinity College, Cambridge. Served in the British Army , 1914-18. Acting British vice-consul, Vienna , 1921-25 ; staff member, Encyclopaedia Britannica , 1926-28 ; Intelligence Department, League of Nations Union , 1928-36; and Research Department, Foreign Office , 1939-46 Research fellow, All Souls College, Oxford , 1936-65; taught at Edinburgh University, 1951-57. Married Nedella Mamarchev Died 18 June 1978 .

.

at

.

.

.

Principal Writings The Social Revolution in Austria , 1926 The Magyars in the Ninth Century, 1930 Refugees: The Work of the League , 1931 World Labour Problems , 5 vols., 1932-36

Hungary

,

1934

National States and National Minorities , 1934 With Maurice Fanshawe , What the League Has Done, 1920-1932 ,

1936 Hungary and Her Successors: The Treaty of Trianon and Its Consequences, 1919-1937 1937 Studies on the Earliest Hungarian Historical Sources 3 vols., 1938-51 Problems of the Danube Basin 1942 The Medieval Hungarian Historians: A Critical and Analytical ,

,

,

Guide , 1953 A

History of Hungary, October

Fifteenth:

A

2 vols., 1956-57 ; 2nd edition History of Modern Hungary, 1929-1945

1929-1945 ,

as

,

2 vols., 1961 Hungary: A Short History 1962 Independent Eastern Europe: A History 1962 'The Habsburg Empire, 1790-1918 1968 ; revised abridgement The House of Austria: The Later Phase, 1790-1918 1978 Maria Theresa and the House of Austria 1969 Editor, The Habsburg and Hohenzollern Dynasties in the Seventeenth and Eighteenth Centuries 1970 ,

as

,

,

,

Macaulay,

Thomas Babington

a

stirring

educational

achievements

,

,

was elected a fellow of Trinity in 1824, and became barrister in 1826. His first great literary triumph was an article in 1825 on Milton in the Whig Edinburgh Review, in which he had already perfected his incomparable prose style, with its "Ciceronian antithesis and Augustan balance," rhythms, surface glitter, and dogmatic tone. He attacked the Tories Robert Southey and John Wilson Croker in the Edinburgh, and as MP for Calne, made his famous speech in 1831 in defence of the First Reform Bill. In 1832. he was returned for Leeds, but then became a member of the Supreme Council of India from 1834, where he recommended an system based on English rather than Oriental studies, and drafted an Indian criminal code. In 1839, Macaulay was elected MP for Edinburgh and became secretary at war in the Whig administration. In 1842 came the triumphant publication of his Lays of Ancient Rome and in 1843 the first official edition of his collected Essays. Like his battle poems "Ivry" and "The Battle of Naseby," the Lays drew on his immense classical erudition and his Italian journey of 1838-39 for their re-creation of Roman republican balladry, in vigorous, technically faultless verse. The essays, ostensibly book reviews, transcend the works that occasioned them: those on English themes are a major contribution to the study of 17th- and 18th-century history and literature, partly making up for the closure of the later History of England in 1702. They tend to a one-sided view of the English past: Protestants, Puritans, and Whigs were right, while Catholics, Cavaliers, Tories, and High Churchmen were wrong. Yet Macaulay had a tenderness for a good man on the wrong side. His romantic vision of social history was inspired by the High Tory Sir Walter Scott; his love of historic grandeur appears in the depiction of the Catholic church in his review of Ranke's History of the Popes, where his belief in progress disappears in the image of a future New Zealand Maori standing on a broken arch of London Bridge to sketch the ruins of St. Paul's. Macaulay was defeated at the hustings in Edinburgh in 1847, and though Edinburgh returned him unopposed in 1852, his gradual withdrawal from politics enabled him to concentrate on his The History of England from the Accession of James II, which he conceived in 1838 as lying between the Whig of the Glorious Revolution of 1688 and the Reform Bill of 1832. The first two volumes were published to great critical and popular acclaim in 1849. The first chapter of volume 1 surveys English history to 1660, the second deals with the reign of Charles II, and the third paints a famous social portrait of England in 1685. The narrative then slows to a snail's pace, and only reaches William Ill's death in 1702. Macaulay used the work of other Whig scholars: the forty volumes of papers transcribed from continental archives for Sir James Mackintosh and the French ambassador Barillon's despatches copied for Charles James Fox and loaned to him by his friend Lord Holland. Yet Macaulay's Whiggery was that of the militant between radical and Tory, as the Church of England stood between Rome and Dissent, as the Marquess of Halifax "trimmed" between Whigs and Tories, and as William was (in the words of Macaulay's Trinity prize essay) "a sovereign, yet the champion of liberty; a revolutionary leader, yet the of social order." The third and fourth volumes of the History appeared in 1855, the fifth posthumously in 1861, edited by Macaulay's sister Hannah, Lady Trevelyan.

Macaulay

1800-1859

British historian Thomas Babington Macaulay was born in 1800, the eldest child of Zachary Macaulay (1768-1838), of Scots Presbyterian descent, a leader of the Evangelical Clapham Sect and campaigner. An infant prodigy who wrote an epitome of a universal history, Macaulay went up to Trinity College, Cambridge in 1818, where he was converted from his family Toryism to Whiggery. His honors included a college prize essay on the hero of his later History of England, William III.

antislavery

middle,

supporter

Macaulay combined a robust Georgian rationalism with a imagination. His Whiggery was magnified by his biographer George Otto Trevelyan, who mangled his letters for literary convenience, but supplied a brilliant and indispensable picture of the man. His defect was stridency: he was too sure of everything. Charles Williams said that "His only real was the trumpet; his only good colour was purple." Carlyle thought his style like living under Niagara; Lytton Strachey mocked its metallic exactness and its fatal efficiency Romantic

instrument

"one of the most remarkable products of the Industrial Revolution." G.R Gooch called Macaulay "the greatest of party writers, not the greatest of historians." Like a caricaturist, he heightened the villainy of his villains, James II and John Churchill, and the heroism of his heroes like William III. His optimistic Victorian vision is no more, suggesting that his History has dated as badly as the Victorian prejudices that informed it. Herbert Butterfield's polemic against Whig is a warning against such prejudices, and the attempts Marxists and the school of Sir Lewis Namier to expel by from history are fatal to Macaulay's heroic conception of a humanity moved by principle as well as interest. On points such as his assault on the Quaker William Penn, he was wrong and impervious to criticism. Yet he was too interested in the complexity of personality and in the cunning twists in his story to be a consistent partisan. His pioneering ventures into social history, as in his use of broadsides and street balladry, have borne an enormous fruit in our own time, while his universal humanity usually raises his writing above Whig confessionalism. In its literary brilliance, its panoramic sweep, its mastery of sources from state papers to penny pamphlets hitherto assumed to be beneath the dignity of Clio, it remains compulsively readable, and sets standards of clarity, accessibility, and narrative skill at which modern scholars can only wonder. SHERIDAN GILLEY as

historiography

Clive , John , Macaulay: The Shaping of the Historian , New York : Knopf , and London: Seeker and Warburg, 1973 Edwards , Owen Dudley, Macaulay , London : Weidenfeld and Nicolson and New York: St. Martin's Press, 1988 Firth , C. H. , A Commentary on Macaulay's History of England , London : Macmillan , 1938 Gay, Peter, Style in History , New York : Basic Books , 1974 ; London: ,

Cape,

1975

Sheridan , " Macaulay as Historian ," The Australian Journal Politics and History 29 ( 1983 ), 328 43 of Hamburger, Joseph , Macaulay and the Whig Tradition , Chicago : University of Chicago Press , 1976 Knowles , David , Lord Macaulay, 1800-1859: A Lecture ,

Gilley

,

-

Cambridge : Cambridge University Press 1960 Millgate Jane Macaulay London and Boston : Routledge 1973 Pinney Thomas ed., The Letters of Thomas Babington Macaulay vols., Cambridge : Cambridge University Press 1974-81 Stunt Timothy C.F. Thomas Babington Macaulay and Frederick the Great ," Historical Journal 23 ( 1980 ), 939 47 Trevelyan George Otto The Life and Letters of Lord Macaulay 2 vols., New York : Harper 1875 ; London: Longmans, 1876 ,

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idealism

See

also Britain: 1066-1485; Europe: Modern; Gardiner; Literature; Niebuhr; Political; Popular; Trevelyan; Whig

Biography Born Rothley Temple, Leicestershire , 25 October 1800 Educated at Trinity College, Cambridge , BA 1822, MA 1825; fellow, 1824-31. Called to the Bar, 1826 Member of Parliament , 1830-34, 1839-47, 1852-56. Legal adviser to the Supreme Council of the East India Company, Calcutta , 1834-38 Created Baron Macaulay of Rothley, 1857. Died Kensington, 28 December 1859 .

privately;

.

.

.

Principal Writings Critical and Historical Essays Contributed

to the Edinburgh Review 1843 The History of England from the Accession of James II 5 vols., 1849-61

,

,

Further

Reading

Burrow, John Wyon, A Liberal Descent: Victorian Historians and the English Past , Cambridge and New York : Cambridge

University

Press ,

1981

Clive , John , and Thomas Pinney, eds., Thomas Babington Macaulay: Selected Writings , Chicago and London : University of Chicago Press , 1972

Mach, Austrian Ernst

Ernst 1838-1916 physicist

Mach, for whom Mach-bands and the

measure

of

supersonic noted physicist and philosopher. speed named, are

was a

He also was interested in the history of physics. Mach was a positivist who restricted true science to the search for general laws through empirical experiments, and a phenomenalist, for whom observation only reflected the sensory experiences of scientists instead of absolute reality. As a result Mach believed scientists should simply describe and relate these experiences, and not speculate, pitting him against the dominance in physics of Newtonian mechanics and atomic theory, which were both

based on theoretical deduction. Mach studied the history of physics to understand how people acquired scientific concepts, and to convince others that the prominence of Newtonian physics was the result of He also took his role as teacher of physics uncommonly seriously, and worried that the prevailing method of physics through logical abstractions repelled college students. He showed them how past scientists had grappled with a problem, in order to sustain their interest and spur their understanding, until they were ready to tackle abstractions. Most of his works were primarily intended for students. They were widely read at German-speaking universities from the 1880s to World War I, and also by the general public. In his first major work, Die Geschichte und die Wurzel des Satzes der Erhaltung der Arbeit (1872; History and Root of the Principle of the Conservation of Energy, 1911), Mach disputed the contention of Hermann von Helmholtz and Rudolf Clausius that Rudolf Mayer's 1842 statement of the first thermodynamic law showed the deductive prowess of Newtonian physics, arguing that its general principle had been known since early times. The structure of his other works was similar: to show that a given principle, presented as new pinnacle of truth, had been known in some form much earlier, and that other theories about it had been made into paradigms through misreadings and chance, and later rejected not so much

contingency. introducing

of superior insight as from the same random factors that had elevated it. In Die Mechanik in ihrer Entwickelung: historisch-kritisch dargestellt (1883; The Science of Mechanics, 1911), Mach suggested that a close reading of Newton showed that he had believed in absolute reality much less than his followers claimed. As Mario Bunge and John Blackmore have noted, Mach had misread Newton. He also argued against the reification of mechanics and atomic theory in other fields of physics in Die Principien der Wärmelehre (1896; Principles of the Theory of Heat, 1986), Die Prinzipien der physikalischen out

Optik (finished in 1913, published in 1921; Principles of Physical Optics, 1926), and Kultur und Mechanik (Culture and Mechanics, 1915). More explicitly philosophical were Beiträge

Analyse der Empfindungen (1886; Contributions to the Analysis of the Sensations, 1887), and Erkenntnis und Irrtum (1905; Knowledge and Error, 1976), which showed parallels to Buddhist thinking. Though his works were styled "historical-critical," and despite his reputation as historian of science, Mach was not a historian. He always clearly stated that he wrote about physics. In Theory of Heat he stressed: "Although a zur

contemporary should have been

expect in great many this work the results of archival research. The focus is much more on the coherence and growth of thought than on curiosities." Uninspired by the particulars of history of science or individual scientists, he did no work in archives, contributed little new material, and raised no debates among historians. He simply cited from scientific writings to narrate the transmission of ideas. Yet Mach wrote at a time when historical influences on scientific knowledge were neglected by scientists, and he wrote well. As the physicist Selig Brodetsky declared in 1926, he had made reading the rise and fall of ideas "as fascinating as a romance." Albert Einstein stressed in 1916 how much his "had great influence on our generation of natural They fostered interest in physics among generations of students, and inspired physicists such as the French Pierre Duhem and the Japanese Ayao Kuwaki; both of whom became noted historians of science. Mach applied his contemplative and undogmatic philosophy of science to life in general. He was an atheist, who denied the objective existence of human ego or immortal soul. His works, translated into English, Russian, and other languages, made him by 1900 a thinker of world reknown. His waned after World War I, partly because his central assumption, that sensations were absolute, was found to be incorrect. His legacy was indirect, through his influence on thinkers as diverse as Sigmund Freud, William James, Sinhalese Buddhists, Bolshevik leaders such as Alexander Bogdanov, and sources

used,

one

not

interesting

textbooks

scientists."

popularity

Ludwig Wittgenstein. Mach's writings helped speed the demise of Newtonian mechanics as the paradigm in physics, but his opposition to atomic theory delayed its acceptance in Central Europe. The acceptance of the theory served to undercut his influence as philosopher of science. But he raised awareness about the of scientific knowledge, and popularized interest in the history of science at a time when little attention was paid to

transiency

great academic historian, he was a great teacher of history. And in the past two decades the rise of postmodern distrust in the triumphalism of the materialist

it.

Though Mach

was not a

conception of Western science has revived interest, especially in Central Europe, in the gentle approach to knowledge of this Sudeten German scientist. THOMAS REIMER See also Duhem; Heilbron

Biography Chirlitz-Turas, near Brno, Moravia (now in Czech Republic), February 1838 Educated at home to age 14, attended high school briefly, then studied at University of Vienna, PhD in physics 1860. Taught mechanics and physics, Vienna 1860-64 ; professor of mathematics, University of Graz 1864-67 ; professor of experimental physics Charles University Prague 1867-95 ; professor of inductive philosophy, University of Vienna from 1895 : suffered a stroke 1897, and retired 1901 Entered Austrian Parliament, 1901. Married Ludovica [Luise] Marussig, 1867 (4 sons, 1 daughter). Died Vaterstetten, near Haar, Germany, 19 February 1916. Born 18

.

,

,

,

,

,

,

,

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,

Principal Writings Die Geschichte und die Wurzel des Satzes der Erhaltung der Arbeit , 1872 ; in English as History and Root of the Principle of the Conservation of Energy , 1911 Die Mechanik in ihrer Entwickelung: historisch-kritisch dargestellt , 1883 ; in English as The Science of Mechanics: A Critical and Historical Account of Its Development , 1911 Beiträge zur Analyse der Empfindungen , 1886; in English as Contributions to the Analysis of the Sensations , 1887 Die Principien der Wärmelehre , 1896 ; in English as Principles of the Theory of Heat: Historically and Critically Elucidated , 1986 Erkenntnis und Irrtum: Skizzen zur Psychologie der Forschung , 1905 ; in English as Knowledge and Error: Sketches on the

Psychology of Enquiry 1976 ,

Kultur und Mechanik ( Culture and Mechanics ), 1915 Die Prinzipien der physikalischen Optik: historisch und erkenntnispsychologisch entwickelt, 1921 ; in English as The Principles of Physical Optics: An Historical and Philosophical Treatment , 1926

Further Reading Blackmore John T. Ernst Mach: His Work, Life, and Influence Berkeley : University of California Press 1972 A Deeper Look: Documents Blackmore John T. ed., Ernst Mach and Perspectives Dordrecht and Boston : Kluwer 1992 Bunge Mario Mach's Critique of Newtonian Mechanics ," American Journal of Physics 34 ( 1966 ), 585 96 Cohen Robert S. and Raymond Seeger eds., Ernst Mach: Physicist and Philosopher Dordrecht : Reidel 1970 Gamptier P. Mach and Freud: A Comparision Zeitgeschichte 17 ,

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"

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-

,

,

,

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,

"

"

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( 1990 ), 291 330 Haller, Rudolf, and Friedrich Stadler, eds. , Ernst Mach: Werk und Wirkung , Vienna : Holder Pichler Tempsky, 1988 " Hiebert , Erwin N. , Ernst Mach ," Dictionary of Scientific : Scribner, 1970-80 , vol. 8 , 595 607 Biography, New York " Hiebert , Erwin N. , The Influence of Mach's Thought on Science," Philosophia Naturalis 21 ( 1984 ), 598 615 Hoffmann , Dieter, and Hubert Laitko , eds., Ernst Mach: Studien und Dokumente zu Leben und Werk , Berlin : Deutscher Verlag der Wissenschaften , 1991 " Mayerhoefer, Josef, Ernst Mach as a Professor of the History of Science," Proceedings of the 10th International Congress of the History of Sciences , vol. 2 , 337 339 Thiele , Joachim , Wissenschaftliche Kommunikation: Die Korrespondenz Ernst Machs ( Scientific Communication: The Correspondence of Ernst Mach ), Kastellaun : Henn , 1978 -

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"

Thornton , Russell , 'Imagine Yourself Set Down Mach, Frazer, Conrad, Malinowski and the Role of Imagination in Ethnology," Today 1 ( October 1985 ), 7 14 Anthropology " Zahar, Elie , Mach, Einstein, and the Rise of Modern Science ," British Journal for the Philosophy of Science 28 ( 1977 ), 195 213 .

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is that Rome was greatest when a republic with a citizen army, and hence republican government was to be preferred. This appeared in sharp contrast to the supposed teaching of The Prince, which overlapped work on The Discourses. From what follows it will be suggested that there was no such Fifteenth-century Italian humanists looked to the classical world for models, and acknowledged the preeminence of Livy and Sallust as historians. These historians were seen as detached from the events described, as excelling in eloquence, in clarity, and in style; Caesar, though held in esteem, was flawed as a since he was personally involved in the circumstances narrated. From the age of 17, if not earlier, Machiavelli had available a printed text of Livy, and when in 1503 he wrote his report "On the Method of Dealing with the Rebels of the Val di Chiana," he quoted from Livy a passage in extenso. The initial version of his Discourses can be dated to between 1512 and 1518, when it was essentially a commentary on all Livy's known Decades, and not just on the first as the published title of 1531 implies. There was emphasis on what may be termed Machiavelli's laws of social science, a feature he was when he died; the published text represents an unfinished work. It reveals, in conformity with his other mature writing, that rather than accepting the traditional classical and cyclic view of history, Machiavelli had come to adopt an evolutionary one: primitive society, which comprised tribes each under a leader or king, evolved to the zenith of civilization as exemplified in the Italian city-state. In terms of government the process of development was from princely rule to republican. Once this final stage was reached any attempt to revert to the earlier mode of rule brought the society's disintegration in its wake. Drawing on Livy and his knowledge of Florentine Machiavelli believed he could identify the factors that the evolutionary process, what stimulated it and what could retard it. The root cause of incessant strife on the Italian peninsula Machiavelli believed to be factional rivalry. In the shorter term this helped to perpetuate princely rule, as a prince promoted faction so as to remain in power in other words "divide and rule"; but in the longer term the consequence was civil war and the creation of republican rule. All in all The Discourses was an embryonic Arnold J. Toynbee's A Study

contradiction.

Machiavelli, Niccolò

1469-1527

Florentine humanist historian

By the end of August 1520 Niccolò Machiavelli had finished his brief biography of Castruccio Castracani, written over a few weeks in free moments on an embassy to Lucca. Reminiscent of Plutarch, it consciously echoed Diodorus Siculus and Diogenes Laertius. Machiavelli essentially rewrote in classical guise one main source, Castruccio Castracani vita by the Luccese jurist Niccolò Tegrimi (first printed in 1496), and culled information from Villani's Chronicle, incorporating sentiments borrowed from Livy and from the Cyropaedia (On the Education of Cyrus) of Xenophon in Jacopo Poggio's Latin translation. The theme selected was innocuous in terms of both the Medici and Florence, and Machiavelli's purpose in composing the work had been to furnish testimony of his potential as a historian; sending it to friends of influence in Florence he declared it to be "a model for history." Two months later he achieved his objective in becoming official historiographer of Florence. He took his consequent Istorie fiorentine (The History of Florence), which ended with the death of Lorenzo de' Medici in 1492, to Pope Clement VII (Giulio de' Medici) in Rome, presenting it probably early in June 1525. Yet 40 years ago Ferdinand Schevill in his Six Historians, one of whom was Machiavelli, paradoxically opened the relevant chapter with "Machiavelli was not a explaining that "what he offers as history is largely free invention, lacking a solid indispensable substructure of tested events." It is a mistake to judge Machiavelli's history against a present-day definition; rather, Schevill should have his work in the context of what was deemed history in the Italian Renaissance. To his contemporaries Machiavelli was a historian. Moreover, there is a caveat in making an assessment of Machiavelli's writings. Within a few years of his death there had come into being the pejorative adjective "machiavellian," expediency before Christian morality, duplicity rather than keeping faith, principles associated with his Il principe {The Prince), his best-known work, infamous since its printing in 1532. It had been written in two bursts between 1513 and 1516, the year Machiavelli presented it to Lorenzo de' Medici. From the early 1530s Machiavelli's name was generally held in in his native city of Florence, particularly because of the writings of Giovanni Battista Busini, who believed The Prince to be the inspiration for Alessandro de' Medici's tyranny as duke of Florence. For 500 years polemic regarding Machiavelli's writings has been to the fore, and his writings themselves seldom been examined as an entity or in context. Schevill's comments are symptomatic of that polemical tradition. Recognized today as Machiavelli's most profound historical study is his Discorsi sopra la prima Deca di Tito Livio (1512-18; The Discourses on Livy). The thrust of the argument

historian,"

considered

meaning

abhorrence

historian

elaborating humanistic

history, produced -

of History. Humanists in Machiavelli's

day

divided histories into

categories, which they considered had existed

in

antiquity.

two

First

there was the raw material that gave details of historical events, such as annals or chronicles; second, there was true history like that of Livy and Sallust, which through interpretation furnished a guide for living. In the period now called the "Middle Ages," the former had proliferated and tended to be ignored by humanists concerned with true history. The in taking Livy and Sallust as models for their own writings, thought that they had returned to a true history. Machiavelli's The Prince was intended as a guide to teach a prince how to retard the process of a state's inevitable to a republic. This could be done only if the prince ruled as a "civil" prince in the best interest of most of his subjects; a tyrant would accelerate the evolution. This was entirely the opposite of what Busini and his followers read into the work. Viewed in this light there was no conflict between The Prince and the conclusions advanced in The Discourses. CECIL H. CLOUGH

humanists, historical

evolution

See also Baron, H.; Burke; Chabod; De Sanctis; Ecclesiastical; Gilbert; Italy: Renaissance; Pieri; Pocock; Renaissance Historical Writing; Skinner; Villari

Biography Born Florence , 3 May 1469 Began learning Latin aged 7 and arithmetic aged ti ; aged 12 was preparing Latin compositions with the Florentine teacher Paolo da Ronciglione ; this and his subsequent training was to prepare him for the profession of Florentine notary, like his father; he never learned Greek. In 1498 designated second chancellor of the Florentine Republic established in 1494: secretary and envoy to states of the Italian peninsula and beyond ; following the return of the Medici to power in Florence in September 1512 was dismissed from his post early in November, confined to the Florentine state, and excluded from the Palazzo della Signoria in Florence ; in February 1513 , accused (almost certainly unjustly) of involvement in an anti-Medicean plot, he was imprisoned and tortured; in March after a heavy fine he was released, thereafter devoting himself to writing ; by 1520 he had sufficiently ingratiated himself with the Medici to become historiographer of Florence ; subsequently he undertook for the Medici various administrative tasks including a mission to Carpi and the supervision of a survey of Florence's fortifications Married Marietta Corsini, 1501 (5 children). Died Florence, 21 June 1527

Whitfield , John H. , " Machiavelli and Castruccio ," in his Discourses on Machiavelli , Cambridge, MA : Heffer, 1969 Wilcox , Donald J. , The Development of Florentine Humanist Historiography in the Fifteenth Century, Cambridge, MA : Harvard University Press , 1969

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Principal Writings Discorsi sopra la prima Deca di Tito Livio , 1512-18 ; printed 1531 ; in English as The Discourses on Livy , 1636 Il principe , written 1513-16, printed 1532 ; in English as The Prince , 1640 Dell'arte della guerra , 1519 , printed 1521 ; in English as The Art of War , 1560 Istorie fiorentine , 1520-25 , printed 1532 ; as Florentine History , 1595, and The History of Florence , 1675 Machiavelli and His Friends: Their Personal Correspondence , edited by James B. Atkinson and David Sices , 1996

Further Reading Anselmi , Gian Mario , Ricerche sul Machiavelli storico ( Studies on Machiavelli the Historian ), Pisa: Pacini , 1979 Clough, Cecil H. , Machiavelli Researches, Naples : Università degli studi, Istituto universitario orientale , 1967 " Clough, Cecil H. , Niccolò Machiavelli's Political Assumptions and Objectives," Bulletin of the John Rylands Library 53 ( 1970 ), 30 74 Clough, Cecil H. , "Father Walker's Presentation and Translation of Machiavelli's Discourses in Perspective," in Niccolò Machiavelli , The Discourses , 2 vols., London : Routledge , 1975 Cochrane , Eric , Historians and Historiography in the Italian Renaissance , Chicago : University of Chicago Press , 1981 Fryde , Edmund B. , Humanism and Renaissance Historiography , London : Hambledon Press , 1983 Gilbert , Allan H. , " Machiavelli on Firepower," Italica 23 ( 1946 ), -

275

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85 "

Gilbert , Felix , Machiavelli: The Renaissance Art of War," in Edward M. Earle , ed., Makers of Modern Strategy: Military Thought from Machiavelli to Hitler, Princeton : Princeton University Press , 1941 Gilbert , Felix , Machiavelli and Guicciardini: Politics and History in Sixteenth-Century Florence, Princeton : Princeton University Press ,

1965 Marietti , Marina , " Machiavel historiographe des Médicis " ( Machiavelli, Historian to the Medici ), in André Rochon , ed., Les Ecrivains et le pouvoir en Italie à l'époque de la Renaissance , Paris : Université de la Sorbonne Nouvelle , 1974 " " Reynolds , Beatrice , Shifting Currents in Historical Criticism, in Paul Oskar Kristeller and Philip P. Weiner, eds., Renaissance Essays , New York : Harper, 1968

Mack

Smith,

Denis

British historian of modern

1920\x=req\

Italy

Denis Mack Smith's formidable reputation among modern Italian historians was established with the publication of his first book, Cavour and Garibaldi, 1860 in 1954. As a number of reviewers remarked at the time, the history of Italy's Risorgimento was never to be the same again. In Cavour and Garibaldi, Mack Smith used a combination of official and private papers in a meticulous reconstruction of the political events surrounding Italian unification in 1860. The book is designed, in Mack Smith's words, "as a study in politics during a civil war." His choice of words is not accidental. Hitherto, Italian unification had been seen as a complex jigsaw where every piece fitted together. On the basis of the evidence used in Cavour and Garibaldi, Mack Smith demonstrates that the unification of Italy was in fact the accidental outcome of bitter conflict. In other ways too, he alters the established orthodoxy of many generations. Cavour once the supreme example of a hard-headed, practical emerges from Mack Smith's study as wily, impulsive, the epitome of and often unrealistic in his aims. Garibaldi comes out as a leader of good a romantic, impractical hero sense with limited ambitions. "With brilliant, though wellfounded, perversity," A.J.P. Taylor remarked, "Mr. Mack Smith turns things upside down." English historians had been taught by Trevelyan to admire the achievements of Italian liberalism and to enthuse about the exploits of its heroes. In Cavour and Garibaldi, Mack Smith was writing for this readership. However, as he admitted in a new preface written for the second edition, the book's "biggest impact was in Italy." Before Cavour and Garibaldi was published in Italy, Mack Smith had published a study of the Sicilian peasantry which emphasized the role of the peasantry in the 1860 revolution and detailed their final betrayal at the hands of the revolutionaries. Apparently unwittingly, Mack Smith had stepped into a major historical (and political) controversy raging in Italy. His critical approach to Cavour and to the conflicts of 1860 was welcomed by a new of left-wing historians in Italy. Mack Smith's work appeared to endorse a view of the Risorgimento as a "failed revolution." This same approach earned Mack Smith the lasting enmity of some prominent liberal historians, notably Rosario Romeo. In many respects, both the arguments and the public of Cavour and Garibaldi set the tone for Mack Smith's whole career. The controversy caused in Italy by his first book became nothing less than a furore with Italy: A Modern History and this continued with Mussolini's Roman Empire 1959 (1976), Mussolini (1981), and Italy and Its Monarchy (1989). It is not difficult to see why Mack Smith's approach so often offends. Like his heroes, Garibaldi and Mazzini, Mack Smith

documents

revolutionary

-

politician -

-

-

generation

reception

refused to conform to current orthodoxies or established narratives. In Victor Emanuel, Cavour accept and the Risorgimento (1971) and again in Italy and Its Monarchy, Mack Smith quotes the Italian prime minister, Giovanni Giolitti, that "beautiful historical legends" should not be "discredited by historical criticism." From Cavour and Garibaldi to his recent book Mazzini (1994), Mack Smith has set out to undermine this view of history and to prove the value of a critical approach based on documentary research. "There is no necessary reason" he writes in Victor Emanuel, Cavour and the Risorgimento, "why truth should be beautiful has

steadfastly

to

or

simple."

best, as in Cavour and Garibaldi, Mack Smith's critical approach produces brilliant and thought-provoking history. His books can also be a delight to read. As Davis and Ginsborg have written, Mack Smith has the rare talent "of writing serious, and scrupulously researched history which none At its

original,

the less remains accessible and attractive to the non-specialist." If the truth in Mack Smith's work is seldom beautiful or simple, the same cannot be said for the quality of his prose. At times, however, Mack Smith's insistence on unravelling the nationalist myths of Italian historiography has tended to overwhelm his scholarship. His critical approach can become merely a patronizing one. In Italy: A Modern History, Mack Smith's analysis is heavily weighted towards proving the link between the Risorgimento and fascism; this focus obscures a much more complex reality. Similarly, his A History of Sicily (1968) concentrates overwhelmingly on what Raymond Grew calls Sicily's "frustrated modernization" and its uninterrupted decline. His judgments of Italian political leaders in Cavour (1985) and Italy and Its Monarchy are, even to the hardened cynic, unduly harsh. Thus, his criticisms of Italian national myths become on occasion inseparable from criticisms of Italians themselves. Mack Smith belongs to the generation of postwar Cambridge historians, based largely at Peterhouse, who were taught to respect the primacy of documentary evidence. The influence of a Whig concept of history is also apparent in Mack Smith's attempts to explain what went "wrong" with the Risorgimento and to discover the roots of Italy's (or Sicily's) economic This kind of history is currently very unfashionable. Neither of Mack Smith's recent biographies, of Cavour and Mazzini respectively, nor his study of the Italian monarchy, have been particularly well received. Yet, there is in the best of Mack Smith's writing a passionate edge and an acute sense of the of history which take it beyond its immediate subject matter. Like his predecessor Trevelyan, Mack Smith conveys in his writing the excitement of Italian history. It is this, at least in part, that continues to inspire successive generations of to study modern Italy. And it is in this, as well as in his personal commitment to historical research and unfailing to the views of other historians, that Mack Smith's as a historian should be judged.

Clifton College, 1941-42 Posted to cabinet offices , 1942-46. Fellow of Peterhouse, Cambridge , 1947-62 , tutor, 1948-58; university lecturer, Cambridge , 1952 62; fellow, All Souls College, Oxford , 1962-87 (emeritus). Married Catharine Stevenson , 1963 (2 daughters). .

-

Principal Writings "

Cavour's Attitude to Garibaldi's Expedition to Sicily," Cambridge Historical Journal 9 ( 1949 ), 359 70 " The Peasants' Revolt in Sicily, 1860 ," Studi in onore di Gino Luzzato , 1950 ; reprinted in Victor Emanuel, Cavour and the -

Risorgimento,

1971

Cavour and Garibaldi, 1860: A Study in Political Conflict , 1954 Garibaldi , 1957 Italy: A Modern History , 1959 ; revised 1969 " The Latifundia in Modern Sicilian History," Proceedings of the British Academy 51 ( 1965 ), 85 124 A History of Sicily, vols. 2-3, 1968 The Making of Italy, 1796-1870 , 1968 Victor Emanuel, Cavour and the Risorgimento , 1971 " Benedetto Croce: History and Politics ," Journal of Contemporary -

History

8

( 1973 ),

41

-

61

Mussolini's Roman Empire, 1976 Storia di cento anni di vita italiana visti attraverso il "Corriere della Sera ( One Hundred Years of Life seen by the Corriere della Sera ), 1978 Mussolini , 1981 Cavour , 1985 Italy and Its Monarchy, 1989 Mazzini , 1994 Modern Italy: A Political History , 1997 "

Further Reading " Bosworth , Richard J.Β. , Denis Mack Smith and the Third Italy," International History Review 12 ( 1990 ), 782 92 Davis , John Α. , and Paul Ginsborg , eds., Society and Politics in the Age of the Risorgimento: Essays in Honour of Denis Mack Smith , Cambridge : Cambridge University Press , 1991 " " Graw, Raymond , A History of Sicily American Historical Review ( ), 75 1970 536 38 [review] " " Taylor, A. J.P. , Cavour and Garibaldi, in his From Napoleon to the Second International: Essays on Nineteenth-Century Europe , edited by Chris Wrigley, London : Hamish Hamilton , 1993 ; New York: Allen Lane, 1994 -

-

"backwardness." convolutions

historians courtesy

importance

LUCY RIALL See also

Italy:

since the Renaissance

Biography Born 3 March 1920 Educated at St. Paul's Cathedral Choir School ; .

Haileybury College; Peterhouse, Cambridge,

MA Assistant .

master,

McLuhan, Marshall

1911-1980

Canadian communications theorist Almost two decades after his death, the work of Marshall McLuhan is currently enjoying a resurgence. This Canadian academic achieved instant international recognition as the media sage of the "swinging" sixties. The coiner of the concept of "the global village," McLuhan was regarded as a guru and his name became irrevocably linked with such catch phrases as "the medium is the message." His work has acquired new relevance in our own electronic age, where so many of his predictions concerning the development and power of mass communications appear to have come true. He is best known as an analyst of the role of media in modern society, and those casually aware of McLuhan's work may wonder if he warrants a place in a collection devoted to the study of historians. However, a reading of any of his major works will clearly establish that McLuhan's studies of the role

communications

of communications in contemporary society developed from a profound historical sensibility, and one that was also Canadian. Starting from the perspective of literary analysis, McLuhan's early writings followed the predictable path of a literary critic attempting to understand and interpret the cultural climate of past and present societies. The Mechanical Bride (1951) may be seen as McLuhan's first systematic attempt to interpret what Dennis Duffy has called "the dissociated world produced by the disjunction between intellect and emotion," and although it seems to progress naturally from his earlier studies, this work may be seen also as the first step in the evolution of McLuhan's technique of media analysis which would emerge, fully during the 1960s with Explorations in Communication (1960), The Gutenberg Galaxy (1962), and Understanding Media (1964). It is not coincidental that McLuhan's Mechanical Bride appeared one year after Empire and Communications (1950) and during the same year as The Bias of Communication (1951), two late works by the Canadian historian, Harold Adams Innis (1894-1952). Innis' early writings had explored the significance of the fur and cod trades to Canada's and had documented the history of the Canadian Pacific Railway. From the descriptive, narrative history of the role of economic staples in Canada's development, the later Innis moved to the consideration of systems of as equally significant forces in the history of the of western civilization. He became convinced that of communications media provided the most valuable analysis insight into understanding societies of the past and also those of the present. It was this interpretive key that McLuhan was to develop as an essential part of his own efforts to probe the mysteries of cultural meaning. In two brief essays, McLuhan clearly delineated the links that are implicit throughout his major writings. In a 1953 article entitled "The Later Innis" and, a decade later, in the introduction to a new edition of Innis' The Bias of McLuhan identified the shaping of his own approach to history. "Flattered by the attention that Innis had directed to some work of mine," he observed in the introduction, "I turned for the first time to his work." Generous in his praise of what he found, McLuhan declared that "I am pleased to think of my own book The Gutenberg Galaxy as a footnote to the observations of Innis on the subject of the psychic and social consequences, first of writing and then of printing." There were many elements in the work of Innis that for the younger scholar: both were attempting to achieve what Bertrand Russell had called "a change in our imaginative picture of the world." Believing an insight to be "the sudden awareness of a complex process of interaction," McLuhan had no higher praise than to view Innis as "above all a recognizer of patterns" using history "as a scientific laboratory, as a set of controlled conditions within which to study the life and nature of forms," with "the bias of culture and communication as an instrument of research." Even Innis' writing style was to find echoes in McLuhan's work; in his later books, McLuhan observed in 1953, Innis abandoned "the linear development of paragraph perspectives," in favor of "the rapid montage of single shots." This was a technique that McLuhan himself was increasingly to favor.

distinctively

developed,

development communication

development

Communication,

resonated

As it

was

for the later Innis, McLuhan's notion of

historical his of history itself, defined periodization, even

by shifts

-

was

concept

he called them

"explosions" phonetic alphabet gave rise

-

in communications

media. The to the concept of Euclidian space, the Roman empire sprung from the ability to employ the alphabet on light papyrus, rather than heavy clay or stone, and Gutenberg's introduction of moveable type to the West in the 15th century heated up the medium of writing "to repeatable print intensity" which, in turn, "led to and the religious wars of the 16th century." This aspect of his work has been criticized as technological determinism and, because of its inevitable simplifications and "mosaic" approach, even dismissed by one critic, Sidney Finkelstein, as a "bizarre substitution of fiction for history." It may be said that McLuhan's writing combined the analysis of Innis with the investigative techniques of the literary critics I.A. Richards and William Empson, for McLuhan noted that the importance of language as the greatest medium of communication and the most significant barometer of change had eluded Innis. In answer to those who caviled at inaccuracies in his periodizations, McLuhan claimed that he was constructing "probes," mechanisms for investigating He infuriated his critics by insisting that he had no "point of view"; he became himself, as he had described Innis, "a roving mental eye, an intellectual radar screen on the alert for objective clues to the inner spirit or core of our time" ("The Later Innis"). Always impish and irreverent, he resisted A reincarnated McLuhan, upon finding himself canonized as the patron saint of the new information age, would certainly question his old answers or, more probably, would immediately begin the search for new questions.

nationalism

historical

ambiguity. categorization.

KATHLEEN E. GARAY

See also Media

Biography Herbert Marshall McLuhan. Born Edmonton, Alberta, 21 July 1911 Studied at University of Manitoba , BA 1932, MA 1934; Trinity Hall, Cambridge, BA 1936, MA 1939, PhD 1942. Taught at University of Wisconsin , 1936-37 ; St. Louis University, 1937-44 ; Assumption College , Windsor, Ontario , 1944-46 ; and St. Michael's College , University of Toronto , 1946-80 ; director, Centre for Culture and Technology, 1963-80 Married Corinne Keller Lewis, 1939 (2 sons, 4 daughters). Died Toronto, 31 December 1980

.

.

.

Principal Writings The Mechanical Bride: Folklore of Industrial Man , 1951 " The Later Innis ," Queen's Quarterly ( Autumn 1953 ), 365 94 Editor with Edmund Carpenter, Explorations in Communication: An -

Anthology 1960 Gutenberg Galaxy: ,

The

The Making of Typographic Man 1962 Introduction, in The Bias of Communication by Harold A. Innis 1964 Understanding Media: The Extensions of Man 1964 Essential McLuhan edited by Eric McLuhan and Frank Zingrone ,

,

,

,

,

1995

Further Reading burtis James M. McLuhan: The Aesthete of Communication 31 ( 1981 ), 144 52 "

,

,

as

Historian ,"

Journal

-

, Dennis , Marshall McLuhan , Toronto : McClelland and Stewart , 1969

Duffy

Finkelstein , Sidney, Sense and Nonsense of McLuhan , New York : International , 1968 Gordon , W. Terrence , Marshall McLuhan: Escape into Understanding, New York : Basic Books , 1997 Gordon , W. Terrence, Marshall McLuhan for Beginners , New York : Writers and Readers , 1997 Stamps , Judith , Unthinking Modernity , Montreal : McGill-Queens University Press , 1994

McNeill, US

William H.

(Canadian-born)

1917-

world historian

McNeill's passion for world history came from a conviction that the enormous problems the world confronted could be lessened with the promotion of a global consciousness. This promotion, he felt, should be the moral duty of the historical profession, which had, in any case, been seeking purpose since the demise of Whig history after World War I. McNeill felt that historians necessarily wrote of the past in a way that provided an intellectual basis for the present. By writing a broad, meaningful interpretation of the past, historians would contribute to the view of the unity of humanity and give history-writing a clear raison d'être. Because McNeill points to the importance of the processes that cross both political and temporal he has not been without his detractors. Arguments against McNeill's conception of history point to his as unscientific, and far removed from the historicist roots of modern historiography. His seeming contempt for the close scrutiny of documents and detailed studies comes under criticism in this regard. McNeill would counter that all select their facts differently, and therefore all history is generalization. His emphasis on underlying trends has also been criticized as downplaying the role of the individual in history. Lastly, McNeill's views have been criticized for their apparent ethnocentricism, as his approach seems to suggest that Western society is the cumulative product of history.

unconscious

William H. McNeill's greatest contribution to the historical field has been his promotion of world history. Influenced by Arnold Toynbee's A Study of History (1934) and Oswald Spengler's The Decline of the West (1918) in their sweeping ecumenical views of history, but not subscribing to their notions of internal cycles of civilization, McNeill presented the development of civilizations as a series of interactions. As McNeill wrote in Mythistory and Other Essays (1986), he proposed to turn Spengler and Toynbee on their heads, for both of them had asserted that separate civilizations borrowed nothing of importance from one another. This proposal led to his classic The Rise of the West (1963), where he affirmed the idea of a progressive, secular history of the human as opposed to the cyclical and religious views put forward by Spengler and Toynbee respectively, and where he suggested that the current Western predominance in the world is the result of the process of entire world history. McNeill's on encounters as the driving force of civilizations and ultimately history, has led him to concentrate on frontier areas, particularly in the Eurasian realm. In The Rise of the West, he identified the center of highest skill in a given age, and the cultural flow outwards from it, correspondingly demonstrating the importance of communications and transportation on historical development. In McNeill's words, "the history of civilization is a history of the expansion of particularly cultural and social patterns through the conversion of barbarians to modes of life they found superior to their own." An underlying Darwinianism pervaded his analyses. With The Rise of the West as a foundation, McNeill in his later works explored individual topics and their associated international phenomena, constituting, in his own words, extended footnotes to The Rise of the West. His interest in broad trends in historical development was clear in The Pursuit of Power (1982) where he examined the influence of warfare as a catalyst for industrial development. With Plagues and Peoples (1976), McNeill introduced an ecological dimension to world history, in which he brought out the interrelation of separate disease pools, population die-offs, and socioeconomic relationships. In Plagues and Peoples, for example, McNeill pointed to the direct relationship between the rise of various religions and population die-offs. McNeill's research was influenced by both anthropological method, emphasizing the role of diffusion the adoption from other societies of technologies, skills, customs, and social and by arrangements perceived as useful or empowering Marc Bloch and the Annales school with its emphasis on longterm trends.

boundaries, generalizations

historians

GARY S. BRUCE

community,

concentration

attractive

-

-

See also Curtin; Military; World

Environmental; European Expansion; Migration;

Biography William Hardy McNeill. Born Vancouver, Canada, 31 October 1917. Received BA, University of Chicago , 1938 , MA 1939; PhD, Cornell University, 1947 Taught at University of Chicago, 1947-87 (emeritus). Took US citizenship. Married Elizabeth Darbishire , 1946 .

(2

sons,

2

daughters).

Principal Writings The Greek Dilemma: War and Aftermath 1947 America, Britain, and Russia: Their Co-operation and Conflict, 1941-1946 1953 ,

,

Past and Future , 1954 Greece: American Aid in Action, 1947-1956 , 1957 The Rise of the West: A History of the Human Community , 1963 Europe's Steppe Frontier, 1500-1800 , 1964 A World History , 1967 Editor/compiler with others, Readings in World History , 10 vols.,

1968-73 The Shape of European History , 1974 Venice: The Hinge of Europe, 1081-1797 , 1974 Plagues and Peoples , 1976 Editor with Ruth S. Adams , Human Migration: Patterns and Policies , 1978 The Metamorphosis of Greece since World War II , 1978 The Pursuit of Power: Technology, Armed Force, and Society since AD 1000 ,

1982

The Great Frontier: Freedom and Hierarchy in Modern Times , 1983 Mythistory and Other Essays , 1986 Polyethnicity and National Unity in World History , 1986 Arnold J. Toynbee: A Life , 1989 Population and Politics since 1750 , 1990 " The Rise of the West after Twenty-Five Years ," Journal of World

History

1

( 1990 ),

1

-

22

Hutchins' University: A Memoir of the University of Chicago, 1929-1950 , 1991 Keeping Together in Time: Dance and Drill in Human

History

,

1995

Further

Reading "

Adelson , Roger,

( 1990 ),

1

-

Interview with William McNeill ," Historian 53

16 "

Costello , Paul ,

William McNeill's Ecological Mythistory: Toward Ambiguous Future ," Historical Reflections 18 ( 1992 ), 99 119 McDougall Walter Mais ce n'est pas l'histoire! Some Thoughts on Toynbee, McNeill, and the Rest of Us ," Journal of Modem History 58 ( 1986 ), 19 42 an

-

"

,

,

-

"

Roland , Alex , Technology and War: The Historiographical Revolution of the 1980s," Technology and Culture 34 ( 1993 ), "

117

-

34

William H. McNeill: Bibliography," Journal of Modern History 58

(1986 ),

3 18 -

Mahan, Alfred Thayer

1840-1914

US naval historian Alfred Thayer Mahan's reputation as the most famous naval historian of the late 19th and early 20th centuries rests on two major works: The Influence of Sea Power upon History, 1660-1783 (1890) and The Influence of Sea Power upon the French Revolution and Empire, 1793-1812 (1892). All told, Mahan wrote 20 books and 137 articles. The major thrust of Mahan's works was that naval and shipping are instrumental in determining the power and wealth of nations. This idea, however, did not originate with him; naval strategists such as Rear Admiral John Rodgers and Robert Schufeldt had already propagated these ideas long before Mahan. Mahan's great contribution was his ability to analyze systematically naval history and to define clearly what he saw as its lessons. As he himself put it in The Influence of Sea Power upon History, his object was to estimate "the effect of sea power upon the course of history and the prosperity of nations." Mahan emerged from the relative obscurity of a naval career to become one of the best known historians of his era. After first attending Columbia College in New York City, he enrolled at the US Naval Academy in Annapolis, Maryland, against the advice of his father, Dennis Hart Mahan, a professor of civil and military engineering at the US Military Academy in West Point, New York. Despite his father's reservations, the younger Mahan excelled at Annapolis and graduated second in his class in 1859. Following his graduation from Annapolis, Mahan rose through the naval ranks, eventually becoming Lieutenant Commander. His naval service in the US Civil War was However, due to his high rank, the 26-year-old Mahan decided, despite reservations, to remain in the navy where he served in navy shipyards, on the Naval Academy staff, and on cruises to the Asiatic Station and to the west coast of South America. It was while commanding the steam sloop USS Wachusett off the coast of Peru that Mahan received an invitation from his old friend Commodore Stephen B. Luce to join the faculty of the newly founded Naval War College.

superiority

unexceptional.

Mahan's only major qualification for this position was his short book, The Gulf and Inland Waters {1883), a Civil War naval history, which he had recently completed. Mahan accepted Luce's offer, and, after some delay, reported to Newport, Rhode Island, for duty in the summer of 1886. When he arrived at the Naval War College, Mahan, now a newly promoted Captain, found to his dismay that Luce had been ordered back to sea. It therefore fell to Mahan to lecture on strategy and naval history and to assume the presidency of the Naval War College. This was the turning point in his career. Mahan served two terms as president of the Naval War College (1886-89 and 1892-93) and during his first term, he organized his lectures into book form which resulted in the publication of The Influence of Sea Power upon History, 1660-1783. In 1893, Mahan was ordered to take command of the USS Chicago and, on his arrival in the English port of Southampton in late July of that year, was hailed as a hero by the British for his praise of British sea power and the British navy. Mahan's work was controversial in its day. His critics claimed that he was reactionary and impractical while his supporters touted the virtues of his theory that control of the seas was the key to empire. At the beginning, Mahan himself claimed to be an anti-imperialist, but he argued for the construction of an Isthmian canal in Panama and for use of the Hawaiian Islands as a refueling station for US ships. Later historians have found great fault with Mahan's analysis of sea power, a term that Mahan invented, mostly on the basis of oversimplification by omission. These critics claimed that Mahan's theories do not account for the rise of such nonmaritime empires as Austria-Hungary, Germany, Russia and Turkey. Mahan has also been criticized for failing to the interrelationship between naval and land operations, especially amphibious warfare. Particularly glaring was Mahan's omission of the years 1784-93 in his histories. Despite their flaws, the profound impact of Mahan's on the study of naval history has been compared by the historian Louis M. Hacker to the effect of Darwin's The Origin of Species on 19th-century scientific study. In Mahan's own day, the London Times compared his work to the revolution "effected by Copernicus in the domain of astronomy."

emphasize

writings

GREGORY WEEKS See also

Military;

Naval

Biography Born

West Point, New York 27 September 1840 to a military family. Graduated US Naval Academy, 1859 ; served as naval officer 1859-86 ; naval instructor and president, Naval War College, 1889-96. Retired from navy to write and to serve as governmental naval adviser Married Ellen Lyle Evans, 1872 (2 daughters, 1 son). Died Washington, DC, 1 December 1914 ,

,

,

.

.

Principal Writings The Gulf and Inland Waters , 1883 The Influence of Sea Power upon History, 1660-1783 , 1890 Admiral Farragut , 1892 The Influence of Sea Power upon the French Revolution and

Empire, 1793-1812

,

2

vols., 1892

The Interest of America in Sea Power, Present and Future, 1897 The Life of Nelson: The Enlightenment of the Sea Power of Great Britain , 2 vols., 1897

or his contemporaries, he did not grand narrative of the past: instead he traced the development of governmental institutions through close of legal terminology. In The History of English Law (1895), published with Frederick Pollock, who wrote only one chapter on Anglo-Saxon law, Maitland refused to go beyond the reign of Edward I, because subsequent records had been insufficiently digested. However, his belief that the Angevin laws of the 12th and 13th centuries had a simplicity distorted by later medieval developments reflected the contemporary romantic notion that the high Middle Ages was followed by inevitable decline. The History of English Law represents his most lasting achievement, particularly his clear explanation of the complexity of land law and of the writ, the legal form that governed the availability of

whom he greatly admired,

Lessons of the War with Spain, and Other Articles , 1899 The Problem of Asia and Its Effects upon International Policies ,

construct a

1900

analysis

The Story of War in South Africa, 1899-1900 , 1900 Retrospect and Prospect: Studies in International Relations, Naval and Political , 1902 Sea Power in Its Relations to the War of 1812 , 2 vols., 1905 From Sail to Steam: Recollections of Naval Life , 1907 Naval Administration and Warfare , 1908 The Harvest Within: Thoughts and Life of a Christian , 1909 Naval Strategy: Compared and Contrasted with the Principles and Practice of Military Operations on Land , 1911 Armaments and Arbitration; or, The Place of Force in the International Relations of States , 1912 The Major Operations of the Navies in the War of American

Independence

1913

,

Further Reading Pratt Julius Alfred Thayer Mahan ," in William T. Hutchinson ed., The Marcus W. Jernegan Essays in American Historiography Chicago : University of Chicago Press 1937 Puleston William D. Mahan: The Life and Work of Captain Alfred Thayer Mahan, USN New Haven : Yale University Press and London: Cape, 1939 Seager Robert II and Doris D. Maguire eds., Letters and Papers of Alfred Thayer Mahan 3 vols., Annapolis, MD : Naval Institute "

,

,

,

,

,

,

,

,

,

,

,

,

,

Press , 1975

Seager Robert II Alfred Thayer Mahan: The Man and His Letters Annapolis, MD : Naval Institute Press 1977 Taylor Charles Carlisle The Life of Alfred Thayer Mahan, Naval Philosopher New York : Doran and London: Murray, 1920 ,

,

,

,

,

,

,

Maitland,

,

F.W. 1850-1906

British medievalist F.W. Maitland

was one of the generation of late 19th-century historians following William Stubbs, whose work dominated English medieval history and focused it on constitutional issues for much of the 20th century. Eight years as a practicing lawyer gave him a different perspective and methodology from his contemporaries. He set the standard for professional historical scholarship through his careful study of legal records and shrewd identification of major themes. Maitland worked mainly on the 12th and 13th centuries: his view of the age of Henry II as that of the development of the Common Law, and the 13th century as the age of its codification, has been in detail, but not in outline. At Cambridge Henry Sidgwick, a student of John Stuart Mill, was an influential teacher. Maitland shared their liberal outlook and support for women's education. Like many educated people of his generation, his Protestant upbringing gave way to agnostic anticlericalism. He was a friend of Leslie Stephen, editor of the Dictionary of National Biography and father of Virginia Woolf. Maitland's wife Florence was a relative of Stephen and sister of H. A.L. Fisher the historian. Marital sustained him through the chronic ill-health of his adult life. In 1885 he became reader in English law at Cambridge through Sidgwick's patronage, and in 1888 professor. The wealth of documents in the Public Record Office was as yet little explored, and Maitland shared the general enthusiasm for its systematic ordering and publication. Unlike Stubbs

challenged

intellectual

happiness

remedies for wrongs at Common Law. Maitland provided the groundwork on which others built, notably S.F.C. Milsom, also lawyer turned historian, and H.G. Richardson and G.O. Sayles in their history of Parliament. His lawyer's tendency to argue his case from a narrow base of evidence led to flaws in other works. In Domesday Book and Beyond (1897) Maitland followed Round's theory that it was a geld, or tax book, a theory subsequently overturned by V.H. Galbraith, who saw it as a more wide-ranging enquiry. Maitland's methodological innovation, however, was to use the Domesday Book to shed light on the "beyond," or on the pre-conquest period. In Township and Borough (1898), another pioneering work, he underestimated the role of trade in the development of pre-conquest towns, focusing instead on the "garrison theory," and in Roman Canon Law in the Church of England (1898) his anticlericalism led him to conflict between church and crown. Maitland was fascinated by the shadowy figure of Henry de Bracton, a judge on King's Bench and supposed author of a 13th-century legal treatise. He associated other documents with this text, including Bracton's Note Book which he published in 1897, The evidence was later reworked by Samuel Thorne, who found that the case-materials contained in it were collected not by one man but over a number of In his last years Maitland was preoccupied by the recording legal precedents from the reign of Edward I. He overestimated their significance but his work identified them as student compilations made from notes taken in court. He edited three volumes of this material from Edward II's

overemphasize

generations. yearbooks reign.

Maitland's most widely-read book, The Constitutional History of England (1908), was published posthumously from lecture notes and reprinted many times. His influence resulted from the clarity and breadth of his scholarship. His knowledge of French and German law was considerable

comparative and he translated Otto Gierke's Political Theories

of the

Middle

Age (1900). His only research student was the distinguished scholar Mary Bateson, whose early death three weeks before his own deeply affected him. Despite ill-health, in 22 years of academic activity he published many works. He was a founder of the Selden Society, dedicated to the publication of legal records, and his valuable introductions to these volumes, as well as his main writings, have been of lasting significance. VIRGINIA Κ. BAINBRIDGE See also

Agrarian;

Britain; 1066-1485; Cam;

Legal; Milsom;

State

Biography Frederic William Maitland. Born London , 28 May 1850 Educated at Eton College; Trinity College, Cambridge, BA 1873, MA 1876. Barrister, Lincoln's Inn, 1876-84; reader in English law, Cambridge University, 1885-88, professor, 1888-1906. Married Florence Henrietta Fisher , 1886 (2 daughters). Died Las Palmas, Canary Islands , 19 December 1906 .

.

Principal Writings With Frederick Pollock , The History of English Law before the Time of Edward I, 2 vols., 1895 ; revised 1898 Editor, Bracton's Note Book: A Collection of Cases Decided in the King's Courts during the Reign of Henry the Third, 3 vols., 1897 Domesday Book and Beyond: Three Essays in the Early History of

England 1897 ,

Roman Canon Law in the Church of England: Six Essays , 1898 Township and Borough, 1898 Translator, Political Theories of the Middle Age , by Otto Gierke , 1900

The Constitutional History of

England

,

edited by H. A.L. Fisher ,

1908 The Collected Papers of Frederic William Maitland , edited by H. A.L. Fisher , 3 vols., 1911

Further Reading Bell Henry Esmond Maitland: A Critical Examination and Assessment London : A. & C. Black and Cambridge, MA: Harvard University Press, 1965 Cameron James Reese Frederic William Maitland and the History of English Law Norman : University of Oklahoma Press 1961 ,

,

,

,

,

,

,

,

Elton , G. R. , F.W. Maitland , London : Weidenfeld and Nicolson , and New Haven: Yale University Press, 1985 Fifoot , Cecil Herbert Stuart , and P.N. R. Zutshi , eds., The Letters of Frederic William Maitland , 2 vols., London : Selden Society,

1965 -95 Fifoot , Cecil Herbert Stuart , Frederic William Maitland: A Life , Cambridge, MA : Harvard University Press , 1971 Hudson , John, ed., The History of English Law: Centenary Essays on "Pollock and Maitland," Oxford and New York : Oxford

University

Press ,

1996

Milsom , S. F.C. , F.W. Maitland , Oxford : Oxford University Press ,

1982

Malay Annals

(Sejarah Melayu)

The Malay Annals, known in the Malay world as the Sejarah Melayu or the Sululatus Salatin, was called "the most famous, distinctive and best of all Malay literary works" by Sir Richard Winstedt, one of the most prominent scholars to study this work in detail during the last hundred years. Though Winstedt's assessment of the value of the work represents the personal view of a Western scholar, its popularity and distribution in various forms throughout the Malay world indicates that Malays have held it in similar esteem since

widespread its

original composition.

There is some debate regarding both the identity of the author of the Malay Annals, as well as its date of Western philologists have used critical techniques in attempting to identify the oldest form of the text and to develop a theory for the stages in compilation of the Malay Annals as it currently exists. In this endeavor, the almost thirty extant manuscripts have been consulted, as have the various printed

original composition.

editions which have appeared since the first version was published by Abdullah Munshi around 1931. Nevertheless, there is still no critical edition of the text. The core of the Malay Annals purports to record the history of the Malay Sultanate of Malacca from the time of its in the late 14th century to its fall to the Portuguese in 1511. Later versions also include historical accounts relating to other Malay kingdoms, including Johor and Siak, which postdated that of Malacca. As such, the Malay Annals a composite work in terms of both authorship and contents. Indeed, Roolvink has argued that the work was conceived as a list of the kings of Malacca. With the subsequent insertion of narrative sections, the Malay Annals developed into both a short and long version, and these came to form the basis of the various manuscript and printed editions in current circulation. The value of the work as a historical document has been debated at some length by both Western and Asian scholars. Western scholarship has tended to regard it as an idealized account of events in the medieval Malay world, rather than as a product of critical historiography as it is understood in the West. Detailed studies, such as that by Walls, have argued that the Malay Annals represented more a didactic tool for imparting behavioral principles (the need for rulers to be just and subjects to be loyal) rather than serving primarily to record objectively a series of historical events. Walls shows that the authors used the work to demonstrate the lesson that disaster (such as the fall of Malacca to the Portuguese) results directly from ignoring the balance between reciprocal loyalty (of subjects) and justice (of rulers). The validity of these is established by reference to Islamic scripture; thus, Malay history, tradition, and Islam are seen as completely in this framework. In this context the work's approach to history would be seen to be interpretive; the authors of the Malay Annals fine-tuned historical records in order to serve moral, ethical, and religious purposes. The Asian view of the work as a record of historical events tends towards diversity. Certain scholars such as Umar Junus argue that the Malay Annals presents a more reliable historical account than many of its literary contemporaries, such as the various hikayat, while still stopping short of claiming that its primary function is to record and present historical events. In contrast, school history curricula in Malaysia have at times accepted the work uncritically as a factual account of events as they occurred in Malacca during the 14th century. Attention has been refocused on the work in recent years in Asia, and new editions have been produced by Asian scholars (A.S. Ahmad 1979) to supersede the earlier Western studies by Shellabear (1898) and Winstedt (1938) and to re-establish Southeast Asia as the center of expertise on this important work. Thus the work is increasingly coming to assume a role in Malay identity formation and nation building. Nevertheless, regardless of whether events are related in the work with absolute accuracy, there is little doubt that the Malay Annals provides a valuable window onto life in the Malay Kingdoms of Malacca and Johor during the 15th century and subsequently. Malacca is depicted as a multicultural, thriving trading entrepôt, with contacts with China, India, and other regions in Southeast Asia. Islamic scholars are shown to visit from other parts of the Muslim world, and Sufi beliefs and

establishment

represents

originally

principles complementary

appear to have been firmly established in the depicted in the work. The work also demonstrates that

practices

community

Malay literary classics broadly contemporaneous with the Malay Annals were popular in Malacca, including Muslim works imported from other regions, such as the Story of Muhammad Hanafiyyah and the Bustanus Salatin (Garden of Kings). The work is also important in contributing to our about the spread of Islam to Southeast Asia. It that Islam was already established in the region prior to the conversion of Malacca's rulers. Moreover, the Malay Annals provides an insight into popular belief about the impetus for conversion, in portraying Malacca's rulers choosing to convert

"

Winstedt , Richard O. , The Malay Annals or Sejarah Melayu: The Earliest Recension from MS No. 18 of the Raffles Collection, in the Library of the Royal Asiatic Society, London ," Journal of the Malayan Branch of the Royal Asiatic Society 16 ( 1938 ) Winstedt , Richard O. , A History of Classical Malay Literature , Kuala Lumpur : Oxford University Press , 1969

understanding

suggests in response to the appearance of the

prophet Muhammad in dreams. Thus, the Malay Annals serves as an important to community life in the medieval Malay world, although its reliability as a record of specific historical events and

testament personalities is open question. to

PETER G. RIDDELL

See also Yamin

Further Reading Ahmad , A. S. , Sulalatus Salatin (Sejarah Melayu ), Kuala Lumpur : Dewan Bahasa dan Pustaka , 1979 " Blagden , C. O. , An Unpublished Variant of the Malay Annals ," Journal of the Malayan Branch of the Royal Asiatic Society 3

( 1925 ),

10

-

"

or

Society 29 ( 1956 ), 185 88 Hooykaas Christiaan Perintis Sastera (Guide -

,

,

,

to

Literature), Jakarta :

Wolters , 1953 " Iskandar, Teuku , Three Malay Historical Writings in the First Half of the 17th Century," Journal of the Malay Branch of the Royal Asiatic Society 40 ( 1967 ), 38 53 " Josselin de Jong , P. E. de, The Character of the Malay Annals ," in John Bastin , and Roelof Roolvink , eds., Malayan and Indonesian Studies, Oxford : Clarendon Press , 1964 Junus , Umar, Sejarah Melayu: Menemukan Diri Kembali ( The Malay Annals: Rediscovering Itself ), Kuala Lumpur : Fajar Bakti , 1984 " Kamaruzzaman Shariff, Sejarah Melayu as a Historical Source ," the Historical Journal of Society 2 ( 1963-64 ), 41 50 " Linehan , W. , Notes on the Text of the Malay Annals ," Journal of the Malayan Branch of the Royal Asiatic Society 20 ( 1947 ), -

-

107 16 -

" Roolvink , Roelof , The Variant Versions of the Malay Annals ," de tot Taal-, Land- en Volkenkunde 123 (1967 ), Bijdragen -

301 24

Shellabear, William Girdlestone , ed., Sejarah Melayu, or the Malay Annals , Singapore : American Mission Press , 1898 Situmorang , T. D. , and A. Teeuw, Sejarah Melayu menurut terbitan Abdullah (ibn Abdulkadir Munsji) (The Malay Annals According to the Edition of Abdullah ibn Abdulkadir Munsji) , Jakarta and Amsterdam : Djambatan , 1952 " Sweeney, P.L. Amin , The Connection between the Hikayat Raja Pasai and the Sejarah Melayu," Journal of the Malayan Branch of the Royal Asiatic Society 40 ( 1967 ), 94 105 Walls , Charles Bartlett , Legacy of the Fathers: Testamentary Admonitions and the Thematic Structure of the Sejarah Melayu , Ann Arbor, MI : Xerox University Microfilms , 1974 -

C. 1893-1979

University of

Kansas historian James C. Malin was one of the historians of his generation, publishing more than 15 books and 80 journal articles. Writing from the 1920s through the 1970s, he was a pioneer in the methodology and theory of local history, environmental history, demographic studies, and interdisciplinary research. Malin applied knowledge of plant and animal ecology, climatology, geology, geography, soil science, and anthropology to his historical studies thirty years before the modern subfield of environmental history caught up. He focused his research and writing exclusively on the Great Plains, and stands with Frederick Jackson Turner and Walter Prescott Webb as the third member of a triumvirate whose explanations have shaped our understanding of grassland most

prolific

history. Malin

52

Sejarah Melayu Malay Annals: A Translation of Raffles MS 18 ," Journal of the Malayan Branch of the Royal Asiatic Society 25 ( 1952 ) The Certificate History of Malaya, 1400-1965 , Kuala Lumpur : Preston , 1971 Gibson-Hill , C. A. , " The Malay Annals: The history brought from Goa ," Journal of the Malayan Branch of the Royal Asiatic Brown , C. C. ,

Malin, James

US environmental historian

prairie.

was

at

his best

analyzing

human

In Winter Wheat in the Golden Belt

adaptation to the of Kansas (1944),

presented the themes that underlay most of his work. Malin described an evolution of agricultural land use in the decades after initial settlement of the Great Plains. Farmers first attempted to replicate the crops and land management of the forested eastern US from which they had come. Because of much lower rainfall in Kansas, crops like corn failed repeatedly. Farmers experimented with various alternatives, eventually selecting soft spring wheat, and then hard winter wheat. As time went by they gave up their illusions of recreating eastern farms and adapted their planting to a new geographical setting. In spite of this emphasis on adjustment to environment, Malin was vehement in his dislike of determinism. He criticized Walter Prescott Webb's monumental The Great Plains (1931) as too rigid in attributing all human adjustments to climate. Malin, asserting the theory of possibilism, argued that while geography might limit human choices, it did not determine unique outcomes. People always have latitude for choice, he felt, and within any given environment may take many different paths. This "open space" approach meant that adaptation was and never-ending. Human cultures do not simply adjust until they reach some ultimate and final life-way, but go on forever changing along with their world. During the 1940s Malin wrote his most important books. They describe folk innovation as an attempt to adjust to low rainfall grassland environments in a context of open-ended possibilities. Essays on Historiography (1946), The Grassland of North America (1947), and Grassland Historical Studies (1950) form a trilogy which remain essential reading for historians. The methods Malin employed to tease out the history of common farmers were truly original. He relied primarily on small local newspapers from the 19th century, manuscript he

historical indeterminate

grassland

schedules of population and agriculture, and minutes of agricultural societies. He discovered that farmers discussed crop varieties, pest problems, farm machinery, and many other land management concerns in the pages of their village and at regular agricultural society meetings. Malin employed historical demographic techniques to link individual families in the population census to their farm records in the agricultural census, then traced those families at five- or tenyear intervals through consecutive censuses. In this way he recreated a web of individuals one township at a time, and was able to outline agricultural change, demographic turnover, and community evolution. He relied on these demographic studies to launch an attack on Frederick Jackson Turner's thesis, demonstrating that immigration to new frontiers did not follow the progression Turner had predicted. In many ways Malin was ahead of his time. His interest in the lives of obscure farm families predated the 1960s reorientation toward a "new social history." His use of scientific literature to connect past generations to the physical world around them anticipated precisely, in both method and theory, environmental history written since the late 1970s. Yet today Malin is little known to students of the American past. His obscurity stems from several quirks of character. Malin was a biting critic of many accepted historical doctrines. He openly indicted ideas and scholars he disagreed with. Beyond that, he was unwilling to work with publishers. Early in his career Malin decided that editors should not tell him how to write his books, and proceeded to publish the remainder of his work privately. These books tended to be too long, and their typescript text has an unfinished feel. What is more, Malin's corpus was not as widely distributed as it might have been by a regular press. Finally, Malin was a political maverick. At the height of his career he was at odds with Franklin Roosevelt's New Deal, and openly attacked its policies in his writing. He especially disliked the brain trust's application of what he considered fallacious history. According to Malin, New Dealers used inaccurate Turnerian "closed space" ideas to defend a replacement of farming on the Dust Bowl-ridden plains with "better adapted" ranching. Malin's crotchety personality, the disadvantage of self-publication, and the taint of political bias all have conspired to obscure what are in fact solid historical contributions. Still, James Malin is not forgotten. Historians of agriculture have recalled his influence from time to time, most recently in History and Ecology: Studies of the Grassland (1984), an anthology of Malin's most important articles edited by Robert P. Swierenga. Environmental historians also pay Malin his due. Richard White followed the Kansan's methodological lead in his acclaimed Land Use, Environment, and Social Change: The Shaping of Island County, Washington(1980). No one has so far superseded Malin's analysis of America's vast grassland interior. census

Principal Writings

newspapers

An Interpretation of Recent American History , 1916 The United States after the World War , 1930 John Brown and the Legend of Fifty-six , 1942 Winter Wheat in the Golden Belt of Kansas: A Study in Adaption to Subhumid Geographical Environment , 1944

-

-

frontier

historical

GEOFF CUNFER See also Environmental

Biography James Claude Malin. Born Edgley North Dakota, 8 February 1893 Received ΒΑ, Baker University 1914 ; MA, University of Kansas 1916, PhD 1921 Taught at University of Kansas, 1921-63. Died Lawrence, Kansas 26 June 1979 ,

,

,

.

,

.

.

.

Essays

on

Historiography 1946 ,

The Grassland of North America: Prolegomena to Its History , 1947 Grassland Historical Studies: Natural Resources Utilization in a Background of Science and Technology , 1950 The Nebraska Question, 1851-1854 , 1953 On the Nature of History: Essays about History and Dissidence , 1954

The Contriving Brain and the Skillful Hand in the United States: Something about History and the Philosophy of History , 1955 Confounded Rot about Napoleon: Reflections upon Science and Technology, Nationalism, World Depression of the EighteenNineties and Afterwards , 1961 A Concern about Humanity: Notes on Reform, 1872-1912 at the National and Kansas Levels of Thought, 1964 Ironquill: Paint Creek Essays , 1972 Doctors, Devils, and the Women: Fort Scott, Kansas, 1S70-1S90 , 1975

H.H. Sargent and Eugene F. Ware on Napoleon, 1980 Power and Change in Society , 1981 History and Ecology: Studies of the Grassland , edited and introduced by Robert P. Swierenga , 1984

Further Reading

" Bell , Robert Galen , James C. Malin and the Grasslands of North America ," Agricultural History 46 ( 1972 ), 414 42 " Johannsen , Robert W. James C. Malin: An Appreciation," Kansas Historical Quarterly 38 ( 1972 ), 457 66 " LeDuc , Thomas H , An Ecological Interpretation of Grasslands History: The Work of James C. Malin as Historian and as Critic of Historians ," Nebraska History 31 ( 1950 ), 226 33 White , Richard , Land Use, Environment, and Social Change: The Shaping of Island County, Washington, Seattle : University of Washington Press , 1980 Williams , Burton J. , ed., Essays in American History in Honor of James C. Malin , Lawrence, KS : Coronado Press , 1973 -

-

-

Mansi, Giovanni Domenico Italian

theologian

1692-1769

and editor

Early in Giovanni Domenico Mansi's career, he ran afoul of ecclesiastical censors when his first book, Tractatus de casibus et excommunicationibus episcopis reservatis (Treatise on Cases and Excommunications Reserved to Bishops, 1724) drew charges of a lack of rigor. Chastened, he turned from writing to translating and editing, producing a Latin translation of Calmet's Dictionnaire de la Bible (1725-38), a new edition of Caesar Baronius's Annales ecclesiastici and the companion Continuatio annalium by Odoricus Raynald (38 vols., 173859), and an edition of Noël Alexandre's Historia ecclesiastica (9 vols., 1749). In 1758 he incurred the wrath of pope Clement VIII by participating in a project to annotate Diderot's Encyclopédie so as to render it harmless to faith and morals. Pressed by the pope to concentrate on safer projects, he pointed to his Sanctorum conciliorum et decretorum collectio nova (The New Collection of the Holy Councils and Decretals, 1748-52) updating and extending collections of materials on

the Ecumenical Councils. From that time to his death Mansi concentrated on conciliar documents, the work for which he is remembered. Mansi

was an

indefatigable collector, journeying throughout

Italy and maintaining correspondence with agents in Vienna, Rome, and Milan to seek materials. Yet he was also occupied throughout his life with pastoral duties, including archiepiscopal responsibilities after 1765. When he turned to his chef d'oeuvre, the Sacrorum conciliorum nova et amplissima collectio (The New and Most Complete Collection of the Sacred Councils), his scholarly shortcomings became glaringly evident. By reproducing editions of earlier compilers without providing tables or indices, he produced an unwieldy mass of documents to which he added errors rather than correcting the flaws in earlier editions. Delighted to be able to unite so many documents in a single compilation, he overlooked the need for critical editing, avoided revising or correcting, had little of the significance of variant readings, and provided a system of noting them that was more confusing than In some places, he seems to have missed the point of commentaries by previous redactors and occasionally omitted documents, seemingly due to carelessness rather than to any sinister purpose. In using David Wilkins' Concilia Magnae Brittaniae et Hiberniae, for example, he omitted copying the sentence in which Wilkins gave the date of a council held at London in 1268 with the papal legate Ottoboni presiding. Wilkins included Ottoboni's constitutions in some manuscripts but not in the edition of his work published by Coleti. Mansi included extracts of the constitutions from Wilkins' in his first collection, but in his second collection the Coleti version omitting the constitutions. When reporting the 1271 Council of Reading, Mansi included mention of a meeting held by the bishops of the Canterbury province to contest the claims of the metropolitan chapter regarding procedures to be followed when the see was vacant. Unlike Wilkins, however, Mansi did not describe the reached between the bishops and the chapter in 1278 settling the question. In using Edmond Martène's Veterum scriptorum amplissima collectio, Mansi failed to include more than half the documents of the Council of Pisa given in volume 7. From Martène's Thesaurus novus anecdotorum Mansi some synodal statutes while excluding others just as interesting and significant, with no mention of how or why he was making his choices (or, indeed, that he was making them at all). Even when transcribing a document as well-known as The Rule of St. Benedict, Mansi lapsed repeatedly. For all of this, his collection rendered conciliar documents more than earlier collections because of its scope and and it is significant that modern scholars preferred to carry on his work rather than revise it from the outset.

Principal Writings '

Tractatus de casibus et excommunicationibus episcopis reservatis ( Treatise on Cases and Excommunications Reserved to Bishops ), 1724

Sanctorum conciliorum et decretorum collectio nova ( The New Collection of the Holy Councils and Decretals ), 6 vols., 1748-52 Sacrorum conciliorum nova et amplissima collectio (The New and Most Complete Collection of the Sacred Councils ), 31 vols., 1759-98[reprinted and continued by L. Petit and J. B, Martin , 53 vols., Paris : 1901 27 ) Carmen elegiacum de vita sua , edited by Aldo Marsili , 1984 -

Further Reading Leclercq Henri Jean-Dominique Mansi ," Dictionnaire d'archéologie chrétienne et de liturgie Paris : Letouzey 1907-53 Quentin Henri Jean-Dominique Mansi et les grandes collections conciliares ( Mansi and the Great Concilian Collections ), Paris : "

,

,

,

,

,

,

Leroux , 1900

appreciation

enlightening,

manuscripts

reproduced

agreement

reproduced

accessible

completeness JOSEPH

M. MCCARTHY

See also Catholicism; Muratori

Manzoni, Alessandro

1785-1873

Italian poet and novelist One of the most renowned Italian authors of the

19th century unified Italy, Alessandro Manzoni is most famous for his historical novel I promessi sposi (1827; The Betrothed, 1844), which had immense appeal to the nationalist sentiments of the Risorgimento and is a masterpiece of world literature. His use of history to construct works of fiction went beyond the adaptation of myths or legends to suit a particular theme. Instead he sought to use "real" history as derived from documentary sources to create dramatic works that placed individual characters in a concrete historical setting furnished with an unprecedented accuracy of detail and brought fiction to a higher level of historical consciousness. Manzoni was born into an intellectual and politicallyminded Milanese family of the lesser nobility. Educated in a series of religious boarding schools in the Lombardy region, he returned to Milan in 1801 to gravitate around republican intellectual circles and befriend the likes of the poet Vincenzo Monti and the revolutionary historian Vincenzo Cuoco. This early period was to produce in Manzoni the strong ideals and historical sensitivity that would characterize his future literary achievements. From 1805 to 1810 he lived in Paris where he met Idéologues philosophers and engaged in philosophical and political debate. Some time during this period he was converted to the Roman Catholicism he had denied and criticized strongly in his youth. His conversion and subsequent Christian fervor led him to admire the idealism of Romantic writers as an antidote to what he saw as the barren rationalism and empty skepticism of Enlightenment thought. Like many Romantics of his time, Manzoni greatly admired the works of Shakespeare and Walter Scott for their use of themes to create great dramas, and he drew on the German Romantic theorist August Schlegel for ideas of organic form. He was also influenced by the new French represented by such figures as Guizot and Augustin Thierry who proclaimed their discipline a "science" and focused on the history of the lower classes, and on art and customs, rather than and

an

impassioned patriot for

a

considered

humanitarian

historical

Biography Born Lucca, 16 February 1692 Entered the Marian Fathers 1708 ; professed, 1710 Taught moral theology in Naples before founding an academy for church history and liturgy in Lucca. Considered by Clement XIII for elevation to the cardinalate in 1758 Created archbishop of Lucca in 1765. Died Lucca, 27 September 1769 .

,

.

.

.

historiography

and battles. Such influences were to produce in preoccupation with finding universal and "poetical" truths in the particularism provided by historical study. Manzoni wrote his greatest works precisely in the early years of the Risorgimento when Italians were searching for a national identity to which history and historical subjects could contribute. The historical tragedy II conte di Carmagnola (The Count of Carmagnola, 1820), which recounted the story of the life of a 15th-century soldier of fortune unjustly executed that of

kings

Manzoni

a

for treason, illustrated a general theme that reflected Manzoni's observation of Italy's national political scene innocence crushed by the sheer weight of political power. The tragic play Adelchi (1822), clearly influenced by the works of Shakespeare, was likewise fused with nationalist sentiments as it focused on themes of the Italian race conquered and oppressed by more powerful neighboring forces. (It might be noted that Manzoni refused all official honors offered to him until the Austrians no longer dominated the peninsula in 1860). To this first "Romantic" period of his writing, which extended from around 1810 to the commencement of the revisions of The Betrothed in 1827, belongs his Discorso sopra alcuni punti della storia longobardica (A Discourse on Some Points of Lombard History, 1822), Manzoni's first and perhaps best contribution to Italian historiography, which served as a historical supplement to Adelchi. Here Manzoni identified the outstanding historians of the Middle Ages and ranked the meticulously factual Ludovico Muratori alongside the more philosophically speculative Giambattista Vico, the union of the two different styles. In the Lettre à M. Chauvet (1820; published in Paris, 1823), an essay on the use of history in literary works written in response to a Paris review of II conte di Carmagnola, Manzoni equated the with the "Romantic," using the terms interchangeably, and he observed that historiography was about to become a science, destined to affect the literary arts profoundly. He defined history as documented facts interpreted and shaped by more universal principles of human thought, proposing that the historian and poet share a single methodology of organizing facts around (Kantian) categories already formed in the human mind, such as cause and effect, space and time. His later writing moved away from literary creativity and further toward theoretical issues of literature and art, including more profound attempts to identify historical truth. This is exemplified in the Storia della colonna infame (1840-42; The Column of Infamy, 1845) which consisted of a digression that begins from within the story of The Betrothed, but moves further away from the fictionalism of the novel and is more a judicial-style narrative inquiry, informed by well-documented research and conducted by a dramatized narrator with a strong ideological bent. His later long essay, Del romanzo storico (1845; On the Historical Novel, 1984), represented Manzoni's more mature thought on the subject, deeply probing the of history to literature and ruminating on the of the historical novel during his lifetime in a discourse infused with classic Aristotelian understandings of history and poetry in the pursuit of truth. The more profound of the divergence between the requirements of literary form and those of historical accuracy expounded in On the Historical Novel somewhat contradicts many of the optimistic statements of the possibilities of "historical poetry" found in -

linguistic

encouraging

"historical"

relationship

popularity appreciation

the earlier Lettre à M. Chauvet, concluding here that, "A great poet and a great historian may be found in the same man without creating confusion, but not in the same work." Manzoni often used the device of authorial commentary within the text in challenging the reader to verify the of his account of events or historical personages. Examples of this can be found in the first chapter of The Betrothed when Manzoni describes the dress of the Lombard Bravi, a certain type of bandit that flourished in the16th and 17th centuries in northern Italy, and then continues to give two and a half pages of quotations from historical documents to justify his description to the reader. The same technique is applied in his account of the plague. In II conte di Carmagnola,

truthfulness

Manzoni

supplied

a

special explanatory preface containing

historical information not included in the drama. Such stemmed from Manzoni's desire to communicate with complete honesty and truthfulness to his audience and served to elevate the latter from the role of passive spectator to companion of the author, forced to consider and judge the events as the author himself has witnessed them from

techniques

documentary sources.

Manzoni's romanticism and

religiosity led him

but instead

not to an

overwhelming providentialism, gaze on the general principles governing human conduct which were to be understood without needing insights to a more

anthropological

into divine Providence. He accepted Vico's position that history, although consisting primarily as an idea in the mind of God which is realized in the course of time, was also committed to the psychology of human choice for its full realization. When it came to understanding historical development, Manzoni's theological fatalism was too tempered by his belief in

individual human responsibility for intrude, it to

Manzoni's later years

devoted more to linguistics and the problem of standardizing the Italian language, for which he was made president of an official commission by the Italian government in 1868, culminating in such works as Dell'unità della lingua e dei mezzi di diffonderla (On the Unity of the Language and the Means to Diffuse It, 1868), Lettera intorno al vocabulario (On Vocabulary, 1868), and a series of similar essays intended to be synthesized into a larger work, "Della Italiana" (On the Italian Language). Manzoni's fame is owed more to his fiction than his historiographical speculations. However the sense of historical inquiry evident in his literary creations and theoretical treatises not only signified new on behalf of the author to the past and the representation of it, but also reflected his audience's growing preoccupation with understanding historical development. were

attitudes

NICHOLAS EVERETT

Biography Alessandro Francesco Tommaso Antonio Manzoni Born Milan, 7 March 1785 ; from a family of lesser nobility and conservative politics ; his parents separated in 1792. Educated in religious boarding schools at Merate , Lugano, Magenta, and Milan. Returned to Milan in 1801 and began friendship with Vincenzo Monti before living in Paris, 1805-10; converted to Catholicism; returned to Milan, 1810 Made Senator,1860. President of commission for a unified Italian language , 1868. Granted honorary Roman citizenship, 1872. Married 1) Henriette Blondel, 1808 (died 1833; 8 children survived infancy); 2) Teresa Borri, 1837. Died Milan, 22 May 1873 .

.

.

Principal Writings Il conte di Carmagnola (The Count of Carmagnola ), 1820 Lettre à M, Chauvet ( Letter to M. Chauvet ), written 1820;

published 1823 Adelchi , 1822

punti della storia longobardica in Italia (A Some Points of Lombard History in Italy ), 1822 I promessi sposi , 1827 ; in English as The Betrothed , 1844 Storia della colonna infame, 1840-42 ; in English as The Column of Discorso sopra alcuni

Discourse

on

Infamy 1845 ,

Del romanzo storico e, in genere, de' componimenti misti di storia d'invenzione 1845 ; in English as On the Historical Novel , 1984 L'opera di Alessandro Manzoni, edited by Alberto Chiari , 2nd edition revised, Turin : Eri , 1967

e

Further Reading Barricelli Jean Pierre Alessandro Manzoni Boston : Twayne 1976 Battaglia Salvatore Il realismo dei "Promessi sposi" ( Realism in The Betrothed ), Naples : Liguori 1963 Bermann Sandra Introduction, to Alessandro Manzoni On the Historical Novel Lincoln : University of Nebraska Press 1984 Cavallini Giorgio Lettura dell' "Adelchi" e altre note manzoniane (A Reading of Adelchi and Other Notes on Manzoni ), Rome : Bulzoni, 1984 Ceroni Vittorio The Italian Thinker of the Nineteenth Century: New York : La Lucerna 1945 Alessandro Manzoni (1785-1873) Chandler S. Bernard Alessandro Manzoni: The Story of a Spiritual Quest Edinburgh: Edinburgh University Press 1974 Colombo Umberto Alessandro Manzoni Rome : Paoline 1985 ,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

Colquhoun

,

,

,

Archibald , Manzoni and His Times , London : Dent ,

1954

De Lollis , Cesare , Alessandro Manzoni e gli storici liberali francesi della Restaurazione ( A. Manzoni and the French Liberal Historians of the Restoration ), Bari : Laterza , 1926 ; reprinted Rome: Istituto storico italiano per l'eta moderna e contemporanea, 1987 Gabbuti , Elena , II Manzoni e gli Ideologi francesi ( Manzoni and the French Idéologues), Florence : Sansoni , 1936 Gentile , Francesa , ed., Manzoni, il suo e il nostro tempo ( Manzoni, His Time and Labors ), Milan : Electa , 1985 Getto , Giovanni , Manzoni europeo ( Manzoni the European ), Milan : Mursia , 1971 Ginzburg, Natalia , La famiglia Manzoni , Turin : Einaudi , 1983; in English as The Manzoni Family , New York: Seaver, and Manchester: Carcanet, 1987 Lukács , Georg , A Történelmi regény , Budapest : Magveto Kiado , 1947 ; in English as The Historical Novel , London : Merlin Press , 1962 ; Boston: Beacon Press, 1962 Matteo , Sante , and Larry H. Peer, eds., The Reasonable Romantic: Essays on Alessandro Manzoni , New York : Lang , 1986 Ulivi, Ferruccio, Manzoni, Milan: Rusconi, 1985

central concern, as perhaps befits a scholar trained in law and the social sciences rather than in history, was to trace the origins of modernity in the intellectual, ideological, literary, and scientific writings of the Renaissance and Golden Age. While this quest for the emergence of the modern state and the modern mind sometimes lent a teleological cast to Maravall's enterprise, his works were based on an breadth of reading in the literary production of early modern Spain. Political and legal treatises, polemics and pamphlets, institutional regulations, devotional and theological works, histories and genealogies, plays, poems, autos, and these were the novels, of good, bad, or indifferent quality voluminous and varied sources of Maravall's histories, and few historians of any nationality could match his facility in drawing together disparate contemporary writings to illustrate a larger vision of the mentality of an age. All subsequent students of early modern Spain are in Maravall's debt for his manifold contributions to the field. Whether it is a question of understanding the guiding ideas of Habsburg statecraft, of tracing the vicissitudes of the idea of progress in a society that treasured custom and continuity, or of linking picaresque literature to a specific social context, Maravall's books abound with shrewd delineations and of problems lying at the confluence of social, cultural, and intellectual history. Perhaps more significant in the long run, however, are the attitudes and approaches that he bequeathed to scholars in his own country and beyond. First, and against powerful scholarly and ideological Maravall asserted throughout his long career that Spain could be understood only in the context of Europe. In this, he followed the Europeanizing intellectual lead of José Ortega y Gasset, the pre-eminent figure of Spanish letters in his youth and early maturity, and briefly his own teacher in 1933-34. In his approach to history, though, Maravall rejected Ortega's most forcibly expressed in España invertebrada (1921) that through the centuries Spain had been crippled by historical defects. Rather than viewing Spain as a deficient and peripheral European nation, Maravall made a powerful case for his country's role in the forefront of Western development, and particularly in the elaboration of the modern state. His related insistence that the study of the Spanish past should no longer be obscured by quasi-historical notions of a unique destiny, or of an immutable national character, or of a centurieslong cultural dysfunction stemming from self-defeating brought Maravall into conflict amicable but sharply expressed with two more intellectual giants of the preceding generation, Claudio Sánchez-Albornoz and, Américo Castro. In a barbed rebuke to scholars who prided themselves on their opposition to rightist obscurantism, Maravall spoke (to M.C. Iglesias in 1983) of the phenomenon of "américo-castrismo," whose academic devotees "have displayed a tendency to gaze at their navels and to believe that everything in Spain is utterly distinct. One could even say that the slogan 'Spain is different,' that the Ministry of Tourism came in the Francoist era, really contains a philosophy that is with up that of américo-castrismo." Second, Maravall championed and pursued in his own major works an approach that he came to call "historia de las mentalidades" quite distinct, in its overwhelming concentration which on literate elites, from the social history of mentalités

incomparable -

analyses

political,

opposition,

judgment

-

-

congenital

intolerance, nonetheless -

-

Maravall, José Antonio Spanish

1911-1986

intellectual historian

The immensely prolific José Antonio Maravall was the leading Spanish historian of ideas of his generation and a major figure in the intellectual life of Spain during the half-century that encompassed the Civil War, the Franco regime, and the to democracy following the dictator's death in 1975. Although three of his nearly thirty books as well as numerous occasional pieces dealt with more recent historiography and literature, the bulk of Maravall's work focused on Spanish thought and culture in the 15th through 18th centuries. His

transition

especially,

lamentable

-

-

y modernos: la idea de progreso en el desarrollo inicial de sociedad ( Ancients and Moderns: The Idea of Progress in the Development of a Society ), 1966 Estudios de historia del pensamiento español ( Studies in the History of Spanish Thought ), 3 vols., 1967-84 Estado moderno y mentalidad social (siglos XV a XVII) (The Modern State and Social Mentality from the 15th through the

produced striking insights into early modern culture. This method entailed extracting not just individual ideas but more general preconceptions from the array of contemporary texts that were Maravall's primary sources, to the end of how, in a given context, mental processes shaped behavior and material reality. His most ambitious work in this vein was La cultura del barroco (1975; Culture of the Baroque, 1986). Here he attempted a general interpretation of the Spanish and European culture of the 17th century, conceived as a unity, a "historical structure" in the book's subtitle. By this term, Maravall meant "the image or mental construction

Antiguos

which shows us a linked array of incidents endowed with an internal articulation, a framework that systematizes and the meaning of the complex network of relationships between such incidents." For Maravall, the historical structure of the Baroque was a near-seamless web of control exerted by the supreme absolutist state acting in concert with church and aristocracy to shape mental and cultural resistance to the threatened by economic depression and sharpening social conflict. Like any grand interpretation, Maravall's Baroque has come in for criticism, primarily that he overstated elite and the possibility of dictating culture from above. Despite its flaws, however, the book has been widely influential, not least as a catalyst of the recent restoration of the concept of the Baroque to the vocabulary of historians after its long exile among literary critics and art historians. Finally, by his example of intellectual distinction and probity in an academic environment depleted by the loss of talent to post-Civil War exile and tarnished by the political promotion of sycophants and mediocrities, Maravall helped to sustain serious intellectual life in Spain during the long decades of the Franco era. During his extended sojourns as a visiting professor in France and the United States, Maravall broadened his own horizons while nurturing institutional connections and personal contacts that proved useful to younger Spanish scholars. His legacy extends beyond his impressive body of published as John Elliott observed in 1987, Maravall "did much to liberalize intellectual life during the later years of the Franco regime and to prepare a new generation for the restoration of

y contrautopía en el Quijote , 1976 ; in English as Utopia and counterutopia in the "Quixote ," 1991 La literatura picaresca desde la historia social (siglos XVI y XVII) (The Picaresque Literature of the 16th and 17th Centuries from the Perspective of Social History) , 1986

determining multifaceted -

-

captures

turmoil

cohesion

scholarship; democracy." JAMES

M. BOYDEN

Biography José Antonio Maravall Casenoves. Born Játiva near Valencia, 1911 Taught at University of Madrid 1932-36, 1944-49, 1955-81 (emeritus); director, Colegio de España, University of Paris, 1949-54. Married María Teresa Herrero (1 daughter, 3 sons). Died Madrid, 19 December 1986 .

,

.

Principal Writings Teoría del estado en España en el siglo XVII ( The Theory of the State in 17th-century Spain ), 1944 El concepto de España en la Edad Media ( The idea of Spain in the Middle Ages ), 1954 ; 3rd edition 1981 Teoría del saber histórico (A Theory of Historical Knowledge ), 1958 Carlos V y el pensamiento político del Renacimiento ( Charles V and the Political Thought of the Renaissance ), 1960 Velázquez y el espíritu de la modernidad (Velázquez and the Spirit of Modernity), 1960 Las Comunidades de Castilla: una primera revolución moderna ( The Comuneros of Castile and the First Modern Revolution ), 1963

una

17th Centuries) 2 vols., 1972 oposición politica bajo los Austrias ( The Political Opposition under the Spanish Habsburgs ), 1972 ,

La

La cultura del barroco: análisis de

English

una

estructura histórica , 1975 ; in

Culture of the Baroque: Analysis of

as

a

Historical

Structure , 1986

Utopía

Further Reading Elliott J. H. Concerto Barocco ," New York Review of Books 34/6 { 9 April 1987 ), 26 29 Iglesias María del Carmen Conversación con José Antonio Maravall ( Conversation with José Antonio MaravalL ), Cuadernos hispanoamericanos 400 ( October 1983 ), 53 74 Iglesias María del Carmen Noticia biográfica" (Biographical Notice) and "Bibliografía (Bibliography), in María del Carmen Iglesias Carlos Moya and Luis Rodríguez Zúñiga eds., Homenaje a José Antonio Maravall 3 vols., Madrid : Centro de Investigaciones Sociológicas 1985 vol. 1 17 41 Cómo he visto y sigo viendo nuestros Maravall José Antonio Cuadernos ( How I Have Seen and Continue Seeing Our Cuadernos hispanicos ), Cuadernos hispanoamericanos 400 ( 1983 ), "

,

,

-

"

,

,

"

-

"

,

,

"

,

,

,

,

-

,

,

,

"

,

,

"

47 52 -

·

Marczali, Henrik Hungarian

1856-1940

historian

A student and great admirer of

Leopold von Ranke, and a Henrik Marczali was the first Hungarian historian with the ability, the broad knowledge, and the professionalism to write useful general accounts of both European and Magyar history. He was a specialist in early medieval history, particularly the rule of the Arpád dynasty from the loth to the 13th centuries. He has been most acclaimed, however, as an expert on 18th-century Hungary. In 1910 the English version of his book on the age of Joseph II was hailed in Britain as "the highest achievement of Magyar scholarship." In addition, he wrote extensively on European history from the Reformation to the 19th century. In a unique work of Macaulay, disciple outstanding of

Hungarian historiography, A Legújabb Kor Története (History of Our Times, 1898), he ventured a synthesis of contemporary international and Hungarian history in the period from 1820 to 1880. Although the elaborate and more original Hungarian chapters are not woven seamlessly into the main narrative, Marczali was able to give a coherent liberal view of both Magyar and World history.

began his academic career as a scholar of geography. early 1870s Budapest offered no specialist university

He

the

In

historians, training for

and it was as

a

result of his studies in German,

French, and English universities that Marczali changed his discipline. He was especially fortunate to receive instruction

from the

leading experts on the critical analysis of primary just at the time when the first archives were opened in Budapest and the papers of the state administration were made available to researchers. The humble son of a village rabbi, sources,

Marczali had one-to-one tutorials from the German "historianking" Ranke. The young scholar's academic mentors his zealous pursuit of archival work and his keen interest in primary sources, which included both medieval manuscripts and modern papers. Although some Marxist critics labeled Marczali as "positivist," recent works explain his obsession with original material in terms of his professionalism. His first scholarly achievement was an essay on the Gesta Hungarorum, a crucial but disputed source on the early history of the Magyars. With the comparison of various chronicles he proved that the author, known in Hungarian historiography by the Latin name Anonymus, was the notary of King Béla IV (1235-70). The essay was written during Marczali's studies in Berlin and it was first published in Germany as a fine example of the comparative method in the historical analysis of medieval sources. It was characteristic of Marczali that in parallel to his studies of the Middle Ages he began to work on modern history and researched Prussian-Hungarian in 1789-90 in German archives. From the very of his career, he evenly divided his attention between medieval and modern topics. Marczali's reputation in Hungary was established by his 3volume Magyarország története II. József korában (History of Hungary during the Reign of Joseph II, 1885-88), the fruit of ten years of archival research. In the introduction, the young author claimed to have consulted about 70,000 files from a that was only one of his major sources. For all that, the originality of his work lay as much in interpretation as in its vast documentation. He argued that the 18th century was a period in which Hungary was able to gather strength and make economic progress. He later developed this theme in his biography of Maria Theresa, portraying the reign of the empress as an era of peace and calm. In Az 1790-1791 országgyűlés története (History of the Diet of 1790-1791, 1907), he praised the quiet and little acknowledged work of two generations before the national reawakening. At the same time Marczali was the first historian to propose that economically Hungary was no more than a colony of Austria. As a supporter of the Ausgleich, he tried to strike a balance between pro-Austrian and Magyar nationalist views. He sided neither with the Protestant nor with the Catholic schools of traditional Hungarian Consequently, he was described by English liberals such as G.P. Gooch as the first Magyar scholar who "broke the shackles of narrow patriotism." Marczali's career reached its peak towards the end of the 19th century. He wrote three of the ten volumes of A magyar nemzet története (History of the Hungarian Nation), the most monumental project in Magyar historiography to date, to with the millennial celebrations of the foundation of the Hungarian kingdom. He then wrote half of a 12-volume world history single-handedly. In addition he became a professor and held the first and most popular history seminar at the university in Budapest. Yet, in the early years of the 20th century his popularity gradually waned. After World War I Marczali came to be marginalized both politically and professionally, ultimately losing his university

encouraged

relations

beginning

collection

crucial

living

historiography.

coincide illustrated

In the early 1920s he even came into conflict of his former students. He criticized them for founding a Magyar school of the history of ideas. this academic debate, on his death Marczali's credentials and accomplishments were reassessed and celebrated by a prominent historian of ideas, the most famous of his ex-students, Gyula Szekfű. post and

with

pension.

some

Notwithstanding scholarly

GÁBOR BÁTONYI

Biography Born Marcali 1856 Studied at University of Budapest then studied in Vienna, Paris, and Berlin. Professor, University of Budapest, from 1895 Dismissed because of political views, 1918. Died Budapest, 1940. ,

,

,

.

Principal Writings Magyarország története II. József korában (History of Hungary during the Reign of Joseph II ), 3 vols, 1885-88 ; abridged in English as Hungary in the Eighteenth Century 1910 Mária Terézia, 1717-1780 1891 A magyar nemzet története ( History of the Hungarian Nation ), 1895-98 [3 vols, of 10] A Legújabb Kor Története ( History of Our Times ), 1898 Az 1790-1791 országgyűlés története ( History of the Diet of 1790-1791 ), 2. vols., 1907 Hungary in the Eighteenth Century 1910 ,

,

,

Further Reading Gunst , Péter, Introduction to Marczali's Világtörténelem /Magyar történelem ( World History/Hungarian History ), Budapest : Gondolat , 1982 Gunst , Péter, A magyar történetírás története ( The History of Hungarian Historiography ), Debrecen : Csokonai Kiadó , 1995 " Lederer, Emma , Marczali Henrik helye a magyar polgári " történettudományban ( Henrik Marczali's Place in the Hungarian Bourgeois Historiography ), Századok , 3-4 ( 1962 )

Maritime

History

"The sea isolates and connects at the same time," declared Michel Mollat du Jourdin in L'Europe et la mer (1993; Europe and the Sea, 1993), an observation true of maritime history itself. The field's origins, especially in Britain and North America, lay in the belief that naval and non-naval maritime activities should be separate. The British journal Mariner's Mirror, for example, was founded in 1911 to promote support for a strong Royal Navy. The Mirror now carries articles on all aspects of maritime enterprise, but earlier non-naval felt marginalized; this led to the establishment of a "maritime history" dedicated to the economic and social features of humanity's interaction with the sea. A comparison between Oppenheim's Maritime History of Devon (1922) and Duffy et al.'s New Maritime History of Devon (1992) tells the story. Oppenheim's work focused entirely on the naval of the south Devon coast, whereas the authors of the New Maritime History described activities from smuggling and privateering to marine science and labor relations throughout the region. In Britain and the United States before the 1960s, professional maritime historians studying non-naval subjects tended to

specialists

establishments

economic or transport history, while seafaring reminiscences and narratives enjoyed great popular interest.

identify with

two problems: the identification of "maritime and the defence of its academic distinct business history in the 1950s, some the rise of During economic historians began focusing on the study of shipping companies; in Britain, Hyde's Blue Funnel (1957) founded a "Liverpool school" of maritime business history. An emphasis on corporate organization and tactics still characterizes Japanese maritime history, as in Tsunehiko Yui and Keiichiro Nakagawa's

Here

were

field, history" as a

credibility.

Business

History of Shipping (1985).

Other economic historians, notably Davis in The Rise of the English Shipping Industry (1962), noted the absence of detailed primary research and quantitative analysis in the studies approach, and called for a study of maritime labor as well as corporate strategy. In North America too, economic historians lamented the lack of original research on the American and Canadian merchant marine. Change began in the 1960s and 1970s under Ernest Dodge's 18-year editorship of The American Neptune, a journal that began to reflect Dodge's belief, quoted in Runyan's "The American Neptune" (1991), that "maritime history bridges the spaces between academia, sport, and industry." European maritime history avoided many of these and identity problems, mainly because naval history did not predominate at the expense of other specialties. In the Netherlands, an officially sponsored "Committee for Sea History" was inaugurated in 1933, at a time when most governments in the English-speaking world funded only naval history. Paris hosted the first International Maritime History Symposium in 1956, and French maritime historian Michel Mollat du Jourdin was president of the International for Maritime History for 25 years. The establishment in 1986 of the International Maritime Economic History Association helped emphasize the field's growing stature, and prompted the launch of an International Journal of Maritime History in 1989. Its articles reflected the international, interdisciplinary approach of historians such as Rediker, whose Between the Devil and the Deep Blue Sea (1987) did much to bring neglected aspects of social and labor studies to the fore while sparking a lively debate about Marxist methodology. Other historians have questioned gendered assumptions about maritime enterprise, and balanced a popular literature with the quantitative analysis of whaling, tramp shipping, and privateering. The most notable recent development has been the study of

business

methodological

Commission

swashbuckling

ever-larger

maritime environments. In the

comparative study

of port towns, or in regional history, political and economic issues are fleshed out by studies of marine science, family life, and historical geography. Quantitative analysis is combined with the written and oral records in collaborative works such as Fischer and Minchinton's People of the Northern Seas (1992), a comparison of maritime social histories from the north Pacific to the Baltic, or in team-produced studies of southwest England and Atlantic Canada. Not all maritime regions have prompted such interest, or been so suitable for unified study. Australian historians, by the frontier thesis, have only recently begun to explore the history of Australia as an island. Only after Blainey's The Tyranny of Distance in 1966 did debate begin about the

preoccupied

effect of

transport

ocean

on

the development of Australia's

economy. Australian historians have also worked with South Asian colleagues on Indian Ocean history, but unlike the

Mediterranean or Atlantic, this ocean is bounded by countries with radically different maritime histories. Here Broeze's Brides of the Sea (1989) suggested the comparative study of port cities, rather than a unified economic or social analysis. This raises one of the most pressing questions facing historians today: is there a distinctiveness about seafarers and their communities that can be identified and analyzed? Like all other historical fields, maritime history has been influenced by cultural studies, and Scandinavian historians have led the way in blending anthropological and historical techniques to uncover a "maritime culture," as in Weibust's Deep Sea Sailors (1969). Meanwhile, the relatively new field of marine is adding material evidence of shipbuilding techniques and shipboard life to the interdisciplinary brew. The sea more than it isolates; Philip D. Curtin, in his introduction to Knight and Liss' Atlantic Port Cities (1991), invoked a "web of solidarity" that defines and links the identity of maritime communities. At a time when global perspectives, international collaboration, and interdisciplinary flexibility are often sought but seldom found, maritime history is seizing the opportunities of a subject that recognizes few boundaries.

maritime

archaeology connects

JANE See also European Southeast Asia

Expansion;

Indian Ocean;

SAMSON

Mahan; Naval;

Further Reading Bach John Maritime History of Australia Melbourne : Nelson 1976 Bass George F. ed., Ships and Shipwrecks of the Americas: A History Based on Underwater Archaeology London and New York : Thames and Hudson 1988 Blainey Geoffrey The Tyranny of Distance: How Distance Shaped Australia's History Melbourne : Sun 1966 London: Macmillan, and New York: St. Martin's Press, 1968; revised 1982 Broeze Frank ed., Brides of the Sea: Port Cities of Asia from the 16th-20th Centuries Kensington : New South Wales University Press and Honolulu: University of Hawaii Press, 1989 Broeze Frank ed., Maritime History at the Crossroads St. John's, Newfoundland : International Maritime Economic History ,

,

,

,

,

,

,

,

,

,

,

,

,

.

,

,

,

,

,

,

,

Association , 1995 " Davies , Peter N. , and Sheila Marriner, Recent Publications and Developments in the Study of Maritime Economic History,"

Journal of Transport History

9: 1

( 1988 ),

93 108 -

Davis , R. , The Rise of the English Shipping Industry in the Seventeenth and Eighteenth Centuries , London : Macmillan , and New York: St. Martin's Press, 1962 Duffy , Michael , Stephen Fisher , Basil Greenhill , David J. Starkey, and Joyce Youings , eds., The New Maritime History of Devon , 2 vols., London : Conway, 1992 Fischer, Lewis R. , and Helge W. Nordvik , eds., Shipping and Trade, 1750-1950: Essays in International Maritime and Economic History , Pontefract : Lofthouse , 1990 Fischer , Lewis R. , and Walter Minchinton , People of the Northern Seas , St. John's, Newfoundland : International Maritime Economic History Association , 1992 Fisher , Stephen , ed., Man and the Maritime Environment , Exeter : Exeter University Press , 1994 Hasslof , Olof, Henning Henningsen , and Arne Emil Christensen , eds., Ships and Shipyards, Sailors and Fishermen: Introduction to Maritime Ethnology , Copenhagen : Scandinavian Maritime History

Working Group

,

1972

Hattendorf , John Β. , Ubi Sumus? The State of Naval and Maritime History , Newport, RI : Naval War College Press , 1994 Henderson , Graeme , Maritime Archaeology in Australia , Nedlands : University of Western Australia Press , 1986 Hyde, Francis , Blue Funnel: A History of Alfred Holt and Company of Liverpool, 1865-1914 , Liverpool : Liverpool University Press , 1957

Knight Franklin W. and Peggy K. Liss eds., Atlantic Port Cities: Economy, Culture, and Society in the Atlantic World Knoxville : University of Tennessee Press 1991 Mollat Michel L'Europe et la mer Paris : Seuil 1993; in English as Europe and the Sea Oxford and Cambridge, MA: Blackwell, ,

,

,

,

,

,

,

,

,

,

1993

Nadel-Klein , Jane , and Dona Lee Davis , To Work and to Weep: Women in Fishing Economies , St. John's, Newfoundland : Institute of Social and Economic Research , 1988 Oppenheim , Michael M. , The Maritime History of Devon , written 1922; first published, Exeter : Exeter University Press , 1968 Rediker, Marcus , Between the Devil and the Deep Blue Sea: Merchant Seamen, Pirates, and the Anglo-American Maritime World, 1700-1750 , Cambridge : Cambridge University Press , 1987 " Runyan , Timothy J. , The American Neptune: A Half Century of Maritime History," American Neptune 51 ( 1991 ), 45 48 Starkey, David J. , British Privateering Enterprise in the Eighteenth Century, Exeter : Exeter University Press , 1990 Tsunehiko Yui and Keiichiro Nakagawa , eds., Business History of Shipping: Strategy and Structure , Tokyo : University of Tokyo Press , 1985 Weibust , Knut , Deep Sea Sailors: A Study in Maritime Ethnology, Stockholm : Nordiska Museet , 1969 " Williams , David M. , The Progress of Maritime History, 1953-93 ," -

Journal of Transport History

Marks, Shula

14

( 1993 ),

126 41 -

1936-

South African social historian Shula Marks' reputation as a leading Marxist or "revisionist" South African historian was in large part shaped by living abroad in Britain, rather than in the somewhat parochial of her homeland. Her background in Natal influenced a lifelong passion for Zulu history, and surely influenced the topic of her University of London dissertation, published as Reluctant Rebellion (1970). Superficially a traditional political history, this now classic study of the Bambatha Revolt, South Africa's last "premodern" black rebellion, showed early signs of identifying with broader new scholarly trends, such as the emerging "resistance and collaboration" school pioneered by Terence Ranger and John Iliffe in studies on Zimbabwe and Tanzania. Here too was a motif that recurred in Marks' later work: a preoccupation with greys, rather than simple blacks and whites, with ambiguity and the need to probe into the multiple meanings behind evidence. Already, she clearly strove to get beyond the emotionally engaged, but often superficial discussions that she perceived in too much liberal writing on South Africa, to what she thought was a more detached, balanced, and deeper understanding of the dynamics of racism. In the same year she discussed this last concern in a review of the second volume of the Oxford History of South Africa, which stressed interaction between racial and ethnic groups, and marked the apogee of the liberal Africanists, led by Leonard Thompson. Marks was soon the leading figure in a British-based group of mainly expatriate scholars which,

isolation

critical

in

opposition

class In

and

more a

to

than

the Africanists, stressed the

significance

of

race.

long career at the School of Oriental and African Studies

the Institute for Commonwealth Studies at the University of London, latterly as director of the Institute, Marks was as important for her supervision of numerous doctoral dissertations and her pioneering seminars, which produced a flood of much-cited papers, as for her own work. Among her students were Phil Bonner, William Beinart, Tim Keegan, Peter Delius, and Baruch Hirson. The work under her sponsorship and that of her longtime Oxford associate and fellow expatriate Stanley Trapido, dramatically reshaped South African historiography, exploring topics ranging from precolonial political economy to the role of capital in the development of apartheid. Her heavy teaching and administrative responsibilities limited time for on-site research in South Africa, restricting her own writing primarily to a remarkably steady flow of articles and chapters in and, at longer intervals, some notable books. The collections she co-edited are perhaps her best-known publications, providing the readiest access to the work of the emerging revisionist school, which often appeared only as unpublished papers. For instance, seminal articles rejecting the frontier as the crucible of apartheid, suggesting ecological in the rise of the Zulu empire, and analyzing the hypocrisies of 19th-century British liberalism, appeared in the now collection, Economy and Society in I're-Industrial South Africa (1980). This volume was co-edited with Anthony Atmore, with whom Marks had written her probably most influential piece, a 1974 article reassessing the "imperial factor" in 19th-century South Africa, and suggesting that much of what passed for philanthropism was a thin disguise for expanding British economic domination at the expense of the Afrikaners, who were rescued from black African wrath when they served British interests and swept aside when they did not. Although such themes had been developed long before by relatively obscure radicals such as Hosea Jaffe and Dora Taylor, Marks' position in a world-class graduate center, attracting many disaffected young South Africans, brought such ideas before a far broader audience. The prestigious Oxford-based Journal of Southern African Studies, of which she was a founder, provided a further avenue for disseminating the revisionists' work. If sometimes seen as the leading Marxist historian of South Africa, Marks never succumbed to economistic structuralism, despite a tendency to give overall primacy to class. Yet her from structuralists such as Martin Legassick and Daniel O'Meara were never made explicit. They were all committed to overturning the liberal paradigm, but Marks was always far closer to the transparent, fundamentally traditional, socialhistorical empiricism of E.P. Thompson and Eric Hobsbawm than to the arcane theoretical complexities of an Althusser or Poulantzas. Nor did Marks focus on class to the exclusion of race. As early as 1971 she had co-edited the Journal of African History, which put blacks at the center of African historiography. Many of her students worked on Africanist themes that might have attracted Thompsonian liberals. Only the manner of treatment differed, locating African struggle in the context of resistance to proletarianization and subjection to large-scale capitalist at

pathbreaking

developed

anthologies factors

standard

differences

interests.

rooted in the liberal tradition was her interest in

Equally individuals 1963 expressive of larger themes, dating back 19th-century pro-Zulu activist Harriette Colenso. This commitment to biography as a legitimate "radical" vehicle, but with a revisionist twist stressing the intersection of race, class, and gender, led to two books. The Ambiguities of Dependence in South Africa (1986) was a parallel treatment of three Zulu political figures in modern Natal province, while Not Either an Experimental Doll (1987), marking a return to the neglected area of South African women's history, was an inventive woven around edited correspondence between three women. Most recently, Marks' interest in women, as well as health issues, led to Divided Sisterhood (1994), a history of South African nursing. article

Divided Sisterhood: Race, Class, and Gender in the South African

Nursing Profession

to a

as

,

1994

on

narrative

Marks has remained at the forefront of South African in other ways, for instance co-editing with Trapido a landmark 1987 anthology on constructing ethnic identity, a theme which, with the end of both Soviet communism and apartheid, increasingly overshadows the old focus on class. But, despite current uncertainty about the future direction of "leftist" research, the revisionists' work has unquestionably changed the whole direction of South African historiography, and contributed to an explosion in scholarly work on South Africa. Marks' key role in establishing this school and its findings will likely be her most important to historical studies.

scholarship

disseminating contribution PATRICK

See also

Labor;

J.

FURLONG

South Africa

Further

Reading

"

Bozzoli , Belinda , and Peter Delius , Radical History and South African Society," Radical History Review 46 ( 1990 ), 13 45 " Foner, Eric , 'We Must Forget the Past': History in the New South Africa ," South African Historical Journal 32 ( May 1995 ), 163 76 " Murray , Martin J. , The Triumph of Marxist Approaches in South African Social and Labour History," Journal of Asian and African Studies 23 ( 1988 ), 79 101 " Posel, Deborah , Rethinking the `Race-Class Debate' in South African Historiography," Social Dynamics 9/1 ( 1983 ), 50 66 Saunders , Christopher, The Making of the South African Past: Major Historians on Race and Class , Cape Town : David Philip , and Totowa, NJ: Barnes and Noble, 1988 Wright , Harrison M. , The Burden of the Present: Liberal-Radical Controversy over South African History , Cape Town : David Philip , and London: Rex Collings, 1977 -

-

-

-

Marriage Marriage has always been a part of historical inquiry, if only as part of the investigation of elite dynastic problems. However, in the last few decades, interest has expanded to an not only of the rest of society but also the reasons for marriage, the rituals involved, the expectations of the and the means of resolving problems within it. In order to understand the history of marriage, it is necessary to that it is heavily embedded in legal systems and in the

examination

participants,

comprehend

of people. For this reason studies have focused not what is seen as the ideal union but on the way that only ideal has been tested. Although marriage since ancient times has been studied in great detail, the greatest attention has been on northwest Europe and the societies it spawned. Marriage in pre-Reformation Europe was based upon two principles. The parties had to consent freely to the union, and the union, once formed, could not be legally dissolved. This emphasis on individual choice led C.S. Lewis to argue in The Allegory of Love (1936) that a fundamental change in the way men and women felt toward each other took place in the 12th century. Lewis claimed that the characteristics of courtly love the exaltation of the loved one, the subservient position of the lover, the lover's duty to serve his lady were the constituent elements of a "real change in human sentiment" Lewis' seductive prose and the superficially convincing nature of his argument made his book one of the most influential works on the topic of love and Western society. The book heralded the beginnings of the modern preoccupation with romance in marriage and contrasted this with a previous European tradition in which "marriage was the drab against which this new love stood out." Although Lewis' work was influential among literary it was not until almost thirty years later that the study of marriage began in earnest among historians. Two strands of inquiry have been dominant. One strand has concentrated on the demographic consequences of the marriage regime found in Western Europe, the other has focused on the development and application of a specifically European ideology of marriage. For the demographic study of marriage in Europe, John Hajnal's

customs

Biography

on

Shula Eta Winokur Marks. Born Cape Town, South Africa, 14 October 1936 Received ΒΑ, University of Cape Town , 1959 ; PhD, University of London, 1967 Taught at School of Oriental and African Studies and Institute of Commonwealth Studies , from 1963: professor of commonwealth history, 1983-93, professor of southern African history, from 1993; director, Institute of Commonwealth Studies , 1985-93 Married Isaac M. Marks, 1957 (1 son, 1 daughter: historian Lara Marks). .

.

.

Principal Works Reluctant Rebellion: The 1906-08 Disturbances in Natal , 1970 " With Anthony Atmore , The Imperial Factor in South Africa: Towards a Reassessment," Journal of Imperial and Commonwealth History 3 ( 1974 ), 105 39 Editor with Anthony Atmore , Economy and Society in PreIndustrial South Africa , 1980 Editor with Richard Rathbone , Industrialisation and Social Change in South Africa: African Class Formation, Culture, and -

Consciousness, 1870-1930 1982 ,

Edited with Peter Richardson , International Labour Migration: Historical Perspectives , 1984 The Ambiguities of Dependence in South Africa: Class, Nationalism, and the State in Twentieth-Century Natal , 1986 Editor, Not Either an Experimental Doll: The Separate Worlds of Three South African Women , 1987 Editor with Stanley Trapido , The Politics of Race, Class, and Nationalism in Twentieth-Century South Africa , 1987 Editor with Hugh Macmillan , Africa and Empire: W.M. Macmillan, Historian and Social Critic , 1989 Editor with Dagmar Engels , Contesting Colonial Hegemony: State and Society in Africa and India , 1994

-

-

background scholars,

identification of a specific European marriage pattern was crucial. He argued that marriage in the European past had two main characteristics: people married relatively late and a large proportion of the population never married at all. Hajnal's study coincided with the formation of the Cambridge Group for the History of Population and Social Structure, and among the important works on the early history of European marriage to emerge from this group was Richard Smith's article "Hypothèses sur la nuptialité en Angleterre aux XIIIe-XIVe siècles" (Hypotheses on Nuptiality in England in the 13th and 14th Centuries, 1983) which argued that the European marriage was discernible much earlier than argued by Hajnal. Smith also argued that the European marriage pattern was mainly found in northern Europe and that the Mediterranean countries were characterized by a relatively early age at marriage and a high age differential between spouses. In this insight Smith was supported in particular by the results of studies by David Herlihy and Christine Klapisch-Zuber Other scholars, such as Goldberg and Outhwaite, have argued for the existence of a European "marriage market" that was subject to the same fluctuations as the rest of the economy. The other line of inquiry into marriage in the European past has dealt with the role of ecclesiastical and legal institutions in the development of a European ideology of marriage. Although small in volume, the contribution of Michael M. Sheehan has been crucial to the development of the field. Among his essays, "The Formation and Stability of Marriage in FourteenthCentury England" (1971) is a classic study of how a canon law court dealt with marriage, as are the three papers "Marriage and Family in English Conciliar and Synodal Legislation" (1974), "Marriage Theory and Practice in the Conciliar Legislation and Diocesan Statutes of Medieval England" (1978) and "Choice of Marriage Partner in the Middle Ages" (1978) in which he the way in which the medieval church came to insist on the individual's free choice of marriage partner. The research of James Brundage and Charles Donahue, Jr. has added to Sheehan's insights, but his work has not yet been superseded. A survey of surviving marriage litigation in England was by Richard Helmholz, who concluded that the medieval church courts provided a speedy remedy for those who felt they had a genuine complaint against an alleged spouse and Helmholz have agreed that by the 14th century the laity at least the basic principles of the canon law of marriage. The medieval church's insistence on individual choice meant that a new social reality emerged. The implications of this change were discussed in Georges Duby's Le Chevalier, la femme et le prêtre (1981; The Knight, the Lady, and the Priest, 1983) and his Medieval Marriage (1978), and in Jack Goody's

pattern

outlined

performed

understood

The

Development of the Family and Marriage in Europe (1983). Duby revealed a struggle between two models of marriage, the lay and the ecclesiastical, which took place in the 12th century. The lay model emphasized the continuation of the blood line and concerned itself with the preservation of the male seed and the estate of the family. The ecclesiastical model denied the possibility of divorce and stressed the mutual obligation to fidelity. The ecclesiastical model also aimed to limit sexual activity to within marriage. Seeking to assess the social and political consequences of these changes in the church's rules of incest, the Cambridge anthropologist Jack Goody argued that the church enforced its

partners'

rules of exogamy

to

facilitate the transfer of land

to

the church

increasingly difficult for laymen to member of their kin and by introducing a general ban by making

it

marry

a

on

adoption. Thus church of land prevent few powerful families. Goody did himself with the psychological needs and the that bound the

among

wished to

a

concentration

a

not concern

emotions

couple to each other, but it is implicit in his argument that he believed that family solidarity would tend to limit the choice of partner to the family within the forbidden degrees and thus also to limit the free choice of marriage partner. Goody's book has sparked vigorous debate. The theory has been criticized for being over-elaborate and based on an analysis of Western Christianity at a time when both Jewish and other Christian churches introduced similar rules of exogamy, and upon a of the rules of the canon law on adoption Scholars of the early modern period have largely ignored the questions about the interaction between religious ideology and the practice of marriage. Instead, they have returned to the question of how love influenced marital choices. On this score, Lawrence Stone's The Family, Sex and Marriage in England, 1500-1800 (1977) is outstanding. Stone argued that the kind of change in emotional involvement in marriage that Lewis saw in the high Middle Ages actually took place about 400 years later. His thesis has not gone unchallenged, by the demographer Peter Laslett in several articles in the Times Literary Supplement. John Gillis' For Better, For Worse (1985) extended the examination to all classes, and turned a keen eye on the actual rituals involved in courtship. Tracing marriages from 1660 to the present, he chronicled the increasing influence that individuals had on their marriage choices. He also demonstrated that the "white wedding" so popular today is of relatively recent invention. Ironically, the study of marriage has increased at a time when the institution of marriage is allegedly breaking down. More attention is being paid to the dissolution of marriage. Lawrence Stone's Road to Divorce (1990) illuminated the changes in Britain since the 16th century, while Nelson Manfred Blake's The Road to Reno (1962) and Glenda Riley's Divorce: An American Tradition (1991) did the same for the US. The stresses on families forbidden to form long-term ties were a central theme in Herbert Gutman's The Black Family in Slavery and Freedom (1976). Non-European marriage has also been studied recently in Barbara MacGowan Cooper's Marriage in Maradi (1997) and Richard Boyer's Lives of the Bigamists (1995). a

misunderstanding

especially

FREDERIK See also

J.G.

PEDERSEN Stone

Cambridge Group; Demography; Duby; Gutman;

Further Reading Adair Richard Courtship Illegitimacy and Marriage in Early Modern England Manchester : Manchester University Press and New York: St. Martin's Press, 1996 Blake Nelson Manfred The Road to Reno: A History of Divorce ,

,

,

,

,

,

,

,

in the United States , New York : Macmillan , 1962

Boyer Richard E. Lives of the Bigamists: Marriage, Family, and Community in Colonial Mexico Albuquerque : University of New ,

,

,

Mexico Press , 1995 Brundage , James Α. , Law, Sex, and Christian Society in Medieval Europe , Chicago : University of Chicago Press , 1987 Brundage , James Α. , Medieval Canon Law , London and New York :

Longman

,

1995

Cooper Barbara MacGowan Marriage in Maradi: Gender and Culture in a Hausa Society in Niger, 1900-1989 Oxford : Currey ,

,

,

,

1997 Dixon , Chris ,

Perfecting the Family: Antislavery Marriages Nineteenth-Century America Amherst : University of

in

,

Massachusetts Press , 1997 " Donahue , Charles , Jr. , The Policy of Alexander the Third's Consent Theory of Marriage," in Stephan Kuttner, ed., Proceedings of the Fourth International Conference of Medieval Canon Law , Vatican City : Bibliotheca Apostolica Vaticana , 1976 " Donahue , Charles , Jr. , The Canon Law on the Formation of Marriage and Social Practice in the Later Middle Ages," Journal

of Family History 8 ( 1983 ), 144 58 Duby Georges Medieval Marriage: Two Models from TwelfthCentury France Baltimore : Johns Hopkins University Press 1978 Duby Georges Le Chevalier, la femme et le prêtre: le mariage dans la France féodale Paris : Hachette 1981 ; in English as The Knight, the Lady, and the Priest: The Making of Modern Marriage in Medieval France New York: Pantheon, 1983, London: Allen Lane, 1984 Frost Ginger Suzanne Promises Broken: Courtship, Class, and Gender in Victorian England Charlottesville : University Press of Virginia 1995 Gillis John R. For Better, For Worse: British Marriages, 1600 to the Present Oxford and New York : Oxford University Press 1985 Goldberg P.J.P. Women, Work, and Life Cycle in a Medieval Economy: Women in York and Yorkshire c.1300-1520 Oxford and New York : Oxford University Press 1992 Goody Jack The Development of the Family and Marriage in Europe Cambridge and New York : Cambridge University Press 1983 Grubbs Judith Evans Law and Family in Late Antiquity: The Emperor Constantine's Marriage Legislation Oxford and New York : Oxford University Press 1995 Gutman Herbert G. The Black Family in Slavery and Freedom, 1750-1925 New York : Pantheon and Oxford: Blackwell, 1976 Hajnal John "European Marriage Patterns in Perspective," in D. V. Glass and D. E.C. Eversley eds., Population in History: Essays in Historical Demography London : Arnold and Chicago: Aldine, 1965 Helmholz R. H. Marriage Litigation in Medieval England Cambridge and New York : Cambridge University Press 1974 [Cambridge Studies in English Legal History, vol. 11 ] Herlihy David and Christiane Klapisch-Zuber Les Toscans et leurs familles: une étude du catasto florentin de 1427 New Haven : Yale University Press 1987 ; in English as Tuscans and Their Families: A Study of the Florentine Catasto of 1427 New Haven and London: Yale University Press, 1985 Lewis C. S. The Allegory of Love: A Study in Medieval Tradition Oxford and New York : Oxford University Press 1936 Molho Anthony Marriage Alliance in Late Medieval Florence Cambridge, MA : Harvard University Press 1994 Outhwaite R. B. Clandestine Marriage in England, 1500-1850 -

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

-

-

457

-

87

Sheehan , Michael M. , and Jacqueline Murray , eds., Domestic Society in Medieval Europe: A Select Bibliography , Toronto : Pontifical Institute of Medieval Studies , 1990 Sheehan , Michael M. , Marriage, Family, and Law in Medieval Europe: Collected Studies , edited by James K. Farge , Toronto and Buffalo : University of Toronto Press , 1996 " Smith , Richard M. , Hypothèses sur la nuptialité en Angleterre aux " XIIIe-XIVe siècles ( Hypotheses on Nuptiality in England in the 13th and 14th Centuries ), Annales: ESC 38 (1983 ), 107 36 Stone , Lawrence , The Family, Sex and Marriage in England, 1500-1800 , London : Weidenfeld and Nicolson , and New York: -

Harper,

1977

Stone , Lawrence , Road to Divorce: England, 1530-1987 Oxford , and New York : Oxford University Press , 1990 Wagner, William G. , Marriage, Property, and Law in Late Imperial Russia , Oxford and New York : Oxford University Press , 1994

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

Marrus, Michael R.

1941-

Canadian historian of modern

Europe

,

,

,

,

,

,

,

London : Hambledon Press , 1995 Pedersen, Frederik , " Did the Medieval Laity Know the Canon Law Rules on Marriage: Some Evidence from Fourteenth-Century York Cause Papers," Medieval Studies ( 1994 ), 111 52 Poos , L. R. , Michael Mitterauer, Richard P. Sailer, Michael M. " Sheehan , and Lloyd Bonfield , Legal Systems and Family Systems: Jack Goody Revisited ," Continuity and Change 6 ( 1991 ), -

285 374 Riley Glenda Divorce: An American Tradition Oxford and New York : Oxford University Press 1991 -

,

" Sheehan , Michael M. , Marriage and Family in English Conciliar and Synodal Legislation ," in J. Reginald O'Donnell , ed., Essays in Honour of Anton Charles Pegis , Toronto : Pontifical Institute of Medieval Studies , 1974 " Sheehan , Michael M. , Choice of Marriage Partner in the Middle Ages: Development and Mode of Application of a Theory of Marriage," Studies in Medieval and Renaissance History , new series 1 ( 1978 ), 1 34 " Sheehan , Michael M. , Marriage Theory and Practice in the Conciliar Legislation and Diocesan Statutes of Medieval England ," Medieval "Studies 40 ( 1978 ), 408 60 Sheehan , Michael M. , Theory and Practice: Marriage of the Unfree and the Poor in Medieval Society," Medieval Studies 50 (1988 ),

,

,

,

Glenda , Building and Breaking Families in the American , West, Albuquerque : University of New Mexico Press , 1996 " Sheehan , Michael M. , The Formation and Stability of Marriage in Fourteenth-Century England: Evidence of an Ely Register," Medieval Studies 33 ( 1971 ), 228 63

Riley

-

career, Michael R. Marras has contributed French and Jewish social history. His first was in 1980, when, greatly influenced by Hannah Arendt, he delved into the problems of modern anti-Semitism in to the implications of Jewish assimilation. Unlike Arendt, however, Marrus focused solely on France during the end of the 19th century. Specifically, he probed the incident involving Captain Alfred Dreyfus, the highest ranking Jewish officer in the French army, who was falsely accused of treason and sentenced to Devil's Island for life imprisonment. As a result, Marrus' first book established him as the world authority on the Dreyfus Affair and a specialist on French anti-Semitism. After his early work on Dreyfus, Marrus expanded his research on French Jews when Robert O. Paxton, an American scholar of Vichy France, invited him to be co-author of Vichy France and the Jews(1981). Paxton asked Marrus to contribute to the book because the material was too depressing for him to write about it single-handedly. Using their meticulous research, Marrus and Paxton confirmed the responsibility of the government of Vichy France in the destruction of French Jews. The authors argued that governmental policies towards Jews in Vichy France were actually harsher than in other European countries. In fact, Marrus and Paxton emphasized that Vichy France initiated autonomous acts that were at times more brutal than those of German forces in occupied France. Additionally, the authors weakened the stance of "apologists" for Vichy France by demonstrating that Pétain and Laval, the two bureaucratic leaders of the regime, along with many

During his academic

greatly

to

contribution relation

French anti-Semites actually facilitated the process by which French Jews were killed. For their book Marrus and Paxton received the National Jewish Book award in 1982 in the of Holocaust Studies. In 1987, Marrus completed the first comprehensive of the vast literature on the Holocaust. In The Holocaust in History, he attempted to bring the subject of the Holocaust into the "modern historical experience." He wanted the history of the Holocaust to be seen as more than just a part of the history of the Jewish people. While presenting historical disputes on specific issues, Marrus offered historical, sociological, and political analyses in his historiography. He often synthesized historians' opposing views, and presented his own conclusions. The book was well received by historians, although Marrus received some criticism for not presenting American policy regarding the Holocaust. Marrus is responsible for expanding historical knowledge of anti-Semitism, Vichy France, and the Holocaust in general. There is no doubt that he will be remembered for his scholarly work in Vichy France and the Jews and the debates generated by his claims about bureaucracy and the nonchalant attitudes of the French towards the Jews.

category

historiography

extraordinary

LAURIE ROBYN BLUMBERG

See also France: since the Revolution; Holocaust

Biography Michael Robert Marrus. Born Toronto , 3 February 1941 Received ΒΑ, University of Toronto , 1963 ; MA, University of California, Berkeley, 1964, PhD 1968 Taught at University of Toronto (rising to professor), from 1968. Married Randi Greenstein , 1971 (2 sons, .

.

1

daughter).

way social and

political forces were intimately intertwined with culture. His first book brilliantly showed his range and thè impact of these interests. The Social World of the Florentine Humanists (1963) was at one level a massive archival research endeavor that reconstructed the social profiles of the main figures with humanism in Florence between 1390 and 1460. But it was much more than a collective biography, for Martines demonstrated that Florentine humanists, rather than being the wandering scholars seeking patronage imagined by tradition, were overwhelmingly important men from major families, and in the process mapped out a sophisticated vision of the social divisions of Renaissance Florence. Without falling into social reductionism, he illuminated a more complex world where power and imagination reinforced and fed off each other in ways that helped send a generation back to the archives to re-examine the social world and writings of humanists and intellectuals. Martines' second book, Lawyers and Statecraft in Florence (1968), moved his fascination with the between social class, ideas, and power to the heart of official power in the Renaissance urban government. At a time when archival studies of the political workings of Florence were revitalizing the understanding of the Renaissance city and scholars were evermore concerned with discovering how governments actually worked, Martines saw that lawyers and notaries were the crucial players in virtually everything from the everyday operation of government to the justification of that operation and government itself. Based again on archival research, but moving further to examine the massive contemporary literature on the craft of lawyers and notaries, he developed a rich study of the way those two groups a study that still underlay the workings of government informs much of the ground-breaking work on Renaissance

associated

cultural

Renaissance

relationship -

magisterial -

Principal Writings The Politics of Assimilation: The French Jewish Community at the Time of the Dreyfus Affair , 1980 With Robert O. Paxton , Vichy France and the Jews , 1981 The Unwanted: European Refugees in the20th Century, 1985 The Holocaust in History , 1987 Editor, The Nazi Holocaust: Historical Articles on the Destruction

of European Jews

,

9

vols., 1989

Samuel Bronfman: The Life and Times of Seagram's Mr. Sam , 1991 " Reflections on the Historiography of the Holocaust ," Journal of Modern History 66 ( 1994 ), 92 116 -

Martines, Lauro

1927-

US historian of the Italian Renaissance Lauro Martines is

one

of the leaders of the

new

school of

Anglo-American scholars who from the late 1950s combined major archival research with social history to reshape our vision of the Italian Renaissance. Essentially, they

fundamentally

reformulated the Burckhardtian paradigm that focused on high culture in terms of a more nuanced and inclusive social and political history. Martines was perhaps more interested in art, and interdisciplinary methodology than many of his peers, and his work added a significant cultural dimension to theirs. Especially important was his fascination with the between power and imagination in the Renaissance the

literature,

interplay -

government. At much the

same

time that

Lawyers and Statecraft was

of of published, gathered together the Martines

at

UCLA

a

group

some

important leaders of the new archival history, Gene Brucker, David Herlihy, John Hale, and J.K. Hyde most

including

to

consider the largely unstudied issue of violence and civil in the Renaissance. Violence and Civil Disorder in Italian Cities, 1250-1500 (1972), the volume that came out of that conference, was again path-breaking: it played an important role in problematizing the relationships between rulers and ruled, power and ideology, and opened up new areas of research. In those same years, and again with an eye to expanding the range of historical inquiry, Martines began working on women's history and what would become the history of gender. With his wife, the noted novelist Julia O'Faolain, he published Not in God's Image: Women in History from the Greeks to the Victorians (1973), a book that studied the history of women in the West with suggestive texts and keen critical insight. The work that in many ways summed up his earlier studies and integrated them with his broader understanding of the cultural world of the Renaissance was Power and Imagination: City-States in Renaissance Italy (1979). Designed to be read by an educated public, this extended essay reconceptualized the Renaissance as a social, cultural, and political phenomenon with tremendous power and imagination itself. In many ways it is the summation of the insights and innovations of that generation of

disorder

archival scholars of which Martines was a leader. But unlike many summations, Power and Imagination did not merely look back; in fact, it could be read as a research agenda for the future each chapter ripe with suggestions for research, especially on the relationship between government and structures of power and ideas and realms of imagination. In many ways almost twenty years after its publication it remains the most powerful reformulation of the paradigm of the Italian Renaissance. After Power and Imagination, Martines returned to an early interest of his and one that had always been an important, if largely unremarked, component of his work, his interest in poetry. Renaissance poetry for him was never just an elegant play of words, allusions, and metaphors although his fine sense of style as a writer reflects his appreciation of these elements but more importantly poetry was another realm where the social and the cultural intertwined. Revealing once again his innovative flair and his interdisciplinary range, he published Society and History in English Renaissance Verse (1985), a work that took him far afield from his formally recognized expertise in the Italian Renaissance and serves as a model for the critical use of poetry for understanding the social and visa versa. With An Italian Renaissance Sextet: Six Tales in Historical Context (1994), he returned to his interest in the reading of literature during the Italian Renaissance, using six Italian novelle of the 15th century as a base for a close analysis of social and cultural life. Fascinating reading, these studies are yet another model for historians interested in reintegrating literature into the discipline in more subtle and -

-

-

historical methodologically sophisticated

ways. Martines, now officially retired and living in London, continues to teach occasionally in Paris, Britain, and the US, and to lecture widely, and is working on a long-term project on the relationship between poetry, power, and society in the Italian Renaissance. GUIDO RUGGIERO

See also

Italy:

Renaissance

of early modern and modern Japan in the postwar decades. From his father Maruyama Kanji, a liberal political journalist, he inherited a skepticism about any "grand theory." Under the influence of Nanbara Shigeru (1889-1974), his adviser at Tokyo Imperial University and a neo-Kantian, however, he encountered German idealism and was attracted enormously by Hegel's works. He also had a baptism in Marxism, which was an current in Japan in the late 1920s. Maruyama's early intellectual life thus became the object of a tug of war between the two contradictory attitudes of positivism and idealism. He eventually realized, as he stated in his introduction to the English version of Gendai seiji no shisō to kōdō (1956-57; Thought and Behavior in Modern Japanese Politics, 1969), that "in the field of social and political studies the thinkers who take a middling position between German 'historicism' and English 'empiricism,' men like Max Weber, Hermann Heller, and Karl Mannheim, are the ones whom I always found most sympathetic and

influential

stimulating." Maruyama's monumental work, Nihon seiji shisōshi kenkyū (1952; Studies in the Intellectual History of Tokugawa Japan, 1974), included three articles published in the early 1940s. Through documenting the development of modernity in Tokugawa (17th to mid-i9th centuries) ideas, he intended to academic standpoint the wartime ideological ultranationalism and totalitarianism. By linking the internal logical and the external sociological on the major Tokugawa intellectual currents, he was successful in explaining how the division of the twin concepts of "norm" and "nature" in orthodox Neo-Confucianism had prepared the ground for the mode of thought of the scholars of National Learning, and how the transition from the idea of a natural to that of an artificial social order had emerged as an "unintended consequence." Thus he made a decisive departure from traditional and current research methods. Maruyama also devoted much time to the study of Fukuzawa Yukichi (1835-1901), Meiji Japan's foremost thinker and an advocate of westernization, in an attempt to reject the Japanese "national

combat from currents,

an

including

perspectives

polity" theory.

Biography Chicago, 22 November 1927 Received BA, Drake University 1950; PhD, Harvard University,1960 Taught at Reed College 1958-62 ; and University of California Los Angeles from 1966 (emeritus). Married Julia O'Faolain novelist, 1957 (1 son). Born

.

,

.

,

,

,

,

Principal Writings The Social World of the Florentine Humanists, 1390-1460, 1963 Lawyers and Statecraft in Renaissance Florence , 1968 Editor, Violence and Civil Disorder in Italian Cities, 1250-1500 , 1972 Editor, with Julia O'Faolain , Not in God's Image: Women in History from the Greeks to the Victorians , 1973 Power and Imagination: City-States in Renaissance Italy, 1979 Society and History in English Renaissance Verse, 1985 An Italian Renaissance Sextet: Six Tales in Historical Context , 1994

Maruyama continued his criticism of the Japanese emperor system and wartime fascism, trying to shed light on the pathological aspects of Japanese society. He described in many of his articles the underlying value-system of the Japanese, especially that of the ruling elites, and its effect on political leaders and their discussion. In examining politics, he attempted to show how ideological tensions had been aggravated by the refusal of both sides to recognize the political features common to all societies which, in a given situation and irrespective of ideology, made certain patterns of behavior inevitable. Meanwhile, Maruyama further studied Japanese intellectual history from antiquity, in an effort to clarify its frame and characteristics. After the

war,

contemporary

DE-MIN TAO

Biography

Maruyama

Masao 1914-1996

Japanese intellectual

historian

leading scholar of Japanese political thought, Maruyama played a key role in setting the agenda for intellectual historians

A

Born Osaka , 22 March 1914 Attended school in Tokyo; studied science at Tokyo Imperial University, BA 1936. Taught .

political

(rising to professor), Tokyo Imperial University (renamed Tokyo University in 1945 ), 1936-71. Enlisted toward the end of World War II and stationed at Hiroshima. Married (2 sons). Died 15 August 1996 .

Principal Writings Νihon seiji shisōshi kenkyū ( A Study of the History of Japanese Political Thought ), 1952 ; in English as Studies in the Intellectual

History of Tokugawa Japan Gendai seiji

English 1969 Nihon

as

shisō to kōdō ,

,

1974

vols., 1956-57 ; expanded in Thought and Behavior in Modern Japanese Politics

no

2.

,

shisō ( The Japanese Thought ), 1961 Maruyama Masao shū (Complete Works of Maruyama Masao ), 16

no

vols., 1995-96

Further Reading Imai Hisaichiro and Kawaguchi Shigeo , Zohoban Maruyama Masao chosaku nōto ( A Chronology of Maruyama Masao's Works, expanded edition ), Tokyo : Gendai no riron sha, 1987 Koschmann , J. Victor, Maruyama Masao and the Incomplete Project of Modernity ," in Masao Miyoshi and H. D. Harootunian , eds., Postmodernism and Japan , Durham, NC : Duke University Press , 1989 Sasakura Hideo , Maruyama Masao ron nōto ( Essays on Maruyama Masao ), Tokyo : Misuzu shobo , 1988 "

Marx, Karl

1818-1883

German

theorist and historian

political

Marx, along with Engels, appears to have first begun to articulate this historical approach in the 1845 "Die deutsche Ideologie" (The German Ideology, 1964). Instead of resting on a set of philosophical assumptions, Marx sought to ground his theory in empirical observations and data. He argued that history could best be understood by the realization that the economic structure of society was the ultimate but not the only basis of human history. From this arises everything else: law, religion, politics, culture, and "definite forms of social consciousness." As the productive forces expand or change so too does history become transformed. Moreover, as outlined in his Der achtzehnte Brumaire des Louis-Bonaparte (1869; The Eighteenth Brumaire of Louis Bonaparte, 1898) Marx contended that class position would normally tend to worldview. This being the case, as the economy changes and class structure is altered, consciousness will inevitably change as well. As expressed in a famous passage in his preface to Zur Kritik der politischen Ökonomie (1859; A Contribution to the Critique of Political Economy, 1904), Marx argued that it is not the consciousness of men which determines their being but "their social being that determines their consciousness." From such an approach, it would be easy to conclude that the "materialist conception of history" holds to a rigid and fatalistic interpretation of human affairs. In the Soviet Union and among its more uncritical supporters this fatalistic interpretation was promoted and history reduced to a series of discernible and infallible "laws." This view many would of Marx's theory of history left little room for say distortion human activity or initiative. Although widely accepted during the Cold War period this approach contradicts some of Marx's most loudly proclaimed doctrines. Witness Marx in Die heilige Familie (1845; The Holy Family, it is 1956) where he declared that "History does nothing man, real living man, that does all history is nothing but the activity of man pursuing his own aims." Later, in an 1871 letter, Marx noted that history would be easy to make if there were infallibly favorable conditions and if there were no He even concluded that if there were no accidents history would "be of a very mystical nature." Instead of mysticism, Marx promoted a dialectical view of world history, rejecting both the unscientific idealism of "great man" theories and the mechanical materialism that would leave humanity out of history. For him, humanity is both object and subject of history. Both molded by historical developments and the molders of those very same developments, humans make their own history but not in conditions of their own -

-

determine

-

-

Friedrich Engels was the first to credit Karl Marx as originator of a new theory of history. This theory, which was developed in concert with Engels, usually goes by the name of the conception of history" or "historical materialism." Put simply, Marx held that history could be best understood through examination of the material conditions of a society rather than studying only the prevailing ideas or ideologies. Among the most important factors for Marx were:1) the economic level of development in any given society; 2) changes in the mode of production and exchange; 3) the various class divisions within society; and 4) the extent and nature of the class struggle. Marx's theory of history denies the primacy of ideas in history. This is not to say he considered ideas as being without force in history. Rather, material conditions are always more significant than abstract philosophical thoughts. Moreover, all historical research has to be based on a solid factual basis instead of theoretical conjecture. This may well seem commonplace among late 220th-century historians but was in the context of a discipline which, at the time of Marx's contribution, was often little more than a subfield of philosophy. Although Marx is popularly viewed as a proponent of economic elements, central concerns in Marx's theory of history includes the cardinal importance of human activity in the development of history, and the idea that labor is crucial to the transformation of social relations in history. That is, he presents "real human activity" as the driving force of history, while stressing that how people work helps mold any given society. Marx also emphasized the relation of humans with nature, in which he held that humans are dependent on nature while nature is independent of humanity. The importance of these aspects of his historical worldview is not widely discussed because of his greater emphasis on the centrality of the class struggle within human society.

"materialist

iconoclastic

deterministic

-

-

-

particularly -

...

.

.

.

"accidents."

choosing. Marx's method of historical investigation has had a deep influence on countless historians throughout the late 19th and 20th centuries. Some have been primarily political activists in the socialist movement such as, for example, Karl Kautsky. Kautsky, considered the leading theoretician of the Second International, wrote a number of historical studies including Die Vorläufer des neueren Sozialismus (1895; Communism in Central Europe at the Time of the Reformation, 1897) and Thomas More und seine Utopie (1890; Thomas More and His Utopia, 1927). While others may have held equally strong views, their work lies chiefly within the field of history. Notable among those are the British Marxist historians

leftwing including Christopher Hill, George Rudé, Rodney Hilton,

Eric

Hobsbawm, and E.P, Thompson, whose work has had a and particularly Englishprofound impact on western speaking historians. These historians broke the conventional habits of historiography, injecting materialist analysis, class analysis, and the idea of human agency into their works. For example in his The Crowd in the French Revolution (1959), -

-

Rudé re-examined the long accepted idea of the irrational "mob" running wild in the streets of Paris. Using a wealth of primary evidence, Rudé built a convincing case that the "crowd" was far more rational than historical tradition would admit. Within Western Europe, the Marxist approach to history while never truly what one could term mainstream has reached a level of acceptance that means even Marx's critics have to take his arguments seriously. Nor was Marx's influence absent even in the politically inhospitable climate of the United States. It was Marx's which swayed Philip S. Foner to write a new American labor history that put conflict rather than accommodation at the heart of labor's story. Herbert Apetheker broke new ground in revealing the deep history of slave resistance and struggle because of his Marxist training, while later, Eugene Genovese would utilize Marxist tools to reinterpret the history of American slavery.

Kaye Harvey J. The British Marxist Historians: An Introductory Analysis Cambridge : Polity Press 1984 ; New York: St. Martin's Press, 1995 Mahon Joseph Marx as a Social Historian ," History of European Ideas 12 ( 1990 ), 749 66 Murray Patrick Karl Marx as a Historical Materialist Historian of Political Economy," History of Political Thought 20 ( 1988 ), ,

,

,

,

"

,

,

-

"

,

,

90 105 -

"

"

Vadász , Sándor, Marx mint történetíró (Marx as a Writer History ), Századok (Hungary) 117 ( 1983 ), 1225 45

on

-

-

-

writings

-

-

WILLIAM A. PELZ

See also

Engels; Foner, P.; Genovese; Hilton; Hobsbawm; Rudé; Thompson, E.

Marxist

Karl Heinrich Marx. Born Trier, 5 May 1818 , son of a lawyer. Studied in Bonn and Berlin, 1835-41 ; PhD, University of Jena, 1841. Editor, Rheinische Zeitung für Politik, Handel und Gewerbe , 1842-43 ; lived in Paris (where he became lifelong friends with Friedrich Engels), 1843-44, and Brussels , 1845-47 ; chief editor, Neue Rheinische Zeitung, Cologne , 1848-49 ; expelled from Germany and lived in London from 1849 Married Jenny von Westphalen, 1843 (3 daughters, 1 son). Died London, 14 March 1883

Marx, the role of material production was an essential fact of human history. Human beings always require food and shelter in order to exist. The ways in which these means of subsistence are produced by individuals and groups working together "the social production of their existence" involves some division of labor and hence some kind of social work is so central a part of daily Since production life, social relations have a material element. This had been elaborated in the first part of "Die deutsche Ideologie" (The German Ideology, 1964), drafted by Marx and Engels between November 1845 and the autumn of 1846. In his 1859 preface to Zur Kritik der politischen Ökonomie (A Contribution to the Critique of Political Economy, 1904) Marx presented a widely-quoted summary of the working of what subsequently became known as the materialist interpretation of history, or historical materialism: -

-

hierarchy. -

-

production of their existence, men inevitably definite relations, which are independent of their will, namely relations of production appropriate to a given stage in the development of their material forces of production. The totality of these relations of constitutes the economic structure of society, the real foundation, on which arises a legal and political superstructure and to which correspond definite forms of social consciousness. The mode of production of material life conditions the general process of social, political, and intellectual life. It is not the consciousness of men that determines their existence, but their social existence that determines their consciousness. At a certain stage of development, the material productive forces of society come into conflict with the existing of production, or this merely expresses the same In the social

enter into

production

.

Principal Writings

"

With Friedrich Engels , Die deutsche Ideologie," written 1845-46 ; published in Historisch-kritische Gesamtausgabe: Werke, Schriften, Briefe, vol. 5 , edited by David Rjazanov and V.V. Adoratskij , 1932 ; in English as The German Ideology, 1964 With Friedrich Engels , Die heilige Familie, oder Kritik der kritischen Kritik , 1845 ; in English as The Holy Family; or, Critique of Critical Critique , 1956 Zur Kritik der politischen Ökonomie , 1859 ; in English as A Contribution to the Critique of Political Economy , 1904

Kapital 3 vols., 1867-94 ; in English as Capital 3 vols., 1887-1909 Der achtzehnte Brumaire des Louis-Bonaparte 1869 ; in English The Eighteenth Brumaire of Louis Bonaparte 1898 With Friedrich Engels Collected Works, 1975,

relations -

thing

,

,

as

,

Further Reading Aguirre Rojas Carlos Antonio Between Marx and Braudel: Making History, Knowing History," Review (Fernand Braudel Center) 15 ( 1992 ), 175 219 Fischer Ernst Was Marx wirklich sagte Vienna : Molden 1968 ; in English as Marx in His Own Words London : Allen Lane 1970 ; revised as How to Read Karl Marx New York : Monthly Review Press 1996 "

,

,

-

,

,

,

,

,

,

in

legal

terms

-

with the property relations within

the framework of which they have operated hitherto. From forms of development of the productive forces these relations turn into their fetters. Then begins an era of social revolution. With the change of the economic foundations the entire immense superstructure is more or less rapidly transformed.

,

,

History

For

.

,

of

principles

Biography

Das

Interpretation

Following from this, these social relations of production and their connected hierarchies change as the material forms of change. The evolving relations between forms of material production, the division of labor and social structure together constituting "the mode of production" thus a way of periodizing history. In the 1859 preface Marx

production -

-

provide

further

emphasized

the determining role of the

forces

of

production. Productive forces be defined elements of the can

as

process of

production; technology, raw materials, sources of knowledge, the skills of the workforce, etc. The combination of these elements in the specific process of production, the technical organization of production, is itself energy, scientific

connected to the wider social relations of production, defined as the relations of property which hold between the producers and the owners of the means of production. Here, and Marx suggested that the forces of production have their own power and dynamic. Periods of development and gradual change are punctuated by periods of crisis, revolution, and rapid transformation. These occur when relations of production become with changing forces of production. They become "fetters" and are broken open, to be replaced by new relations of production which encourage a further period of development. Hence the rise and fall of successive forms of society slave societies, feudalism, and, ultimately, capitalism. This pattern of historical change from the ancient world to industrial had been sketched out in the first part of Manifesto der kommunistischen Partei (1848; The Communist Manifesto,

elsewhere,

incompatible -

capitalism 1888). If the social

relations of production are underpinned by a dynamic they themselves in turn underpin a further set of institutional relations "a legal and political superstructure." This is the space within which specific forms of consciousness move. Just as the social relations of change in response to the pressures of the productive forces, so in turn the legal and political superstructure and forms of consciousness have to adapt and change. Moments of crisis, when forces and relations of production are in conflict, will generate conflict within the legal and political and within consciousness. This passage from the 1859 preface is the most succinct of the guiding principles of Marx's approach to history. Here in condensed form he summarized, developed, and some of the central arguments of his earlier writings. He provided a schema for analyzing long-term historical change based on the dynamic axis of forces and relations of And he supplied a model economic foundation/legal and of the totality of interconnections political superstructure within a specific historical moment. But this is where the begin. What is the theoretical status of these propositions? "A few indications concerning the course of my own politicoeconomic studies" was how Marx introduced the 1859 preface, and he went on to describe this passage (and it is no more than a single paragraph in a brief preface) as "a guiding thread for my studies" and a "sketch." Marx's rare summaries of his of history, part 1 of The German Ideology, the to Grundrisse der Kritik der politischen Ökonomie (1939-41; Grundrisse: Foundations of the Critique of Political Economy, 1973) as well as the 1859 preface to A Critique of Political Economy, have been deservedly influential. But they should not be taken as his final (much less his only) word. As Etienne Balibar observed in Lire le Capital (1967; Reading Capital, 1970): "These are very general, prospective or texts; texts in which the sharpness of the distinctions and the peremptoriness of the claims are only equalled by the brevity of the justifications, the elliptical nature of the definitions." Such economic structure,

-

production

superstructure statement

clarified production. -

-

problems

theory introduction

summary

need to be read critically and in relation to other texts by and in particular, the substantial amount of his writing that engaged in empirical analysis. If the 1859 preface was a "sketch" it was also, he observed, "the result of conscientious

texts

Marx

-

investigation lasting

many

years."

than 300 articles for the New York Daily Tribune, more than 100 for Neue Rheinische Zeitung and around 175 for Die Presse, all written between 1852 and 1862, Marx gave some proof of his "conscientious investigation," often on historical materials. In 1858 Marx was planning a historical work on the development of different modes of production. The so-called Grundrisse, seven notebooks from 1857-58, contained in notebook 4 a lengthy section on precapitalist modes of production, presumably a preliminary draft of this work. The Grundrisse was first published in full in English only in 1973, but this historical section was published as Pre-Capitalist Economic Formations in 1964. In his lengthy introduction, Eric Hobsbawm noted the importance of this material. It marked a considerable refinement in periodizing historical development and in specifying historical forms of the division of labor. The first volume of Das Kapital (1867-94; Capital, 1887-1909) was the summa of Marx's effort to produce an effective critique of political economy. As such, it is not in any very obvious sense a work of history but, again, it is grounded in immense empirical research and there is much historical material in its pages. For instance, chapter 10, "The Working Day," provided a detailed historical account of the contest between employers and workers over the length of the working day. Chapters 14 and 15 offered a detailed account of the from manufacture to modern industrial production. Chapters 26-33 use the historical case of England to focus on "primitive accumulation." Problems may arise from focusing narrowly on the 1859 preface without examining these more empirically-focused First, on the issue of periodization, Marx's linear model of economic and social change through a sequence of stages apparently leaves little scope for historical specificity or In the preface to the first edition of volume 1 of Capital, complacent German readers were warned that "the natural laws of capitalist production" worked themselves out "with iron necessity": "The country that is more developed industrially only shows, to the less developed, the image of its own future." In chapter 26 the expropriation of the English peasantry and creation of a landless rural labor force is as a process inevitably repeated in all the countries of Western Europe. But here Marx qualified his argument: "The history of this expropriation assume[d] different aspects in countries, and [ran] through its various phases in orders of succession, and at different historical epochs." Now the English case was, he said, exceptional, though it was also "the classic form" of the process. It is difficult here to understand precisely what "classic form" means. Was the In

more

separately

transition

writings. contingency.

represented

different different English

case

unique

or

exemplary?

How

significant

were

the differences in historical sequence from country to country? Are we looking at a single underlying process that simply takes different national forms? Are we looking at one history or several histories? Confusion seems unavoidable for even the attentive reader and, in an unsent letter of November 1877, Marx reprimanded one of them for extrapolating his account

to Russia: "He insists on transforming my historical sketch of the genesis of capitalism in Western Europe into an historicophilosophic theory of the general path of development by fate to all nations, whatever the historical circumstances in which they find themselves." The account in Capital had become merely a "historical sketch," and "iron necessity," "natural" or inevitable laws of development, and all the rest are downplayed. "Historical circumstances" now played a crucial determining role. Marx concluded this long and important letter with a discussion of the dispossession of the free peasants of ancient Rome, which gave rise not to but to slavery: "Thus events strikingly analogous but taking place in different historical surroundings led to totally different results. By studying each of these forms of evolution separately and then comparing them one can easily find the clue to this phenomenon, but one will never arrive there by using as one's master key a general historico-philosophical theory, the supreme virtue of which consists in being supra-historical." This is just one of a number of instances in which the austere logic of the 1859 preface is severely qualified when Marx changed focus, engaged with problems of historical specificity, and examined particular processes of change. Another set of problems stems from ahistorical applications of the so-called "base/superstructure model." It was never, of course, merely "the economic" as such that was determining for Marx. It was always a historically-specific matrix of forms of productive activity and social relations that was decisive. This is indicated in an important passage in volume 3 of

prescribed

capitalism

Capital (chapter 47): case the direct relationship of the owners of the conditions of production to the immediate in which we find the innermost secret, the producers hidden basis of the entire social edifice, and hence also the political form of the relationship of sovereignty and dependence, in short, the specific form of the state in each case. This does not prevent the same economic basis from displaying the same in its major conditions endless variations and gradations in its appearance, as the result of innumerable empirical circumstances, natural conditions, racial relations, historical influences acting from outside, etc., and these can only be by analyzing these empirically given conditions.

It is in each

...

-

We

In

a note

are a

way

in the first volume of

as a

any

Capital

Marx

responded

to

that the overwhelming criticism of the 1859 preface centrality of the economic in social life may be applicable to one

historical Eighteenth

Brumaire

of

Louis

Bonaparte, 1898), exemplified

the ways in which Marx grappled with some of these The former was, Engels later said, "Marx's first attempt to explain a section of contemporary history by means of his materialist conception." In handling the complexities of a precise sequence of events in France in the 1830s and 1840s, both studies abandoned big generalizations and simple models. Especially in The Eighteenth Brumaire, Marx developed a very careful and empirically-controlled periodization of recent French political history. He accepted that capital and labor did not appear on the political stage "in person." Contending groupings "represented" wider social forces in different and these forces were not limited to capitalists and ways workers. Constitutions, political alliances, electoral procedures, traditions, and ideologies the whole terrain of political life had their own material effects and were never merely the shadowy reflection of some prior economic reality. And again, the power of history is addressed in the opening pages of The Eighteenth Brumaire: "The tradition of the dead generations weighs like a nightmare on the minds of the living." The model of base and superstructure is, then, no more than a useful and flexible device for thinking about the relative of different elements within a social totality at a moment. Here, as in the case of the forces and relations of the production axis, Marx is making analytical distinctions that are provisional and exploratory. They are signposts, not empirical descriptions. As The German Ideology had "Empirical observation must in each separate instance bring out empirically, and without any mystification and the connection of the social and political structure with

problems.

-

must

not

struggles,

-

understood be insisted that material production and historical form understood general specific applied kind of here from category. long mechanical base/superstructure model. in its

recognizing

political

-

Thus Marx

forms of extra-economic coercion were crucial elements of the social relations of production. In other words, political structures were constitutive of the economic sphere. Marx also qualified the synchronic model of social totality, that there were historical lags and patterns of uneven development (see, for instance, the discussion of Greek art in the introduction to Grundrisse). Many other issues are raised by juxtaposing summary texts, such as the 1859 preface, with others of Marx's writings. "The history of all hitherto existing societies is the history of class struggles," The Communist Manifesto declared in its opening sentence. But the 1859 preface did not mention class or even class. Whether or not this silence was a way of evading the Prussian censor, it leaves unexplored some central questions. If the forces/relations of production matrix is the dynamic core of historical change, what is the role of class struggle? What is the relative force of conscious social agency and economic structures? And following on from this, there are a whole cluster of questions about the definition of social class, the causal connections between class location, class consciousness, and political action. Two brilliant pieces of historical analysis of a specific moment, Die Klassenkämpfe in Frankreich 1848 bis 1850 (written 1850, first published 1895; The Class Struggles in France, 1848-1850, 1924) and Der achtzehnte Brumaire des Louis-Bonaparte (written 1852, first published 1869; The

production

-

century but not to the ancient world or the Middle First he reaffirmed that material production of food, Ages. shelter, clothing, and so on was a precondition of human in all periods of history: "the Middle Ages could not live on Catholicism, nor the ancient world on politics." But he went on to distinguish between the determining role of the economic and the dominant role of religion or politics: "it is the mode in which they gained a livelihood that explains why here politics, and there Catholicism, played the chief part." In Capital, and elsewhere, Marx acknowledged that in precapitalist modes of the 19th

existence

-

pressure

particular

emphasized:

speculation,

production." Interrupted by political activity, especially his involvement in the International Working Men's Association (the so-called First International), and plagued by poor health, by the time

of his death in 1883 Marx had not provided an extended account of historical materialism. The published oeuvre of Karl Marx today consists of letters, working drafts, and manuscripts never finalized for publication, as well as newspaper articles, political speeches, and documents, local polemics, and a few major studies, notably the first volume of Capital, which he did see through the press himself. His with Engels, who not only cooperated in the writing of several texts but was responsible for editing and rewriting several of Marx's works after the latter's death volumes 2 and 3 of Capital adds further It is hardly surprising that this collection of writings bearing the name "Karl Marx" is fragmentary and discrepant. This issue, however, involves more than Marx's peculiar publication history. The major themes of this body of work the determining pressures exerted by the forces of production in long-term historical change, the pivotal role of class struggle in history, the profound connections between forms of economic production and political structures, and so on were developed by Marx in summaries and extended analyses which were often inconsistent, or at least pointed in different The forms in which "the legal and political were "conditioned" by, or "represented," socioeconomic processes were formulated and reformulated in several ways. The central concept of social class received various definitions and, crucially, in chapter 52 of volume 3 of Capital, was to silence. At the very core of Marx's work there were unresolved tensions: between, for instance, a stress on social agency, whereby men (and women) make their own history through conscious collective activity, and a countervailing stress on overpowering structural constraints; or between the creation of coherent and overarching conceptual models and empirical analysis of specific histories. Marx said of Adam Smith's in his theory of value, that they were "natural in a writer who is the founder of political economy and is feeling his way, experimenting, and struggling with a chaos of ideas." So too in the case of Marx the price of his conceptual innovation was a body of work riddled by and provisionalities. It was precisely his dogged refusal to systematize prematurely or to foreclose on inconsistencies that was to make his influence so productive. As socialist parties responsive to Marx's ideas began to be established in Europe in the 1880s, it fell to Engels to systematize and clarify "historical materialism." This was in a context in which key texts were unavailable. Economic and Philosophic Manuscripts of 1844 (1959), The German Ideology, and Grundrisse were unpublished and forgotten. Many of Marx's important newspaper articles were undiscovered, and even major works were untranslated into English or French, much less other languages. It is clear from his correspondence in these years that Engels was anxious to avoid over-simplification, and impatient with those who adopted a mechanical economic reductionism. As he quipped to one of his correspondents in has a lot of 1890: "the materialist conception of history friends nowadays to whom it serves as an excuse for not history." And yet Engels' own widely circulated writings Anti-Dühring (1878) and Ludwig Feuerbach und der Ausgang der klassischen deutschen Philosophie (1888; Ludwig Feuerbach and the Outcome of Classical German Philosophy, 1934) did in crucial respects encourage the idea that historical materialism

theoretical

notebooks,

partnership -

outstandingly, complications. -

-

-

directions. superstructure"

abandoned

inconsistencies necessarily uncertainties

.

.

.

studying

-

-

was a

coherent and finished theoretical system that could be

applied

to

empirical reality.

In the hands of

a

new

generation, especially

in

Germany,

dazzled by the high status of the natural sciences and persuaded of the deep affinity of Darwin and Marx again encouraged by Engels (and sometimes Marx) historical materialism was represented as a positivist method based on the model of the natural sciences and imbued with the idiom of Darwin. Karl Kautsky and Georgii Plekhanov were the most authoritative of the second generation of interpreters of Marxism and received the imprimatur of Engels. Kautsky's Die materialistische Geschichtsauffassung (1927; The Materialist Conception of History, 1988) and Plekhanov's Κ voprosu o razvitii moni stich eskogo vzgliada na istoriiu (1919; In Defence of Materialism, 1947) were vigorous assertions of the scientific credentials and the materialism of the Marxist approach to history. Both closely the text of the 1859 preface to elaborate a history grounded in the development of the forces of production, now narrowly understood in terms of technological relations to the material environment. History appeared as a more or less inexorable and cumulative process of technical over nature. Despite the violent political differences of Kautsky and Plekhanov, the dominant version of the MarxistLeninist interpretation of history in the Soviet Union remained committed to the same kind of productive forces determinism see Bukharin's Teoriia istoricheskogo materializma ( 1923; Historical Materialism, 1925) or Stalin's admittedly succinct "Dialectical and Historical Materialism" (1938). This is not to say that this second generation did not make a valuable contribution to the development of Marxist writing. In the years before 19 t 4 there was a proliferation of historical work throughout Europe, generally outside the academy, influenced to varying degrees by a "Marxist" approach. Kautsky himself wrote historical studies of the of Christianity and of Thomas More. Eduard Bernstein, literary executor of Engels and the major political voice of Marxism in the pre-1914 SPD, did pioneering research on the English revolution of the 1640s and 1650s, rescuing the Levellers from obscurity in his Cromwell and Communism. At the same time, for this politically-engaged generation of Marxists, historical materialism was not merely a philosophy of history or a way of writing about the past. It was a source of knowledge capable of informing current political practice and directed towards the present and the future. Works such as Kautsky's Die Agrarfrage (1898; The Agrarian Question, 1988) or Lenin's Razvitie kapitalizma ν Rossii (1899; The Development of Capitalism in Russia, i960) concerned with the transformative impact of capital on precapitalist forms of -

-

-

followed

universal

mastery

-

historical

origins revisionist

-

Hilferding's Das Finanzkapital (1923; Finance agriculture Capital, 1981) or Bukharin's Mitovoe khoziaistvo i imperialfocused izm, 1923; Imperialism and World Economy, 1929) on the replacement of laissez-faire capitalism by a new forms -

-

of state

capital

-

were

not

historical studies in any

narrow sense.

They were analyses of contemporary issues with immediate political purpose. But they necessarily involved historical and appropriated key concepts from Marx precisely in order to analyze change over time. There is a narrow line between utilizing a historical perspective to inform political practice and exploiting it to justify a political policy.

periodization

dividing In the Soviet Union,

especially

from the later 1920s, the Marxist

interpretation of history,

in its most narrow determinist form, became part of state doctrine. It reached its nadir in the Boshevik Central Committee's 1938 History of the Communist Party of the Soviet Union: Short Course, written under Stalin's supervision, with its blatant distortions of history to justify the Soviet

regime.

From the 1920s in Western Europe quite different variants of Marxism emerged, breaking decisively from the productive

forces/technological determinism of the Second International and Soviet Marxism-Leninism. The Italian Communist leader Antonio Gramsci saw the Bolshevik revolution as a revolution against Marx's Capital, or at least against the sometimes rigid historical schemas derived from it by Kautsky, Plekhanov, and others. But he was similarly critical of a Bolshevik such as Bukharin for reducing the Marxist approach, in his Historical Materialism, "to a mechanical formula which gives the of holding the whole of history in the palm of its hand." Gramsci insisted on the value of the idealist prehistory of Marxism with its emphasis on consciousness, culture, and human agency, as against what he termed "the positivist and naturalist incrustations" that "contaminated" some of Marx's later writings. A prisoner of Mussolini from 1926, Gramsci, in difficult conditions, patiently outlined an programme for historical research. The insights and new concepts sketched out in the Prison Notebooks were not, to reach a wider readership until the 1950s. A complementary project to reassert the antipositivist strand within historical materialism, subsequently called "Western Marxism," emerged in the 1920s. The seminal text was Geschichte und Klassenbewusstsein (1923; History and Class Consciousness, 1971), a collection of essays by Georg Lukács which elaborated some startling and brilliant new perspectives on Marx. In particular, it retrieved the importance of Marx's brief discussion of commodity fetishism in volume 1 of Capital and connected it to the notion of reification, derived from Max Weber. But, despite its title, the book had little to say about most of the major themes of historical materialism or about specific economic and social histories. Condemned by the Comintern and subsequently renounced by Lukács himself, History and Class Consciousness was a founding text for Walter Benjamin, Herbert Marcuse, Theodor Adorno, Max Horkheimer, and others who constituted "the Frankfurt school" in the early 1930s. Its Hegelian affinities reinforced by the discovery in 1932 of Marx's Economic and Philosophic Manuscripts of 1844, "Western Marxism" tended to replace concrete historical research with philosophical reflection and cultural critique. Nevertheless, between the 1930s and the 1960s the Frankfurt school and a parallel generation of French leftists, notably

impression

innovative

however,

Lucien Goldmann, Maurice Merleau-Ponty and, especially, Jean-Paul Sartre in critical dialogue with Freud, Weber, and -

made valuable contributions to Marxist historical analysis of culture and of politics. Elsewhere between the 1930s and 1950s, despite a degree of political and intellectual isolation, and despite the limitations of the Soviet paradigm of historical materialism, various kinds of creative historical work influenced by Marx did proceed within the orbit of European communist parties. Some of this writing laid the groundwork for the massive explosion of Marxist historiography in the 1960s and 1970s. Maurice Dobb's Studies in the Development of Capitalism (1946)

phenomenology approaches to the

-

extremely influential historical study by a British (and Cambridge University) economist which broke new ground in using Marx's categories to examine the historical transition from feudalism to capitalism. It triggered an international debate in the pages of the American journal Science and Society, subsequently collected together in The Transition from Feudalism to Capitalism: A Symposium edited by Rodney Hilton in 1954. Subsequent work by Hilton, Witold Kula, Immanuel Wallerstein, Perry Anderson, Robert Brenner, Guy Bois, and others has made this one of the most productive was

an

Communist party

and international

areas

of Marxist historical work in the

postwar significant convergences with the period. Here there were

theoretical work of Louis Althusser, especially Lire le Capital (1965; Reading "Capital", 1970), which was focusing attention on relevant concepts in Marx dealing with the transition between modes of production. Hindess and Hirst's PreCapitalist Modes of Production (1975) was an important, if much disputed, Althusserian intervention in this historiography. Labor history and the history of working-class political organizations was another important field of Marxist work developing from the interwar years. In France, inevitably, this was centered around the Revolution, the of which was dominated for several generations by a Marxist framework associated with the writing of Albert Mathiez, Georges Lefebvre, and Albert Soboul. In Britain strong traditions of labor history and radical cultural criticism, developed further in the interwar years by communists such and Jack as A.L. Morton, Dona Torr, Edgell Rickword, who a of historians for the laid group Lindsay, groundwork were to have a massive international influence from the 1960s. Christopher Hill, E.R Thompson, and Eric Hobsbawm in particular but also George Rudé, Victor Kiernan, and John Saville contributed to the emergence of a new social history of the working class and, increasingly, of other subaltern social groups. In fact, by the 1970s a more or less Marxian agenda was shaping historical work in many different fields and periods in Western Europe and the United States. At the same time the writings of Marx and some of the key figures of Western Marxism were being translated, debated, and for the first time. There were probably more exegeses and more theoretical debates around the Marxist of history between 1970 and 1985 than at any time in the previous century. Especially in these years, in field after field of historical research, questions and perspectives derived from Marx have set agendas, provoked debates, and reshaped important territories. The renaissance of Marxism is now over. New radical theories associated with French poststructuralism and feminism are now setting the pace across the human sciences, sometimes in open critical dialogue with the Marxist tradition, sometimes in profoundly uncritical hostility (in both directions). The revolutions of 1989 and the collapse of Soviet communism have challenged not only the Marxist world but its intellectual edifice. For better or worse, the Marxist interpretation of history remains a problematic and highly politicized issue.

historical

understanding

-

-

appropriated

interpretation

historical

JOHN

SEED

Anderson, P.; Althusser; Brenner; Furet; Gramsci; Hilton; Hill; Hobsbawm; Kula; Labor; Subaltern; Thompson, E.;

See also

Wallerstein

Further Reading

Hilferding Rudolf Das Finanzkapital: eine Studie über die jüngste Entwicklung des Kapitalismus Vienna : Wiener Volksbuchhandlung ,

Althusser, Louis , Etienne Balibar et Maspero , 1965 ; abridged edition in English as Reading "Capital" , York: Pantheon, 1971 Anderson , Perry, Considerations on

al. , Lire le Capital, Paris : (by Althusser and Balibar only) London : Verso , 1970 , New

,

,

,

Western Marxism , London

·

"

1977 ), 25

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92

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Cambridge University Press 1985 Engels Friedrich Herrn Eugen Dührings Umwälzung der Wissenschaft [Anti-Dühring] Leipzig : GenossenschaftsBuchdruckerei 1878 ; in English as Herr Eugen Dühring's Revolution in Science [Anti-Dühring] New York : International Publishers 1894 London: Lawrence and Wishart, 1931 Engels Friedrich Der Ursprung der Familie, des Privateigenthums und des Staats Hottingen-Zurich : Schweizerische Volksbuchhandlung 1884 ; in English as The Origin of the Family, Private Property, and the State Moscow : Foreign Languages Publishing House 1891 Chicago: Kerr, 1902 London: Lawrence and Wishart, 1940 Engels Friedrich Ludwig Feuerbach und der Ausgang der klassischen deutschen Philosophie Stuttgart: Dietz 1888 ; in English as Ludwig Feuerbach and the Outcome of Classical German Philosophy London : Lawrence and New York: International Publishers, 1934 Forgacs David ed., A Gramsci Reader: Selected Writings, 1916-1935 London : Lawrence and Wishart 1988 Furet François Marx et la Révolution française Paris : Flammarion 1986 ; in English as Marx and the French Revolution Chicago : University of Chicago Press 1988 Godelier M Infrastructures, Society and History," New Left Review 112 ( 1978 ), 84 96 Gramsci Antonio Quaderni del carcere 6 vols., written 1926-37 published Turin : Einaudi 1948-51 critical edition, 4 vols., 1975 ; in English as Selections from the Prison Notebooks London : Lawrence and Wishart, 1971, New York: International Publishers 1972 ,

"

,

,

,

Cottrell , Allin , Social Classes in Marxist Theory, London and Boston : Routledge , 1984 de Ste. Croix , G. E.M. , The Class Struggle in the Ancient Greek World: From the Archaic Age to the Arab Conquests , London : Duckworth , and Ithaca, NY: Cornell University Press, 1981 Dobb , Maurice , Studies in the Development of Capitalism , London : Routledge , 1946; New York : International Publishers , 1947 Elster, Jon , Making Sense of Marx , Cambridge and New York :

,

,

,

,

University Press, 1978

,

,

,

,

Brewer, Anthony, A Guide to Marx's "Capital ," Cambridge and New York : Cambridge University Press , 1984 Bukharin , Nikolai , Mirovoe khoziaistvo i imperializm , Petrograd : Priboi , 1923 ; in English as Imperialism and World Economy , New York : International Publishers , 1929 , London: Merlin Press, 1972 Bukharin , Nikolai , Teoriia istoricheskogo materializma: populiarnyi uchebnik marksistskii sotsiologii, Moscow, 1923 ; in English as Historical Materialism: A System of Sociology , New York : International Publishers , 1925 , London: Allen and Unwin, 1926 ; reprinted Ann Arbor : University of Michigan Press , 1969 Cohen , Gerald Allan , Karl Marx's Theory of History: A Defence , Oxford : Oxford University Press , and Princeton: Princeton

,

,

,

Brenner, Robert , The Origins of Capitalist Development: A Critique of Neo-Smithian Marxism ," New Left Review 104 (July

,

,

,

1943

,

,

,

,

Baron , Samuel H. , Plekhanov: The Father of Russian Marxism , London : Routledge , and Stanford, CA: Stanford University Press, 1963 Bernstein , Eduard , Sozialismus und Demokratie in der grossen englischen Revolution , 2nd ed., Stuttgart: Dietz , 1908 ; in English as Cromwell and Communism , London : Allen and Unwin , 1930 ; New York : A.M. Kelley, 1963 Bolshevik Central Committee, History of the Communist Party of the Soviet Union: Short Course , Moscow : Foreign Language House , 1938 ; New York: International Publishers, 1939 ; London:

-August

,

English as Finance Capital: A Study of the Latest Phase of Capitalist Development London and Boston : Routledge 1981 Hilton Rodney ed., The Transition from Feudalism to Capitalism: A Symposium New York : Science and Society and London: Fore, 1954 ; revised London : New Left Books and Atlantic Highlands, NJ: Humanities Press, 1976 Hindess Barry and Paul Q. Hirst Pre-Capitalist Modes of Production London : Routledge 1975 Holton R.J. Marxist Theories of Social Change and the Transition from Feudalism to Capitalism," Theory and Society 10 ( 1981 ), 805 32 Jones Gareth Stedman Engels and the Genesis of Marxism ," New Left Review 106 ( 1977 ), 79 104 Kautsky Karl Thomas More und seine Utopie Stuttgart: Dietz 1890 ; in English as Thomas More and His Utopia New York : International Publishers and London, A. & C. Black, 1927 ; reprinted 1979 Kautsky Karl Die Agrarfrage: eine Übersicht über die Tendenzen der modernen Landwirtschaft und die Agrarpolitik der Sozialdemokratie Stuttgart: Dietz 1898 ; in English as The Agrarian Question London : Zwan 1988 Kautsky Karl Die materialistische Geschichtsauffassung 2 vols., Berlin : Dietz 1927 ; in English as The Materialist Conception of History New Haven : Yale University Press 1988 Labriola Antonio Essays on the Materialistic Conception of History Chicago : Kerr 1904 [Italian original); reprinted 1966 Lenin V. I. Razvitie kapitalizma ν Rossii: protsess obrazovaniia vnutrennego rynka dita krupnoi promyshlennosti St. Petersburg 1899 ; in English as The Development of Capitalism in Russia vol. 3 Moscow : Progress and London: Lawrence and Wishart, 1960 Lukács Georg Geschichte und Klassenhewusstsein: Studien über marxistische Dialektik Berlin : Malik 1923 ; in English as History 1923 ; in

NLB , 1976

Cobbett,

,

,

and Class Consciousness: Studies in Marxist Dialectics , London : Merlin , and Cambridge, MA: MIT Press, 1971 Marx , Karl , and Friedrich Engels , "Die deutsche Ideologie," written 1845-46 ; published in Historisch-kritische Gesamtausgabe: Werke, Schriften, Briefe , vol. 5 , edited by David Rjazanov and V.V. Adoratskij , Frankfurt : Marx-Engels-Archiv, 1932 ; in English as The German Ideology, Moscow : Progress , 1964 , London: Lawrence and Wishart, 1970 , and in Marx and Engels , Collected Works , New York : International Publishers , 1975- , vol. 5 : 19 539 Marx , Karl , and Friedrich Engels , Manifesto der kommunistischen Partei , London : Burghard , 1848 , Chicago: Hofmann, 1871 ; in English as Manifesto of the Communist Party, London : Reeves , 1888 , Chicago: Kerr, 1902 ; generally known as The Communist -

Manifesto Marx , Karl , Zur Kritik der politischen Ökonomie , Berlin : Duncker, 1859 ; in English as A Contribution to the Critique of Political Economy , New York : International Publishers , and London: Kegan Paul Trench Trübner, 1904 Marx , Karl , Das Kapital , 3 vols., Hamburg : Meissner, 1867-94 ; in English as Capital, 3 vols., vol. 1 : London : Sonnenschein Lowrey, 1887 , New York: Appleton, 1889 ; vols. 2 and 3: Chicago : Kerr, 1907-09 ; vols. 1-3: London : Penguin , 1976-81 Marx , Karl , Der achtzehnte Brumaire des Louis-Bonaparte , Hamburg: Meissner, 1869 ; in English as The Eighteenth Brumaire of Louis Bonaparte , New York : International Publishers , 1898 , London: Allen and Unwin, 1924 Marx , Karl , Die Klassenkämpfe in Frankreich, 1&48 bis 1850 , Berlin : Glocke , 1895 ; in English as The Class Struggles in France, 1848-1850 , New York : New York Labor News , 1924 , London:

Lawrence, 1934 Marx , Karl , Grundrisse der Kritik der 2

politischen Ökonomie vols., Moscow : Verlag für fremdsprachige Literatur 1939-41 ; ,

,

section in English as Pre-Capitalist Economic Formations , edited by Eric J. Hobsbawm , London : Lawrence and Wishart , 1964 , New York : International Publishers , 1965 ; full translation as

Suffrage. Importantly, this study demonstrated that men did not always act as a gender, but as individuals responding to

Grundrisse: Foundations of the Critique of Political Economy , New York: Random House , and London: Marx , Karl , and Friedrich

Penguin,

1973

Engels Karl Marx and Friedrich Engels Foreign Publishing House 1953 Marx Karl Economic and Philosophic Manuscripts of 1844 Moscow : Foreign Languages Publishing House 1959 ; New York : International Publishers 1964 Marx Karl Political Writings edited by David Fernbach 3 vols., ,

historical

,

Britain , Moscow :

on

,

,

,

,

,

,

,

,

,

London : Allen Lane , 1973 ; New York : Random House , 1974 Marx , Karl , and Friedrich Engels , Collected Works , London : Lawrence and Wishart , and New York: International Publishers, 1975-

Oakley Allen The Making of Marx's Critical Theory: A Bibliographical Analysis London and Boston : Routledge 1983 ,

,

,

,

Plekhanov, Georgii Valentinovich , Κ voprosu

o

razvitii

monisticheskogo vzgliada na istoriiu Moscow 1919 ; in English as In Defence of Materialism: The Development of the Monist View of History London : Lawrence and Wishart 1947 Rigby Stephen Henry Marxism and History: A Critical Introduction Manchester : Manchester University Press and New York: St. Martin's Press, 1987 Sartre Jean-Paul Critique de la raison dialectique 2 vols., Paris : Gallimard 1960-85 ; in English as Critique of Dialectical Reason 2 vols., London and New York : Verso revised edition, 1976-90 Sartre Jean-Paul Search for a Method New York : Knopf 1963 [French original] Shaw W. H. Marx's Theory of History London : Hutchinson 1978 Stalin Joseph Dialectical and Historical Materialism ( 1938 ) in The Essential Stalin: Major Theoretical Writings, 1905-52 edited by Howard Bruce Franklin Garden City, NY: Anchor 1972 ; London: Croom Helm, 1973 ,

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,

,

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,

,

Masculinity Since the

mid-1970s, both social theorists and historians have come to see the importance of the analysis of men's gendered behavior. The impact of second-wave feminist theory was the emergence of men's studies as a discrete within the broader study of gender during the 1970s. Perhaps the most important American work to incorporate masculinity into the study of history during the 1970s was Joe Dubbert's A Man's Place (1979), which analyzed the US of the 19th century. His case studies of exemplary male heroes of the mythologized West scrutinized the role of both 19th-century racial theories and popular culture in the creation of models of male behavior. By 1980 masculinity had become identified as a culturally and historically constructed phenomenon. Moreover, the of the traits of conventional masculinity was no longer seen as easy, let alone automatic. While sex-role theory was

profound during area

frontier

acquisition not

eliminated,

a more

complicated theory

was

evolving

that

lived experience and men's agency. Typical of this new approach was D.H. Bell's Being a Man (1982) which used oral history to uncover some of the complexities of growing up male. During the early 1980s changes in feminist theory also began to have an impact on the study of masculinity, particularly in relation to historical studies. Sylvia Strauss' book Traitors to the Masculine Cause (1982), for example, examined men's role in first-wave feminist campaigns for female suffrage in the US and Britain. Strauss studied both individual men, such as John Stuart Mill, and pro-suffrage men's organizations such as the Men's League for Women's

emphasized

events.

was one of several historical studies that focused on the 19th and early 20th centuries in Britain and the United States. These studies have presented that period as being central to the construction of modern dominant masculinity. Mangan and Walvin's edited collection, Manliness and Morality (1987), for example, is typical of this approach. The various contributors placed the Victorian/Edwardian concept of manliness at the center of the creation, transmission, and social reproduction of dominant masculinity. This volume is important for the historical study of masculinity because it emphasized the sociopolitical and ideological context within which dominant masculinity arose. For example, many of the contributors, especially Mangan and Rotundo, were careful to highlight the significance of social class in relation to the creation of gender norms in the 19th century. The interpenetration of masculinity and femininity was also emphasized in this book, although in an uneven fashion. That is, while some of the essays highlighted the role of enhanced femininity on the development and changes in masculinity, others ignored it. Allen Warren's chapter on Baden-Powell and the connections between scouting, imperialism, and "manliness," for example, left women out of its analysis. By contrast, Arthur Brittan's Masculinity and Power (1989) portrayed the 1890s as a period of crisis in masculinity because of men's decidedly mixed reaction to first-wave feminism and changing definitions of femininity. The author was particularly careful to distinguish between masculinity, a changeable set of characteristics, and "masculinism," an that justified male domination. Importantly, both character traits and masculinist ideology were presented as historical constructs. Carnes and Griffin's Meanings for Manhood (1990) is another collection of essays focusing on masculinity in the Victorian era. The editors emphasized the need for a gendered history of men's lives and foregrounded their debt to both feminism and women's history. The editors stressed that one of the lessons gained from women's history was the need for some single-sex analyses. Their collection therefore included studies of the law as a masculine profession, and an of 19th-century printing apprenticeships as case-studies of masculinized workplaces. Other contributions to this collection offer a more gendered approach, for example, Margaret Marsh's suburban men and changing definitions of masculinity of study and domesticity in the late Victorian and Edwardian periods. In such a highly theorized area as gender and men's studies, this collection is notable for its commitment to historical tasks and skills. The editors maintained, for example, that, "Theory may enrich research, and political values and personal but in the end we depend on what the give it passion historical record may yield." A similar concern with empirically-based analysis was emphasized in Michael Roper and John Tosh's collection, Manful Assertions (1991). Although the various contributors provided interesting accounts of various aspects of masculinity ranging from a gendered re-reading of Thomas Carlyle through to the role of boys' story papers in the interwar period, its

Strauss' work

precisely

ideology "masculine"

examination

interactive

interests .

.

.,

strongest contribution is in the introductory chapter. In this essay, the editors outlined the development of the field of men's studies especially as it relates to history. Undermining concepts, Roper and Tosh stated that their object "is to demonstrate that masculinity has a history, that it is subject to change and varied in its forms." Mary Ryan's Cradle of the Middle Class (1981) remains one of the few studies of a sociohistorical character that has focused on a particular place and time and thoroughly integrated the analysis of gender in an interactive manner. That is, her study focused on the interaction and dynamics present in changing definitions and expressions of both masculinity and femininity. Of all the historical works to have emerged from the various calls from theorists for concrete histories, perhaps the most ambitious to date has been Jock Phillips' 1987 study of in post-settlement New Zealand, A Man's Country? The Image of the Pakeha Male: A History (1987). Though the title suggests an analysis centered on "images," the subject matter is, in fact, much more broadly based. Phillips studied the pioneer experience in fact and in subsequent legend; he also decoded New Zealand's obsession with rugby, placing the question of masculinity at the center of its deconstruction. Phillips charted the role of war in the creation and of dominant masculinity. His analysis emphasized the role of men in the family and in postwar reconstruction and The book's resonances for the historical analysis of white settler colonies/countries such as Australia, South Africa, and Canada are obvious, but to date histories on this scale from those countries have yet to emerge. Masculinity continues to be a somewhat marginalized field within historical study. Generally, these works are catalogued in the psychology section of libraries, which is fair enough in a work such as Klaus Theweleit's path-breaking Männerphantasien (1977-78; Male Fantasies, 1987-88), which explored the fiction popular with the men who came to make up the shock troops of Nazi Germany. More recently, works such as Mrinalini Sinha's Colonial Masculinity (1995) and Gail Bederman's Manliness and Civilization (1995) have sought to uncover the links between cultural constructions of and the suppression of subaltern cultures. These complex works suggest new ways for the field to develop.

essentialist

masculinity

transmission

suburbia.

analogous

masculinity

ROSS LAURIE

Budd , Michael Anton , The Sculpture Machine: Physical Culture and Body Politics in the Age of Empire, New York : New York University Press , and Basingstoke: Macmillan, 1997 Carnes , Mark C. , and Clyde Griffin , Meanings for Manhood: Constructions of Masculinity in Victorian America , Chicago : University of Chicago Press , 1990 Chapman , Rowena , and Jonathan Rutherford , eds., Male Order: Unwrapping Masculinity , London : Lawrence and Wishart , 1988 Cohen , Michele , Fashioning Masculinity: National Identity and Language in the Eighteenth Century, London and New York :

Routledge , 1996 Connell , Robert W , Masculinities , St. Leonard's, New South Wales : Allen and Unwin , and Berkeley: University of California Press, 1995

Dawson , Graham , Soldier Heroes: British Adventure, Empire, and the Imaginings of Masculinities , London and New York :

Routledge

1994

,

Dixon , Robert , Writing the Colonial Adventure: Race, Gender, and Nation in Anglo-Australian Popular Fiction, 1875-1914, Cambridge and New York : Cambridge University Press , 1995 Dubbert , Joe , A Man's Place: Masculinity in Transition , Englewood Cliffs, NJ: Prentice Hall , 1979 Ehrenreich , Barbara , The Hearts of Men: American Dreams and the Flight from Commitment , New York : Doubleday, 1983 Hearn , Jeff, and David H.J. Morgan , Men, Masculinities and Social Theory, London and Boston : Unwin Hyman 1990 Hoch , Paul , White Hero, Black Beast: Racism, Sexism and the Mask of Masculinity , London : Pluto , 1979 Kimmel , Michael , ed., Changing Men: New Directions in Research on Men and Masculinity , Newbury Park, CA : Sage , 1987 Kimmel , Michael , Manhood in America: A Cultural History , New York : Free Press , 1996 Lees , Clare Α. , Thelma Fenster and Jo Ann McNamara , eds., Medieval Masculinities: Regarding Men in the Middle Ages , Minneapolis : University of Minnesota Press , 1994 McLaren , Angus , The Trials of Masculinity: Policing Sexual Boundaries, 1870-19fs , Chicago : University of Chicago Press , ,

1997

Mangan J. Α. and James Walvin eds., Manliness and Morality: Middle-Class Masculinity in Britain and America, iSoo-1940 Manchester : Manchester University Press and New York: St. Martin's Press, 1987 Marsh Margaret S. Suburban Lives New Brunswick, NJ: Rutgers University Press 1990 Mosse George L. The Image of Man: The Creation of Modern Masculinity New York : Oxford University Press 1996 Nye Robert Α. Masculinity and Male Codes of Honor in Modern France New York : Oxford University Press 1993 Phillips Jock A Man's Country? The Image of the Pakeha Male: A History Auckland : Penguin 1987 ; revised 1996 Roper Michael and John Tosh eds., Manful Assertions: ,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

See also Davidoff; Gender; Hausen; Koonz; Lake; Military; Scott, Joan; Smith-Rosenberg; Women's History; Africa

,

Reading

Almeida , Miguel Vale de , The Hegemonic Male:

Portuguese

Town ,

Providence,

RI :

Masculinity

in a

Berghahn 1996 ,

Bederman , Gail , Manliness and Civilization: A Cultural History of Gender and Race in the United States , Chicago : University of

Chicago

Press , 1995

Bell , Donald H. , Being a Man: The Paradox of Masculinity , Lexington, MA : Lewis , 1982 Black , Daniel P., Dismantling Black Manhood: An Historical and Literary Analysis of the Legacy of Slavery , New York : Garland , .

1997

Bourke , Joanna , Dismembering the Male: Men's Bodies, Britain, and the Great War , Chicago : University of Chicago Press , 1996 Brittan , Arthur, Masculinity and Power , Oxford and New York : Blackwell , 1989

,

,

Masculinities in Britain since 1800 , London and New York :

Routledge Further

,

,

,

1991

Rotundo , E. Anthony, American Manhood: Transformation in Masculinity from the Revolution to the Modern Era , New York : Basic Books , 1993 Ryan , Mary P. , Cradle of the Middle Class: The Family in Oneida County, New York, 1790-1865 , Cambridge and New York :

Cambridge University Press , 1981 Seidler , Victor J. , Unreasonable Man: Masculinity and Social Theory, London and New York : Routledge , 1994 Sinha , Mrinalini , Colonial Masculinity: The "Manly Englishman" and the "Effeminate Bengali" iti the Late Nineteenth Century , Manchester : Manchester University Press , and New York: St. Martin's Press, 1995 Strauss , Sylvia , Traitors to the Masculine Cause: The Men's Campaign for Women's Rights , Westport, CT: Greenwood Press , 1982

Theweleit , Klaus , Männerphantasien , 2. vols., Frankfurt : Peter Stern , !977~78 ; in English as Male Fantasies , ι vols., Cambridge : Polity Press , and Minneapolis: University of Minnesota Press, 1987-88 Toison , Andrew, The Limits of Masculinity , London : Tavistock , 1977 ; New York: Harper, 1979 Waters , Karen Volland , The Perfect Gentleman: Masculine Control in Victorian Men's Fiction, 1870-1901 , New York : Lang, 1997

Mason, Tim

1940-1990 British historian of Germany was

Britain's most

historical the regime was able

deepening

understanding

of

a

working

Mason's

class which

to contain, but never fully convince. Consequently, according to Mason, in conditions of rapid rearmament, precarious economic recovery, and nationalist posturing by the regime, this opposition brought about a domestic crisis for the regime which forced Hitler into a "flight forwards," into hurried external expansion, and ultimately, into an early war. The regime was driven, therefore, not by the interests of "the most reactionary, most chauvinist, and most imperialist elements of finance capital" of Dimitrov's Comintern formulation, but by an autonomous Nazi that was able to act outside, and to some extent against, the interests of the ruling class. This is what Mason famously called the "primacy of domestic politics." It is this element of

official

Third Reich. The originality of his work sparked important debates and he intervened with skill in others. A Marxist historian, he was concerned with developing an approach to history that was undogmatic, analytical, humanistic. He participated in the History Workshop at Ruskin College, Oxford, and was a founding editor of History Workshop Journal projects aimed at developing the approaches of socialist and feminist He was a key advocate of history from below. Mason's work can be understood as the intersection of two historiographical trends. First, he followed the generation of the Marxist historians that emerged in the 1950s and 1960s. Mason became a historian at a time when many western Marxist historians exorcised the determinism of earlier Marxist, in Stalinist, versions of history. Second, Mason's work with a rejuvenation of interest, an intensification of debate, and a series of revised assumptions about the Third Reich in particular and fascism in general. Mason was not responsible for this rejuvenation of interest but he did significantly contribute to it. Social Policy in the Third Reich (1977, translated 1993) was the centerpiece of Mason's work. In this meticulously detailed and thoughtful study he focused on the relationship between the working class and the Nazi state. Far from being a description of the activities of proscribed underground organizations, as much of the East German scholarship had been, Mason widened the perspective to the working class as a whole and in particular to how it was viewed from above by the regime itself. Hitler and other leading Nazis, Mason argued, had been profoundly shaken by the November Revolution of 1918 when the deprivations and suffering of war led to a popular revolt of soldiers, sailors, and workers that put a stop to the faltering military campaign and the Kaiserreich itself. This scenario haunted an insecure Nazi leadership that countenanced war but feared a repetition of 1918. As a result, the regime was willing to make concessions to the working class in terms of social policy, was reluctant to demand material sacrifices during war, and was slow to implement the policy of a total war economy. Also, Mason uncovered a pattern of workers' opposition that was molded to conditions of full employment and Workers moved from one employer to another in search of the highest wages. Moreover, Mason argued this necessarily individualized response was profoundly influenced by a sense of distinct class interests and therefore should be considered as a form of opposition to the regime. Here he undermined the notion that the Nazis "conquered the soul of the German workers" and indeed his work encouraged further investigation of the German working class. The work of Kershaw and Tim Mason

Peukert, for example, importantly complemented

significant historian of the

-

historians.

particular

coincides

considerable

repression.

leadership

his case that has attracted the greatest controversy and made the least headway among historians. He was criticized by East German historians for his abandonment of Marxism, and by western academics for underplaying the fundamental reasons for launching war, that is, the relative national scale of and Hitler's intentions. Mason's phrase has been set up as an academic straw man. Perhaps the most telling criticism is that the concept too neatly divided politics and economics in a situation where the state took on an increasing role within the territorially expanded German economy, thus blurring that very division. Mason contributed widely to other questions concerning the Third Reich. In his many articles he dealt with the role of women within the Third Reich, and the weaknesses of the intentionalist case, and he defended using fascism as a generic analytical device. Mason's work is an impressive attempt to use history to make sense of the barbarity of the Third Reich and to salvage the German working class from the crimes of their tormentors. His aim was to forego moralistic simplifications but he was simultaneously committed to rejecting any notion that the Third Reich should be treated dispassionately or "normally." His approach is perhaps best summed up by his own words in response to the public argument between West German that erupted in 1986: "If historians do have a public responsibility, if hating is part of their method and warning part of their task, it is necessary that they should hate precisely."

rearmament,

unfortunately

historians

MATT PERRY See also

Germany: 1800-1945; History Workshop

Biography Timothy Wright Mason Born Birkenhead

2 March 1940 , of , schoolteacher parents. Studied at Oxford University; then held a research fellowship, St. Antony's College , Oxford, PhD 1971 Fellow and tutor, St. Peter's College, Oxford , 1971-85 Settled in Rome, 1984. Married 1) Ursula Vogel, 1970 (marriage dissolved); 2) Simonetta Piccone , 1987 Died Rome , 5 March 1990 .

.

.

.

Principal Writings "

Some Origins of the Second World War," Past and Present 29

( 1964 ), 67 87 -

"

Labour in the Third Reich ," Past and Present 33 ( 1966 ), 112 41 " Nineteenth Century Cromwell ," Past and Present 40 (1968 ), -

187

-

91

"

Primacy of Politics: Politics and Economics in Nationalist Socialist Germany," in Stuart J. Woolf ed., The Nature of Fascism 1968 ,

,

Arbeiterklasse und Volksgemeinschaft: Dokumente und Materialien zur deutschen Arbeiterpolitik, 1936-1939 ( The Working Class and the National Community: Documents and Material on German Worker Politics ), 1975 " Women in Germany, 1925-40: Family, Welfare and Work ," parts 1-2, History Workshop Journal 1 ( 1976 ), 74 113 ; and 2 (1976), 5-32 " National Socialism and the German Working Class, 1925-May 1933 ," New German Critique 11 ( 1977 ), 49 93 Sozialpolitik im Dritten Reich: Arbeiterklasse und Volksgemeinschaft , 1977 ; in English as Social Policy in the Third Reich: The Working Class and the National Community , edited -

-

by Jane Caplan

,

1993

"

Worker's Opposition in Nazi Germany," History Workshop Journal il ( 1981 ), 120 37 " Injustice and Resistance: Barrington Moore and the Reaction of the German Workers to Nazism ," in R. J. Bullen , Hartmut Pogge von Strandmann , and A. B. Polonsky, eds., Ideas into Politics: Aspects -

of European History 1880-1950 1984 Massenwiderstand ohne Organisation: Streiks ,

"

im faschistischen " Italien und NS-Deutschland ( Mass Resistance Without Organization: Strikes in Fascist Italy and Nazi Germany ),

Gewerkschaftliche Monatshefte

32

( 1984 ),

197

-

212

"

Arbeiter ohne Gewerkschaften: Massenwiderstand im NS" Deutschland und im faschistischen Italien ( Workers without Trade Unions: Mass Opposition in Nazi Germany and Fascist Italy ), Journal für Geschichte ( 1985 ), 28 35 " History Workshop ," Passato e Presente 8 ( 1985 ), 175 86 " " Il nazismo come professione ( Nazism as a Profession ), Rinascita -

-

18

( 18 May 1985 ),

18

-

19

"

The Great Economic History Show ," History Workshop Journal 21 ( 1986 ), 129 54 " Italy and Modernisation ," History Workshop Journal 25 ( 1988 ), -

127 47 -

"

Gli scioperi di Torino del Marzo '43," ( The Turin Strikes of March 1943 ) in Francesca Ferratini Tosi , Gaetano Grasso , and Massimo Legnani , eds., L'Italia nella seconda guerra mondiale e nella resistenza ( Italy and Its Resistance Movement During World War

II ), 1988 Debate: Germany, 'Domestic Crisis and War in 1939': Comment 2 ," Past and Present 122 ( 1989 ), 205 21 " " Whatever Happened to 'Fascism'? Radical History Review 49 in Thomas Childers and Jane Caplan , ( 1991 ), 89 98 ; reprinted eds., Reevaluating the Third Reich , 1993 " The Domestic Dynamics of Nazi Conquests: A Response to Critics ," in Thomas Childers and Jane Caplan , eds., Reevaluating the Third Reich , 1993 Nazism, Fascism and the Working Class: Essays by Tim Mason , edited by Jane Caplan , 1995 "

-

-

Further Reading Caplan Jane ed., Introduction, Nazism, Fascism and the Working Class: Essays by Tim Mason Cambridge and New York : Cambridge University Press 1995 DiCori Paola Raphael Samuel and Nicola Gallerano Tim Mason: l'uomo, lo studioso ( Tim Mason: The Man, the Scholar ), Movimento Operaio e Socialista 13 ( 1990 ), 267 86 Kershaw Ian The Nazi Dictatorship: Problems and Perspectives of Interpretation London : Arnold 1985 ; 3rd edition 1993 Peukert Detlev Volksgenossen und Gemeinschaftsfremde: Anpassung, Ausmerze und Aufbegehren unter dem Nationalsozialismus Cologne : Bund Verlag 1982 ; in English as Inside Nazi Germany: Conformity, Opposition, and Racism in Everyday Life New Haven : Yale University Press and London: Batsford, 1987 Tim Mason: A Memorial ," History Samuel Raphael et al. Workshop Journal 30 ( 1990 ), 129 88 (includes bibliography] "

"

,

,

,

,

"

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,

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,

"

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,

,

,

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,

,

,

,

,

"

,

,

-

Maspero,

Henri 1883-1945

French historian of China Henri in the

Maspero was the foremost Western historian of China early 20th century. Working before the current

infrastructure of research aids and typeset modern editions had come

into

being,

he

produced

not

only pioneering research,

but also a synthesis of existing scholarship on early China which is still worth reading today. His posthumously published writings on the history of Chinese religion introduced to scholars Eastern and Western a mass of information concerning a tradition Taoism that had hitherto been almost totally -

-

ignored. the

of

and his first

Maspero Egyptologist, published work however, he had acquired Egypt. By was

was on

son

an

1907,

sinological training from Edouard Chavannes (1865-1918), the first man to introduce the teaching of history into Western study of China, though then the study of Asia was far less than at present, and throughout his life Maspero made contributions not simply to historical research but also to the study of the Chinese language, and to the study of Indochina. But despite showing a certain flair as an ethnographer, his chief interests (even his linguistic interests) were historical. He soon showed this while working in Hanoi, with a series of articles on the sources for the early history of Vietnam and on the history of Chinese Buddhism. After his return to France, he set to work on producing the first general history of China based on modern critical scholarship in a Western language, and by 1927 had completed La Chine Antique (China in Antiquity, 1978). Though this predated the flowering of critical history in China itself in the 1930s, and the more recent rise of as a source of information on early China, it still remains a masterly survey, combining a wide reading of early Chinese sources with a careful use of modern ethnographic insights derived from study of the minority groups of Indochina, which, as Marcel Granet noted, showed features reminiscent of the civilization of early China. As Maspero's reading advanced following the publication of La Chine Antique to cover the early imperial period of Chinese history, he encountered a type of source material never used before: the scriptures of the Taoist religion. The Taoist canon, a repository of well over a thousand texts, was before a

specialized

archaeology

its printing by photolithographic reproduction in 1927 exceptionally rare work, and even the very incomplete

an

copy

which already had been brought to Paris and used by Chavannes was almost the only substantial portion of the work existing outside East Asia. Gradually Maspero began to sort through this new treasure trove of information, and to work out which materials dated back to the formative phase of the religion in the 4th and 5th centuries CE. Other aspects of history still continued to occupy him, including the preparation for publication of an archive of early administrative documents retrieved from the sands of Central Asia by the British explorer Sir Aurel Stein (1862-1943). As a result of these diverse projects and of the onset of war, no further monograph by Maspero saw print during his lifetime, though the volume of Stein documents was ready for publication in 1936, save for the necessary funding from the India Office and the British Museum; in fact it appeared only in 1953.

By that time three volumes of posthumous works gathering together a number of unpublished writings and reprints on Chinese religion, on Taoism, and on early history had already been complied and published by Paul Demiéville in 1950. Further pieces followed for up to ten years after his death, and even thereafter anthologies or reprints of his writings have been produced in France, and latterly in English and other Maspero's research had been translated into other languages ever since his early work on Chinese Buddhism had been rendered into Japanese before World War I, but from 1966 onwards, when his second posthumous collection on Taoism was translated into Japanese, entire volumes started to

translations. be

published

in

foreign languages.

Maspero's work testifies the energies on his behalf of his executor Demiéville, like him a historian of religion (Buddhism) with a strong interest in language, but the number of younger scholars who to celebrate the centenary of his birth in 1983 covered a wide spread of expertise from France and beyond, ample to an influence undiminished by his tragic premature death. Together with Chavannnes, Pelliot, Demiéville, and others of like stature, Maspero helped to achieve such a for French-language studies of Chinese civilization that up to World War II students at Harvard were obliged to learn French before starting their Chinese studies. In retrospect the scope of his achievements looks even more amazing when set against the rudimentary state of the field at the start of his career. In part this continued interest in

to

gathered

testimony

dominance

T.H. BARRETT

See also China

Massignon,

Louis 1883-1962

French Islamic historian One of the last of the

major European Orientalists in the line of the Hungarian Ignace Goldziher and the Dutch C. Snouck Hurgronje, Louis Massignon established with his pioneering research into the language, history, and literature of Islamic mysticism the scientific basis for Islamic study. His Essai (1922) on the origins of the technical language of Muslim mysticism and, especially, his magnum opus, the 2-volume study of a 10thcentury mystic and martyr, La Passion d'al-Hallaj (1914-21; The Passion of al-Hallaj, 1982), earned him election in 1924 to the Royal Asiatic Society of London and the Academy of Sciences of the USSR, and led to his appointment in 1926 to the chair in sociology and sociography of Islam at the Collège de France, a position he held until his retirement in 1954. Massignon's magisterial study of Hallaj in its enlarged posthumous edition of 1975 from Gallimard, and in its English edition of 1982 in the Bollingen series of Princeton University Press, was a work of four volumes and nearly 2000 pages. In his preface designed for the new edition Massignon set forth his methodology and working hypotheses for situating Hallaj's life historically and establishing his place in Islamic history and mystical tradition: a painstaking of the texts, a complete annotated translation, and the minute examination of "testimonial chains" showing direct traces of Halla j's influence upon others' literature and art. Essential for Massignon, however, from his earliest exposure to Hallaj in 1907, was "an intellectual affinity by friendship of the spirit, entirely disinterested and supraracial." Given that "there remained the preparation of a body of explicative for the entire work, which was indispensable for rendering it intelligible to the non-Muslim reader." The three substantive volumes, concentrating respectively on the "Life," "Survival," and "Teaching" of Hallaj, were by a fourth, "Bibliography and Index," the most compendium of primary and secondary sources found in any work of Islamic studies, including particularly Arabic, Iranian, and Turkish authors along with European authors. Its index of sects, schools, and technical terms has been an resource ever since its shorter 1922 edition for anyone doing advanced research in early and medieval Islam. Volume 1 is a truly awesome historical reconstruction of Islamic civilization as it was in the century of Hallaj's life, imprisonment, politically motivated trial, and execution for "heresy," roughly the mid-9th to mid-10th centuryCE. Based on primary sources drawn from all spheres of economic and social life, religious and political institutions, the volume offers dramatic evidence of Massignon's linguistic range and Volume 2 focuses on the evolution of Hallaj's influence on other mystical thinkers and establishes, as Massignon argues, his central place within the Muslim mystical tradition down to the present day. This reveals Massignon the classical Orientalist, verifying the chains of authority from generation to generation and collecting thereby a wealth of living history not found in the works of generalists. Finally, volume 3 concentrates on the history of Muslim philosophical and theological thought and Hallaj's contribution to it. Here Massignon, a leading Catholic thinker, shows his remarkable

intellectual authentication

annotation

Biography Born Paris , 15 December 1883 , son of the Egyptologist Gaston Maspero ( 1846-1916 ). Educated in sinology at the Collège de France, to 1907. Apart from brief periods of leave and war service as an interpreter, attached to the Ecole Française d'Extrême-Orient, Hanoi, doing full-time research in Indochina or China itself, 1908-20 ; chair in sinology at the Collège de France, 1921-45. Arrested and deported because of his son's resistance work ; died Buchenwald, 17 March 1945 .

Principal Writings La Chine Antique , 1927 ; in English as China in Antiquity , 1978 sur les religions et l'histoire de la Chine (Posthumous Writings on the Religions and History of China ),

Mélanges posthumes 3

vols.,

1950

Les Documents chinois de la troisième expédition de Sir Aurel Stein en Asie Centrale (Chinese Documents on Sir Aurel Stein's Third Expedition to Central Asia), 1953 Le Taoïsme et les religions chinoises , 1971 ; in English as Taoism and Chinese Religion, 1981

Further

Reading

Kierman , Frank Α. , Jr. , Introduction, to Maspero, China in Antiquity , Amherst : University of Massachusetts Press , 1978

[includes bibliography] Kierman , Frank Α. , Jr. , Introduction to Maspero , Taoism and Chinese Religion , Amherst : University of Massachusetts Press ,

1981

completed exhaustive essential

erudition.

anecdotal

ability

to

translate himself into

an

Islamic intellectual

framework and persuasively for the authenticity of Qur'anic

See also Near East

to argue

inspiration. In volume 3, especially, Hallaj's own extant works of poetry and prose are translated with exceptional skill, and lyric power by Massignon. It is clear to the in Islamic studies that no one among Western experts before or since brought to his subject such a combination of mastery of languages, control of texts, singular and perspective, interpretive subtlety, and literary gifts. This work is, as Julian Baldick wrote in his Times Literary Supplement review of the English edition, "a very great book by France's most famous Islamic specialist of our century." Both in his Paris professorship and in his long standing with the New Egyptian University of Cairo as professor in Arabic of Muslim philosophical doctrines and language, Massignon influenced several generations of European and Muslim students who have had distinguished academic careers. Included among those who have pursued and extended various aspects and methods of Massignon's research have been the French Iranianist Henry Corbin, himself later of the Collège de France, in his insightful studies of Avicenna and Ibn 'Arabi; Ibrahim Madkour of the New Cairo University in his major contributions to the study of Muslim theology; George Makdisi, the noted Arabist historian of the University of Pennsylvania, in his 2-volume study of the nth-century Ibn 'Aqil; Annemarie Schimmel, professor of Indo Islamic cultures at Harvard and Bonn, whose studies of Rumi, Ghalib, and others in the long tradition of Islamic mysticism follow both the rigorous textual precision and the spiritual devotion to Islam of Massignon. Among Americans influenced directly by Massignon were James Kritzeck and Marshall Hodgson, whose 2-volume Venture of Islam many consider the most ambitious undertaking by an American in the field of Islamics. Under the influence of the noted Persian philosopher and historian of science Seyyed Hossein Nasr, himself directly linked to Massignon through Corbin, a host of young British and American scholars of Sufism has emerged in recent times with indebtedness to rhe linguistic range and textual fidelity established by the Orientalists of Europe particularly through Massignon. In terms of serious re-examination of Massignon's studies of Qur'anic and mystical language and of Hallaj himself and his works, Volume 4 includes an "Ultima Hallagiana" section of works through 1979; but special attention should be paid to the exegetical work of Paul Nwyia of the University of Paris and to the careful editing and study of Hallaj's poetry by Kamil M. al-Shaibi of the University of Baghdad. Massignon spent the last years of his life, following his retirement from teaching, in the service of Muslim-Christian dialogue and writing numerous papers in pursuit of peace between Western and Islamic countries. He continued to guide students informally in areas of Islamic and comparative Semitic studies, Arabic and Persian textual exegesis, and comparative histories of religion. But most of his energy was devoted to the completion of his work on Hallaj and to his activism against the war in Algeria, which ended just prior to his death in 1962. His legacy both as a scholar and as an ecumenical thinker was recognized in 1983 on the occasion of the of his birth when he was honored by UNESCO as one of Europe's seminal intellectuals of the 20th century.

penetration,

specialists comparative

association

traditionalist

centenary

HERBERT W. MASON

Biography Born Nogent-sur-Marne , 1883 Educated at Lycée Louis-le-Grand, Paris; traveled to Algeria while working on his diploma , which he received in 1905. Joined Institut Française d'Archéologie Orientale, Cairo , 1906 ; remained in Middle East studying and teaching at the newly founded University of Cairo , 1912-13 During World War I, served in the Middle East, eventually as high commissioner in Palestine and Syria. Returned to Paris and taught at Collège de France, from 1919: chair in sociology and sociography of Islam, 1926-54. Died Paris, 1962 .

.

.

Principal Writings Mission en 2

vols.,

Mésopotamie (1907-1908) ( Mission

Mesopotamia ),

to

1910-12

d'al-Hosayn-ibn-Mansour al-Hallaj, martyr mystique de l'Islam, exécuté à Baghdad le 26 mars 922 4 vols., 1914-21, abridged, 1922 enlarged 1975; in English as The Passion of alHallaj 4 vols., 1982 abridged, 1994 Essai sur l'origines du lexique technique de la mystique musulmane 1922 ; in English as Essay on the Origins of the Technical Language of Muslim Mysticism 1997 La Mubâhala de Médine et l'Hyperdulie de Fatima 1955 Opéra Minora 3 vols., 1963 and Parole donnée 1987 ; selections in English as Testimonies and Reflections: Selected Essays of Louis Massignon 1989 La Passion

,

,

,

,

,

,

,

,

,

,

,

,

Further

Reading

Basetti-Sani , Giulio , Louis Massignon: orientaliste cristiano , Milan : Vita e Pensiero , 1971 ; in English as Louis Massignon, Christian Ecumenist: Prophet of Inter-Religious Reconciliation , Chicago : Franciscan Herald , 1974 Destremau , Christian , and Jean Moncelon , Louis Massignon , Paris : Plon , 1994 [includes bibliography] Gude , Mary Louise , Louis Massignon: The Crucible of Compassion , Notre Dame, IN : University of Notre Dame Press , 1996 Hourani , Albert , T.E. Lawrence and Louis Massignon ," in his Islam in European Thought, Cambridge and New York : "

Cambridge University

Press , 1991

Mason , Herbert , Memoir of a Friend: Louis Massignon , Notre Dame, IN : University of Notre Dame Press , 1988 Monteil , Vincent , Le Linceul de feu: Louis Massignon, 1883-1962 ( The Shroud of Fire: Louis Massignon ), Paris : Vegapress , 1987 Moubarac , Youakim , L'Oeuvre de Louis Massignon: Bibliographie Complétée et refondue (1906-1962) (The Works of Louis Massignon: Revised and Completed Bibliography) , Beirut : Edition du Cénacle Libanasis , 1972-73 Rocalve , Pierre , Louis Massignon et l'Islam ( Louis Massignon and Islam ), Damascus : Institut Français du Damas , 1993 " Waardenburg , J. , Massignon: Notes for Further Research ," Muslim World 56 ( 1966 )

Mathiez, Albert French

religious

1874-1932

historian

best remembered as the expert on the French Revolution. His doctoral religious questions during thesis on Theophilanthropy (1904) and his book published in Rome et le clergé français sous la Constituante (Rome 1911 and the French Clergy under the Constituent Assembly) placed him clearly at the heart of the development of studies set up by F.-A. Aulard. His conclusions outlined Albert Mathiez is

probably

-

-

revolutionary

the hesitations of the Catholic clergy faced with the Civil Constitution in 1790. He showed that 18th-century and Constituent members alike had no inkling of the emergence of a secular state; at the same time he insisted that financial issues tended to dominate the religious debate. In that respect, Mathiez illustrates the preoccupations of the who had fought for the creation of a secular democracy in the 1880s. Mathiez's early contributions to revolutionary studies followed Aulard's political republican stance, concerned with creating a republican tradition for the Third Republic, This included the emergence of history as an academic discipline, breaking away from literary studies, and attempting to acquire a new methodology based on textual analysis of sources, but concerned with political developments from above. Indeed, Mathiez devoted an entire volume of his La Révolution française (1922-27; The French Revolution, 1929) to events between 10 August 1792 and 3 June 1793, highlighting the importance of the struggle between Girondins and Montagnards in their attempts to control power. Yet Mathiez is more than a simple political historian. He stands as the first revisionist of the republican orthodoxy elaborated by Aulard. For Aulard, Danton had provided a symbol of republican and lay patriotism, untouched by accusations of betrayal and conveniently detached from the episode of the September massacres in 1792. In contrast, Robespierre was viewed in a variety of ways; sometimes clerical because of his involvement in the Cult of Supreme Being, sometimes dictatorial because of the Terror, sometimes egalitarian because of his support for the Constitution of 1793, the Maximum and the Ventose decrees. Though Mathiez remained concerned with leaders and continued to perceive history as written from above, he brought a new dimension to the debate. He questioned the relative significance of the events of 1789 and 1793. He asked what was the nature of the Republic in 1793-94 and at the end of the 19th century. Mathiez's answer is a clear cut rehabilitation of Robespierre, hence an acknowledgement that the Revolution is One. In the tradition of Guizot and other 19th-century writers, he accepted the Terror as part and parcel of revolutionary history, while Aulard had played down violence to create a moderate republican consensus. In fact, Mathiez amplified the dictatorial tendencies of the Revolution in his writings, which he saw as reflecting Sans Culotte pressure on the government and which he identified as going back to 1789. It can be argued that Mathiez's stance on Robespierre reflects Jean Jaurès' influence. In his introduction to Jaurès' Histoire socialiste de la Révolution française (Socialist History of the French Revolution, 8 vols., 1922-27), the socialist leader attempted to conciliate socialism to a republican tradition that would include "democracy and social dimensions" (Jaurès). Thus Robespierre is revealed as the precursor of socialism in a republican context, while Danton is denounced as a traitor to the Republic, who attempted to delay the war effort, in relation to the king's trial, and indulged in dishonest dealings in association with Lameth and Fabre d'Eglantine. Mathiez devoted a lot of energy to this particular polemic, which led to a lasting legacy for future revolutionary studies. He created the Société des Etudes Robespierristes (Society of Robespierrist Studies) and the Annales Historiques de la

philosophers generation

parliamentary

nevertheless

revolutionary

hesitated

Révolution française (AHRF). Both still exist today and are for many of historical publications on the Revolution. However, this change of emphasis, from Danton to Robespierre, did not bring a new kind of historical writing. Mathiez also assessed the importance of economic and social issues. This was partly as a result of Jaurès' influence. It was also because of the experiences of World War I! In La Vie chère et le mouvement social {The High Cost of Living and the Social Movement, 1927) Mathiez showed how economic problems influenced Parisian and provincial politics in relation to the establishment of the revolutionary government, and their to the decisions taken by the Committee of Public Safety. However, he ignored the peasants and retained more interest in government reactions to economic problems than in the predicaments of the people when faced with them. Mathiez's contribution to French historiography is vast and reflects the activities of a remarkable scholar whose archival finds were numerous and used with great imagination. His writings on religious issues remain a point of reference, though he did not persevere with a sociological analysis of the cults which he had hinted at in his Origines des cultes révolutionnaires (Origins of the Revolutionary Cults, 1904). He was thus reflecting his fear that the use of sociological methods could lead to generalizations achieved at the expense of patient and methodical research. This can also be seen in his role in developing history as an academic discipline rooted in archival research. A tireless researcher, Mathiez left Aulard behind and charted the way for future economic and social historians.

responsible

relation

revolutionary

MARTINE BONDOIS MORRIS

See also France: French Revolution; Furet; Godechot; Hufton; Marxist Interpretation; Soboul; Social

Biography Albert Xavier Emile Mathiez. Born La Bruyère, Haute Saone, 10 January 1874 to a peasant family Educated at Lure, Vesoul, and Lycée Lakanal, Sceaux, near Paris; entered the Ecole Normale Supérieure, 1894, agrégation 1897 Taught away from Paris for a while, before receiving his doctorate in 1904, then occupied various posts at universities in Caen, Nancy, Lille, Besançon, and Dijon before moving to the Sorbonne, 1926-32. From 1924, editor of the journal Annales Révolutionnaires which was renamed Annales Historiques de la Révolution française Died Paris, February 1932 ,

.

.

.

.

Principal Writings Les

Origines des cultes révolutionnaires (1789-1792) ( Origins of the

Revolutionary Cults ), 1904 ; reprinted 1977 La Théophilanthropie et le culte décadaire, 1796-1801: essai l'histoire religieuse de la révolution ( Theophilanthropy and Revolutionary Cults ), 1904 ; reprinted 1975 Le Club des Cordeliers

sur

pendant la crise de Varennes et la massacre du Champ de Mars ( The Cordeliers Club ), 1910 Rome et le clergé français sous la Constituante: la constitution civile du clergé, l'affaire d'Avignon ( Rome and the French Clergy under the Constituent Assembly ), 1911 La Révolution et les étrangers: cosmopolitisme et défense nationale ( The Revolution and Foreigners), 1918 Danton et la paix ( Danton and Peace ), 1919 L'Affaire de la Compagnie des Indes ( The Affair of the Company of the Indies ), 1921

terroriste ( Robespierre as Terrorist ), 1921 royauté ( The Fall of the Monarchy ), 1922 La Révolution française , 3 vols, 1922-27 ; in English as The French Revolution , 1929 Autour de Robespierre , 1925 ; in English as The Fall of Robespierre, and Other Essays , 1927 Autour de Danton ( On Danton ), 1926 La Vie chère et le mouvement social sous la Terreur (The High Cost of Living and the Social Movement during the Terror ), 1927 La Réaction thermidorienne , 1929 ; in English as After Robespierre: The Thermidorian Reaction , 1931

Robespierre

La Chute de la

Further

Reading

Caillet-Bois , Ricardo Rodolfo , Bibliografia de Albert Mathiez , Buenos Aires : Buenos Aires University Press , 1932 Lefebvre , Georges , Etudes sur la Révolution française ( Studies on the French Revolution ), Paris : Presses Universitaires de France , 1954

Garrett 1900-1962

Mattingly, US historian of Garrett

early

Mattingly,

an

Europe

American historian of

early

modern

modern scholars who have enjoyed both professional esteem and popular acclaim. He was the author of three classic books, each of which grew out of his abiding interest in the diplomatic relations between England and Spain. The master of a lean and elegant prose style, he had an unerring eye for illuminating detail, a powerful grasp of character, and a gift for lucid generalization. His command of the archival sources in his field was unrivaled, but he tended to minimize the scholarly apparatus of his books. Each of them was aimed at the widest possible audience, and each offered an exemplary combination of engaging narrative and incisive

Europe,

was one

of the

modern

rare

analysis. One of Mattingly's mentors was the Harvard historian Roger Merriman, who introduced him to the field of early modern Spanish history; another was Bernard De Voto, who nourished his interest in literature and problems of narration. De Voto was an extraordinary figure, something like a combination of H.L. Mencken and Francis Parkman: a curmudgeonly man of letters and a romantic historian of America's westward expansion. De Voto's The Year of Decision: 1846 (1943) offered an example of how to keep multiple story lines advancing through the course of a single eventful year. It was a technique that De Voto learned from his experience as a and one that Mattingly would employ brilliantly in The Armada (1959). As a popular historian, De Voto rejected the conventions of monographic history in favor of a narrative of epic sweep studded with dramatic vignettes. Wallace Stegner, De Voto's biographer, called this strategy "history by the illumination of whole areas and periods through upon one brief time, one single sequence, a few representative characters." Mattingly too learned how to make the rush of events comprehensible through an almost presentation of the predicaments of individual characters. Mattingly's first book, Catherine of Aragon (1941), already combined the craft of the historian with the gifts of the novelist. The book restored to Henry VIII's first queen both agency and dignity, and showed how the personal, political, and ideological

simultaneously

novelist, synecdoche,

concentration

novelistic

conflicts of the period were fought out in the language of conscience. It was, he wrote in his foreword, "the story of a life which shaped history by not moving with its flow." Throughout his career, Mattingly was attracted to persons of stubborn integrity torn by divided loyalties and caught in situations of crisis. In describing with meticulous care the accumulation of circumstances and grievances that led to the royal divorce, Mattingly not only shed new light on the origins of the English Reformation, he also produced one of the great modern

biographies.

Mattingly's Armada (1959), is a work of wider scope than Catherine of Aragon, though it used the same strategy of character and conflict through an accumulation of incidents: some dramatic, like the unforgettable account of the execution of Mary Stuart with which the book opens; others rescued from obscurity, like Drake's little-noticed but crucial destruction of the Armada's supply of barrel staves. The originality of the book lay not only in the use of previously overlooked archival sources (principally Italian), but in the European framework of the analysis and the rapid shifts of scene and perspective. Equally impressive is the unobtrusive mastery of technical details to ship construction, gunnery, and naval tactics. In the final

evoking

relating reckoning Mattingly's 1588 (unlike not so

much

as a

De Voto's

"decisive" year, but rather

as

1846)

appears

the first

episode

of attrition. Mattingly's broadly European enabled him to puncture a number of myths about the defeat of the Armada, to offer a realistic analysis as well as a complex and stirring narrative. Some of his conclusions have been revised by recent scholarship, but the book retains its extraordinary stature and appeal. The Armada was Mattingly's most popular book, but Renaissance Diplomacy (1955) was his masterpiece. The book began as an analysis of the institution of the resident but it blossomed into a full-scale history of European diplomatic practices and of Renaissance statecraft. Here again Mattingly shuttled back and forth from the revelatory incident to the panoramic view, always setting intellectual developments and institutional innovations against a complex and shifting background of social and political change. "There are half a dozen chapters," J.H. Hexter wrote in one of the best of Mattingly's work, "that for sheer brilliance, for of depth insight, for concise easy statement of complex and fundamental truths about the age they deal with, have few peers in historical literature." Toward the end of his career Mattingly produced a series of remarkable essays: two provocative contributions to Machiavelli studies, a portrait of Prince Henry the Navigator, a survey of Renaissance attitudes towards the state, and a 30-page distillation of his work on the Armada. But the three great books, with their wonderful combination of scholarship and narrative flair, are his lasting legacy. They meet the sternest test of the classic histories: one can return to them again and again for both pleasure and instruction. in

a

long

war

perspective

ambassador,

appreciations

brilliant

scrupulous

BRUCE THOMPSON

Biography

Washington, DC, 6 May 1900 Moved with his family to Kalamazoo , Michigan, where he attended high school before serving in the US Army, 1918-19. Trained by Charles Homer Haskins, Charles Howard Mcllwain, and Roger B. Merriman at Harvard Born

.

University, ΒΑ 1923, MA 1926, PhD 1935. Taught at Northwestern University, 1916-28 ; and Long Island University 1928-42 before serving in the US Navy, 1942-46; taught at Cooper Union 1946-48 ; and Columbia University, 1948-62. Married Gertrude McCollum 1928 Died 18 December 1962 ,

,

,

.

.

,

Principal Writings "

An Early Nonaggression Pact ,"

( 1938 ), 1 30 The Reputation of Doctor 60 ( 1940 ), 27 46 Catherine of Aragon 1941

Journal of Modern History

10

-

"

De Puebla ,"

English Historical Review

-

,

Renaissance Diplomacy , 1955 " Machiavelli's Prince: Political Science or Political Satire? ," American Scholar 27 ( 1958 ), 482 91 The Armada, 1959; in UK as The Defeat of the Spanish Armada , 1959 " Changing Attitudes towards the State during the Renaissance ," in William H Werkmeister, ed., Facets of the Renaissance , 1959 " Navigator to the Modern Age," Horizon 3 ( November 1960 ), -

.

72

-

83

Some Revisions of the Political History of the Renaissance ," in Tinsley Helton , ed., The Renaissance: A Reconsideration of the Theories and Interpretations of the Age , 1961 The Invincible Armada and Elizabethan England , 1963 " Machiavelli ," in J. H. Plumb , ed., The Penguin Book of the Renaissance , 1964 "

"

"

Further

Reading

Carter, Charles Howard , ed., From the Renaissance

the Counter-

to

Reformation; Essays in Honor of Garrett Mattingly New York : Random House 1965 Gilbert Felix Sixteenth-Century Unlimited ," New York Herald Tribune ( 13 April 1965 ) Stegner Wallace The Uneasy Chair: A Biography of Bernard DeVoto New York : Doubleday 1974 ,

,

"

,

,

,

,

,

,

Arno J. 1926(Luxembourg-born) historian of

Mayer, US

modern

Europe

J. Mayer's work has focused on the way in which legacy of ancien régime Europe shaped the first half of the 20th century. His theoretical starting point is radical, describing

Arno the

himself at times as either left dissident or Marxist to indicate his non-doctrinaire flexibility and eclecticism. Thus, he freely and significantly borrowed from Joseph Schumpeter in his analyses of fin-de-siècle and interwar Europe. His concern was to demonstrate that the convulsions of this period emerged from the contradiction between the dynamism of on the one hand and the stagnation of the governing classes and their methods of rule on the other. His two major works dealt with how this relationship was reflected in, first, the peace settlement of 1919 and, second, the period 1914-45, or as Mayer calls it: the Thirty Years Crisis. In Politics and Diplomacy of Peacemaking (1967), Mayer contrasted new and old diplomacy. New diplomacy, by the Bolshevik's Peace Decree and Woodrow Wilson's Fourteen Points (which were a hurried response to the Bolsheviks), was concerned with rational, open, and peaceful international relations. For old diplomacy, represented by the secret treaties and the Alliance system, war was a justifiable goal of imperialism and dynastic rivalry. This cleavage is

industrialization

represented

aristocratic retention of state power in Europe and its absence or failure in Russia and the United States. Mayer characterized Wilsonian diplomacy as a but "new" alternative to Lenin's. Hence, Versailles, for Mayer, was a fudged settlement with an "old" diplomatic core, a "new" Wilsonian gloss, and counterrevolutionary intent. Mayer followed a similar line of reasoning in The of the Old Regime (1981). He constructed a hypothesis that World War I and II and interwar instability were linked by "an umbilical chord." This era, the Thirty Years Crisis, was the progeny of the continued political domination of the old ruling classes in spite of industrialization and the rise of the bourgeoisie. Indeed, World War I demonstrated "The forces of the old order were sufficiently willful and powerful to resist and slow down the course of history, if necessary by recourse to violence." The aristocracy was able to survive economically as a class through ownership of the still predominant sectors of most European economies. It was treated with deference and imitated by a politically subordinate, immature, and fragmented bourgeoisie. Within this interpretive the governing elites, faced with the challenge of the modern world, took to increasingly reactionary ideas (Social Darwinism and Nietzsche), and political formations and fascism). The contradictions that characterized the Thirty Years Crisis were resolved only by the convulsions of World War II. "It would take two world wars and the Holocaust finally to dislodge the feudal and aristocratic from Europe's civil and political societies." Mayer presumption in his study of the Holocaust theme this Why Did developed the Heavens Not Darken? (1988). Mayer is not alone in this interpretation of the role of the in the 20th century. In different guises it is common to Perry Anderson, Ralph Dahrendorf, and Barrington Moore. Their position was criticized most trenchantly by E.P. Thompson in reply to Anderson, and by Geoff Eley and David Blackbourn on the German case. According to this critique, the theory underplays the extent to which members of the aristocracy adapted themselves to capitalist development and capitalist interests. Second, it has been argued that to divide the propertied classes of fini-de-siècle Europe into aristocrat and capitalist misleadingly obscures the degree of interpenetration of large landlords, state officials, and leading industrialists. Third, it overplays the role played by the nobility in the reaction of the early 20th century while exonerating industrial capitalism without which World War I and fascism could not have been possible, at the very least in a narrow technological sense. By

explained by the

counterrevolutionary Persistence

agricultural

framework,

(dictatorship .

.

.

-

aristocracy

modernization

exclusively focusing

on

class formation and action

from above,

defining character of 20th-century reaction as being in response to working class challenge from below is not fully the

explored. Modernization theory, such

as

that of Mayer, did gain

considerable influence, particularly in the interpretation of fascism. However, by the mid-1980s and 1990s such broad had lost favor to more focused, less overarching of the first half of the 20th century. Despite this, Mayer's work is generally received as an important and provocative

interpretations explanations contribution understanding of the 20th century. to our

MATT PERRY See also Europe: Modern

Biography Arno Joseph Mayer. Born Luxembourg 19 June 1926 Received BBA, City College of New York, 1949 ; MA, Yale University 1950, .

,

,

PhD, 1954. Taught at Wesleyan University 1952-53 ; Brandeis University 1954-58; Harvard University, 1958-61; and Princeton University from 1961. Married (2 children). ,

, ,

Principal Writings Political Origins of the New Diplomacy, 1917-1918 , 1959 " Post-War Nationalisms, 1918-19," Past and Present 34 ( 1966 ), 114 26 -

Politics and Diplomacy of Peacemaking: Containment and CounterRevolution at Versailles , 1918-19 , 1967 Dynamics of Counter-Revolution in Europe, 1870-1956: An Analytical Framework , 1971 " Lower Middle Class as Historical Problem ," journal of Modern

History

47

( 1975 ).

409

-

36

"

Internal Crisis and War since 1870," in Charles L. Bertrand , ed., Revolutionary Situations in Europe, 1917-22 , 1977 The Persistence of the Old Regime: Europe to the Great War , 1981 Why Did the Heavens Not Darken? The "Final Solution" in

History 1988 Memory and History: On the Poverty of Forgetting and Remembering about the Judeocide," Radical History Review 56 ( 1993 ), 5 20 ,

"

-

Further Reading Blackbourn , David and Geoff Eley, Mythen deutscher Geschichtsschreibung: die gescheiterte bürgerliche Revolution von 1848 , Frankfurt : Ullstein , 1980 ; revised in English as The Peculiarities of German History: Bourgeois Society and Politics in NineteenthCentury German History , Oxford : Oxford University Press , 1984 " Fry, Michael G. , and Arthur M. Gilbert , A Historian and Linkage Politics: Arno J. Mayer," International Studies Quarterly 26

( 1982 ), 425 44 Lundgreen-Nielsen Kay -

The Mayer Thesis Reconsidered: The , , Poles and the Paris Peace Conference, 1919 ," International History Review 7 ( 1985 ), 68 102 " Righart , Hans , 'Jumbo-History': perceptie, anachronisme en 'hindsight' bij Arno J. Mayer en Barrington Moore (Jumbo History: Reception, Anachronism, and Hindsight in the work of Arno J. Mayer and Barrington Moore ), Theoretische Geschiedenis "

-

"

17 ( 1990 ), 285 95 Thompson E. P. The Poverty of Theory and Other Essays London : Merlin Press and New York: Monthly Review Press, 1978 -

,

,

,

,

Mazrui, Ali A.

1933-

Kenyan historian Ali Mazrui

was

Mombasa, Kenya, and spent a good to integrate his Swahili cultural newly imposed Western culture. Mazrui and

born in

deal of his youth attempting

heritage his

with the

tried to preserve as much as they could of their but also took advantage of European culture when culture, possible, especially in secular education. Mazrui did not treat education lightly, as it had important connections to culture and identity. In Political Values and the Educated Class in Africa (1978), Mazrui stated that all educated Africans are cultural captives. Their differences only lie in the degree to which they are captives. This is how Mazrui saw lived fitting into the culture and ideology of the lived Africa. Mazrui and his peers grew up during the era of nationalist agitations. Although he was not a fervently active member of

family

experience

nationalist movements, the independence era did affect his thinking. He has often been criticized for overemphasizing how his life has influenced his writing. Yet, much of his writing involves the negotiation of cultures, and it seems only to describe one's life experiences in such an In addition, being forthright about one's possible biases should not be the occasion for criticism. Following his postgraduate education in the US and Britain, Mazrui returned to Africa as a lecturer at Makerere University in Kampala, Uganda. There, he became a supporter of freedom and was even publicly denounced by president Obote for his support of a jailed editor, Rajat Neogy. Mazrui was in trouble with the government for some time, but he managed to weather the storm of indignation. Mazrui has been an instrumental figure in defining what it means to be an African. Much like Kwame Nkrumah of Ghana, he has battled to define the idea of Africanness in the broadest sense possible. That is, he defined an African as anyone who supports Africa and its people. This is the classic Pan-Africanist definition of an African that incorporates Africans and people in diaspora, which he elaborated in Towards a Pax Africana (1967). Because Mazrui defined an African in this way, he encouraged the study of the African diaspora and its cultures in African universities. In his mind, not only was it important for Africans currently living on the continent to uncover their own past, it was also important for these same Africans to understand everyone who identified themselves as Africans. Consistent with his Pan-African thinking, Mazrui was also a supporter of the East African federation. Among Mazrui's most enduring legacies, and one to which he has devoted much energy, has been his discussion of the warrior tradition in African politics. While his argument has been much questioned, it remains an important part of African Mazrui's belief was that the cultural legacy and imperialism of Europe could be broken if a political system based on ideas of the warrior could be implemented. An elaboration of this idea may be found in several works, beginning with On Heroes and Uhuru-Worship (1967). Mazrui was among the pioneers in investigating African politics and African indigenous political systems as they related to the modern world. He an Africa where respectable and responsible leaders would lead Africans; they would integrate the idea of ancestor or with that of parent or father-figure. This new brand of African leader would then be able to lead Africans in the world through an integration of past/indigenous ideals and contemporary interpretations of what a leader should be. Another area in which Mazrui has published widely concerns Africa and its place in the world. Many of these works look at the negotiation of cultures and identities. Mazrui has helped make the world realize that Africa has to contend with numerous heritages, which have only begun to be But, until Africa begins to address questions of it will always remain weak in global diplomatic terms. There are points of contact between assumptions about African diplomatic behavior and traditional norms of Western conduct. They need to be found and negotiated in order for Africa to assert its proper place in the world. TOYIN FALOLA and JOEL E. TISHKEN

appropriate

investigation.

academic

historiography.

indigenous

envisioned

grandfather contemporary

negotiated.

identity,

international

See also

Afigbo;

Africa: West

Biography

Ali Al'Amin Mazrui. Born Mombasa, 24 February 1933 Worked in various jobs and traveled in Africa , 1948-55. Studied at Huddersfield College of Technology, England 1955-57 ; University of Manchester, BA 1960; Columbia University, MA 1961 ; Oxford University, PhD 1966. Taught at Makerere University, Kampala, Uganda , 1963-73 ; research professor, University of Jos, Nigeria , 1981-87 ; professor of political science and of Afroamerican and African studies, University of Michigan , 1974-91 ; professor-at-large, Cornell University, 1986-92 ; Albert Schweitzer professor in the humanities, State University of New York, Binghamton , from 1989 Divorced (5 children). .

.

Principal Writings On Heroes and Uhuru- Worship: Essays

on

Independent Africa

,

1967 Towards a Pax Africana: A Study of Ideology and Ambition , 1967 Editor with Robert J. Rotberg , Protest and Power in Black Africa , 1970

,

Ethnocracy

,

a

Military

Africa

,

1978 Nationalism and New States in Africa from about 1935 to the Present , 1984 The Africans: A Triple Heritage , 1986 Cultural Forces in World Politics , 1990 Africa since 1935 , 1993 [UNESCO General History of Africa, vol. 8 ]

Further

as a

or

time, early historical studies of the media a linear development of technologies and the internal dynamic of institutions shaped by heroic journalists and editors. This "Whiggish" view has since been criticized for naively the media as objective and progressive, for emphasizing success stories and for neglecting the social and cultural of the press in the past. Critics have also argued that the tight association of the media and commercial interests meant that such research was often aimed at promoting particular branches of the media. A significant contribution came from the Frankfurt school and its associates. While arguing that postwar mass culture was dominated by the culture industry, Theodor Adorno empirical and dialectical methodologies for the study of social phenomena. Jürgen Habermas likewise emphasized critical and historical methods. In the seminal Strukturwandel der Öffentlichkeit (1962; The Structural Transformation of the Public Sphere, 1989) he argued that in the course of the 18th century French political discourse emerged separate from the state and civil society, and that the realm of private life including literary salons and coffee houses provided a new public sphere. According to him, after a momentous during the French Revolution, the public sphere has since lost its independence as part of the media's loss of immediate relationship to the state and civil society. Although historians have since modified such theses, the concept of the public sphere remains influential. In the 1950s and the 1960s the Canadian critic Marshall McLuhan provided a radical critique of the media. He argued that the media contain inherent biases that powerfully the public through physiological and psychological impact. While such a holistic critique appeared to be a phenomenon, the thesis of manipulation has been continually tested in studies of reception. Scholars have contrasted the diversity of the 19th-century media with the dominance of media corporations in the 20th century. The construction of identities and the role of ideology have also been important themes. Benedict Anderson in Imagined Communities (1983) emphasized the profound impact of the press in the formation of national and cultural identities in the modern world. Scholars of China point to the role of the media in the remarkable integration of the country in the20th century, an integration built upon achievements of the late same

defining

1975

Political Values and the Educated Class in Africa , 1978 Editor with T. K. Levine , The Warrior Tradition in Modern

government regulatory facilitating agency.

emphasized

1975

Soldiers and Kinsmen in Uganda: The Making of

coincided institutional

At the

The Trial of Christopher Okigbo , 1971 The Political Sociology of the English Language: An African

Perspective

of contents and quantification of data and would provide an overall assessment of the role of the press in the "making of modern man." After World War I, propaganda analysis emerged as a new activity. Walter Lippmann in The Phantom Public (192.5) argued that the public's action might be in response to "pseudoenvironments" communicated through the media. This with a shift from a philosophical approach toward behavioral science and empirical analysis. Methods of analysis and audience research popular in the 1920s and 1930s were replaced by quantification in the 1940s. After World War II the Chicago school led by Robert Park focused on the sociological study of media organizations and the nature of news. Functionalism based on the tendency of society toward stability and equilibrium was also influential. Researchers rescrutinized the role of the state in order to define the

Reading

" Mazrui , Ali Α. , The Making of an African Political Scientist ," International Social Science Journal 25 ( 1973 ), 101 16 Nyang, Sulayman S. , Ali A. Mazrui: The Man and His Works , Lawrenceville, VA : Brunswick , 1981 -

contexts

advocated

-

-

Media The subject of the media occupies a central place in societies, and media historiography has grown rapidly in the last several decades, cross-fertilized by social theories, communication research, and cultural studies. It has covered such diverse subjects as the uses of photography, propaganda, censorship, the role of the media in cultural integration, the mass media as social systems, and the effects of advertising. The origins of communication research in Europe can be traced to the late 19th century with literary, legal, and historical inquiries about the press that were influenced by theories of mass society. In the age of the mass press and the metropolis, Auguste Comte's conception of the collective organism, Ferdinand Tönnies' contrast of Gemeinschaft and Gesellschaft (community and society), Werner Sombart's polemic about advertising and publicity, and Gabriel Tarde's analysis of public opinion were all part of an ongoing philosophical speculation about the effects of modern, urban society said to be marked by the erosion of traditional bonds. Max Weber, in his remarks to the first meeting of German sociologists in 1910, pointed to the press as a main area for a systematic study that would involve empirical research

contemporary

expansion

manipulate

contemporary

imperial period. The

cultural

homogeneous, high-context identities of Japan have been reflected subtle advertisements. in very

Studies of the radio have revealed that radio programs sought to reinforce gender and national identities. The study of minority presses, the relationship of religion and the media, and the historical analysis of radio programs have contributed to understanding the formation of cultural identities. In the last three decades the study of advertising has come into its own, stimulated by broad theoretical works such as Raymond Williams' Problems in Materialism and Culture ( 1980) or Daniel Boorstin's The Image (1962) which took the domination of the visual as a crucial aspect of modern life. Analyses of the visual content of advertising such as Judith Williamson's Decoding Advertisements (1978) and Stuart Ewen's All Consuming Images (1988) underlined the importance of "image The cultural history of advertising revives the original contexts and perceptions of advertising. Jackson Lears in Fables of Abundance (1994) pointed out that William James at the turn of the century saw advertising not as advocating hedonism and materialism but as a part of the routinization of modern life that was transforming American society through economic rationalization. Other important themes in the study of the media include theories of "hypermedia" nonlinear media first advanced in the 1960s and associated with the electronic economic logic, and Utopian aspirations.

management."

-

-

revolution,

H. HAZEL HAHN

See

Briggs; Film; Habermas;

Anderson, B.; Boorstin;

also

McLuhan; Williams, R. Further

Reading

Anderson , Benedict , Imagined Communities: Reflections on the Origin and Spread of Nationalism , London and New York : Verso , 1983 ; revised 1991 Baughman , James L. , The Republic of Mass Culture: Journalism, Filmmaking, and Broadcasting in America since 1941 , Baltimore : Press , 1992

Johns Hopkins University Bellanger Claude et ai eds., Histoire générale de la presse française ( General History of the French Press ), 5 vols., Paris : .

,

,

,

Presses Universitaires de France , 1969-76 J. , The Image; or, What Happened to the American Dream , New York : Atheneum , and London: Weidenfeld and

Boorstin , Daniel

Nicolson, 1962

Lane, 1973 Hoyer Svennik Epp Lauk and Peeter Vihalemm eds., Towards a Civic Society: The Baltic Media's Long Road to Freedom: Perspectives on History, Ethnicity and Journalism Tartu : Nota ,

,

of Mass Communication New York : McKay 1966 ; London: Longman, 1977 Eisenstein Elizabeth L. The Printing Press as an Agent of Change: Communications and Cultural Transformations in Early-Modern Europe 2 vols., Cambridge and New York : Cambridge University ,

,

,

,

Press , 1980

,

,

in

1985 ;

English

as

Networks, 1800/1900 Stanford,

Discourse

,

CA : Stanford University Press , 1985 Lacey, Kate , Feminine Frequencies: Gender, German Radio, and the Public Sphere, 1923-1945 , Ann Arbor : University of Michigan Press , 1996 Landow, George , Hypertext: The Convergence of Contemporary Critical Theory and Technology , Baltimore : Johns Hopkins University Press , 1992 ; revised 1997 Lears , T. J. Jackson, Fables of Abundance: A Cultural History of Advertising in America , New York : Basic Books , 1994 Leiss , William , Stephen Kline , and Sut Jhally, eds., Social Communication in Advertising: Persons, Products and Images of Well-Being , London and New York : Methuen , 1986 ; revised 1990 Lent , John Α. , Third World Mass Media and Their Search for Modernity: The Case of the Commonwealth Caribbean , Lewisburg, PA : Bucknell University Press , 1977 Lippmann, Walter, The Phantom Public , New York : Harcourt Brace , 1925 Anne , Industrial Madness: Commercial

McCauley Elizabeth ,

Photography

in Paris, Press , 1994

University

1848-1871

,

New Haven and London : Yale

McLuhan , Marshall , Understanding Media: The Extensions of Man , New York : McGraw Hill , and London: Routledge, 1964 Marchand , Roland , Advertising the American Dream: Making Way for Modernity, 1920-1940 , Berkeley : University of California Press 1985 Nunberg Geoffrey ed., The Future of the Book Berkeley : University of California Press 1996 Pharr Susan J. and Ellis S. Krauss eds., Media and Politics in Japan Honolulu : University of Hawaii Press 1996 Poster Mark The Second Media Age Cambridge : Polity Press and Cambridge, MA: Blackwell, 1995 Roeder George H. Jr. The Censored War: American Visual Experience during World War Two New Haven and London : Yale University Press 1993 Schiller Herbert I. Culture, Inc.: The Corporate Takeover of Public Expression Oxford and New York : Oxford University Press 1989 Shaw Tony Eden, Suez and the Mass Media: Propaganda and Persuasion during the Suez Crisis London : Tauris 1996 Solomon William S. and Robert W. McChesney eds., Ruthless Criticism: New Perspectives in US Communication History Minneapolis : University of Minnesota Press 1993 Tunstall Jeremy The Media in Britain London : Constable and New York: Columbia University Press, 1983 Warner Michael The Letters of the Republic: Publication and the Public Sphere in Eighteenth-Century America Cambridge, MA : Harvard University Press 1990 Wicke Jennifer Advertising Fictions: Literature, Advertisement, and Social Reading New York : Columbia University Press 1988 ,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

1991 DeFleur, Melvin Lawrence , Theories

,

,

Baltica , 1993 Ivy, Marilyn , Discourses of the Vanishing: Modernity, Phantasm, Japan , Chicago : University of Chicago Press , 1995 Johnson , David G. , Andrew J. Nathan , and Evelyn S. Rawski , eds., Popular Culture in Late Imperial China , Berkeley : University of California Press , 1985 Kittler, Friedrich Α. , Aufschreibesysteme, 1800/1900 , Munich : Fink ,

,

Censer, Jack R. , The French Press in the Age of Enlightenment, London and New York : Routledge , 1994 Cole , Robert , Propaganda in Twentieth Century War and Politics: An Annotated Bibliography , Lanham, MD : Scarecrow Press , 1996 Crowley, David , and Paul Heyer, Communication in History: Technology, Culture, Society , New York and London : Longman ,

,

,

,

,

,

,

,

,

,

,

,

Consuming Images: The Politics of Style in Contemporary Culture New York : Basic Books 1988 Habermas Jürgen Strukturwandel der Öffentlichkeit: Untersuchungen zu einer Kategorie der bürgerlichen Gesellschaft Neuwied : Luchterhand 1962.; in English as The Structural Transformation of the Public Sphere: An Inquiry into a Category of Bourgeois Society Cambridge, MA : MIT Press and London: Polity Press, 1989 Ewen , Stuart , All

,

,

Hardt , Hanno , Social Theories of the Press: Early German and American Perspectives , Beverly Hills, CA : Sage , 1979 Hesse, Carla , and Randolph Starn , eds., " The Future Library," Representations 42 ( 1993 ) [special issue] Horkheimer, Max , and Theodor W. Adorno , Dialektik der Aufklärung , Amsterdam : Querido , 1947 [revised edition of Philosophische Fragmente-, 1944 ]; in English as Dialectic of Enlightenment, New York : Seabury Press , 1972 , London: Allen

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

Williams , Raymond , Problems in Materialism and Culture: Selected Essays , London : Verso , 1980 ; New York: Schocken, 1981 Williamson , Judith , Decoding Advertisements: Ideology and Meaning in Advertising, London : Boyars , 1978

medicine remained the province of physicians in the United States until the 1970s. Twentieth-century historians Henry Sigerist, Richard Shryock, George Rosen who used the term iatrocentric to describe history of medicine and Erwin Ackerknecht all envisioned a history of medicine going beyond the chronologies, hagiographic biographies, and bio-bibliographies that had dominated the history of medicine since Le Clerc's Histoire de la médecine (1696; The History of Physick, 1699). Le Clerc had infused the history of medicine with Renaissance humanist ideals. Unlike the history of science where Kuhn's The Structure of Scientific there has been no Revolutions (1962) was a landmark work one work that was the turning point for the path of the of the history of medicine. However, Michel Foucault's Folie et déraison (1961; Madness and Civilization, 1965) and Naissance de la clinique (1963; The Birth of the Clinic, 1973) called attention to the language medical events. Foucault exerted tremendous influence on the developing group of historians of medicine who were in reality historians of health care and all of its practitioners. Since the 1950s the history of medicine has enriched itself by its seemingly endless efforts to become multidisciplinary. The sudden influx of researchers not trained in applied sparked criticism that the new scholars left medicine and doctors out of the history of medicine. This has led to a further tension between the medically trained historians who, for example, have sought to explain how the treatment of a certain disease has evolved over time, and researchers whose training rejects a narrowly scientific reading of the evidence. This has been most noticeable in the response to François Delaporte's claim that disease has no meaning apart from that assigned by society. This poststructuralist reading of the history of medicine has puzzled researchers more wedded to the empirical who would argue that diseases and medical problems are not shaped by discourse, but by their biological and imperatives. Other difficulties have emerged from the difficulty of incorporating many excellent studies of isolated phenomena in small populations into a larger vision of the changing priorities of healthcare around the world and since the time of Hippocrates. Scholars have called for these diverse studies to be gathered together and synthesized. To date, no one scholar has attempted a single-volume history of medicine reflecting the issues raised by the social historian, but two works published in 1993 attempted to begin the task, if not always with the conciseness needed to explicate the topic. The Companion -

previous -

Medicine, History of The history of medicine or medico-history began as historical accounts intended to inform the practice of contemporary physicians. This work usually exhibited a straightforward, positivist point of view with little context or interpretation, and was essentially focused on great healers and their methods. This remained true until well into the 20th century, when the nature and scope of medical education became more structured through scientific advances. As a result, fewer and fewer physicians have had either the general educational background or, perhaps more crucially, the leisure to produce significant works on the history of medicine. As medical practice relied more on laboratory findings, lessons for the present became more difficult to discern in examples from the past. Since the Enlightenment, there has been a direct shift from these doxographical studies, to an emphasis on the history of specific diseases, on the effect of the environment on health, on different branches of medicine such as epidemiology or psychiatry, on biological factors in history, on nutrition, on public health, and perhaps most importantly and most on the patient. All this reflects the increasing influence of social history in the 20th century, and also the spread of interdisciplinarity among historians of medicine who routinely use the methodology and ideas of anthropology, linguistics, and demography among other disciplines, to explore the history of medicine. Also influential has been the expansion of empirical sources interrogated about the history of medicine. From the study of ancient medical texts, modern historians have moved on to the inclusion of clinical notes, legal records, topographical maps, and a variety of other sources. This change did not come quickly. The European schools of the history of medicine, especially the Germans, were influenced by Kurt Sprengel's Versuch einer pragmatischen Geschichte der Arzneykunde (Essay on a Pragmatic History of Medicine, 1803). Sprengel related medicine to its surrounding culture, thereby revealing it as a branch of intellectual history. Karl Sudhoff controlled the history of medicine in Germany at the

illustrative

radically,

beginning were

of the 20th century

through his periodical Sudhoffs Zeitschrift für Geschichte der Medizin. His pupils physician-historians with sufficient knowledge in the

Archiv

or

humanities to sow the seeds of what would become the social history of medicine later in the 20th century. Henry Sigerist, Sudhoff's successor at the University of Leipzig's Institute for the History of Medicine (and later briefly director of the Johns Hopkins University Institute for the History of Medicine), made the first clear call for historians of medicine to see their subject as social history. Despite Sigerist's sojourn at Johns Hopkins, medical historians in the United States were slow to adopt methods. While research in continental Europe and in Britain was incorporating the insights of demographers, anthropologists, sociologists, and economists, the history of

interdisciplinary

-

-

historiography surrounding

medicine

tradition, physiological

Encyclopedia of the History of Medicine, edited by W.F. Bynum and Roy Porter, brought together essays on both the history of medicine and topics suggested by the social history of medicine. The Cambridge World History of Human Disease, edited by Kenneth Kiple and the product of the Cambridge History and Geography of Human Disease Project, endeavored to bridge the chasm that opened between the medically trained and the historically trained historians of medicine in the last fifty years. Their bibliographies offer the researcher items from a full spectrum of approaches: literary, medical, social history, anthropology, geography, and area studies. A truly interdisciplinary list of contributors points to the future of medical history and biomedical history.

traditional

NANCY PIPPEN ECKERMAN

See also

Crosby; Foucault; Kuhn; Rosenberg, C.; Science; Sigerist;

Sudhoff;

Temkin

Further Reading Ackerknecht , Erwin H. , A Short History of Medicine , New York : Ronald Press , 1955 ; revised Baltimore : Johns Hopkins University Press , 1982 Boyden , Stephen , Western Civilization in Biological Perspective: Patterns in Biohistory, Oxford and New York : Oxford University Press 1987 Brieger Gert H. History of Medicine ," in Paul T. Durbin general editor, A Guide to the Culture of Science, Technology, and Medicine New York : Free Press 1980 Brumberg Joan Jacobs Fasting Girls: The Emergence of Anorexia Nervosa as a Modern Disease Cambridge, MA : Harvard University Press 1988 Bynum William F. Health, Disease and Medical Care ," in G. S. Rousseau and Roy Porter eds., The Ferment of Knowledge: Studies in the Historiography of Eighteenth-Century Science Cambridge : Cambridge University Press 1980 Bynum William F. and Roy Porter eds., Companion Encyclopedia of the History of Medicine 2 vols., London and New York : Routledge 1993 Carmichael Ann G. Plague and the Poor in Renaissance Florence Cambridge and New York : Cambridge University Press 1986 Clarke Edwin ed., Modern Methods in the History of Medicine ,

"

,

,

,

,

,

,

,

,

,

"

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

London : Athlone Press , 1971 Crosby, Alfred W. , Jr. , The Columbian Exchange: Biological and Cultural Consequences of 1492 , Westport, CT: Greenwood Press , 1972

Delaporte François Disease and Civilization: The Cholera in Paris, 1832 Cambridge, MA : MIT Press 1982 Dwyer Ellen Homes for the Mad: Life Inside Two NineteenthCentury Asylums New Brunswick, NJ : Rutgers University Press ,

,

,

,

,

,

,

,

1987 Evans , Richard J., Death in Hamburg Society and Politics in the Cholera Years 1830-1910 , Oxford and New York : Oxford University Press , 1987 Foucault , Michel , Folie et déraison , Paris : Pion , 1961 , abridged as Histoire de la folie , Paris : UGE , 1961 ; in English as Madness and Civilization: A History of Insanity in the Age of Reason , New York : Pantheon , 1965 , London: Tavistock, 1967 Foucault , Michel , Naissance de la clinique: une archéologie du regard médical , Paris : Presses Universitaires de France , 1963 ; in English as The Birth of the Clinic: An Archaeology of Medical Perception , New York : Pantheon , and London: Tavistock, 1973 Kiple, Kenneth F. , ed., The Cambridge World History of Human Disease , Cambridge : Cambridge University Press , 1993 Kleinman , Arthur, Patients and Healers in the Context of Culture: An Exploration of the Borderland Between Anthropology, Medicine, and Psychiatry , Berkeley : University of California Press , 1982 Kuhn , Thomas S. , The Structure of Scientific Revolutions , Chicago : University of Chicago Press , 1962 ; revised 1970 Leavitt , Judith Walzer, The Healthiest City: Milwaukee and the Politics of Health Reform , Princeton : Princeton University Press ,

1982 Le Clerc , Daniel , Histoire de la médecine , Geneva : Chouët et Ritter,

1696 ; in English as The History of Physick; or, An Account of the Rise and Progress of the Art, and the Several Discoveries therein from Age to Age: with Remarks on the Lives of the Most Eminent Physicians , London : Brown Roper Leigh and Midwinter,

1699 Loudon , Irvine , Medical Care and the General Practitioner, 1750-1850 , Oxford and New York : Oxford University Press , 1986 MacDonald , Michael , Mystical Bedlam: Madness, Anxiety and Healing in Seventeenth-Century England, Cambridge and New York : Cambridge University Press , 1984

McKeown , Thomas , The Role

of Medicine: Dream, Mirage or Nemesis? , London : Nuffield Provincial Hospital Trust , 1976 ; Princeton: Princeton University Press, 1979 Pernick , Martin S. , A Calculus of Suffering: Pain, Professionalism and Anesthesia in Nineteenth-Century America , New York : Columbia University Press , 1985 " Porter, Roy, The Patient's View: Doing Medical History from Below," Theory and Society 14 ( 1985 ), 175 98 Porter, Roy, and Andrew Wear, Problems and Methods in the History of Medicine , London : Croom Heim , 1987 Reverby, Susan B., Ordered to Care: The Dilemma of American Nursing, 1850-1945 , Cambridge : Cambridge University Press , -

1987 Riley James Sickness, Recovery, and Death: A History and Forecast of III Health Iowa City : University of Iowa Press 1989 Risse Guenter B. Hospital Life In Enlightenment Scotland: Care and Teaching at the Royal Infirmary of Edinburgh : Cambridge : Cambridge University Press 1986 Rosenberg Charles E. The Cholera Years: The United States in 1832 1849, and 1866 Chicago : University of Chicago Press ,

,

,

,

,

,

,

,

,

,

,

,

1962 ; revised 1987 Rosenberg , Charles E. , The Care of Strangers: The Rise of America's Hospital System , New York : Basic Books , 1987 Shryock , Richard H. , The Development of Modern Medicine: An interpretation of the Social and Scientific Factors Involved , Philadelphia : University of Pennsylvania Press , and London: Oxford University Press, 1936 Shryock , Richard H. , Medicine in America: Historical Essays , Baltimore : Johns Hopkins Press , 1966 Sigerist , Henry, A History of Medicine , 8 vols., New York : Oxford University Press , 1951-61 Sigerist , Henry, Landmarks in the History of Hygiene , London and New York : Oxford University Press , 1956 Siraisi , Nancy, Medieval and Early Renaissance Medicine: An Introduction to Knowledge and Practice , Chicago : University of

Chicago

Press , 1990

Slack , Paul , The Impact of Plague in Tudor and Stuart England , London and Boston : Routledge , 1985 Sprengel , Kurt Polycarp Joachim , Versuch einer pragmatischen Geschichte der Arzneykunde ( Essay on a Pragmatic History of Medicine ), 6 vols, in 8, 3rd edition, Halle : Gebauer, 1821 28 [1st edition 1803 ] Temkin , Owsei , The Falling Sickness: A History of Epilepsy from the Greeks to the Beginnings of Modern Neurology , Baltimore : Johns Hopkins Press , 1945 ; revised 1971 Temkin , Owsei , The Double Face of Janus, and Other Essays in the History of Medicine , Baltimore : Johns Hopkins University Press , -

1976 Ulrich , Laurel Thatcher, A Midwife's Tale: The Life of Martha Ballard, Based on Her Diary, 1785-1812 , New York : Knopf , 1990

Medieval Chronicles Although

scholars

that

and

chronicles, annals, agreed histories rank the richest for medieval history, are

among

century and a half of study and discussion has failed to produce a consensus as to the basis for differentiating these from one another. Prior to the 14th century, writers tended to use the term almost interchangeably. Modern have tended to see chronicles as more general in scope, with annals primarily treating local events in a series of notations. World chronicles certainly fit the usage. They be traced to Eusebius of Caesarea's Chronicle (written in may Greek, c.303 CE, Latin version by Jerome, c.380) and generally more

than

sources

a

historians

chronological

follow the Eusebian approach, focusing on the history of since the Creation (often calling attention to this theme in a preface) and arranged in books and chapters. The earliest chroniclers simply rewrote Eusebius or Eusebius-Jerome and added material to bring the account to the chronicler's own time. These chronicles were in turn rewritten in later ones. Nonetheless, a great many chronicles are limited in scope to a single region, locality, or institution. In one famous instance, the monk Orderic Vitalis set out to write a chronicle of his monastery, expanded it to include the history of the Normans, then to the history of western Christianity. Annals began only in the 7th or 8th centuries as annotations in Paschal tables that established the annual dates for the celebration of Easter. In the sometimes large blank space between years, Anglo-Saxon monks began noting the significant events of the year. Missionaries introduced the practice on the Continent, where it became the dominant mode of contemporary history. The form became so successful during the Carolingian Renaissance that from the 10th century some Latin chronicles began to adopt a chronological/annalistic arrangement and the two genres converged. To further complicate the situation, gesta, genealogies, and hagiography may embrace background or records that are more properly annals or chronicles, and many writings referred to as histories would better be termed or annals. Both chronicles and annals are rich mines of specific on medieval life. Since they embrace treatments of regions, cities and towns, rulers, popes, bishops, abbots and abbesses, monastic orders and individual institutions, they contain a variety of valuable details and insights about popular culture, rituals, procedures, mentalities, and the like. Of course, any of a chronicle that treats of times more than two removed from its writing is not to be trusted in matters of fact or detail, however interesting it may be by virtue of its theme, mode of expression, or affiliation. The clergy were most often the authors of these works, which therefore reflect the ecclesiastical point of view and defend church interests. Though the authors were literate, they were not often very perceptive or critical in their approach to reality and sometimes seemed to regard their task as unredeemed drudgery, a mental state in which neither linguistic nor conceptual rigor flourished. Moreover, annals, gesta, and genealogies are to be interrogated rather than taken at face value because they are often concerned only with celebrating the virtues and achievements of a person, trumpeting the greatness of an or establishing a claim to title or property and not to what later times would consider even minimal objectivity.

salvation

chronicles information

portion generations

systematically

institution, JOSEPH

M. MCCARTHY

See also Medieval Historical Writing

Further

Reading

Archambault , Paul , Seven French Chroniclers: Witnesses to History , Syracuse : Syracuse University Press , 1974 Balzani , Ugo, Le cronache italiane nel medio evo ( Italian Chronicles of the Middle Ages ), Milan : Hoepli , 1884 ; reprinted Hildesheim:

Olms,

1973

Bauer , Adolf, Ursprung und Fortwirken der christlichen Weltchronik ( Origin and Continuity of the Christian World Chronicle ), Graz : Leuscher & Lubensky, 1910

Bodmer, Jean Pierre , Chroniken und Chronisten im Spätmittelalter ( Chronicles and Chroniclers in the Late Middle Ages ), Bern : Francke , 1976 " Boulay, F.R.H. du, The German Town Chronicles ," in R. H.C. Davis and J. M. Wallace-Hadrill , eds., The Writing of History in the Middle Ages: Essays Presented to Richard William Southern , Oxford and New York : Oxford University Press , 1981 , 445 69 Brincken , Anna-Dorothee von den , Studien zur lateinischen Weltchronistik bis in das Zeitalter Ottos von Freising ( Studies on the Latin World Chronicle from the Era of Otto von Freising), Düsseldorf : Triltsch , 1957 Centro italiano di studi sull'alto Medioevo , La storiografia altomedievale , 2 vols., Spoleto : Presso la Sede del Centro , 1970 Genicot , Leopold, Les Généalogies ( Genealogies ), Turnhout : Brepols , -

1975

Goetz , H. W. , " Zum Geschichtsbewusstsein in der alemannischschweizerischen Klosterchronistik des hohen Mittelalters, 11.-13. " Jahrhundert ( On Historical Consciousness in the German-Swiss High Medieval Chronicles of Monasteries ), Deutsches Archiv 44 ( 1988 ), 455 88 " Gransden , Antonia , The Chronicles of Medieval England and Scotland ," journal of Medieval History 16 ( 1990 ), 129 50 ; 17 -

-

( 1991 ),

217-43

Green , Louis , Chronicle into History: An Essay on the Interpretation of History in Florentine Fourteenth-Century Chronicles , Cambridge : Cambridge University Press , 1972 Grundmann , Herbert , Geschichtsschreibung im Mittelalter: Gattungen, Epochen, Eigenart ( History Writing in the Middle Ages: Types, Eras, Individuality ), Göttingen : Vandenhoeck &

Ruprecht 1965 ,

Guenée , Bernard ,

"

Histoires, annales, chroniques: essai sur les historiques au Moyen Age (Histories, Annals, Chronicles: Essay on the Historical Genres of the Middle Ages ), Annales: ESC 28 ( 1973 ), 997 1016 Guenée Bernard Documents insérés et documents abrégés dans la Chronique du religieux de Saint-Denis ( Documents Inserted and )," Bibliothèque de l'Ecole des Abridged in the Chronique Chartes 152 ( 1994 ), 373 428 Hay Denys Annalists and Historians: Western Historiography from "

genres

-

"

,

,

.

.

.

-

,

the

,

Eighth

New York:

to

the

Eighteenth

Harper,

Centuries , London : Methuen , and

1977

Hoffmann , Hartmut , Untersuchungen zur karolingischen Annalistik ( Research on the Writing of Carolingian Annals ), Bonn : Röhrscheid , 1958 Huyghebaert , Nicolas N. , Les Documents nécrologiques (Necrologies), Turnhout : Brepols , 1972 Jones , Charles W , Saints' Lives and Chronicles in Early England, Ithaca, NY: Cornell University Press , 1947 Krüger, Karl Heinrich , Die Universalchroniken (Universal Chronicles ), Turnhout : Brepols , 1976 Landsberg , Fritz , Das Bild der alten Geschichte in mittelalterlichen Weltchroniken ( The Portrayal of Ancient History in Medieval World Chronicles ), Berlin : Streisand , 1934 Levison , Wilhelm , and Heinz Löwe , eds., Deutschlands Geschichtsquellen im Mittelalter: Vorzeit und Karolinger ( Germany's Historical Sources of the Middle Ages: Antiquity and the Carolingians ), Weimar, 1952-73 [revision of Wilhelm Wattenbach's edition] McCormick , Michael , Les Annales du haut Moyen Age (Annals of the High Middle Ages ), Turnhout : Brepols , 1975 " McGuire , Martin R.P., Annals and Chronicles ," New Catholic 1 vol. New York : McGraw Hill , 1967 , 551 56 , , Encyclopedia " " Patze, Hans , Klostergründung und Klosterchronik ( The Founding and Chronicling of Monasteries ), Blätter für deutsche -

Landesgeschichte

113

( 1977 ), 89

-

121

Patze , Hans , ed. , Geschichtsschreibung und Geschichtsbewusstsein im späten Mittelalter ( History Writing and Historical Consciousness in the Late Middle Ages), Sigmaringen : Thorbecke ,

1987

Peixoto da Fonseca , Fernando Venancio , " Les Chroniques " portugaises de Portugaise Monumenta Historica (The Portuguese Chronicles in PMH ), Revue des Langues Romanes 77 ( 1967 ), 55

-

84

Poole , Reginald Lane , Chronicles and Annals: A Brief Outline of Their Origin and Growth , Oxford : Oxford University Press , 1926 Randa , Alexander von , ed., Mensch und Weltgeschichte: Zur Geschichte der Universalgeschichtsschreibung ( Man and World History: On the History of Universal History Writing ), Munich : Pustet , 1969 Schmale , Franz-Joseph , ed., Frutolfs und Ekkhards Chroniken und die anonyme Kaiserchronik ( Frutolf's and Ekkeharde Chronicle and the Anonymous Kaiserchronik) , Darmstadt : Wissenschaftliche

Buchgesellschaft

,

1972

Schmidt , H. J. , Die deutschen Stadtchroniken als Spiegel des bürgerlichen Selbstrverständnisses im Spätmittelalter ( German City Chromicles as a Mirror of Bourgeois Self Images in the Late Middle Ages ), Göttingen : Vandenhoeck & Ruprecht , 1958 " Schneider, J. , Grundlagen und Grundformen der " Geschichtsschreibung im lateinischen Mittelalter ( Fundamentals and Primary Forms of History Writing in the Latin Middle Ages ), Wissenschaftliche Zeitschrift der Universität Rostock 18 ( 1969 ),

483

-

92 "

"

Schnith Karl et al. , Chronik ( Chronicles ), in Lexikon des Mittelalters , 2 , 954 1028 Schulz , Marie , Die Lehre von der historischen Methodebei den Geschichtsschreibern des Mittelalters, 6.-13. Jahrhundert (The Teaching of Historical Method by the Historians of the Middle Ages ), Berlin : Rothschild , 1909 Sot , Michel , Gesta episcoporum, gesta abbatum ( Episcopal and Abbatial Gesta ), Turnhout : Brepols , 1981 Spörl , Johannes , Grundformen hochmittelalterlicher Geschichtsanschauung: Studien zum Weltbild der Geschichtsschreiber des 12. Jahrhunderts ( Primary Forms of the High Medieval View of History: Studies on the View of Life of the Historians of the Twelfth Century), 2nd edition, Darmstadt : Wissenschaftliche Buchgesellschaft , 1968 Taylor, John, The Use of Medieval Chronicles , London : Historical Association , 1965 " Tout , Thomas Frederick , The Study of Medieval Chronicles ," Bulletin of the John Rylands Library 6 ( 1921-22 ), 414 38 Van Houts , Elisabeth M. C. , Local and Regional Chronicles , Turnhout : Brepols , 1995 Wattenbach , Wilhelm , and Robert Holtzmann , eds., Deutschlands Geschichtsquellen im Mittelalter: die Zeit der Sachsen und Salier ( Germany's Historical Sources of the Middle Ages: The Era of the Saxons and Salians ), new edition, 3 vols., Darmstadt : Wissenschaftliche Buchgesellschaft , 1967-71 -

-

Medieval Historical Writing Historical writing, like other literature in the Middle Ages, was almost entirely the work of clerics, and was imbued with thought and biblical imagery. At the same time it was conducted in the setting of a strong oral culture. Books of all kinds might be used for private study, but they were commonly meant to be read aloud, to audiences with a prodigious memory and appetite for detail, and with a strong preference for verse and rhythmic patterns of prose. The oral and written cultures first met in the monastic refectory and the royal court, and fused there. The universities subsequently both refined and such broadened literary skills, but folk history and myth traditions as the Merovingian kings' descent from a seagod, or the foundation of Albion, prehistoric Britain, by Brutus of

religious

-

became and long remained components of the written of every country. Historical writing of all kinds flourished in classical but the Middle Ages had in effect to recreate it. Medieval historians did so mainly through the medium of annals, a simple year-by-year record of events for which the church provided the expertise and the setting. As the date of Easter is determined each year by the incidence of the first full moon after the vernal equinox, and the other moveable feasts such as Whitsun accord with Easter, every church needed tables from which those dates could be calculated or read, and also an annual calendar to record saints' days and the obituaries of benefactors. Such documents naturally attracted and notes of other events, especially the lives and deeds and deaths of the sovereigns, lords, and ladies who were the

Troy

-

history

antiquity,

accumulated clergy's patrons. Down to the

11th century texts of that kind were mainly be found in monastic houses, which commanded much of the wealth and almost all the intellectual power of the western church. In the absence of any systematic archival sources, such works as the annals of the abbey of Fulda, or the annals of St. Bertin from St, Omer, published in the Monumenta Germaniae Historica, provide essential guides to western and central European history for several centuries. The annals known as the Anglo-Saxon Chronicle, compiled in the of the West Saxon monarchy under the stress of the Scandinavian invasions, were one of the longest-lived of such enterprises, which all served political as well as pietistic purposes. The Grandes Chroniques de France compiled at StDenis provide an encomium of the later Capetian kings. The examples of history and biography available from the classical world were taken as literary rather than models. Biography was largely subsumed in lives of saints and martyrs, such as St. Martin of Tours and St. Edmund of East Anglia, and narrative history almost disappeared. One notable early exception was Bede's account of the conversion of the English, Historia ecclesiastica gentis Anglorum (Ecclesiastical History of the English People), completed in 731, pious in its purpose, but lucidly written and critically directed, with a careful attention to sources. The survival of almost 800 manuscript copies shows how widely and long it was admired and studied, but it had few effective imitators. On the other hand, hagiography in its turn bred political biography, as in the life of Louis VI (1081-1137) of France by Abbot Suger of St-Denis, or the life of St. Louis, Louis IX (1215-70) by Jean de Joinville. The most distinctive kind of historical writing in the Middle Ages was the chronicle, which developed from annalistic notes into a general narrative. The transition was not sudden, and was a product of many forces. From c.1000 a remarkable growth in population, sustained by a corresponding surge of economic activity, worked great changes in the social and life of western Europe. One consequence was that the secular clergy, those who worked among the laity, came to provide expert services for kings and princes who found their authority enhanced by the written word. Although most were written in the monasteries, from the12th century onward the growth of secular government produced clerks who subsequently drew on their experiences to write accounts of their own times. Ralph Diceto and Roger Howden were two

to

interests

methodological

intellectual chronicles

Henry II of England (reigned 1154-89), who what were in effect historical memoirs. There were two manifestations of the chronicle that were highly characteristic of the time. The first was the universal and the second its local continuations. The universal history took various forms, but it commonly began with the creation of the world and its cosmography, a framework into which what would now be called geography and science was introduced, and went on to demonstrate the working of God's purpose toward mankind down to some particular place and time. It drew freely upon the Bible, and went on through the history of Rome to the Christianization of the west, and to the emergence of the papacy and the German empire. The most popular work of that kind in the later Middle Ages was the world chronicle of Martin von Troppau, also known as Martinus Polonus, a Dominican who died at Bologna in 1278. His chronicle circulated in several vernacular translations as well as its original Latin. The continuations were added to suit local purposes wherever copies of the chronicle came to rest. England produced its own master narrative in the Polycbronicon of Ralf Higden of Chester (d. 1364), which then formed the basis of most English chronicles until the end of the Middle Ages. The universal chronicle had a wide appeal, but it was principally sustained by the schools of divinity in the universities, which used it for exegetic studies. The Italians first coined the expression Middle Ages (medio aevo) to describe the period of uncritical belief from which they perceived themselves emerging in the late 12th century. For the most part they wrote history in the intense context of life in the city state, when Florence and Venice were worlds of their own, though the chronicle of the Franciscan friar known as Salimbene (1221-90) is a valuable source for French and German history. Their critical acumen was exercised first upon the writings of classical antiquity which they greatly admired, but spread to theological studies and on to secular history. The Middle Ages came to an end when those habits of thought spread into northern Europe in the movement called the Renaissance, and the past was seen in a new perspective. such ministers of

wrote

history,

GEOFFREY H. MARTIN

See also

Anglo-Saxon Chronicle; Bede; Britain: 1066-1485; France: Germany: to 1450; Knowles; Medieval Chronicles;

1000-1450;

Spain:

to

1450

Further Reading Chaytor Henry John

From Script to Print: An Introduction to , , Medieval Literature , Cambridge : Cambridge University Press , 1945 ;

reprinted

1974

Galbraith , Vivian Hunter, Historical Research in Medieval England, London : Athlone Press , 1951 Gransden , Antonia , Historical Writing in England , 2 vols., London : Routledge , and Ithaca, NY: Cornell University Press, 1974-82 Hay, Denys , Annalists and Historians: Western Historiography from the Eighth to the Eighteenth Centuries , London : Methuen , and New York: Harper, 1977 Knowles , David , Great Historical Enterprises [and] Problems in Monastic History , London and New York : Nelson , 1963 Poole , Reginald Lane , Chronicles and Annals: A Brief Outline of Their Origin and Growth , Oxford : Oxford University Press , 1926 Taylor, John , English Historical Literature in the Fourteenth Century, Oxford and New York : Oxford University Press , 1987

Medvedev, Roy

1925-

Russian historian The nonconformist historian, prolific writer, and leading Soviet dissident, Roy Medvedev stands apart from many of his contemporaries in that he remained loyal to the paradigm of socialism in his criticism of Stalinist rule. Despite police Medvedev remained a citizen of the former Soviet Union, who, in his allegiance to the socialist idea, has refused to live in exile. His most acclaimed work, Κ sudu istorii (1971; Let History Judge, 1971), chronicles Stalin's origins, his gradual emergence from Lenin's shadow, his rise to absolute power, and then the growth of Stalinism and of the personality cult. This was the main work of his life and took years of research and The crux of this text rests on Medvedev's commitment to exposing the political realities of a ruling strata whose survival was rooted in the mass deception of its society. His analysis of Stalin was, therefore, central, as it was through this ruler that total control was implemented. His 1989 revision stresses the continued need to challenge persistent myths about Stalin, that often continue to portray him "as a 'wise

harassment,

revision.

statesman,' a 'prudent manager,' an 'experienced politician,' and an 'outstanding military leader'." Many Western commentators and soviet émigrés perceive Medvedev's account of Stalinism to be somewhat misguided in his emphasis on Stalin, the leader, as opposed to the political system that created him, Medvedev's notion that Stalinism was Marxism gone wrong and his commitment to Lenin and Leninist ideals pervades much of his work. Yet, Medvedev has written extensively on major areas of the corrupt Soviet system which locates fault not just in Stalin and his entourage but the sociopolitical and economic conditions that underpinned him, as in All Stalin's Men (1983) and Kniga o sotsialisticheskoi demokratii (1972; On Socialist Democracy, 1975). Medvedev's dual stance of maintaining a pro-Soviet line while fearlessly exposing and criticizing the previously taboo areas of crime, corruption, and injustice that were common practice under Stalin, has attracted mixed reactions. Medvedev's ability to provide in-depth, and often extensive "inside" information on Stalin, without access to archives, and also unlike his brother Zhores, who was unjustly placed in a psychiatric hospital to escape severe persecution, has often led to the accusation that he was in some way collaborating with the KGB. It is important to stress that, even when derived from suspect sources, like the recollections of old Bolsheviks, Medvedev's use of the material, once obtained, clearly illustrated his intentions as a dissident to expose aspects of Soviet society that were purposefully hidden from the majority in the interests of the party. Another major feature of his work was his advocacy of gradual democratic socialist reform from above. The idea that true democratic reform could emerge only from a renovated Communist party was a fundamental denial of the traditional Marxist idea that change could come only from the mass of the proletariat. Furthermore, contrary to Western Marxist perspectives, Medvedev believed that, although the Stalin and post-Stalin periods were fundamental in the formation of a central bureaucracy, the Soviet state machine did not a ruling class. Instead he saw bureaucracy as balancing on -

-

mobilization

constitute

in which bureaucrats had no access the ownership of the means of production or possession of lands that could be bequeathed to their children. This argument is indicative of his stance as an alternative Soviet dissident. That neither socialism nor capitalism had been achieved in the Soviet Union was a controversial line of What is explicit in his work is the idea that it was the malpractice of the party elite, and in particular Stalin, that had led to the erosion of the socialist idea. The recognition of this was seen to be vital if socialism was to remain viable. As Medvedev writes in his preface to the 1989 edition of Let History Judge, in order for socialism as "a scientific social doctrine" to survive it was necessary to "explain the sociohistorical, economic, and political processes that under specific circumstances led to the degeneration of the socialist state and to tyranny by specific individuals in socialist countries." This independent and powerful indictment of a debased socialism has had a penetrating effect on historical debates resulting in both widespread criticism and worldwide praise. The role of Medvedev, as a key Soviet historian, has been enhanced by his keeping alight the ideas and lives of other heroic dissidents who otherwise would have remained effectively invisible in official Soviet history. For example, in "Bukharin's Last Years," published in New Left Review in 1978, Medvedev perceptively unfolded the elusive character of one of the greatest dissidents of the Communist party, who, for Medvedev, a dignified and loyal opposition from within. Medvedev often saw himself as breaking out of his academic mold in his quest to reveal and influence his political In his 1989 preface to Let History Judge he wrote, "It long ago became my primary aim and the driving motive of my life and work to orient myself in the contradictory reality around me and to find a way of changing it for the better, including changes in the prevailing ideological conceptions." In his quest to defend socialism Medvedev had only one "to speak the truth". Whether this is possible is debatable, but Medvedev did to a large extent give fresh insight into the essence of Soviet society in his exposure of "that serious and disease which has been given the name Stalinism." a

fragile political equilibrium

to

argument.

further

With Zhores Medvedev, Κ to sumasshedshii?, 1971 ; in English as A Question of Madness , 1971 Kniga o sotsialisticheskoi demokratii , 1972 ; in English as On Socialist Democracy , 1975 N.S. Khrushchev: gody u vlasti , 1975 ; in English as Khrushchev: The Years in Power , 1976 Intervista sul dissenso in URSS, edited by Piero Ostellino , 1977 ; in English as On Soviet Dissent , 1980 Editor, The Samizdat Register , 2 vols., 1977-81 The October Revolution , 1979 On Stalin and Stalinism , 1979 Nikolai Bukharin: The Last Years , 1980 Leninism and Western Socialism , 1981 An End to Silence: Uncensored Opinion in the Soviet Union from Roy Medvedev's Underground Magazine Political Diary , edited by Stephen F. Cohen , 1982 Khrushchev , 1982 All Stalin's Men , 1983 China and the Superpowers , 1986

Further Reading "

Détente and Socialist Democracy: A Discussion with Roy Medvedev: Essays," European Socialist Thought 6 , Nottingham : Foundation for Spokesman , 1975 Medvedev's Notion of Stalinism , Belfast : British and Irish Communist Organization, 1980 " " Pons , Silvio , Roy Medvedev: Storico dello stalinism ( Roy Medvedev: Historian of Stalin ), Passato e Presente 3 ( 1983 ), 115 34 -

represents

surroundings.

solution,

prolonged .

.

.

KATHERINE PINNOCK See also Russia: Modern

Biography Roy Alexandrovich Medvedev Born Tbilisi, 14 November 1925 Educated at Leningrad State University; Academy of Pedagogical Sciences of the USSR; received PhD. Worked in a factory, 1943-46 ; taught history at the Ural Secondary School 1951-53 ; director of a secondary school in the Leningrad region 1954-56 ; deputy to editor-in-chief, Textbook Publishing House Moscow 1957-59 ; department head, Research Institute of Vocational Education, USSR Academy of Pedagogical Science, 1960-70, and senior scientist 1970-71 ; freelance writer from 1972 Until 1969, was a member of the Communist party; reactivated his party membership, 1981-91, and served in various political posts; co-chairman, Socialist Party of Labor from 1991. Married Galina A. Gaidina, 1956 (1 son). .

.

,

,

,

,

,

.

,

Principal Writings Κ sudu istorii:

genezis i posledstviia stalinizma 1971 ; in English as History Judge: The Origins and Consequences of Stalinism 1971 revised 1989

Let

,

,

,

Meier, August

1923-

US historian

leading authority on 20th- and late 19th-century African history, August Meier began his professional life as a historian in the 1940s, at Tougaloo, a small black college in Mississippi. At this time most black educational institutions in the United States lacked the intellectual prestige of their white

A

American

counterparts, and few other white historians took much active interest in African American society as a serious area of research. Meier's unusual choice of career path owed much to his early family life and upbringing. The son of a German father and East European Jewish mother, he was initially drawn to the study of race by the rise of Nazism and anti-Semitism in Germany during the 1930s. This concern was reinforced by the political radicalism of his parents who at this time were, as Meier himself described it in A White Scholar and the Black Community, 1945-1965 (1992), "left wing New Dealers." Meier is a lifelong liberal himself, and his many academic writings have been inspired not just by scholarly curiosity but a personal commitment to bring about a greater understanding of, and improvement in, the pattern of race relations in the United States, A grassroots civil rights activist as well as a historian, Meier participated in many of the protests of the civil rights movement during the 1950s and 1960s. He enjoyed personal contact with many African American spokesmen of the time, including Stokely Carmichael, Bayard Rustin, and Malcolm X, which provided him with invaluable insights for his academic research. In collaboration with the historian Elliott Rudwick, Meier published CORE: A Study in the Civil Rights Movement (1973 ),

which has become a standard authority on the origins, and development of the Congress of Racial Equality, one of the most prominent civil rights organizations of the 1960s, His scholarly partnership with Rudwick has played an important part in Meier's career. Since the 1970s they have jointly written or edited several important studies on African American history. Among Meier's earlier, but most influential, writings on the civil rights movement was a 1965 article for New Politics, "On the Role of Martin Luther King." Examining criticisms made by radical activists, that King was too accommodationist to white society, Meier advanced the view that this "moderation" was actually a key asset. It enabled King to occupy the "vital center" of the civil rights movement, uniting both militant and conservative civil rights organizations behind his leadership. The last three years of King's life, 1965-68, when many believe King went through a process of radicalization, subsequently created the need for a reassessment of Meier's analysis. Despite this, his seminal study is still a key starting point for any understanding of the life and career of King. Although himself a liberal integrationist, Meier has won respect for his knowledge and understanding of black groups in the United States, such as the Black Muslims or Nation of Islam. In this context during 1962, at Morgan State College, Maryland, he once famously participated in public debate, with the then Black Muslim leader Malcolm X, on the merits of integrationism versus separatism. Meier is well regarded for his work on early 20th-century black civil rights leadership, and his first book, Negro Thought in America, 1880-1915 (1963), remains a major work on this subject. Particularly important have been Meier's writings on the accommodationist African American leader Booker T. Washington, who dominated black American life between 1895 and 1915. Meier's insights into Washington's motives and strategies provided key foundations for later revisionist such as Louis Harlan. Since the mid-1960s the emergence of Black Power, and other developments in race relations, resulted in a general sense of disillusionment in the United States with the liberal values associated with Meier. Paradoxically, the substantial awakening of interest in African American history that also occurred in these years has led to a much greater and widespread of the work of Meier the historian. He is now justly recognized as one of the foremost thinkers and researchers in his field of study.

character,

historians

nationalist

historians

recognition KEVERN

J.

VERNEY

See also African American; Franklin; Hine

Biography Born New York City, 20 April 1923 Received BA, Oberlin College, 1945; MA, Columbia University, 1948, PhD 1957. Taught at Tougaloo College , 1945-49 ; Fisk University 1953-56; Morgan State College , 1957-64 ; Roosevelt University, 1964-67 ; and Kent State .

University 1967-93 (emeritus). ,

Principal Writings Negro Thought in America, 1880-1915: Racial Ideologies in the Age of Booker T. Washington 1963 On the Role of Martin Luther King," New Politics 4 ( Winter 1965 ), 1 8 ,

"

-

With Elliott M. Rudwick , From Plantation to Ghetto: An Interpretive History of American Negroes , 1966 ; 3rd edition 1976 With Elliott M. Rudwick , The Making of Black America: Essays in Negro Life and History , 1969 With Elliott M. Rudwick , CORE: A Study in the Civil Rights

Movement, 1942-1968

,

1973

With Elliott M. Rudwick , Along the Color Line: Explorations in the Black Experience , 1976 Black Detroit and the Rise of the UAW, 1979 With Elliott M. Rudwick , Black History and the Historical

Profession, 1915—1980 1986 ,

A White Scholar and the Black

Reflections

,

Community, 1945-1965: Essays and

1992

Meinecke, Friedrich

1862-1954

German historian Friedrich Meinecke was one of the most influential German historians in the first third of the 20th century. He was editor of the prestigious Historische Zeitschrift from 1896 to 1935 and chaired the Historische Reichskommission in the Weimar republic. In his historiographical work he broke new ground with contributions to the intellectual history of the 18th and 19th centuries. Meinecke was also an influential analyst of contemporary history and contributed to the political and reorientation after the cataclysms of two world wars. Meinecke had already published widely when, in 1908, his Weltbürgertum und Nationalstaat (Cosmopolitanism and the National State, 1970) had an immediate impact on German historiography. The synthesis of political and intellectual history that Meinecke achieved in depicting the intricate between nation and state in 19th-century Germany had, as Ludwig Dehio later remembered, the effect of a spring rain on the younger generation of historians. The theme of the book is Germany's development from a Kulturnation (cultural nation) to a Staatsnation (nation-state) as reflected in the of authors and politicians from Humboldt to Ranke and Bismarck. A subsequent large part of the book deals with the relation between the Prussian nation-state and the German

intellectual

relation

publications nation-state.

In his Die Idee der Staatsräson {1924; Machiavellism, 1957), Meinecke focused on the relation between power and morality, between kratos and ethos. He highlighted the development of the idea of the reason of state (raison d'état), from Machiavelli and the age of emerging absolutism, to the era of mature culminating with Frederick the Great and his attempt to bridge the gap between the philosopher and the king. A final chapter is devoted to the idea of the state in 19th-century Germany (Hegel, Fichte, Ranke, and Treitschke). Much more pessimistic in outlook than in his previous book, Meinecke underlined the dualism of the law of states on the one side and the natural law on the other side, the perennial struggle between both realms and the reason of state as the bridge between power impulses and moral responsibilities. The reason of state thus is not politics solely based on power, but the attempt to bring together kratos and ethos for the best of the state. In 1936, when the balance of kratos and ethos was already upset in Germany, Meinecke published Die Entstehung des Historismus (Historism, 1972), where he interpreted the origins

absolutism,

of historism

concept opposed to the universalism of the Meinecke argued that historism is deeply rooted in European intellectual history and can be found in the writings of English and French writers. The cultural concept of historism as a

Enlightenment.

in Germany is represented by Lessing, Winckelmann, Moser, Herder, and Goethe. With Goethe, historism reached its fullest cultural potential and subsequently became a political concept, serving as a justification for the German Sonderweg in the 19th

century.

Immediately after World War II Meinecke wrote a short book entitled Die deutsche Katastrophe (1946; The German 1950) in which he interpreted Hitler in the context of German history. Hitler, according to Meinecke, had no organic ties to German history and German history did not inevitably result in the National Socialist catastrophe. Meinecke pointed to the mass Machiavellism as a European phenomenon since the French Revolution and to coincidences that facilitated the rise of Hitler. His liberal-conservative interpretation of the German catastrophe concluded with a call to go back to the roots of German cultural identity to build a better future. Meinecke always had political influence, whether in the Weimar republic or in attempting to contribute to the intellectual reorientation after World War II. In 1948 he became one of the founders of the Free University of Berlin; the Department of History was named after him in 1951. Meinecke did not found a school of historiography, but his emphasis on the history of ideas and how they shaped politics influenced generations of scholars in Europe and America. With the advent of the social sciences within historical research and its emphasis on the meticulous analysis of facts, rather than on understanding or on colorful and atmospheric portrayals, Meinecke's influence considerably abated. It remains to be seen if his deep insights into history will be rediscovered by the

Catastrophe,

supporting

university's intuitive

postmodern approaches history. to

Geschichte des deutsch-englischen Bündnisproblems, 1890-1901 ( History of the Anglo-German Alliance Problem, 1890-1901 ), 1927

Staat und Persönlichkeit ( State and Personality ), 1933 Die Entstehung des Historismus , 2 vols., 1936 ; in English as Historism: The Rise of a New Historical Outlook , 197z Die deutsche Katastrophe: Betrachtungen und Erinnerungen , 1946 ; in English as The German Catastrophe: Reflections and Recollections , 1950 " 1848: Eine Säkularbetrachtung , 1948 ; in English as The Year 1848 in German History: Reflections on a Centenary," in Herman Ausubul , ed., Making of Modern Europe: Waterloo to the Atomic

Age

1951

,

Werke ( Major Works ), 9 vols, 1957-79

Further Reading Erbe Michael ed., Friedrieb Meinecke beute: Beriebt über ein Gedenk-Colloquium zu seinem 25, Todestag am 5. und 6. April 1979 (Friedrich Meinecke Today), Berlin : Colloquium Verlag 1981 Hofer Walther Geschichtsschreibung und Weltanschauung: Betrachtungen zum Werk Friedrieb Meineckes ( Historical Thought and Ideology: Observations on the Work of Friedrich Meinecke ), Munich : Oldenbourg 1950 Iggers Georg G. The German Conception of History: The National Tradition of Historical Thought from Herder to the Present Middletown, CT: Wesleyan University Press 1968 ; revised 1983 Meineke Stefan Friedrieb Meinecke: Persönlichkeit und politisches Denken bis zum Ende des ersten Weltkrieges ( Friedrich Meinecke: Personality and Political Thinking to the End of World War I ), Berlin : de Gruyter 1995 ,

,

,

,

,

,

,

,

,

,

,

,

,

Pois , Robert Α. , Friedrich Meinecke and German Politics in the Twentieth Century , Berkeley : University of California Press , 1972 " Schulin , Ernst , Friedrich Meinecke ," in Hans-Ulrich Wehler, ed., Deutsche Historiker , vol. 1 , Göttingen : Vandenhoeck Sc Ruprecht , 1971

Sterling Richard W. Ethics in a World of Power: The Political Ideas of Friedrieb Meinecke Princeton : Princeton University Press 1958 ,

,

,

,

MATTHIAS ZIMMER See also

Begriffsgeschichte; Fischer; Gatterer; Germany: 1800-1945; Gilbert; Intellectual; Kehr; Rosenberg, H.; Schnabel; Srbik

Biography Born Salzwedel, Prussia, 30 October 1862 Studied at universities of Bonn and Berlin , 1882-86 Archivist, German State Archives, Berlin, 1887-1901; professor, University of Berlin , 1896-1901 ; University of Strasbourg, 1901-06 ; University of Freiburg , 1906-14 ; and University of Berlin, 1914-32. Editor, Historische Zeitschrift, 1896-1935. Chairman, Historische Reichskommission, 1928-35. Rector, Free University of Berlin , 1948 Died Berlin, 6 February .

.

.

1954

.

Memory The French sociologist Maurice Halbwachs (1877-1945) was the first scholar to discuss systematically the relation between history and "memory," and his studies on the subject, Les Cadres sociaux de la mémoire (The Social Frameworks of Memory, 1925), La Topographie légendaire des évangiles en Terre Sainte (The Legendary Topography of the Gospels in the Holy Land, 1941), and La Mémoire collective (1950; The Collective Memory, 1980), remain classics in the field. But "memory" began to emerge as an issue of serious and

widespread history only

in and related areas in the 1980s. number of reasons for increased interest in the subject: a growing fascination with the experience of history, supplementing more traditional concerns with sociopolitical events and structures; a growing willingness to link historical writing explicitly (rather than only covertly) to the identities of particular groups; and a growing sense that the modern social and cultural order has a tendency, which needs to be actively resisted, to obliterate consciousness of the past from people's minds. The scare quotes around memory are needed because the term, as currently employed in historical and metahistorical concern

Principal Writings Das Leben des

Generalfeldmarschalls Hermann von Boyen ( The Life of Fieldmarshal General Hermann von Boyen ), 2 vols., 1896-99 Das Zeitalter der deutschen Erhebung, 1795-1815, 1906 ; in English as The Age of German Liberation, 1795-1815 , 1977 Weltbürgertum und Nationalstaat: Studien zur Genesis des deutschen Nationalstaates , 1908 ; in English as Cosmopolitanism and the National State , 1970 Radowitz und die deutsche Revolution ( Radowitz and the German Revolution ), 1913 Die Idee der Staatsräson in der neueren Geschichte , 1924 ; in English as Machiavellism: The Doctrine of Raison d'Etat and Its Place in Modern History , 1957

There

are

a

writing, refers

to a number of different phenomena. "Memory" understood by historians has little relation to psychological or neurobiological conceptions. It does, however, have an important relation to psychoanalysis. Sigmund Freud in his therapeutic practice that memories become, under certain conditions, pathogenic, and he aimed to get his patients through and beyond memory, or at any rate beyond its bad consequences. His was a common 19th- and early 20th-century view, found, as Ian Hacking noted, in such therapists as Pierre Janet and H.H. Goddard; it was also articulated by Friedrich Nietzsche in "Vom Nutzen und Nachtheil der Historie für das Leben" (1874; "On the Use and Disadvantage of History", 1909) and other works. Such writers held that memory is to be overcome, by hypnosis, analysis, courage in facing the future, or other means. Currently, however, many therapists and others influenced by psychoanalysis take a different View: while acknowledging that memories may be traumatic, they also see memory as a marker of the lived experience through which the self's identity has come into being, and hence as possessing an authenticity and value of its own, however as

discovered

something

distressing

its contents.

of its meanings, closely akin to psychoanalytic "memory" denotes the recovery and conversion into narrative of the experience of historical agents and sufferers. Beginning in the late 1970s, memory in what we might call its "experiential" sense became an issue in Holocaust studies, when scholars and others started to come to grips with the fact that the generation of Holocaust survivors would soon die out. Saul Friedlander is one among many historians for whom Holocaust memory, and its integration into historical research and writing, have been important concerns. Also worth noting is the of the recollections of Holocaust survivors, undertaken at the Fortunoff Video Archive for Holocaust Testimonies 1982) at Yale University, as well as elsewhere. Such taping goes far beyond what is needed for historical documentation alone; it thus illustrates the positive valuation that "memory" has acquired in contemporary culture. The concern with in its experiential sense also enters into many other domains and genres of history, including "history from below" and Alltagsgescbichte or "history of everyday life." Second, "memory" has come to denote knowledge or In the 1980s scholars could still think about knowledge or tradition without any important evocation of memory, as illustrated by E.D. Hirsch, Jr.'s widely noted Cultural Literacy: What Every American Needs to Know (1987), but by the early 1990s the notion of "cultural" or "public" memory began to acquire some currency as a stand-in for cultural knowledge. "Memory" is widely assumed to connote something living and authentic; hence, "cultural memory" seems to manifest a wish for an authentic, as distinguished from a dead or oppressive, tradition or knowledge. In historical and metahistorical writing, memory in this second, cognitive sense is often said to be "collective." Sometimes "collective memory" refers to the memories that a group of people, such as Holocaust survivors, have of the historical experience that they in which case the first, experiential sense of historical memory is in play. But the term is also used to refer to the memories that people have of participating in such traditionmanifesting rituals as the Seder, Christmas, or Bastille Day. Memory of participation in cultural practices that refer to an In

one

conceptions,

videotaping

(established memory

tradition.

underwent,

alleged historical past

is not the same as memory that is of that historical past, although in contemporary culture there is a tendency to blur the two. Collective memory of participation in rituals easily tips over into a third sense, in which "memory" denotes What distinguishes many memorials and museums or redesigned in the 1970s and later is the concern they manifest with giving visitors an experience putatively similar to the experience of people in the past. On the basis of such experience, some sites attempt to offer a of the past rivaling the directness and vividness that is often attributed to the memory of the past: the United States Holocaust Memorial Museum in Washington, DC, which opened in 1993, and Steven Spielberg's film Schindler's List are good examples of memorials of this type. Memory in its various senses has an important role to play in history. For clarity, it is important to distinguish among the different senses. It is also important to be aware of memory's limitations. Near the beginning of Western historiography, Thucydides reacted against Herodotus, whom he saw as reliant on oral tradition. Instead, he resolved to write his history of the Peloponnesian War on the basis of accounts that is, on the basis of the recounted of historical participants. The memories were also, in part, Thucydides' own, since he was himself a participant in the war. Our modern view of memory is more chastened. Memory has a close relation to various subjectivities, including those of historical participants, of the historian, and of the audience addressed by the historian. Recognizing the uncritical character of subjectivity, R.G. Collingwood insisted, in The Idea of History (1946), that memory be confirmed by material traces. Collingwood's rule remains a good one, since in its absence history risks being displaced by unchecked desire.

commemoration. constructed

simulated commemoration

excessively eyewitness -

memories

ALLAN MEGILL See also

Collingwood; Freud; Holocaust; Nietzsche;

Further

Reading

Oral

Anderson , Benedict , Imagined Communities: Reflections on the Origin and Spread of Nationalism , London and New York : Verso , 1983 ; revised 1991 Carruthers , Mary J. , The Book of Memory: A Study of Memory in Medieval Culture , Cambridge and New York : Cambridge

University Collingwood

Press , 1990 R. G. , The Idea

of History , edited by T. M. Knox , Oxford : Oxford University Press , 1946 , New York: Oxford University Press, 1956 ; revised edition, with Lectures 1926-1928 , edited by Jan van der Dussen , Oxford : Clarendon Press , 1993 , New York: Oxford University Press, 1994 Farmer, Sarah , Oradour: arrêt sur mémoire ( Oradour: Focus on Memory ), Paris : Calmann Lévy, 1994 Freud , Sigmund , The Standard Edition of the Complete Psychological Works , 24 vols., London : Hogarth Press , and New York: Macmillan, 1953-74 " Freud , Sigmund , On the Psychical Mechanism of Hysterical " Phenomena: A Lecture ( 1893 ), in Freud , Early Psycho-Analytic Publications, 1893-1899[The Standard Edition, vol. 3 ] " " Freud , Sigmund , Project for a Scientific Psychology ( 1895 ), in Freud, Pre-Psycho-Analytic Publications and Unpublished Drafts [The Standard Edition, vol. 1 ] " Freud , Sigmund , Screen Memories ," ( 1899 ), in Freud , Early PsychoAnalytic Publications, 1893-1899 [The Standard Edition, vol. 3 ) ,

"

Freud , Sigmund , Remembering, Repeating and Working-Through (Further Recommendations on the Technique of Psycho-Analysis II)" ( 1914 ), in Freud , The Case of Schreber: Papers on Techniques and Other Works [The Standard Edition, vol. 12 ] "' " Freud , Sigmund , A Note upon the 'Mystic Writing Pad ( 1925 ), in Freud , The Ego, The Id and Other Works [The Standard Edition, vol. 19 ] Friedlander, Saul , Quand vient le souvenir , Paris : Seuil , 1978 ; in English as When Memory Comes , New York : Farrar Straus , 1979 Friedlander, Saul , Memory, History, and the Extermination of the Jews of Europe , Bloomington: Indiana University Press , 1993 " Funkenstein , Amos , Collective Memory and Historical Consciousness ," History and Memory: Studies in Representation of the Past 1 ( 1989 ), 5 27 Hacking, Ian , Rewriting the Soul: Multiple Personality and the Sciences of Memory , Princeton : Princeton University Press , 1995 Halbwachs , Maurice , Les Cadres sociaux de la mémoire ( The Social Frameworks of Memory ), Paris : Alean , 1925 ; abridged in English in his On Collective Memory, edited by Lewis A Coser, Chicago : University of Chicago Press , 1992 Halbwachs , Maurice , La Topographie légendaire des évangiles en Terre Sainte: étude de mémoire collective ( The Legendary Topography of the Gospels in the Holy Land: A Study in Collective Memory ), Paris : Aubier, 1941 ; reprinted 1971 Halbwachs , Maurice , La Mémoire collective , Paris : Presses Universitaires de France , 1950 , reprinted 1968 ; in English as The Collective Memory , with an introduction by Mary Douglas , New York : Harper, 1980 Hirsch , E.D. , Jr. , Cultural Literacy: What Every American Needs to Know , Boston : Houghton Mifflin , 1987 History and Memory: Studies in Representation of the Past , Bloomington: Indiana University Press , 1989 Hutton , Patrick H. , History as an Art of Memory , Burlington : University of Vermont Press , 1993 Huyssen , Andreas , Twilight Memories: Marking Time in a Culture of Amnesia , New York : Routledge , 1995 Kammen , Michael G. , Mystic Chords of Memory: The Transformation of Tradition in American Culture , New York :

Yerushalmi , Yosef Hayim , Zakbor: Jewish History and Jewish Memory , Seattle : University of Washington Press , 1982 Young , James , The Texture of Memory: Holocaust Memorials and Meaning, New Haven : Yale University Press , 1993 Zerubavel , Yael , Recovered Roots: Collective Memory and the Making of the Israeli National Tradition , Chicago : University of Chicago Press , 1995

Menéndez Pidal, Ramón Spanish

medievalist and

literary

1869-1968

historian

-

.

-

Knopf 1991 Langer Lawrence ,

,

L. , Holocaust Testimonies: The Ruins

New Haven : Yale

of Memory

Press , 1991 memoria , Turin : Einaudi ,

,

University

Le Goff, Jacques , Storia e 1986 ; in English as History and Memory , New York : Columbia University Press , 1992

Lipsitz George Time Passages: Collective Memory and American Popular Culture Minneapolis : University of Minnesota Press ,

,

,

,

1990

Middleton , David , and Derek Edwards , eds., Collective Remembering , London : Sage , 1990 " Nietzsche , Friedrich , Vom Nutzen und Nachtheil der Historie für das Leben ," in Onzeitgemässe Betrachtungen , vol. 2 , Leipzig : " Fritzsch , 1874 ; in English as On the Use and Disadvantage of History," in Complete Works , edited by Oscar Levy, vol. 5 , New " York : Macmillan , and Edinburgh: Foulis, 1909 , and as On the Uses and Disadvantage of History for Life ," in Untimely Meditations , edited by R.J. Hollindale , Cambridge : Cambridge

University

Press ,

1983

Nora , Pierre , ed., Les Lieux de mémoire , 3 vols., Paris : Gallimard , 1984-92 ; abridged in English as Realms of Memory: Rethinking the French Past , 2 vols., New York : Columbia University Press ,

1996-97 Samuel Raphael Theatres of Memory London and New York : ,

,

,

Verso , 1994 Santner , Eric L. , Stranded Objects: Mourning, Memory, and Film in Postwar Germany , Ithaca, NY: Cornell University Press , 1990 Schacter , Daniel L. , Searching for Memory: The Brain, the Mind, and the Past , New York : Basic Books , 1996 Vansina , Jan , Oral Tradition as History , Madison : University of Wisconsin Press , and London: Currey, 1985

Ramón Menéndez Pidal studied with Marcelino Menéndez y at the University of Madrid. When the latter became director of the National Library in 1899 his chair was and Menéndez Pidal won the successor position in comparative philology. In 1910 Menéndez Pidal became director of the newly-founded Center for Historical Studies, devoted mainly to the historical development of Spanish language and literature. There he trained an extraordinary group of scholars and the Center became a haven for European Hispa nists. Américo Castro, as professor of the history of the Spanish language, was a key figure at the Center, as was the institutional historian Claudio Sánchez-Albornoz, founder and editor of the Anuario de Historia del Derecho Español. In Orígenes del español (Origins of Spanish, 1926), Menéndez Pidal laid out the cultural and ethnic history of Castile and León through the nth century, made a case for the strong influence of Mozarabic culture brought there by Christians fleeing al-Andalus (Islamic Spain), and also on the emergence of Romance dialects out of vulgar Latin. Here he applied the neo-Lamarckian evolutionism of August Schleicher by asserting that the Castilian language stabilized early by defeating competing dialectal norms. Menéndez Pidal's notion of the convivencia (coexistence) of norms struggling with each other was to become, in Castro's work, a general model of sociocultural interaction. Menéndez Pidal's controversial method of reconstructing medieval epic poetry from chronicles nevertheless placed him admirably for the writing of chronicle-based history. La España del Cid (1929; The Cid and His Spain, 1934) was his primary contribution to medieval historiography. Here, he attacked Dutch Arabist Reinhart Dozy's portrayal of the Cid as a kind of noble brigand and made him into the paladin of Castilian and Leonese imperialism, the very spirit of the struggle against the Muslims, and a model of feudal virtue. In spite of the nationalistic overlay, the book was a model piece of research, emerging from the considerable documentary evidence amassed in the Center. It laid the groundwork for further discussions of political and social interaction among the Taifa states of Islamic and the Christian kingdoms of the nth century.

Pelayo

abolished

theorized

Menéndez Pidal spent most or the period of the Spanish Civil (1936-39) in New York (as visiting professor at Columbia

War

University) and in Paris, returning to Spain soon after the defeat of the Republic. The nationalist political ideology of Francoism was based on regionalist particular Castilian medievalism in which certain of Menéndez Pidal's ideas played major roles. Not only did heroes of important epics and chronicles, such as Fernán González and the Cid, assume gigantic proportions in the new nationalism, so also did the "Reconquest," viewed as -

-

Castile's "manifest destiny." Patriotism based on anything else was false. The Goths had made no cowardly retreat, and the basic rationale for Reconquest was religious. Although Menéndez Pidal rejected the notion of implacable and hostility between Christians and Muslims, he did so on the false premise that the latter were "racially" Spaniards. On the other hand, he not only vouched for Christianity's but promoted the legitimacy of Castile's title to "a Leonese notion of Empire." Near the end of The Cid and His Spain, he asserted the existence of a popular nationalism in medieval Castile, led by classless elites. His historically-based political views appeared between 1944 and 1950 in a series of articles in the Revista de Estudios Políticos, the ideological voice of the Franco regime, where his accounts of the originality of Castile's vision and the reality of Castilian hegemony among the other Spanish kingdoms were quickly raised to the level of dogma. Menéndez Pidal's leadership in Castilian was at the center of ideas expressed in the official 1944 celebration of the "Millennium of Castile." Nevertheless when, in 1947, Menéndez Pidal revived the notion of "two Spains" to explain modern Spanish politics in terms of a struggle between progressive and conservative of a disunified bourgeoisie, Francoist intellectuals regarded his position as nearly treasonable. Menéndez Pidal finished his active life as a scholar in the 1960s with his participation in two significant scholarly debates. The first involved the polemic between Américo Castro and Claudio Sánchez-Albornoz on the origins of Spanish culture and nationality, which Castro attributed to the centuries-long among Christians, Muslims, and Jews. Here Menéndez Pidal came down squarely on the traditionalist side which held that Spanish culture was inherent in the land and its population and that therefore Al-Andalus. had Hispanified its Islam; the scant Asiatic and African racial elements had been almost absorbed within the indigenous elements, so that the great majority of Spanish Muslims were simply Ibero-Romans or Goths reshaped by Islamic culture, and who could easily enough come to an agreement with their brothers to the north." This radical denial of the authenticity of Al-Andalus as a Arabic Islamic country placed him on the side of Sánchez Albornoz and severely strained his relationship with his former student Castro. In the second polemic he opposed SánchezAlbornoz's notion of the complete depopulation of the Duero valley in the early Middle Ages which rested in part on a literal reading of portions of the Chronicle of Alfonso III alleging that Alfonso I had removed all the Christians to the north. Menéndez

permanent

superiority,

nationalist medievalism

fractions

Historical Studies, 1907. Founder/editor, Revista de , 1914 Died Madrid, 14 November 1968

española

.

filologia

.

Principal Writings Editor, Primera Crónica General: estoria de España que mondó componer Alfonso el Sabio y se continuaba bajo sancho 4 en 1289 (First General Chronicle), 1906 Orígenes del español estado linguistico de la Peninsula iberica hasta el siglo XI (Origins of Spanish), 1926 La España del Cid 2. vols., 1929 ; in English as The Cid and His Spain 1934 Historia de España 1947 ; partially translated as The Spaniards in Their History 1950 Repoblación y tradición de la cuenca del Duero ," in Enciclopedia lingüística hispánica vol. 1 1960 ,

,

,

,

"

,

Further

Reading

,

"

Brown , Catherine , The Relics of Menéndez Pidal: Mourning and Melancholia in Hispanomedieval Studies ," La Coránica 24

( 1995 ).15 41 Lacarra , María Eugenia , -

"

La utilización del Cid de Menéndez Pidal " la ideología militar franquista ( The Use of Menéndez Pidal's The Cid in pro-Franco Military Ideology ), Ideologies and

en

Literature

3/12 ( March-May 1980 ),

95 127 -

Pérez Villanueva , Joaquín , Ramón Menéndez Pidal: su vida y su tiempo ( Ramón Menéndez Pidal: His Life and Times ), Madrid :

Espasa Calpe

,

1991

Portoles , José , Medio siglo de filología española (1896-1952): positivismo e idealismo ( Half a Century of Spanish Philology: Positivism and Idealism ), Madrid : Cátedra , 1986

contact "

.

.

completely normative

Pidal

argued (correctly)

that

poblar, populare did

not mean

"to

populate" but rather to reduce a disorganized zone to (a usage found elsewhere in medieval Europe) and that, in any case, place-name evidence suggested continuity in His participation in these controversies revealed his engagement with critical historiographical debates whose concerns persist to this day.

administration

settlement.

continuing

THOMAS F. GLICK See also Castro;

Spain:

to 1450

Biography Born La Coruna , 13 March 1869 Professor of Romance philology, University of Madrid, 1899-1939 ; founder, Madrid Center for .

Mentalities, History of The history of mentalities is an approach to cultural history that focuses on the attitudes of ordinary people toward their lives. Popularized during the 1960s and 1970s, it is especially with French historical scholarship, although it eventually influenced historians everywhere, notably in Britain (Peter Burke, Keith Thomas), the United States (Natalie Zemon Davis, Robert Darnton, Lawrence Stone), Germany (Ulrich Raulff), and Italy (Carlo Ginzburg). The history of mentalities might be characterized as a of the history of ideas in a more democratic guise. Historians of ideas had been largely interested in the outlook and influence of the most illustrious philosophers and writers,

everyday

identified

reinvention especially as they engaged in intellectual of mentalities, by contrast, have been

customs

and tacit

innovation. Historians more

concerned with

they are woven into the Mentalities presented a repertoire

understandings

as

fabric of popular traditions. of fascinating topics little studied before: attitudes toward children and family life; growing up, growing old, and dying; eccentric, deviant, criminal, and nonconformist behavior; manners and social mores; religious piety and devotional In addressing such topics, its historians redirected from the high discourse of intellectuals to the popular idiom of ordinary people. The historians of ideas had been interested in the way ideas circulate among elites before being more widely disseminated in popular culture. The historians of mentalities studied the environments in which people form

practices. attention

their attitudes, and observed how tenacious can be the modes of resistance to intellectual change the inertial power of habits of mind, conventions of speech, and visceral convictions that inhere in the common sense of tradition. Accordingly, historians of mentalities sought to locate and describe the deep structures of culture the mental imagery, collective and linguistic forms that frame the dimensions of our mental universe. Concomitantly, their work charted the of a non-psychoanalytic approach to historical They studied the interplay of thought and emotion, habit and innovation, poetical and refined speech, orality and literacy in ways that revealed historically significant changes in the organization of the human psyche, even in relatively -

-

memories, possibilities psychology. recent times.

The rise of mentalities as a historiographical interest has important sources in the French Annales school of historical writing, and for some scholars represents a stage in its As early as the 1920s, Lucien Febvre and Marc Bloch wrote pioneering studies on the collective psychology of people living in traditional European society. Febvre proposed an agenda for a new field of historical inquiry that would the "mental equipment" and identify reconfigurations in the emotional life of human societies across the ages. But their appeal elicited few followers until the 1960s. One connection between the work of these Annales pioneers and the renascent interest in mentalities among a younger generation of was a study by one of Febvre's students, Robert Mandrou. Working with a manuscript left by Febvre at his death in 1956, Mandrou wrote Introduction à la France moderne (1961; Introduction to Modern France, 1975), a history of French culture in the 16th and 17th centuries that underscored the importance of environmental, social and cultural constraints on intellectual innovation. It provided an important model for investigations in this field. But the question remains, why did mentalities arouse such widespread historical interest in the 1960s whereas it had elicited so little before? Some scholars point to the between mentalities and the evolution of more research techniques, particularly those that employ quantitative analysis. They argue that such historical research had by the 1960s arrived at a stage of development in which quantitative methods could at last be applied to cultural data. But the best known and most popular studies were not only for their data-gathering, but also for the long-range trends in the evolution of popular attitudes that they identified. Others evoked poignant issues about popular culture through micro-histories of particular events Natalie Davis's The Return of Martin Guerre (1983), which explored the hallmarks of personal identity, for example, or Carlo Ginzburg's II formaggio e i vermi (1976; The Cheese and the Worms, 1980), which considered the relationship between literacy and the formulation of religious concepts. Certainly, mentalities was attuned to the keen interest in psychology during the 1960s, and in many ways it dealt more successfully with issues of collective psychology than did its psychoanalytic alternative, psychohistory, based on the model of Erik Erikson's Young Man Luther (1958). One might also argue that mentalities reflected the changing culture of the postwar era. In many ways, this new cultural history represented the historians' response to issues raised by

evolution.

inventory historians

relationship sophisticated appreciated

interesting

-

historical

the coming of the welfare state in Western civilization, for which problems of the quality of life were as important as those of its material condition. In the affluent society of the late 20th century, the politics of ideology was giving way to a politics of culture. The interest in mentalities reflected that reorientation, and permitted a "postmodern" cultural critique of the "modern" era of history that was being left behind. Particularly important in this respect is the work of Philippe Ariès, one of the most original and widely read historians in this field during the 1960s. In his L'Enfant et la vie familiale sous l'Ancien Régime (1960; Centuries of Childhood, 1962), he addressed the topic of family history with an interpretation about the way long-term changes in attitudes toward reveal the historical emergence of a developmental conception of the human life cycle. Ariès had important ties to the royalist Action Française and to right-wing educational movements under Vichy. In juxtaposing everyday life in society to that in the modern world, he offered a subtle critique of the shortcomings of modern mass culture, with its stress upon material affluence, conformity, and consumerism. Ariès sought to expose the present disillusionment with this cultural ideal, particularly among the young, and the ways in which the mores of the old regime were germane as a point in the search for postmodern alternatives. Emmanuel Le Roy Ladurie, the author of Montaillou (1975; translated 1978), a portrait of everyday life in a medieval village and the most popular study in this genre, found his way to mentalities from his youthful flirtation with the as a saving shore

childhood

traditional

reference Communist party.

Mentalities effected a rendezvous for such historians, many of whom were disillusioned with the timeworn ideologies of the modern age. In its way, this historiographical movement evinced the historians' effort to put the modern age in a historical perspective. From this vantage point, the seemingly diverse topical interests of the historians of converged toward a common preoccupation with ways of life that were disappearing in modern culture. In their histories of everyday life in the modern world, they explored the moving boundary between rising expectations about cultural change in the public sphere and the profound resistance of traditional attitudes in the private one. They traced the dynamics of the historical relationship between the two, thereby shedding light on some of the most poignant issues of modern culture: the trend from extended toward nuclear families (Ariès), the appropriation of an aristocratic code of manners by the bourgeoisie (Norbert Elias), the retreat of sociability into the realm of privacy (Christopher Lasch), the institutionalization of nonconformists in asylums and

postmodern

mentalities traditional

prisons (Michel Foucault), the psychological and cultural nurturing of personality attending the rise of lireracy (Robert Darnton), and the evolution of rituals of commemoration (Maurice Agulhon, Michel Vovelle). Such studies thereby highlighted dilemmas of the postmodern age: the crisis of the family, the disappearance of rituals to ease the process of dying, the beguiling demands of public authority for social and psychological conformity, the decline of civility, anxieties over the fate of literary culture in the face of the new technologies of electronic communication, and the waning of civic responsibility in a culture of narcissism. The interpretations offered tended to subvert nearly all of the assumptions of an

earlier generation of political historians about the course of modern civilization toward some higher destiny. While the history of mentalities inspired intense interest, it enjoyed an ephemeral reign as the principal forum for cutting edge historical research. As a movement, its unity was in the issues it addressed rather than in the methods or the models of its practitioners. The term itself began to be abandoned by the 1980s in favor of that of the "new cultural history" (Roger Chartier) or the "history of private life" (Georges Duby). Indeed, the 5-volume anthology, Histoire de la vie privée {1985-87; A History of Private Life, 1987-91), edited by Ariès and Duby, attempted a synthesis of work in the field and in its way represented the denouement of this approach to scholarship. By then, the interest of historians looking for new terrain was turning from mentalities to memory, the historiographical need to understand the unraveling of the conceptual web of modern history that mentalities had

historical

signifying helped to untie (Pierre Nora). Mentalities, therefore, is an approach

to historical be nested in the historiography of the late 20th century. It contributed to the larger movement among historians away from the old narrative political history while introducing new conceptions of the structural foundations of culture. It provided an historical perspective that proved more effective than "psychohistory" in interpreting collective psychology. It also signifies the degree to which culture has displaced economics in the historians' search for meaning in the late 20th century.

scholarship that

can

PATRICK H. HUTTON

School; Ariès; Bloch; Burke; Chartier; Darnton; Davis, Ν.; Duby; Erikson; Febvre; Foucault; Ginzburg; Lasch; Le Goff; Le Roy Ladurie; Stone; Thomas, Κ.; Vovelle

See also Annales

Further Reading Agulhon Maurice Marianne au combat: l'imagerie et la symbolique républicaines de 1789 à 1880 Paris : Flammarion 1979 ; in English as Marianne into Battle: Republican Imagery and Symbolism in France, 1789-1880 Cambridge and New York : Cambridge University Press 1981 Ariès Philippe L'Enfant et la vie familiale sous l'Ancien Régime Paris : Pion 1960 ; in English as Centuries of Childhood New York : Knopf and London: Cape, 1962 Ariès Philippe L'Histoire des mentalités (The History of Mentalities ), in Jacques Le Goff ed., La Nouvelle Histoire Paris : Pretz 1978 Ariès Philippe and Georges Duby eds., Histoire de la vie privée 5 vols., Paris : Seuil 1985-87 ; in English as A History of Private Life, 5 vols., Cambridge, MA : Harvard University Press 1987-91 Burguière André The Fate of the History of Mentalités in the Annales ," Comparative Studies in Society and History 24 ( 1982 ), ,

,

,

,

,

,

,

,

,

,

,

,

"

,

"

,

,

,

,

,

,

,

,

,

,

"

,

,

-

424 37

Burke , Peter, Popular Culture in Early Modern Europe , London : Temple Smith , and New York: New York University Press, 1978 " Burke , Peter, Strengths and Weaknesses of the History of Mentalities ," History of European Ideas 7 ( 1986 ), 439 51 Burke , Peter, The French Historical Revolution: The Annales School, 1929-89 , Cambridge : Polity Press , and Stanford, CA: Stanford -

University Press,

1990

Chartier, Roger, " Intellectual History or Sociocultural History? The French Trajectories," in Dominick LaCapra and Steven L. Kaplan, eds., Modern European Intellectual History: Reappraisals and New Perspectives , Ithaca, NY: Cornell University Press , 1982

Charrier, Roger, Cultural History: Between Practices and Representations , Ithaca, NY: Cornell University Press , and

Cambridge: Polity Press, 1988 Darnton , Robert , The Great Cat Massacre and Other Episodes in French Cultural History , New York : Basic Books , and London: Allen Lane, 1984 Darnton , Robert , The Kiss of Lamourette: Reflections in Cultural History , New York : Norton , and London: Faber, 1990 Davis , Natalie Zemon , The Return of Martin Guerre, Cambridge , MA: Harvard University Press , 1983 Dosse , François , L'Histoire en miettes: des "Annales" à la "nouvelle histoire," Paris : La Découverte , 1987 ; in English as New History in France: The Triumph of the Annales , Urbana : University of Illinois Press , 1994 " " Duby, Georges , L'Histoire des mentalités (The History of in Mentalities ), Charles Samaran , ed., Histoire et ses méthodes , Paris : Gallimard , 1981 Elias , Norbert , Über den Prozess der Zivilisation: Soziogenetische und Psychologenetische Untersuchungen , 2 vols., Basel: Falken , 1939 ; in English as The Civilizing Process, 2 vols., New York : Urize n (vol. 1 ) and Pantheon (vol. 2), and Oxford: Blackwell, 1978 -82 Erikson , Erik H , Young Man Luther: A Study in Psychoanalysis and History , New York : Norton , 1958 ; London: Faber, 1959 Febvre , Lucien , Le Problème de l'incroyance au XVIe siècle: la religion de Rabelais , Paris : Michel , 1942 ; in English as The Problem of Unbelief in the Sixteenth Century: The Religion of Rabelais , Cambridge, MA : Harvard University Press , 1982 Febvre , Lucien , A New Kind of History: From the Writings of Febvre , edited by Peter Burke , London : Routledge , and New York: Harper, 1973 Foucault , Michel , Folie et déraison , Paris : Pion , 1961 , abridged as Histoire de la folie , Paris : UGE , 1961 ; in English as Madness and Civilization: A History of insanity in the Age of Reason , New York : Pantheon , 1965 , London: Tavistock, 1967 Ginzburg , Carlo , Il formaggio e i vermi: il cosmo di un mugnaio del 500 , Turin : Einaudi , 1976 ; in English as The Cheese and the Worms: The Cosmos of a Sixteenth-Century Miller , Baltimore : Johns Hopkins University Press , and London: Routledge, 1980 Hunt , Lynn , ed., The New Cultural History , Berkeley : University of California Press , 1989 " Hutton , Patrick H. , The History of Mentalities: The New Map of Cultural History," History and Theory 20 (1981 ), 237 59 " Hutton , Patrick H. , The Psychohistory of Erik Erikson from the of Collective Mentalities ," Psychohistory Review 12 Perspective ,

-

( 1983 ),

18 25 -

Lasch , Christopher, Haven in a Heartless World: The Family Besieged , New York : Basic Books , 1977 ; London: Norton, 1995 " Le Goff, Jacques , Les Mentalités: une histoire ambigüeiie " ( Mentalities: An Ambiguous History ), in Jacques Le Goff and Pierre Nora , ed., Faire de l'histoire , Paris : Gallimard , 1974 Le Goff, Jacques, La Naissance du purgatoire , Paris: Gallimard , 1981 ; in English as The Birth of Purgatory, Chicago : University of Chicago Press , and London: Scolar Press, 1984 Le Roy Ladurie , Emmanuel , Montaillou: village occitan de 1294 à 1324 , Paris : Gallimard , 1975 ; in English as Montaillou: The Promised Land of Error , New York : Braziller, 1978 , and as Montaillou: Cathars and Catholics in a French Village, 1294-1324 , London : Scolar Press , 1978 Mandrou , Robert , Introduction à la France moder1500-1640e1640: essai de psychologie historique , Paris : Michel , 1961 ; in English as Introduction to Modem Frane1500-16401640: An Essay in Historical Psychology , London : Arnold , 1975 , New York: Holmes and Meier, 1976 " " Mandrou , Robert , L'Histoire des mentalités ( The History of Mentalities ), Encyclopaedia universalis 8 (1968 edition), 436 38 Nora , Pierre , ed., Les Lieux de mémoire , 3 vols., Paris : Gallimard , 1984-92 ; abridged in English as Realms of Memory: Rethinking the French Past , 2 vols., New York : Columbia University Press , -

1996-97

Raulff, Ulrich , ed., Mentalitäten-Geschichte: zur historischen Rekonstruktion geistiger Prozesse ( Mentalities-History: Toward an Historical Reconstruction of Intellectual Processes ), Berlin : Klaus

Wagenbach , 1987 Stone , Lawrence , The Family, Sex and Marriage in England, 1500-1800 , London : Weidenfeld and Nicolson , and New York: Harper,

1977 "

Stone , Lawrence , The Revival of Narrative: Reflections on a New Old History," Past and Present 85 ( 1979 ), 3 24 Thomas , Keith , Religion and the Decline of Magic: Studies in Popular Beliefs in Sixteenth- and Seventeenth-Century England , London : Weidenfeld and Nicolson , and New York: Scribner, 1971 Vovelle , Michel , La Mentalité révolutionnaire: société et mentalités sous la Révolution française ( The Revolutionary Mentality: Society and Mentalities during the French Revolution ), Paris : Messidor, 1985 -

Merchant, Carolyn

1936-

US environmental historian A scholar of

wide-ranging interests whose work explores the of science, feminism, and ecology, Carolyn Merchant helped to establish the field of environmental history in the 1980s, and she remains one of its leading practitioners. Best known for her first, highly influential book, The Death of Nature (1980), Merchant has also published an history of New England, a study of contemporary responses to the ecological crisis, and a collection of essays on feminism and the environment. She has also edited two anthologies: a collection of documents and essays on history, and a theoretical exploration of the concept of intersection

environmental

environmental

ecology. Strongly influenced by both Thomas Kuhn's theory of revolution and Karl Marx's theory of social revolution, Merchant advocates a structural theory of ecological which she details most fully in her second book, Ecological Revolutions (1989). Ecological revolutions, she argues, initiate

scientific

revolution,

tensions between production and from two sets of tensions local ecological conditions, and tensions between production and reproduction both of which bring about transformations in consciousness. The major theoretical contribution of this framework is the emphasis it places on gender in the sphere of reproduction. Merchant identifies four manifestations of in environmental history: two biological (reproduction of population and reproduction of daily life) and two social (reproduction of social norms and reproduction of legalpolitical structures). Each of these forms of reproduction exists in dynamic relationship with local ecological conditions, and each relationship is also mediated by a particular mode of production (subsistence production or market-oriented A simultaneous examination of these relationships (between production, reproduction, and ecology) can reveal how changing forms of patriarchy affect human interactions with nature in different cultures. Although Merchant published her first explanation of this theory in 1987, its outlines were already visible in The Death of Nature, in which she offered a detailed analysis of the shift from an organic to a mechanistic worldview during the 16th and 17th centuries. Central to this shift, according to Merchant, was the association of female images with natural -

-

reproduction

production).

systems, an association that not only facilitated the scientific revolution but also encouraged the exploitation of nature and the subjugation of women. One of the strengths of Merchant's analysis is her desire to avoid a deterministic explanation of this transformation; although The Death of Nature is primarily an intellectual history, Merchant attempts to link this shift in ideology to a parallel set of social, scientific, and ecological changes. In particular, she examines the scientific revolution in terms of the emergence of the capitalist system, claiming in a key chapter that1) this new economic and scientific order valorized the concepts of "passivity" and "control," and that 2) "the controls of the experimental method and advance" sanctioned a transformation in women's roles from active participants in economic life to passive dependants in production and reproduction. Merchant's theory of ecological revolutions received its most rigorous application in her second book, Ecological in which she shifted focus from intellectual to social history and from Europe to the United States, offering a detailed study of environmental changes in New England from the arrival of Europeans to the mid-19th century. The revolutions" of her title the colonial ecological of the 17th century, and the capitalist ecological revolution each resulted in of the late 18th and early 19th centuries new constructions of nature, both materially and ideologically. Although Ecological Revolutions covers some of the same ground as William Cronon's Changes in the Land (1983), Merchant moves beyond Cronon's more descriptive account in her analysis of how changes in human and nonhuman altered and were altered by changes in food intake, land use, and other economic and social factors, as well as by the same change in worldview she describes in The Death of

technological

Revolutions,

"ecological revolution -

-

populations

Nature. Critics have faulted Merchant for not fully elaborating the connections that lie at the heart of her arguments in both The Death of Nature and Ecological Revolutions: connections

between the domination of the earth

humans and the

by and between human domination of by women

representations of

connections

men,

nature

and human behavior toward

nature.

questioned her interpretation of evidence, particularly regarding Sir Francis Bacon, whose inquisition of witches and interrogation of nature, Merchant says, share a common metaphorical foundation. While each of these may have merit, they do not fundamentally alter what may be the most significant contribution of both books: Some have also

criticisms

Merchant's reconstruction of neglected traditions of resistance to environmentally destructive ideologies, a subject she explores further in Radical Ecology (1992). A taxonomy of responses

to

the contemporary

environmental crisis, Radical Ecology lacks the comprehensive analysis characteristic of Merchant's previous books. Nevertheless, Radical Ecology is a valuable survey text, especially notable for its evenhanded approach to a complex series of issues, its excellent classification of the varieties of ecofeminism, and its sustained discussion of the environmental concerns of nations. If Merchant fails to distinguish fully between the categories of "problems," "thought," and "movements" into which she places such diverse topics as deep ecology, ethics, spiritual ecology, green politics, and social it ecology, may be due in part to the inherent disorderliness

developing

environmental

of ecological ideas, an issue she examines in greater detail in The Death of Nature. Merchant's most recent book, Earthcare (1996), collects her major statements on the theory, history, and practice of and the environment, including two important articles on the contributions of women reformers to the progressive conservation and modern environmental movements. Although almost all of its chapters have been previously published, Earthcare is a useful introduction to Merchant's varied a clear illustration of the continuities of her thought, and a visible testament to her influence in defining the scope of the emerging discipline of environmental history.

feminism

interests, DANIEL

See also

Ecology; Environmental;

PHILIPPON

J.

Native American

Biography Born Rochester, New York ,

12 July 1936 Studied chemistry at College, BA 1958 ; graduate study in physics University of Pennsylvania, 1958-59 ; MA in history of science, University of Wisconsin, Madison, 1962, PhD 1967. Taught history of science, University of San Francisco 1969-78 ; professor of environmental history, philosophy, and ethics University of California Berkeley .

Vassar

,

,

,

,

from 1979

,

.

Principal Writings The Death of Nature: Women, Ecology, and the Scientific Revolution , 1980 Ecological Revolutions: Nature, Gender, and Science in New

England 1989 ,

Radical

The Search for a Livable World 1992 Editor, Major Problems in American Environmental History: Documents and Essays 1993 Editor, Ecology: Key Concepts in Critical Theory 1994 Earthcare: Women and the Environment 1996

Ecology:

,

,

,

,

Further Reading Gross , Paul R. and Norman Levitt , Higher Superstition: The Academic Left and Its Quarrels with Science, Baltimore : Johns

Hopkins University

Press , 1994

" Soble , Alan , In Defense of Bacon ," Philosophy of the Social Sciences 25 ( 1995 ), 192 215 -

Merton, Robert K. US

sociologist

1910-

and historian of science

attracted to Harvard as a student by with a civilizational perspective, and became interested in the history of science through his participation in a famous seminar given on the subject by L.J. Henderson and George Sarton. The latter guided him through his dissertation and published it in his journal Osiris in 1938 as Science, Technology, and Society in SeventeenthCentury England. The work became a landmark in the new academic field of the history of science and also launched Merton on his career as a sociologist of science. Merton builds his argument on two separate spheres of between science and society. The first describes a chain of economic events and stimuli: population growth creates Robert Κ. Merton Pitrim

Sorokin,

a

was

sociologist

relatively

interaction

demand for more consumer products which, because of the promise of immediate economic rewards, causes a favorable climate for technological innovation which, in turn, stimulates the practice of science by enhancing its prestige. The second sphere is that of values, in particular the relationship between science and religion. In this view, the practice of science was further stimulated by the Puritan work ethic which placed a positive value on the exploitation of the natural world, its active observation, and pursuit of knowledge through The structural flow-chart describes the economic stimulus to science perfectly well without any allusion to the Puritan value system, and, while there may be a presumption of between values and structural trends, the correlation is difficult to prove. Indeed Merton would at best establish a functional relationship between social structure and utilitarian values, without stating any causal relationship, and there is no support in his analysis for the "strong program" in the sociology of knowledge, which assumes a causal relationship between socioeconomic infrastructure and science, as an

experimentation.

interaction

ideological

system.

study was, of course, inspired by Max Weber's The Protestant Ethic and the Spirit of Capitalism (1904, 1930). Weber himself discussed the relationship between ascetic Protestant values and empiricism and recognized that physics was the science most favored by Puritans. From Weber, too, Merton appropriated the notion of unanticipated science, just like capital accumulation, was an consequence of the Protestant ethic, inasmuch as, although there was a higher incidence of Puritans in the Royal Society than in the general population, the latter was notable for a strong current of anti-intellectualism. The connection between science and ascetic Protestantism is based, in Merton's argument, on the presumed effect that the Puritan exaltation of reason had on the creation of a climate for science, a belief in progress that fostered the cultivation of utilitarian science, and statements by Robert Boyle and few other prominent actors to the effect that there was a religious commandment to study God's handiwork as revealed in the "book of nature." Merton's study caused a sensation because it had been widely presumed that science and religion were antithetical worldviews and there was no case for any functional relationship between them. Although Merton had avoided asserting a causal relation between Puritan values and the cognitive structure of science, much of the ensuing debate assumed that he had. Therefore, a great part of the scholarly polemic that the Merton thesis ignited was fought on the narrow ground of the role of scientific or practice within the context of the sociology, theology, or ideology of Puritanism. Even so, the vast literature that the thesis spawned had the positive result of forcing intellectual and political historians to consider the role of science and scientists in 17th-century England, while in the history of science itself Merton became the central referent for those who, in the 1960s and 1970s, worked to expand the horizons of the social study of science. Merton's second historical classic is the raucous, free-form On the Shoulders of Giants (1965) in which he traces the ascribed to Sir Isaac Newton "If I have seen further it is backwards (to the by standing of ye shoulders of Giants" medieval cleric, Bernard of Chartres), forwards, and laterally Merton's

translated

consequences: unanticipated

positive

values

aphorism -

-

discover the changing contexts and uses of the aphorism, an illustration of the contingency of ideas. The aphorism's history served to illustrate a number of themes that Merton developed in sociological articles. One is the perceived relationship between ancient and modern thought: are ancients always giants, moderns the dwarves who stand on their shoulders? The matter becomes significant in establishing the originality of ideas. Similar social environments, Merton argues, produce independent scientific inventions, discoveries, or observations, which inevitably generate priority disputes. Such disputes are about prestige, not about material reward. Newton used the aphorism in the context of a priority dispute with Robert Hooke over the law of universal attraction. Thus the aphorism and concepts related to it constitute a convenient metaphorical with which to situate one's own ideas with respect to those of others, past and present. In many other articles and books, Merton analyzes the social patterning of science, frequently in historical context or using historical examples. In addition to multiple discoveries and priority disputes, he has written on the related issues of how scientific reputations are made and how power is allocated within scientific communities. His definition of science as "organized skepticism" encapsulates his ability to conjoin the social with the cognitive facets of systems of knowledge. to

language

THOMAS F. CLICK

See also Hofstadter; Sarton; Science

Metahistory The label Metahistory was coined by R.G. Collingwood to refer to what philosophers of history such as Karl Popper then called the "material philosophy of history" or "historicism," and what might today be termed metanarratives or upper case History; that is, those overarching, totalizing theories of, say, Hegel or Marx or Spengler. Such theories suggested that it was possible to find immanent in the past a true or real direction, plan, or pattern, whose discovery allowed various legitimations of the then present or, in other cases, predictions as to the future. In this usage the term carried with it pejorative overtones: "proper," professional historians were concerned with studying the past on its own terms and for its own sake. This ruled metanarratives as illegitimate "impositions," which could only ever be ideological projections of the historians' own position. Such proper historians have rarely gone on to see that the study of the past on its own terms and for its own sake (own-sakism) is also ideological: to imagine that the past has any terms "of its own" is as much an imposition as any other. However, given the lack of reflexivity of "proper" historians, and given their powerful role in our social formation, the terms metahistory and metanarrative still retain their pejorative, ideological taint. There is, however, a different and extremely constructive use of the term metahistory in a non-pejorative way, as above all by the American historian Hayden White. In his book Metahistory (1973) White argued that in attempting to make sense of a past that has actually neither rhyme nor reason in it, all historians' narrative orderings in both the (allegedly) ideological upper case and the (ostensible) proper lower case have to organize and structure historical in identical ways. Irrespective of the substantive content, the form of making sense of it is the same. All historians, in order to put the past into something it itself never was a history have to use a combination of one of four modes of argument (formism, organicism, mechanism, and contextualism); one of four modes of emplotment (romance, comedy, tragedy, and satire); one of four ideological modes (anarchism, radicalism, liberalism, and conservatism); and, because all historians have to use figurative language for their narratives, one of the four organizing rhetorical tropes (metaphor, metonymy, synecdoche, and irony), such tropes being basic even foundational for historical creations. In that sense, White saw all histories as linguistic, tropical constructions, such linguistic products being anterior to and thus constitutive of "reality" and the "reality of things past," so that the allegedly independent referent of both upper and lower case histories (the past) is collapsed into the metahistorical mode of representation. In this way White's notion of metahistory ("every history presupposes a metahistory in the way that every physics presupposes a metaphysics") connects up to contemporary ideas constitutive of poststructuralism and postmodernism, and it is probably in this sense as a linguistic, a priori structuring of the historian's field as opposed to a synonym for metanarrative that metahistory occupies a place in current theorizing vis-à-vis the nature of history.

popularized -

Biography Robert King Merton Born Philadelphia , 4 July 1910 Educated at ΒΑ 1931 ; Harvard University, MA 1932, PhD 1936. Taught sociology, Harvard University, 1936-39 ; taught at Tulane University, 1939-41, Columbia University (rising to professor), 1941-79 (emeritus). Associate director, Bureau of Applied Social Research, 1942-71. Married 1) Suzanne Carhart, 1934 (separated 1968, died 1992; 1 son, 1 daughter); 2) Harriet .

.

Temple University,

Zuckerman,

1993

.

Principal Writings Science, Technology, and Society in

Seventeenth-Century England 1938 reprinted 1970 [originally published in Osiris, 4, pt.2 (1938), 360 632 ] On the Shoulders of Giants: A Shandean Postscript 1965 postItalianate edition, 1993

,

,

-

,

Further Reading Clark Jon Celia Modgil ,

,

,

Merton: Consensus and

,

and Sohan Modgil , eds., Robert K. Controversy , London and New York :

Falmer Press , 1990 Cohen , 1. Bernard , ed., Puritanism and the Rise of Modern Science: The Merton Thesis , New Brunswick, NJ : Rutgers University Press , 1990

Coser, Lewis Α. , The Idea of Social Structure: Papers in Honor Robert K. Merton , New York : Harcourt Brace , 1975 Merton , Robert K. , A Life of Learning, New York : American Council of Learned Societies , 1994

of

-

constructions

historical -

-

-

-

-

-

KEITH See also Historiology; Literature; White, H.

Philosophy

of

JENKINS

History; Rhetoric;

Further

Reading

Ankersmit , F. R. , Narrative Logic: A Semantic Analysis of the Historian's Language , The Hague : Nijhoff , 1983 Ankersmit , F. R. , History and Tropology: The Rise and Fall of Metaphor, Berkeley : University of California Press , 1994 Appleby, Joyce , Lynn Hunt , and Margaret Jacob , Telling the Truth about History , New York : Norton , 1994 Attridge , Derek , Geoff Bennington , and Robert Young , eds., PostStructuralism and the Question of History , Cambridge and New York : Cambridge University Press , 1987 Bann , Stephen , The Inventions of History , Manchester : Manchester University Press , 1990 Bennett , Tony, Outside Literature , London and New York ;

Routledge

,

1991

Bertens , Hans , The Idea of the Postmodern: A History , London and New York : Routledge , 1995 " Bolla , Peter de , Disfiguring History ," Diacritics 16 ( 1986 ), 49 58 Callinicos , Alex , Theories and Narratives: Reflections on the Philosophy of History , Durham, NC : Duke University Press , and Oxford: Polity Press, 1995 Canary, Robert H. , and Henry Kozicki , eds., The Writing of History: Literary Form and Historical Understanding , Madison : -

Wisconsin

Collingwood

Press ,

University ,

R. G. , The Idea

1978 of History edited by T. M. Knox ,

,

Oxford : Oxford University Press , 1946 , New York: Oxford University Press, 1956 ; revised edition, with Lectures 1926-1928 , edited by Jan van der Dussen , Oxford : Clarendon Press , 1993 , New York: Oxford University Press, 1994 Jenkins , Keith , On "What Is History?" From Carr and Elton to Rorty and White , London and New York : Routledge , 1995 " Kansteiner, Wulf, Hayden White's Critique of the Writing of History," History and Theory 32 ( 1993 ), 273 95 Kellner, Hans , Language and Historical Representation: Getting the Story Crooked , Madison : University of Wisconsin Press , 1989 " Metahistory: Six Critiques," History and Theory 19 ( 1980 ), Beiheft Popper, Karl , The Poverty of Historicism , London : Routledge , and -

Boston: Beacon

Press,

1957

Veeser, H. Aram , ed., The New Historicism , London and New York : Routledge , 1989 White , Hayden V. , Metahistory: The Historical Imagination in Nineteenth-Century Europe , Baltimore : Johns Hopkins University Press , 1973

that recurs is: how did a small number of European soldiers achieve mastery over a large indigenous population? The simple assertion that the Europeans conquered Mexico because of their technological superiority no longer satisfies the scholarly community. In the search to find new answers, historians have adopted other tactics. Tzvetan Todorov's La Conquête de l'Amérique (1982; The Conquest of America, 1984) inspired a new debate by suggesting that Europeans possessed a superior system of communication that allowed them to be flexible and innovative during the conquest of Mexico, while the highly ritualized and collectively based systems of communication of the Aztecs impeded their defenses. New approaches that began to appear in the late 1960s sought to rescue the indigenous people's perspectives on the arrival of the Spaniards. Miguel León-Portilla's Vision de los vencidos (1959; The Broken Spears, 1962) exemplified this approach with his careful presentation of indigenous perspectives. Debates have also revolved around land patterns and the birth of the hacienda. As Eric Van Young pointed out in a seminal article, "Mexican Rural Historiography since Chevalier" (1983), the debate between François Chevalier who characterized the Mexican hacienda as feudal versus Charles Gibson who suggested it was commercial, endures to this day albeit in a different form. The historiography on the era previous to Diaz's regime, 1876-1910, is relatively little studied. Some historians see the roots of Mexican independence from Spain in the Bourbon reforms while others have emphasized the external nature of the independence with the demise of Spanish royalty in Spain. The failure of Father Hidalgo's agrarian rebellion of 1810 has led historians to debate whether this movement was a precursor to independence or just an agrarian rebellion. The nature of Mexican independence, including its domination by elites, has led historians such as Jan Bazant to argue that the grievances of peasant communities were shelved, only to erupt one hundred years later. Charles Hale provided an analysis to Mexico's loss of territory during the 19th

conservative

interesting century. Since the Revolution of 1910 broke out

Mexico The history of Mexico has attracted Americanists. A us

that Mexico

For many

colony

and

at

and remains

Mexican

a

great number of Latin

leading scholarly journals tells a

privileged

historiography

developed

is

of study. of the most

area

one

in the field of Latin American

In the colonial era, it was Spain's most because of its mines of silver and its large

population. ensured

was

reasons

sophisticated

history.

quick glance

not

important

indigenous long border with the United States only constant political interference, but scholarly Mexico's

attention from US academics. Its

agrarian revolution in 1910 also commanded the attention of scholars. An important trend in the historiography of colonial Mexico has been the blurring of disciplinary boundaries. History and anthropology are virtually indistinguishable. This has entailed a growth of microhistories that have used both archival research and oral interviews. Increasingly historians are writing regional histories. For the16th century, the debate continues to revolve around the conquest of Mexico. The central question

during Porfirio Diaz's his era has considerable attention. State government, enjoyed formation and economic processes are themes that occupy the center stage of the analysis of Diaz's era. Coatsworth's Growth Against Development (1981) and Vanderwood's Disorder and Progress (1981) are examples of such approaches. The heart of the debate centers on whether the state under Diaz was modern or feudal. This question, of course, is closely linked to whether the origins of the modern Mexican state lie in Diaz's regime or in the Mexican Revolution. Those who

stress

continuities clash

with those who emphasize change. The nature of the economic development is also a much debated topic. Should the origins of the dependent nature of the economy of Mexico be located in the Diaz era or after the Revolution? The author most helpful for understanding Mexico's intellectual history is D.A. Brading. His work has centered on the creole elites and their elaboration of Mexican nationalism. The Mexican Revolution of 1910-20 is the central focus for numerous narratives and numerous debates. As Charles Hale pointed out in a historiographical essay, Frank Tannenbaum was the historian who introduced the Mexican Revolution to the US scholarly public. His monographs The Mexican Agrarian Revolution (1929), Peace by Revolution (1933), and Mexico

are today considered the starting point for scholarly (1950) research about Mexico. Hale noted that Tannenbaum the Mexican Revolution as a spontaneous community based peasant movement that arose against the "feudal haciendas." This narrative of the insurrection and victory of peasant communities underwent revision, but the notion of participation during the Revolution endures. The state that emerged from the Revolution also had an important effect on the historiography of Mexico. The state provided the funds and moral support to historians with the object of elaborating a collective memory. The large body of work produced by Mexican historians distinguishes it from other Latin American countries. Institutional frameworks such as INAH (Instituto Nacional de Antropologia y de Historia) were set up to provide the opportunities for Mexicans to write their own history. Daniel Cosío Villegas and his assembled volumes of bibliography designed to help scholars to do further research. The Revolution also shaped the questions that historians brought to the history of Mexico regardless of the era they were studying. Whether studying communities in the 19th century or in the colonial era, the historian is unavoidably affected by the Revolution of 1910. A more recent turning point in the historiography occurred in 1968 when the Mexican official revolutionary party severely repressed student protests in Mexico City. The government of the Revolution was clearly not always on the side of the masses. No longer could scholarly studies aim only at explaining why and how the Revolution happened, but they had to ask whether a revolution had ever happened. Following the lead of Mexican historians, US historians began to do regional studies in an effort to understand the authoritarian character that the party assumed in the late 1960s. The outcome of these numerous regional monographs was that "the Revolution" was very different in the various regions. Mark Wasserman with his focus on Chihuahua and Gilbert Joseph's monograph on the Yucatan, Revolution from Without (1982), are examples of this new trend toward regionalism. Alan Knight's The Mexican Revolution (1986) argued that it was a revolution because of the spontaneous uprising of peasant communities, but that ironically its outcome was to accelerate Mexico's process of modernization, with detrimental consequences for peasant Historians such as John Tutino undertook to analyze the Mexican Revolution from a longue durée perspective. Tutino's From Insurrection to Revolution in Mexico (1986) argued that the origins of the Revolution lay in a long process of change in land tenure patterns which had begun in the 18th century. Florencia Mallon's comparative approach in Peasant and Nation (1995) provided the insight that Mexico's distinct

characterized

popular

revolutionary

colleagues

peasant

revolutionary

communities.

historical

development

had

incorporated peasants more countries in Latin America.

than had other successfully such Haber's and

as While economic histories Industry Underdevelopment (1989), continue to play a role in the about Mexican history, some historians have turned to what has become known as the "New Cultural History." This attempts to address the subaltern's perspective and to explore issues of gender and ethnicity. In the words of a "postrevisionist" historian/anthropologist, Ana Maria Alonso referring to Joseph and Nugent's collection, Everyday Forms of State "In contrast to revisionists, post Formation (1994)

discussion -

-

revisionists and discourses of popular social make

memory

resistance

central

to their analyses while eschewing the romanticism of the populists." The focus of this history is indeed on the discourse and on the negotiation of power between subaltern groups and elites. Some historians have criticized this approach for its prose style that they maintain obfuscates rather than clarifies the

narrative. Other scholars have claimed that the "New Cultural

History" fails

economic and social of discourse. However, it is certain that this new approach has brought to life topics and aspects of Mexican history that were previously overlooked. to

provide sufficient

background analysis for the

BRETT TROYAN

See

also

America:

Pre-Columbian;

Borah;

Cosío González

Chevalier;

Villegas; Crime; Díaz; European Expansion; Gibson;

Casanova; Latin America: Colonial; Latin America: National; Lavrin; Léon-Portilla; O'Gorham; Prescott; Spain: Imperial; Tannenbaum; Thomas, H.; Women's History: Latin America Further Reading Alonso , Ana Maria , Thread of Blood: Colonialism, Revolution, and Gender on Mexico's Northern Frontier , Tucson : University of Arizona Press , 1995

Bartra , Roger, La Jaula de la melancolía: identidad y metamorfosis del mexicano , Mexico : Grijalbo , 1987 ; in English as The Cage of Melancholy: Identity and Metamorphosis in the Mexican Character , New Brunswick, NJ: Rutgers University Press , 1992 " Bazant , Jan , From Independence to the Liberal Republic, 1821-1867 ," in Leslie Bethell , ed., Mexico since Independence , Cambridge and "New York : Cambridge University Press , 1991 Becker , Marjorie , Black and White and Color: Cardenisino and the Search for a Campesino Ideology," Comparative Studies in Society and History 29 ( 1987 ), 453 65 Brading , David Α. , The First America: The Spanish Monarchy, Creole Patriots, and the Liberal State, 1492-1867 , Cambridge and New York : Cambridge University Press , 1991 Chevalier, François , La Formation des grands domaines au Mexique: terre et société aux XVIe-XVIIe siècles , Paris : Institut d'Ethnologie, 1952 ; in English as Land and Society in Colonial Mexico: The Great Hacienda , Berkeley : University of California -

Press ,

1963 "

Coatsworth , John H. , Obstacles to Economic Growth in Nineteenth Century Mexico ," American Historical Review 83

( 1978 )

80 91 -

Coatsworth , John H. , Growth Against Development: The Economic Impact of Railroads in Porfirian Mexico , DeKalb : Northern Illinois University Press , 1981 Collier, George Allen , and Elizabeth Lowery Quaratiello , Basta! Land and the Zapatista Rebellion in Chiapas , Oakland, CA : Food First , 1994 Conrad , Geoffrey W. , and Arthur A. Demarest , Religion and Empire: The Dynamics of Atzec and Inca Expansionism , Cambridge and New York : Cambridge University Press , 1990 Diaz del Castillo , Bernal , Historia verdadera de la conquista de la Nueva España , written 1568 , published c. 1575 ; in English as The Discovery and Conquest of Mexico, 1517-1521 , New York : Harper, and London: Routledge, 1928 , and as The Conquest of New Spain , London : Penguin , 1963 Graham , Richard , ed., The Idea of Race in Latin America, 1870-1940 , Austin : University of Texas Press , 1990 Haber, Stephen H. , Industry and Underdevelopment: The Industrialization of Mexico, 1890-1940 , Stanford, CA : Stanford University Press , 1989 Hale , Charles , Mexican Liberalism in the Age of Mora, 1821-1853 , New Haven : Yale University Press , 1968 Hale , Charles , The Transformation of Liberalism in Late Nineteenth Century Mexico , Princeton : Princeton University Press , 1989

Hamilton , Nora , The Limits of State Autonomy: Post-Revolutionary Mexico , Princeton : Princeton University Press , 1982 " Joseph , Gilbert M. , Mexico's 'Popular Revolution': Mobilization and Myth in Yucatan, 1910-1940 ," Latin American Perspectives 6 ( Summer 1979 ), 46 65 Joseph , Gilbert M. , Revolution from Without: Yucatan, Mexico, and the United States, 1880-1924 , Cambridge and New York : Cambridge University Press , 1982 Joseph , Gilbert M. , and Daniel Nugent, eds., Everyday Forms of State Formation: Revolution and Negotiation of Rule in Modern Mexico , Durham, NC : Duke University Press , 1994 Katz , Friedrich , The Secret War in Mexico: Europe, the United States and the Mexican Revolution , Chicago : University of Chicago Press , 1981 " Knight , Alan , The Mexican Revolution: Bourgeois?, Nationalist?, " Bulletin of Latin American Research or Just a 'Great Rebellion'? -

( Spring 1985 ), 1 37 Knight Alan The Mexican Revolution 2 vols., Cambridge and New York : Cambridge University Press 1986 León-Portilla Miguel ed., Visión de los vencidos: relaciones indígenas de la conquista México City : UNAM 1959 ; in English as The Broken Spears: The Aztec Account of the Conquest of -

4

,

,

,

,

,

,

,

,

Mexico , Boston : Beacon Press , 1962 Mallon , Florencia E. , Peasant and Nation: The Making of Postcolonial Mexico and Peru , Berkeley : University of California Press , 1995 Seed , Patricia , To Love, Honor, and Obey in Colonial Mexico: Conflicts over Marriage Choice, 1574-1821 , Stanford, CA : Stanford University Press , 1988 Tannenbaum , Frank , The Mexican Agrarian Revolution , New York : Macmillan , 1929 Tannenbaum , Frank , Peace by Revolution: An Interpretation of Mexico , New York : Columbia University Press , 1933 Tannenbaum , Frank , Mexico: The Struggle for Peace and Bread , New York : Knopf , 1950 Todorov, Tsvetan , La Conquête de l'Amérique: la question de l'autre , Paris : Seuil , 1982 ; in English as The Conquest of America: The Question of the Other , New York : Harper, 1984 Turino , John , From Insurrection to Revolution in Mexico: Social Bases of Agrarian Violence, 1750-1940 , Princeton : Princeton University Press , 1986 Vanderwood , Paul J. , Disorder and Progress: Bandits, Police, and Mexican Development , Lincoln : University of Nebraska Press , 1981; revised and enlarged , Wilmington, DL : SR Books , 1992 Van Young , Eric, " Mexican Rural History since Chevalier: The Historiography of the Colonial Hacienda ," Latin American Research Review 18 ( 1983 ), 5 62 Wasserman , Mark , Persistent Oligarchs: Elites and Politics in Chihuahua, Mexico, 1910-40 , Durham, NC : Duke University -

Press , 1993

Werner, Michael S. , Encyclopedia of Mexico: History, Society, and Culture , 2 vols., Chicago and London : Fitzroy Dearborn , 1997

synthesis, but many of them monographs on disparate topics. Self-conscious about methodology, as many historians of the time were, Meyer also wrote on the of history, notably in his Zur Theorie und Methodik der Geschichte (On the Theory and Method of History, 1902). This diversity of publication was a result of deliberation as well as immense native energy. "History," Meyer wrote, "is not an exact science. Its task is the discovery and narration of those prior things that formerly were part of the real world. it can never escape the infinite variety of For that reason the individual which is enclosed in everything real, in that we call fact." Meyer accordingly paid particular attention to establishing exact chronologies in areas of ancient history. He also followed carefully the increasing flood of new publications, with the lamentable exceptions of recent works in modern economic theory and the rich archaeological research of the early 20th century. As a result, he was them works of

philosophy

...

everything

continually example, magisterial

involved in extensive revision. For his Geschichte des Alterthums (History of Antiquity), published in five volumes between 1884 and 1902, had to be researched anew and wholly rewritten for the second edition. Meyer deeply believed that individual data were important not by themselves but as particles of a "universal history." This pursuit of universalism showed in the variety of his major books. Aside from his synthetic Geschichte des Alterthums, his Geschichte des alten Ägyptens (History of the Ancient Egyptians, 1887) was the first comprehensive work on ancient Egypt. Meyer also wrote major synoptic histories on the Sumerians in his Sumerier und Semiten in Babylonien (Sumerians and Semites in Babylon, 1906) and the Hittites with his Reich und Kultur der Chetiter (Empire and Culture of the Hittites, 1914). Both works were based far more on written sources than new archaeological evidence. In his celebrated 1896 work Die Entstehung des Judenthums (The Origin of Judaism) he accepted Wellhausen's claim that the legal, pentateuchal texts came after the lively biblical narratives associated with Samuel. He sharply rejected, however, Wellhausen's use of the documents in the "Book of Ezra" and of the name list in "Nehemiah" because Wellhausen's interpretation made the origination of Judaism too rapid and too late. Meyer was both respectful and convincing in his treatment of Jewish prophecy, but in his later 3-volume work on Christianity Ursprung und Anfänge des Christenthums (Origin and Beginnings of Christianity, 1921-23) he regrettably continued the Christian stereotype of rabbinical Judaism as rigid and outdated. Meyer turned to Greek history in his "Alexander der Grosse -

-

und

Meyer, Eduard

1855-1930

German historian of the ancient world

to Roman

and

Remarkably proficient both in Greek and Latin as a child, Eduard Meyer decided to study ancient history as a means to writing "universal history." To that end, he began the study of Hebrew and Arabic even before leaving Hamburg for his university studies in Bonn and Leipzig. At Leipzig he intently studied the ancient Near East, as well as classical Greece and Rome, and conceived of antiquity as a unity throughout his career. Meyer's scholarship, however, was as diverse as it was wide-ranging: he published more than 500 works, some of

die

absolute

Monarchie"

(Alexander

the

Great

and

Absolute Monarchy, 1910), in which he differed significantly with J.G. Droysen's classic account. Meyer also applied himself

history

in Kaiser

Augustus (Caesar Augustus, 1903)

Monarchie und das Principat des Pompeius (Caesar's Monarchy and Pompey's Principate, 1918). These works, especially the last which was written at the end of World War I, were deeply tinged by a defensive monarchism that Meyer imported from the politics of his own age. In his study of the princeps Augustus, for example, Meyer challenged Mommsen's favorable treatment of Caesar and praised his successor for bringing to Rome the stability of managed constitutional life. The parallels between antiquity and his own age were all the clearer to him for his influential belief, articulated in his work on Caesars

Alexander the Great, that the ancient world was like the modern in important ways. Meyer's polemical edge in the service of conservative German nationalism became more pronounced, indeed vociferous in his old age. Thus, he was openly and xenophobic in his World War I essays gathered in his Weltgeschichte und Weltkrieg (World History and World War, 1916). After the war he made a point of tearing up the honorary degrees received from Chicago, Harvard, and Oxford and called publicly for the exclusion of foreign students from German universities. By then, of course, Meyer was on the verge of so this late stridency remained outside his major works.

expansionist

retirement,

ROBERT FAIRBAIRN SOUTHARD

Rostovtzeff; Wilamovitz-Möllendorff

See also Plutarch; Roman;

Biography Born Hamburg, 25 January 1855 ,

son

of

a

teacher Educated .

at

Gymnasium Johanneum; University of Bonn, 1872 ; University of Leipzig, 1875 Professor of ancient history University of Leipzig, 1884-85 ; University of Breslau, 1885-89 ; University of Halle, 1889-1902; and University of Berlin, 1902-23 Married Rosine Freymond 1884 (3 sons, 4 daughters). Died Berlin, 31 August 1930 .

.

.

Principal Writings Geschichte des Alterthums ( History of Antiquity ), 5 vols.,

1884-1902 [and subsequent revisions] Ägyptens ( History of the Ancient Egyptians ), 1887 Die Entstehung des Judenthums: eine historische Untersuchung (The Origin of Judaism), 1896 Zur Theorie und Methodik der Geschichte (On the Theory and Method of History ), 1902 Kaiser Augustus ( Caesar Augustus ), 1903 Sumerier und Semiten in Babylonien ( Sumerians and Semites in Babylon ), 1906 Alexander der Grosse und die absolute Monarchie ( Alexander the Great and Absolute Monarchy ), in his Kleine Schriften 1910 Reich und Kultur der Chetiter ( Empire and Culture of the Hittites ), Geschichte des alten

"

"

,

1914

Weltgeschichte und Weltkrieg (World History and World War ), 1916 Caesars Monarchie und das Principat des Pompeius: innere Geschichte Roms von 66 bis 44 v. Chr. ( Caesar's Monarchy and Pompey's Principate: The Core of Roman History from 66 to 44 BCE ), 1918 Ursprung und Anfänge des Christenthums ( Origin and Beginnings of Christianity ), 3 vols., 1921-23 Further Reading Christ , Karl , "Eduard Meyer," in his Von Gibbon zu Rostovtzeff: Leben und Werk führender Althistoriker der Neuzeit ( From Gibbon to Rostovtzeff: The Life and Work of the Leading Ancient Historians of Modern Times ), Darmstadt : Wissenschaftliche Buchgesellschaft , 1972 Marohl , Heinrich , Eduard Meyer: Bibliographie, Stuttgart: Cotta , 1941 [also includes Meyer's autobiography]

1798-1874

French historian "Others have

taught

us as

Stuart Mill declared in

an

us so

-

-

.

.

,

-

-

country's

much of how mankind acted," John 1844 article on Jules Michelet, "but

various

geographic regions

The Revolution study, which was published in seven volumes between 1847 and 1853, was, in the words of Ceri Crossley, "intended to revive the memory of the Revolution in the hearts of a divided people and spur them to reconciliation and to action." Again Michelet produced a dramatic societal story, a far cry from traditional political accounts. "The people" were the heroes of Michelet's Revolution, and this distinguished his work from the many other Revolution studies of his time. In his professorial life Michelet earned a reputation as an enormously popular lecturer. His career received a boost when he was appointed to teach history and at the Ecole Normale in 1827. He later substituted at the Sorbonne for another eminent historian, François Guizot when Guizot became occupied with at Guizot's request service. In government 1838 Michelet obtained his coveted post at the Collège de France. During the 1840s, his job was by the political controversies in which he, along with his colleagues Edgar Quinet and Adam Mickiewicz, was embroiled. At first the conflict focused on a Catholic campaign against university teaching; the professors reacted, in lectures

considerable

philosophy

-

Michelet, Jules

makes

significant, reasonable

,

,

well comprehend how they felt." Born to parents in Paris in 1798, Michelet rose to become one of his country's greatest historians. Some have gone so far to call him the historian of France. Never before and rarely since has a historian possessed such passion for his subjects especially in the case of his nationalist fervor for le peuple, the French people and expressed it in such empathic, emotive, and dramatic writing. An early influence on Michelet's ideas about history was the 18th-century Italian thinker Giambattista Vico, whose writings Michelet discovered around 1824, and whose New Science he translated in a much-admired edition in 1827. Explaining Vico's impact, Eugen Weber summarized in a 1991 essay: "Vico turns history from would-be science into art Vico's 'new science' pays little heed to dates and heroes, much attention to popular psychology and what we now describe as mentalités: that spirit of time and place of which significant anecdotes, customs, laws, and legends are more expressive, hence than political events." In this respect, it seems to think of Michelet as Vico's heir, and the 20th-century Annaliste Lucien Febvre and his disciples as Michelet's. Michelet was a prolific and wide-ranging writer who produced textbooks, popular tracts about women and religion, and nature studies as well as sophisticated historical works. His two most important efforts are the 17-volume Histoire de which took France (1833-67; History of France, 1844-46) him 34 years to complete and the Histoire de la Révolution française (1847-53; History of the French Revolution, 1848-). Scholars generally look more favorably on the first six volumes of the Histoire de France than on their successors: there was an eleven-year time gap between the publication of the sixth and seventh volumes. The early series dealt with French history through the end of the Middle Ages and celebrated France's gradual progress toward political, social, and psychological unity. Within this unified nation, however, Michelet valued the rich diversity of its people. The second volume contained a remarkable and oft-cited "Tableau de France" in which Michelet highlighted the psychological particularities of the no one

working-class

-

endangered

and in print, to what they saw as a threat to their academic freedom. Later, however, Michelet was viewed as simply too inflammatory and influential, and when, in 1852, he refused to swear allegiance to the Second Empire ruler Louis Napoleon, he was stripped of his position. At that time Michelet lost another part of his professional identity: his responsibilities in archival administration. Early in the July Monarchy, Michelet had been appointed to direct the historical section of the National Archives. He served in this position for nearly 22 years. His own research benefited from his access to rich stores of source material, and he assisted others among his contemporaries as well. Michelet's Histoire de la Révolution française, in particular, is distinctive for its incorporation of many archival materials that were lost to history when they burned during the 1871 Commune. Still, it is for his passionate nationalism and the emotion with which he infused his work that Michelet is most Perhaps it is Michelet himself who best captured the essence of his unique historical contributions. Among his contemporaries and mentors, Michelet said, Augustin Thierry

Mill , John Stuart , Collected Works, vol. 20: Essays on French History and Historians , edited by John M. Robson , Toronto : University of Toronto Press , and London: Routledge, 1985 Mitzman , Arthur, Michelet, Historian: Rebirth and Romanticism in Nineteenth-Century France , New Haven : Yale University Press , 1990

Monod , Gabriel , La Vie et la pensée de Jules Michelet ( The Life and Thoughts of Jules Michelet ), 2 vols., Paris : Champion, 1923 Rudler, Gustave , Michelet, historien de Jeanne d'Arc ( Michelet, Historian of Joan of Arc ), 2 vols., Paris : Presses Universitaires de France , 1925 -26 Thompson , James Westfall , A History of Historical Writing, vol. 2, The Eighteenth and Nineteenth Centuries , New York : Macmillan , 1942

Viallaneix , Paul , La "Voie Royale": essai sur l'idée de peuple dans l'oeuvre de Michelet ( The "Royal Way": Essay on the Notion of the People in Michelet's Work s), Paris : Delagrave , 1959 " Weber , Eugen , Great Man at Work: Michelet Reconsidered ," American Scholar 60 ( 1991 ), 53 72 -

remembered.

history as narrative, Guizot as analysis. His own efforts, Michelet declared, produced a resurrection of the past, a revival of silenced actors and episodes in the vast canvas of humanity.

wrote

ERIKA DREIFUS

See also

Europe: Modern; Italy: Renaissance; Nationalism; Reformation; Thierry; Tocqueville; Vico

Biography Born Paris ,

21 August 1798 son of a printer. Attended Collège Charlemagne then university where he graduated with highest honors, 1821. Taught history, Collège Rollin, 1821-26 ; lecturer in ancient history, Ecole Normale 1827-38 ; assistant to François Guizot, at the Sorbonne, 1834-35, professor of history and morals, Collège de France 1838-51 ; head, history section, National Archives 1830-52 ; lost his posts under the Second Empire. Married 1) Pauline Rousseau 1824 (died 1839; 1 son, 1 daughter); 2) Athénaïs Mialaret 1849 Died Hyères 9 February 1874 ,

,

,

,

,

,

.

,

.

,

Principal Writings Histoire de France , 17

vols., 1833-67 ; abridged in English as vols., 1844-46 Histoire de la Révolution française 7 vols., 1847-53 ; abridged English as History of the French Revolution 1848- ; new translation 1967 History of France

,

2

,

in

,

,

Further Reading Barnes , Harry Elmer, A History of Historical Writing , Norman : University of Oklahoma Press , 1937 Barthes , Roland , Michelet par lui-même , Paris : Seuil , 1954 ; in English as Michelet , New York : Hill and Wang , and Oxford:

Blackwell, 1987 Calo , Jeanne , La Création de la femme chez Michelet (The Creation of Women in Michelet's Works ), Paris : Nizet , 1975 Crossley, Ceri , French Historians and Romanticism: Thierry, Guizot, the Saint-Simonians, Quinet, Michelet , London and New York :

Routledge

,

1993

Gooch , G. P, History and Historians in the Nineteenth Century, London and New York : Longman , 1913 ; revised 1952 Haac , Oscar Α. , Jules Michelet , Boston : Twayne , 1982 Kippur , Steven Α. , Jules Michelet: A Study of Mind and Sensibility , Albany : State University of New York Press , 1981

Middle East: Medieval From the historical

point of view, the medieval Middle East is the area conquered by the Arabs in the 7th and 8th centuries, and incorporated into their empire under the Umayyads of Damascus, 661-750, and the 'Abbasids of Baghdad, 750-945. Its political history is that of the formation and breakup of this empire into a shifting pattern of localized states subject to fresh waves of invasion and conquest. Its economic history, on the other hand, is that of the constitution of a commercial empire based on the long-distance trade that followed the original routes of the Arab conquest and the tribute that flowed back to Damascus. Its social history is that of the creation of an overwhelmingly Muslim population in town and corresponding to a cultural history of the rise of Islam as a religion, a way of life, and a civilization. As a source, the 14th-century historian Ibn Khaldun is both primary and secondary. Few modern books, however, treat the subject by itself and as a whole. Gustave von Grunebaum's Classical Islam (1970) and J.J. Saunders' A History of Medieval Islam (1965) go up to 1258; Hugh Kennedy's The Prophet and the Age of the Caliphates (1986) is good on the period to 1050; P.M. Holt's The Age of the Crusades (1986) is short but to the point. The Cambridge History of Islam (edited by Holt et al., 1970) and Ira Lapidus' A History of Islamic Societies (1988) examined the overall history of Islam, while Gerhard Endress' An Introduction to Islam (1988) was just that. Stephen Humphreys' Islamic History (1988) was technical and selective, but good. Marshall Hodgson's The Venture of Islam (1974) was the most satisfying. Philip Hitti on the Arabs is informative, but, like Bernard Lewis, concentrated on the period to 1050; Albert Hourani is good but general. On the Iranian world, the Cambridge History of Iran (1968-91) is excellent but dense. For Anatolia, see Claude Cahen's Pre-Ottoman Turkey (1968), Georges Ostrogorsky's History of the Byzantine State (1940, translated 1956), Colin Imber's The Ottoman Empire (1990), and Halil Inalcik's The Ottoman Empire (1973); for the Maghrib, see Jamil Abun-Nasr's A History of the Maghrib in the Islamic Period ( 1971 ), Michael Brett and Elizabeth Fentress' The Berbers (1996), and Charles-André Julien's Histoire de l'Afrique

countryside,

du Nord (1931; History of North Africa, 1970). Neither W. Montgomery Watt's A History of Islamic Spain (1965) nor Anwar Chejne's Muslim Spain (1974) is satisfactory, while Evariste Lévi-Provençal's Histoire de l'Espagne musulmane (A History of Muslim Spain, 1945) is incomplete. C.E. Bosworth's The New Islamic Dynasties (1996) is an indispensable guide to the various dynasties and their histories. Controversy initially centered around the origin and of Islam, with Western scholars torn between of the historical veracity of the Muslim tradition, and skepticism in accordance with the principles of biblical The first tendency is notably represented by Watt's Muhammad (1961) and most recently by Kennedy's The Prophet and the Age of the Caliphates (1986). But from Ignaz Goldziher onwards, through Robert Brunschvig and Joseph Schacht, to John Wansbrough, and Michael Cook and Patricia Crone, the view has been taken that the evidence of the sources is evidence only of the beliefs of the 9th and 10th centuries, to be used with the greatest care for the events they purport to relate: the approach, for example, of G.R. Hawting's The First Dynasty of Islam (1986). The argument is not simply about the detail of the first two centuries of Islam, but whether the religion and its civilization should be seen, not as a process of exponential growth out of the revelation to Muhammad, but as a reformulation of previous elements in the civilization of the Near and Middle East under the rubric of the Prophet and the Book. Whatever the process, it was evidently linked to the growth of the Muslim population from a minority into the great majority of the population of the Arab empire. For this, the evidence is inadequate, but Richard Bulliet has proposed an S-curve of conversion passing the halfway mark in the 9th century, and suggested that the resultant creation of large and vigorous Muslim communities in the provinces of the Arab empire in place of a thin layer of conquerors was responsible for the final disintegration of the Arab empire in 945. This view is echoed by Kennedy, who proceeded to describe a "Muslim commonwealth" of states in the 10th and nth centuries, a time commonly regarded as the golden age of medieval Islamic literature, philosophy, and science: compare The Genius of Arab Civilization (1975) edited by John R. Hayes, S.H. Nasr's Islamic Science (1976), and The Cambridge History of Arabic Literature (1990). Islam dans sa première grandeur (1971; The Golden Age of Islam, 1975) is Maurice Lombard's description of the society and economy of this which he sees as an urban network spread over the vast distances of Marshall Hodgson's "Arid Zone" of and desert from North Africa to Central Asia. That network, in his and K.N. Chaudhuri's formulation, became the center of the intercontinental economy of Africa and Asia in the Middle Ages. Problems arose from the nth century onwards, when the Middle East was invaded from Central Asia by the Seljuk Turks followed by the Mongols, and attacked in Spain, Sicily, and the Levant by Christian Europeans. The longstanding view by H.A.R. Gibb was that this amounted to a disaster, in which government fell into the hands of barbarian warriors, towns decayed, religion became either sterile or superstitious, science dried up, and the political, and cultural initiative passed to the growing civilization

development acceptance criticism.

civilization, mountain

represented comprehensive

economic,

of

S.D.E Goitein and

Ashtor

Europe. Eliyahu endeavored the economically, while J.J. Saunders pointed western

to prove

case

the Mongols, and M.W. Dols to the Black Death. As an explanation of the weakness of the region in the face of European pressure in the 19th century, this view has been by the work of André Raymond and his pupils on the growth of towns and trade in the Ottoman empire. Meanwhile Hodgson had pointed on the one hand to the essential fragility of the prosperity of the "golden age," but on the other to the enormous expansion of Islam in the second half of the Middle Ages, out of the lands of the old Arab empire into Africa and Asia, well described by Ross Dunn in his account of Ibn Battuta. to

overtaken

If the

problem will not go away, it may well be relegated to the background by the spate of research into the late medieval period made possible by the increasing quantity of surviving material from Egypt and Syria in particular. Humphreys' Islamic History: A Framework for Inquiry not only provides a wide review of the literature and the problems with which it wrestles, but does indeed map out the trends of current

scholarship. MICHAEL BRETT

See also Goitein; Inalcik; Islamic; Ostrogorsky; Ottoman; Watt

Julien; Lévi-Provençal; Lewis, Β.;

Further Reading Abun-Nasr Jamil M. A History of the Maghrib in the Islamic Period Cambridge and New York : Cambridge University Press 1971 Ashtor Eliyahu A Social and Economic History of the Near East in the Middle Ages Berkeley : University of California Press and London: Collins, 1976 Bosworth Clifford Edmund The New Islamic Dynasties: A Chronological and Genealogical Manual Edinburgh: Edinburgh University Press and New York: Columbia University Press, 1996 ,

,

,

,

,

,

,

,

,

,

,

,

Brett , Michael , and Elizabeth Fentress , The Berbers , Oxford and

MA : Blackwell , 1996 " Ibn Abdal'hakam et la conquête de l'Afrique , " du Nord par les Arabes ( Ibn Abdal'hakam and the Conquest of North Africa by the Arabs ), in his Etudes sur l'Islam classique et l'Afrique du Nord , London : Variorum , 1986 Bulliet , Richard W. , Conversion to Islam in the Medieval Period: An Essay in Quantitative History , Cambridge, MA : Harvard

Cambridge,

Brunschvig Robert ,

University

Press , 1979

Cahen , Claude , Pre-Ottoman Turkey: A General Survey of the Material and Spiritual Culture and History, c.1071-1330 , London : Sidgwick and Jackson , and New York: Taplinger, 1968 The Cambridge History of Arabic Literature, vol. 1: 'Abbasid BellesLettres, edited by Julia Ashtiany, and vol. 2: Religion, Learning and Science in the 'Abbasid Period , edited by M. J.L. Young , John Derek Latham , and Robert Bertram Serjeant , both vols. Cambridge and New York : Cambridge University Press , 1990 The Cambridge History of Iran , 7 vols., Cambridge : Cambridge University Press , 1968-91 Chaudhuri , K. N. , Trade and Civilisation in the Indian Ocean: An Economic History from the Rise of Islam to 1750 , Cambridge and New York : Cambridge University Press , 1985 Chejne , Anwar G. , Muslim Spain: Its History and Culture , Minneapolis : University of Minnesota Press , 1974 Cook , Michael , and Patricia Crone , Hagarism: The Making of the Islamic World , Cambridge and New York : Cambridge University Press , 1977

Crone , Patricia , and Martin Hinds , God's Caliph: Religious Authority in the First Centuries of Islam , Cambridge and New York : Cambridge University Press , 1986

Dols , Michael W. , The Black Death in the Middle East , Princeton :

University Press 1971 Dunn Ross E. The Adventures of Ibn Battuta: A Muslim Traveler of the 14th Century Berkeley : University of California Press 1980 ; London: Croom Helm, 1986 Endress Gerhard Einführung in die islamische Geschichte 2 vols., Munich : Beck 1982 ; in English as An Introduction to Islam Edinburgh: Edinburgh University Press and New York: Columbia University Press, 1988 An Interpretation of Islamic History," in his Studies Gibb H. A. R. on the Civilization of Islam London : Routledge and Boston: Beacon Press, 1962 Goitein S. D. Studies in Islamic History and Institutions Leiden : Brill 1966 Goitein S. D. Λ Mediterranean Society: The Jewish Communities of the Arab World as Portrayed in the Documents of the Cairo Geniza 6 vols., Berkeley : University of California Press 1967-93 Goldziher Ignaz Muhammedanische Studien 2 vols., Halle : Niemeyer 1888-90 ; in English as Muslim Studies 2 vols., London : Allen and Unwin 1961-71 Chicago: Aldine, 1967 Grunebaum Gustave E. von Der Islam Ullstein : Propyläen 1963 ; in English as Classical Islam: A History, 600-1258 London : Allen and Unwin and Chicago: Aldine, 1970 Hawting Gerald R. The First Dynasty of Islam: The Umayyad Caliphate AD 661-750 London : Croom Helm 1986 Hayes John R. ed., The Genius of Arab Civilization: Source of Renaissance New York : New York University Press 1975 Oxford: Phaidon, 1976 ; 3rd edition, 1992 Hitti Philip Khuri History of the Arabs London and New York : Princeton

,

,

,

,

,

,

,

,

,

,

,

"

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

Macmillan , 1937 Hodgson , Marshall G.S. , The Venture of Islam: Conscience and History in a World Civilization , 3 vols., Chicago : University of Chicago Press , 1974 Holt , Peter Malcolm , Ann K.S. Lambton , and Bernard Lewis , eds., The Cambridge History ofIslam , 2 vols., Cambridge : Cambridge University Press , 1970 ; revised in 4 vols., 1978 Holt , Peter Malcolm , The Age of the Crusades: The Near East from the Eleventh Century to 1517 , London and New York : Longman ,

1986 Hourani , Albert , A

History of the Arab Peoples Cambridge, MA : Harvard University Press and London: Faber, 1991 Humphreys R. Stephen Islamic History: A Framework for Inquiry Minneapolis : Bibliotheca Islamica 1988 ; revised Princeton: Princeton University Press, and London: Tauris, 1991 Ibn Khaldūn Muqaddima written 1375-78 ; in English as The Muqaddimah: An Introduction to History 2nd edition, Princeton : Princeton University Press 1967 London: Routledge/Seeker and Warburg, 1978 Imber Colin The Ottoman Empire, 1300-1481 Istanbul : Isis Press ,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

1990

Inalcik , Halil , The Ottoman Empire: The Classical Age, 1300-1600 , London : Weidenfeld and Nicolson , and New York: Praeger, 1973

Julien Charles-André ,

,

Histoire de

l'Afrique

du Nord: Tunisie,

Maroc , Paris : Payot , 1931 ; in English as History of North Africa: From the Arab Conquest to 1830 , London : Routledge and Kegan Paul , and New York: Praeger, 1970 Kennedy, Hugh N. , The Prophet and the Age of the Caliphates: The Islamic Near East from the Sixth to the Eleventh Century, London and New York : Longman , 1986 Lapidus , Ira Marvin , A History of Islamic Societies , Cambridge and New York : Cambridge University Press , 1988 Lévi-Provençal , Evariste , Histoire de l'Espagne musulmane, vol. 1: De la conquête à la chute du Califat de Cordoue (1710J.-1C03.1) (A History of Muslim Spain: From the Conquest to the Fall of the Caliphate of Cordoba ), Cairo : Institut Français d'Archéologie, 1945 ; Paris: Maisonneuve, 1950 Lewis , Bernard , The Arabs in History , London and New York : Hutchinson , 1950 ; 6th edition 1993

Algérie,

Lombard , Maurice , salmi dans sa première grandeur, VIIIe-XIe siècle , Paris : Flammarion , 1971 ; in English as The Golden Age of Islam , Amsterdam and Oxford : North Holland , and New York: American Elsevier, 1975 Nasr, Seyyed Hossein , Islamic Science: An Illustrated Study, London : World of Islam Festival Publishing , 1976 Ostrogorsky, George , Geschichte des byzantinischen Staates , Munich : Beck , 1940 ; in English as History of the Byzantine State , Oxford : Blackwell , 1956 , New Brunswick, NJ: Rutgers University Press, 1957 ; revised 1968 Raymond , André , Grandes villes arabes à l'époque ottomane (Great Arab Cities in the Ottoman Period ), Paris : Sindbad , 1985 Saunders , J.J., A History of Medieval Islam , London : Routledge , and New York: Barnes and Noble, 1965 Schacht , Joseph , The Origins of Muhammadan Jurisprudence , Oxford : Oxford University Press , 1950; revised 1967 Wansbrough , John, Quranic Studies: Sources and Methods of Scriptural Interpretation , Oxford : Oxford University Press , 1977 Wansbrough , John , The Sectarian Milieu: Content and Composition of Islamic Salvation History , Oxford and New York : Oxford

University Press 1978 Montgomery Muhammad ,

Watt , W.

,

at

Mecca , Oxford : Clarendon

Press , 1953 Watt , W. Montgomery, Muhammad at Medina , Oxford : Clarendon

Press , 1956 Watt , W. Montgomery, Muhammad: Prophet and Statesman , London and New York : Oxford University Press , 1961 Watt , W. Montgomery, A History of Islamic Spain , Edinburgh: Edinburgh University Press , and Chicago: Aldine, 1965

Migration At its

most

ambitious the historical

treatment

of human

migration the globe prehistoric since encompasses movement across times. Archaeologists and anthropologists have established

patterns of expansion and retreat over several millennia as the crossed and the continents populated. Often as McNeill and Adams showed migration is associated with and demographic technological changes, with war, and with the elimination of income differentials between regions, and continents. Migration takes many forms: long and short distance; peaceful and disruptive; temporary, seasonal, and permanent; free and coerced; individual, family, and communal. The mechanisms and motivations of migration have required historians to draw on the work of economists, geographers, and sociologists. Migration has been one of the vital dimensions of modernization, both cause and and is central to any study of historical change. oceans were

-

-

countries,

demographers, consequence, Most historical attention has been devoted

to

European

migration from early modern times. From Europe emerged the dynamism for the so-called great "re-shuffling" of humanity by means of international migration from the time of Columbus onwards. This eventually shifted the balance of the world's populations, starting slowly in the 17th century and eventually accelerating to a torrent by the mid-19th century. The scale, composition, and facilities of the movements are only now being established. The relationship between these mainly European outreaches and internal mobilities has been a question in recent historiography. The old notion that preindustrial societies were immobile has been greatly by evidence of much short-distance, annual, circular migration, often related to hiring practices. But the radius was

chronology,

contentious

undermined

usually

less than 30 miles in

lifetime.

Longer-distance migration (to large especially) usually involved professional a

cities

or

subsistence needs. These movements probably lengthened and intensified during industrialization when increased labor became an urgent requirement of the new economy. Pre census sources include legal and apprenticeship records and even the data of convict transportees. The systematic statistical study of British migration began with Ravenstein in the 1880s, was taken up by Arthur Redford in the 1920s, and elaborated by economic and social historians such as John Saville, Michael Anderson, and W.A. Armstrong. Work in Europe has been well surveyed by Leslie Page Moch. The British Isles figured prominently in the early phases of European emigration and immigration. Bernard Bailyn's Voyagers to the West (1986), portrayed the Atlantic outreach as an extrapolation of internal systems; in other work for example, Cinel on Italy external migration was as a substitute for older traditions of internal mobility within Europe. Seminal work by Frank Thistlethwaite great internal structural forces generating the European outflows of the 19th century. In reaction against the earlier dominance of saga-like American accounts of the Atlantic migration notably Oscar Handlin's The Uprooted (1951) Thistlethwaite argued persuasively for more sophisticated analyses of conditions in the European homelands to be into a fully sequential account of the entire transatlantic migration. Hence the best modern work has concentrated with almost microscopic precision on local context, sometime using individual level data. By contrast, Brinley Thomas employed statistical data to measure emigrations within a reciprocating relationship between the two sides of the Atlantic economy in the second half of the 19th century. As Dudley Baines emphasized, there is no agreed account of emigration and there are several historiographical traditions that tend not to connect. The aggregative statistical approach has been dominated by economic historians and has sought of long series of data on movements of labor, with changes on income, prices, fertility, and investment. Williamson tested hypotheses about the role of migration in the convergence of trends in the international economy in the past 150 years, as part of incipient globalization. Mobility involved vast numbers of people, generates much statistical data of highly variable and lends itself naturally to quantitative methods. Another approach, associated especially with Charlotte Erickson, the collective identity of migrants from individual-level data to draw deductions concerning the selectivity of emigration. Baines used cohort-depletion methods employing census data. Another school, best exemplified by Erickson, Fitzpatrick, and Miller, has used emigrant letters to explore mentalities and family strategies, achieving almost ethnographic levels of insight. The comparative richness of some European especially that of the Dutch and Scandinavia, has some of the most precise and distinctive of modern studies of international migration. European emigration of the 19th century has dominated, but research in other areas has shifted the historiographical perspective significantly. Eltis, extending the work of Curtin, has shown that slavery out of Africa was the greatest system until the 1830s. Indentured migration from Europe before 1815 and then out of Asia, were also dominant flows,

flexibility

synthesis, -

-

interpreted hypothesized -

-

integrated

correlation

reliability,

establishes

documentation, produced migration

while convict transportation provided ancillary contributions. as important were the mainly uncharted movements within Asia. The study of 20th-century migration contends with radical changes in the political context, the re-direction of migration flows, new means of mobility, a great increase in numbers of refugees, and the evolution of global labor markets. Within the historiography of migration great strides have been made in the study of the economic impact of emigration on donor and receiving countries, especially in the Irish case. Emigration is portrayed as a conveyor of culture and disease and technology, as an adjunct of imperialism, and as a means of global income equalization. Its influence on of national identity (see, for example, Nugent) and the relative success of migrants in terms of assimilation and social mobility (see Bodner and Thernstrom) have been central together with the study of reverse migration and the role of emigrant remittances for the maintenance of family welfare in the countries of origin. Historians continue to examine propositions about emigration as a "safety valve" for and economic problems, and the impact of colonial political settlement on indigenous patterns of mobility. Historians of migration mentality inevitably encounter some of the most vital issues of modern times. These entail, for instance, the record of circumstances that have governed the freedom of movement across frontiers, the treatment and status of aliens, and, the global distribution of humanity.

Just

capitalism,

questions

concerns,

fundamental

ultimately,

ERIC RICHARDS

See also

Bailyn; Curtin; Demography

Further

Reading

Anderson , Michael , Family Structure in Nineteenth-Century Lancashire , Cambridge : Cambridge University Press , 1971 Armstrong , Alan Stability and Change in an English County Town: A Social Study of York, 1801-51 , Cambridge : Cambridge University Press , 1974 Bailyn, Bernard , Voyagers to the West: A Passage in the Peopling of America on the Eve of the Revolution , New York : Knopf , 1986 ; London: Tauris, 1987 Baines , Dudley E. , Migration in a Mature Economy: Emigration and Internal Migration in England and Wales, 1861-1900 , New York and Cambridge : Cambridge University Press , 1986 Bodnar, John , The Transplanted: A History of Immigrants in Urban America , Bloomington : Indiana University Press , 1985 Brettell , Caroline B. , Men Who Migrate, Women Who Wait: Population and History in a Portuguese Parish , Princeton : Princeton University Press , 1986 Cinel , Dino , From Italy to San Francisco: The Immigrant Experience , Stanford, CA : Stanford University Press , 1982 Clark , Peter, and David Souden , eds., Migration and Society in Early Modern England, London : Hutchinson , 1988 Curtin , Philip D. , The Atlantic Slave Trade: `A Census , Madison , University of Wisconsin Press , 1969 " Eltis , D. , Free and Coerced trans-Atlantic Migration: Some Comparisons," American Historical Review 88 ( 1983 ), 251 80 Erickson , Charlotte , ed., Invisible Immigrants: The Adaptation of English and Scottish Immigrants in Nineteenth-Century America , London : London School of Economics/Weidenfeld and Nicolson , and Coral Gables: University of Miami Press, 1972 Erickson , Charlotte , Leaving England: Essays on British Emigration in the Nineteenth Century, Ithaca, NY: Cornell University Press , ,

-

1994

Ferenczi , Imre , and Walter Willcox , eds., International Migrations , 2 vols., New York : National Bureau of Economic Research , 1929-31

Fitzpatrick David ed., Oceans of Consolation: Personal Accounts of Irish Immigration to Australia Ithaca, NY: Cornell University ,

,

,

Press , 1994

Gjerde Jon From Peasants to Farmers: The Migration from Balestrand, Norway, to the Upper Middle West Cambridge and New York : Cambridge University Press 1985 Gould J. D. European Inter-Continental Emigration, 1815-1914: Patterns and Causes ," Journal of European Economic History 8 ( 1979 ), 593 679 Gould J. D. European Inter-Continental Emigration, 1815-1914: The Road Home: Return Migration from the USA ," Journal of European Economic History 9 ( 1980 ), 41 112 Gould J. D. EuropeanInter-Continental Emigration: The Role of 'Diffusion' and 'Feedback' ," Journal of European Economic History 9 ( 1980), 267 315 Handlin Oscar The Uprooted: The Epic Story of the Great Migrations That Made the American People Boston : Little Brown 1951 revised 1973 ; as The Uprooted: From the Old ,

,

,

,

"

,

,

-

"

,

,

-

"

,

,

-

,

,

,

,

,

World to the New London : Watts , 1953 Hansen , Marcus Lee , The Atlantic Migration, 1607-1860: A History of the Continuing Settlement of the United States , Cambridge, MA : Harvard University Press , 1940 Hatton , Timothy , and Jeffrey G. Williamson , eds., Migration and the International Labor Market, 1850-1939 , London and New York : Routledge , 1994 Hoerder, Dirk , ed., Labor Migration in the Atlantic Economies: The European and North American Working Classes during the Period of Industrialization , Westport, CT: Greenwood Press , 1985 McNeill , William H. , and Ruth Adams , eds., Human Migration: Patterns and Policies , Bloomington : Indiana University Press ,

1978 Miller, Kerby Α. , Emigrants and Exiles: Ireland and the Exodus to North America , Oxford and New York : Oxford University Press ,

1985 Moch , Leslie Page , Moving Europeans: Migration in Western Europe since 1650 , Bloomington: Indiana University Press , 1992 Mokyr, Joel , Why Ireland Starved: A Quantitative and Analytical History of the Irish Economy, 1800-1850 , London : Allen and Unwin , 1983 Nugent, Walter, Crossings: The Great Transatlantic Migrations , Bloomington: Indiana University Press , 1992 " Ravenstein , E. G. , The Laws of Migration ," Journal of the Royal Statistical Society , 48 (1885 ), 167 227 Redford , Arthur, Labour Migration in England, 1800-1850 , Manchester : Manchester University Press , 1926 Thernstrom , Stephan , Poverty and Progress: Social Mobility in a Nineteenth Century City , Cambridge, MA : Harvard University Press , 1964 Thistlethwaite , Frank , Migration from Europe Overseas in the Nineteenth and Twentieth Centuries" and "Postscript," in Rudolph J. Vecoli and Suzanne M. Sinke , eds., A Century of European Migrations, 1830-1930 , Urbana : University of Illinois Press , 1991 Thomas , Brinley, Migration and Economic Growth: A Study of Great Britain and the Atlantic Economy, Cambridge : Cambridge University Press , 1954 -

"

Military History The history of warfare can lay claim to great antiquity, for its earliest practitioners (Thucydides, Herodotus, Xenophon, and Vegetius) were among the first historians. Yet, despite its impressive pedigree, military history has only been grudgingly and belatedly accepted as a legitimate topic for historical research by professional historians. Prior to 1945, self-styled

military historians were generally employed outside either as journalists or as lecturers attached to the staff colleges and training academies of the world's navies and armies. Military history, when it was addressed by professional historians, was at best a footnote to the bigger political historians were attempting to portray. Military

universities,

developments historians

as a whole would not be welcomed into universities until after World War II and, even then, they have frequently complained of their marginalization within the profession. Instead, military history's greatest triumphs have been secured outside academe, where popular military history continues to outsell most other historical fields. With a few notable

exceptions (here point writings by John Keegan, John to

one can

Terraine, and Bruce Catton), such popular treatments are rarely satisfactory from a scholarly point of view. They are generally antiquarian and descriptive in nature, militaristic in tone, and with a propensity to go hardware-happy. The integrity of military history has also been compromised by its often didactic purpose. Much of the military history that has been written was driven by the need to identify axioms to guide future commanders rather than to understand the roles played by warfare and its associated institutions within the broader processes of history. And while historians often admire the research that underpins the many official histories produced in the aftermath of the two world wars, nagging questions remain as to whether these really are scholarly productions, given that not only were they funded by the belligerent powers, but they were frequently produced by retired or seconded officers. Consequently, the scholarly integrity of military history has been compromised by its unfortunate association with either the "drum and trumpet" histories written for military enthusiasts, or the instructional works prepared by military professionals for the education of their colleagues. Since the 1970s, however, military history has begun to win over some of the skeptics by proving that it no longer necessarily treats armies and navies in isolation, but situates them within the wider society. The scholarly tradition of writing military history, as from popular works or the simple chronicling of campaigns, can be safely traced back to the late18th and early 19th centuries. The combined impact of the Enlightenment and the Napoleonic Wars prompted a number of intellectuals to seek out explanations for the cause of war, and whether there were any underlying laws or principles that could be said to govern its conduct. The Enlightenment's emphasis on reason had two tremendous effects insofar as military history was

distinguished

understood. First, it

was

increasingly argued

that

war

was not

permanent condition of humankind. As Michael Howard has convincingly argued in What Is History Today? (1988), to talk of military history before the Enlightenment is anachronistic since societies prior to the 18th century did not distinguish as we do now between war and peace. The Enlightenment's faith in reason, which led many to believe that war could at least be controlled if not rendered extinct, a number of intellectuals to try to establish the causes of war. Not surprisingly they turned to history. A second offshoot of the Enlightenment was a common belief that the conduct of war, like other human activities, could be reduced to a set of principles. Military intellectuals such as the Swiss writer A.H. Jomini then turned to tory in their search

necessarily

a

encouraged

systematically

for these elusive rules of war. This didactic tradition would live on in the writings of the 19th-century American naval historian (and one-time president of the American Historical Association) Alfred Thayer Mahan, who produced several works that elegantly thoughmisleadingly reduced Britain's rise to naval domination to a few rules governing naval policy. Memories of World War I, and the desire to ensure that future wars would not get bogged down into battles of lay behind the didactic works of B.H. Liddell Hart and J.F.C. Fuller. Yet despite the polemical quality of their writings, their descriptions and analysis of western warfare over the centuries still offered many insights. Not all of military history was swept up in the positivist search for the rules and truths of warfare. An alternative strategy was established by the writings of Carl von Clausewitz, particularly On War (1832). Unlike Jomini and his heirs, Clausewitz situated war within a much broader context, one that conceded the importance of intangibles such as morale in accounting for success or defeat. Furthermore, Clausewitz did not try and isolate military actions and decision-making from their political and economic surroundings. Clausewitz has been credited with laying the foundations for a much broader of military history, one that has been labelled "war and society" or sometimes the "new military history." Clausewitz's insistence that military forces cannot be understood in from their historical circumstances was expanded on at the beginning of the 20th century in the works of Hans Delbrück. Delbrück sought to professionalize military history by subjecting it to the same rigors as other fields of history. He hoped that his 4-volume study of the history of war would convince skeptics that the "Recognition of the reciprocal effects of tactics, strategy, political institutions, and politics throws light on the interconnections in universal history, and has much that until now lay in darkness or was This work was not written for the sake of the art of war, but for the sake of world history" (quoted by Peter

attrition,

definition isolation

illuminated

misunderstood.

Paret, 1971). that armed conflict, its origins, conduct, and as an integral part of human history be treated consequences struck a responsive chord with many historians in the of World War II. As the historical profession expanded in numbers and opened up new areas of specialization, the study of warfare found new niches. In Britain, the of the war studies program at King's College under Michael Howard provided a powerful impetus to scholars working on a number of topics relating to warfare and society in 19th- and 20th-century Europe. Coinciding with this flurry of activity on warfare in modern European history came Michael Roberts' seminal study of technology and the military revolution in early modern Europe. Roberts' interest was not simply limited to detailing the impact of infantry firepower; he also began to flesh out its political and economic consequences. Permanent armies of disciplined soldiers recruited for long periods necessitated the modern absolutist state as the and material demands of such forces lay beyond the financial and organizational capacity of its predecessors. Roberts' demonstration of the tremendous impact that developments had upon various sectors of early modern society has inspired other historians to refine and extend his most notably Geoffrey Parker, who has applied arguments Delbrück

s

plea

aftermath development

manpower

military -

the idea of a military revolution in an effort to account for the success of European expansion between 1500 and 1800. Another variant on the military revolution thesis was by the American historian William H. McNeill who, though not a self-styled military historian, examined the between armed forces, society, and technology in an effort to chart out the fluctuations in the global of power over the last millennium. Military history also gained credibility in the United States with scholars such as John Shy, Peter Paret, and Edward Coffman. A striking characteristic of much American is the degree to which it has been willing to employ the insights, models, and modes of analysis developed in other branches of the social sciences. "War and society" means quite different in the US, and scholarly journals such as Armed Forces and Society deliberately cut across disciplinary boundaries with issues containing articles by historians, scientists, psychologists, anthropologists, and sociologists. In such a situation, it is not surprising to see that military historians in the US are as likely to be intellectually indebted to sociologists such as Charles Tilly and Morris Janowitz or political scientists such as Samuel Huntington as they are to Liddell Hart or Delbrück. The post-World War II era also saw military history making considerable gains in France and Germany. André Corvisier and Philippe Contamine in France have between them produced several important works (some of which have been translated) which explore the relationship between armies and society from the Middle Ages to the modern era. In Germany, the writing of an official history of World War II has been entrusted to a team of professional historians (Militärgeschichtliche Forschungsamt). Working at arm's length from the state and the armed forces, these scholars have been able to write much more objectively and dispassionately about Germany's experiences during World War II than was the case with many other official histories. The scope of military history during this period not only broadened to incorporate political and economic perspectives, but also deepened as it began to explore the social and cultural parameters of armies and societies. John Keegan's The Face of Battle (1976) was without a doubt a major breakthrough; Keegan reconstructed the experience of battle from the of those on the firing line, which counterbalanced the numerous battle studies written from the commander's vantage point. Paul Fussell's The Great War and Modern Memory (1975) was another milestone. Fussell used literature to probe the responses of European society (principally Britain) to the of World War I. While Fussell's conclusions are the subject of considerable debate, he has nevertheless prompted others to begin tracking the many pathways through which war and the military have come to be embedded in popular culture. The recent revival of interest in the history of the state and of the processes and ideologies of state formation by such as Charles Tilly and John Brewer has suggested yet more opportunities for military history to move beyond the As their work and that of others has made clear, the will to monopolize the means of coercion lurked at the heart of most modern states, and consequently armies and navies were often in a position to exploit such agendas to serve their own However, the resources to sustain such grabs for power

developed

interconnections

distribution

scholarship

something

political

perspective

traumas

scholars battlefield.

interests.

always in place. Paul Kennedy's massive work on the empires provides clear evidence of the dangers caused when military and political ambitions outpace the state's capacity to support them materially. Despite the very impressive gains made by military in further developing traditional areas of enquiry, such as the origins and conduct of wars as well as the opening up of new lines of enquiry, sizeable gaps remain. Military like historians in general, have tended to clump around certain topics. The two world wars, the American Civil War and the Napoleonic Wars have all been minutely explored. With respect to themes, there has been considerable interest in the evolution of strategic thought, in the impact of development on warfare, and on the relationship between military force and diplomacy (at least for the West in were

not

rise and fall of

historians

historians,

technological

the modern era). There has also been considerable work on the impact of intelligence on the planning and conduct of operations, spurred on by newly declassified documents. The social history of armies and navies and the societies with which they were in contact has been slower to develop, though there are promising signs that this is changing. There remain several areas of military history that either languish or have yet to take off. Perhaps the best example of the former is the current state of naval history. Earlier in this century, naval historians such as Mahan, Julian Corbett, and Herbert Richmond were powerful figures within the historical establishment, but naval history has since sailed into the doldrums. Why this is the case is not completely clear, though the level of technical competency needed to understand naval operations may help explain it. It also may be that as air forces have overtaken navies as the prime instrument through which states project their power beyond their boundaries, there is consequently no longer the same apparent need or interest in naval history. For fields that have been slow to develop, we need look no further than the military history of the non-European world. There are numerous popular accounts of colonial wars, but these are with few exceptions potboilers that too often European prejudices and inaccuracies. Even those works which seek to account for military developments in Africa, Asia, and the Americas in a more sophisticated manner, for example comparing military technologies and organizations, often rely implicitly upon an idea of European exceptionalism (such as the paradigm of the military revolution). In other words, non-European armies, like non-European societies, are defined in terms of their differences from their European Fortunately, more nuanced interpretations of warfare and society outside Europe are being written. James Belich wrote an important study of the New Zealand Wars which has shattered many existing stereotypes and assumptions, and David Ralston has looked closely at how European military institutions and practices were assimilated by countries outside Europe and what the consequences were to them. Notwithstanding these lacunae, it is quite clear that as military history gains credibility within the historical profession, its scope will broaden, and there will be increasing opportunities for the exchange of ideas and perspectives between various fields of history. Novel approaches to the rise of the state, on how masculinity was constructed through the centuries, and on the impact and application of new technologies are just some

military

reproduce

counterparts.

examples of the possibilities gained through dialogue between military historians and their colleagues in other fields. DOUGLAS PEERS

See also

Delbrück; Herodotus; Howard; Keegan; Kennedy; McNeill; Mahan; Napoleonic Wars; Naval; Parker; Thucydides; Tilly, C; World War I; World War II; Xenophon Further Reading Belich James The New Zealand Wars and the Victorian Interpretation of Racial Conflict Auckland : University of ,

,

,

Auckland Press , 1986 Bond , Brian , Liddell Hart: A Study of His Military Thought, London : Cassell , and New Brunswick, NJ: Rutgers University Press, 1977 Bucholz , Arden , Hans Delbrück and the German Military Establishment: War Images in Conflict , Iowa City : University of Iowa Press ,

1985

Clausewitz , Carl von , Vom Kriege , 3 vols., Berlin : Dümmler, 1832-34 ; in English as On War , London : Trübner, 1873 ; edited by Michael Howard and Peter Paret , Princeton : Princeton

University Press , 1976 Contamine , Philippe , Le Guerre au Moyen Age , Paris : Presses Universitaires de France , 1980 ; in English as War in the Middle Ages , Oxford and New York : Blackwell , 1984 Corvisier, André , Armées et societés en Europe de 1914 à 1789 , Paris : Presses Universitaires de France , 1976; in English as Armies and Societies in Europe, 1494-1789 , Bloomington : Indiana University Press , 1979 Delbrück , Hans , Geschichte der Kriegskunst im Rahmen der politischen Geschichte , 4 vols., Berlin : Stilke , 1900-20 , reprinted Berlin : de Gruyter, 1962-66 ; in English as History of the Art of War within the Framework of Political History , 4 vols., Westport, CT: Greenwood Press , 1975-85 Fuller, J. F.C. , The Decisive Battles of the Western World and Their Influence on History , 3 vols., London : Eyre and Spottiswoode , 1954-56 Fussell , Paul , The Great War and Modern Memory , Oxford and New York : Oxford University Press , 1975 Howard , Michael , War in European History , Oxford and New York : Oxford University Press , 1976 Howard , Michael , The Causes of War, and Other Essays , Cambridge, MA : Harvard University Press , and London: Temple Smith, 1983 ; revised 1984 Howard , Michael , Brian Bond , J. C.A. Stagg , David Chandler, " Geoffrey Best, John Terraine , What Is Military History ?" in Juliet Gardiner, ed., What Is History Today? , London : Macmillan , and Atlantic Highlands, NJ: Humanities Press, 1988 Keegan , John , The Face of Battle , London : Cape , and New York:

Viking, 1976 Kennedy Paul M. The Rise and Fall of the Great Powers: Economic Change and Military Conflict from 1500 to 2000 New York : Random House 1987 ; London: Unwin Hyman, 1988 Liddell Hart B.H. The Real War, 1914-1918 London : Faber and Boston: Little Brown, 1930 McNeill William H. The Pursuit of Power: Technology, Armed Force, and Society since AD 1000 Chicago : University of Chicago Press 1982 ; Oxford: Blackwell, 1983 Mahan Alfred Thayer The Influence of Sea Power upon History, 1660-1783 Boston : Little Brown and London: Sampson Low, 1890 Paret Peter The History of War," Daedalus 100 ( 1971 ), 376 96 ,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

"

-

,

,

Paret , Peter, Clausewitz and the State , Oxford and New York :

Oxford University Press , 1976 Paret , Peter, ed., Makers of Modern Strategy from Machiavelli to the Nuclear Age , Princeton : Princeton University Press , 1986 Parker, Geoffrey, The Military Revolution: Military Innovation and the Rise of the West, 1500-1800, Cambridge and New York : Cambridge University Press , 1988

Ralston , David , Importing the European Army: The Introduction of European Military Techniques and Institutions into the ExtraEuropean World, 1600-1914 , Chicago : University of Chicago Press , 1990

Roberts , Michael , The Military Revolution, 1560-1660 , Belfast : Queen's University, 1956 ; reprinted in his Essays in Swedish History , London : Weidenfeld and Nicolson , and Minneapolis: University of Minnesota Press, 1967 Shy, John , A People Numerous and Armed: Reflections on the Military Struggle for American Independence , New York : Oxford University Press , 1976 ; revised 1990 Strachan , Hew, European Armies and the Conduct of War , London : Allen and Unwin , 1983

Miliukov, Pavel

1859-1943

Russian economic historian Pavel Miliukov's scholarly prowess was noted and encouraged at the Historical-Philological Faculty of Moscow University, where he studied with Pavel Vinogradov and Vasilii Kliuchevskii. Upon graduation, he remained at Moscow University as a Privatdocent in the Department of Russian History, teaching and simultaneously researching and writing his doctoral dissertation, an analysis of Russian economic history during the reign of Peter I. Defended and published in 1892, Gosudarstvennoe khoziaistvo Rossii ν pervoi chetverti XVIII stoletiia i reforma Petra Velikogo (Russia's State Economy in the First Quarter of the 18th Century and the Reforms of Peter the Great) argued that Russia's Europeanization was not a product of borrowing from or imitation of the West, but rather a result of the country's evolution developments that were fundamentally similar to those in Western Europe, but retarded by specific conditions of the Russian environment. Thus contradicting to a significant degree Kliuchevskii's views, Miliukov's findings caused a certain coolness in his relationship with his mentor. In this study, Miliukov was also very critical of the financial policies of Peter the Great and concluded that "Russia had been raised to the rank of a European power at the cost of the country's ruin." Although overloaded with statistics, as well as somewhat cumbersome and convoluted explication, Miliukov's treatise is a major contribution to historiography; it opened the field of economic history to academic scrutiny in Russia. His study also remains important for the scholarly debate concerning Russia's modernization, despite the fact that later in his life Miliukov largely modified his interpretation in favor of Peter the Great. Dismissed from his post at Moscow University for his

internal -

protest

against suspension

of

students in 1895 and forbidden

a

number of

employment

politically

lucid and popular of his works, intended as much for a broad circle of educated readers as for specialists. Indeed, to a large extent the Outlines were a result of Miliukov's effort to contribute to public education by popularizing his area of most

expertise. The study presupposed a comprehensive approach, since, according to Miliukov, cultural history "encompasses all aspects of internal history: economic, social, political, intellectual, moral, religious and esthetic." The first volume represents Miliukov's continued attempt to work on general problems of Russian economic history, while avoiding the deterministic and materialistic approach of the Marxists. Indeed, at least in the Russian setting, it was the state, and not the economic base, that, in Miliukov's view, exerted the primary influence on the country's social organization. Analyzing what may be called "spiritual culture" in the second volume, Miliukov focused his attention on the Orthodox church and the Russian school. He considered these two factors instrumental in determining the development of spiritual differences between the people and the intelligentsia. Addressing the disparity between the way Russian educated society dissociated itself from its past, and the way in which a similar process had occurred in Western Europe, the historian attributed it to the "dissimilarity in the cultural role of religious beliefs." Finally, Miliukov, who considered Russia to be part of Europe yet stressed the importance of its unique national features, devoted the third part of his Outlines to the question of nationalism. In his opinion, the Russian national consciousness gradually evolved into a social phenomenon, greater public attention to domestic policies, as well as broader and more active participation in current affairs. In 1903 Miliukov was invited to give lectures on Russian history at the University of Chicago, and this academic earned him a distinguished reputation in the United States. In the following year he went to Boston, where, under the auspices of the Lowell Institute, he delivered another lecture series under the general title "The Russian Crisis," later published as Russia and Its Crisis (1905). In the period following the outbreak of the 1905 Revolution, Miliukov devoted his primary efforts to politics, serving as the leader of the Constitutional Democratic party, as a prominent Duma deputy, and eventually as a minister in the provisional government. After the Bolshevik takeover in 1917, Miliukov left Russia never to return. Although he was still active in his primary occupation in exile was that of a historian who sought to integrate personal experiences during and after the crisis of 1917 and its scholarly interpretation.

presupposing

experience

politics,

ANNA GEIFMAN

active

in any educational

empire due to his "harmful on the youth, Miliukov remained active as an original scholar. During a two-year exile in Riazan' he began a series of publications entitled Ocherki po istorii russkoi kul'tury (1896-1903; Outlines of Russian Culture, 1942). These essays originally appeared in the journal Mir Bozhii (God's World) and eventually comprised three full-length volumes, published in several editions in Russia and abroad. The Outlines of Russian Culture series is generally to be Miliukov's main scholarly achievement. It is the

See also Russia:

Medieval;

Russia:

Early Modern;

Russia: Modern

institution in the Russian

influence"

Biography

considered

Pavel Nikolaevich Miliukov Born Moscow, 28 January 1859 , son of an architect. Educated at University of Moscow, BA 1886, PhD 1892. A student activist, he was arrested and imprisoned , 1881 ; on release studied art in Italy for a year Taught at the University of Moscow, but was removed from post and exiled internally briefly before choosing to take a post first at the University of Sofia, Bulgaria, then in Turkey; rearrested in Moscow, 1901 ; from this time he worked for reform as a founder of the Constitutional Democratic party and member of the Duma ; served as foreign .

.

minister in the provisional government, 1917, but resigned protesting extremist domination; settled in Paris, 1917, where he edited an émigré newspaper. Married twice (3 daughters from first marriage). Died Aix-les-Bains, France , 31 March 1943 .

Principal Writings Gosudarstvennoe khoziaistvo Rossii ν pervoi chetverti XVIII stoletiia i reforma Petra Velikogo ( Russia's State Economy in the First Quarter of the 18th Century and the Reforms of Peter the Great ), 1890-92 Ocherki po istorii russkoi kul'tury , 3 vols., 1896-1903 , revised 1930-64; in English as Outlines of Russian Culture , 3 vols., 1942 , abridged as The Origins of Ideology, 1974 , and Ideologies in Conflict, 1975 Glavnye techeniia russkoi istoricheskoi mysli ( The Main Trends in Russian Historical Thought ), 1897 Iz istorii russkoi intelligentsii; sbornik statei i etiudov ( From the History of the Russian Intelligentsia: A Collection of Articles and Studies ), 1903

Russia and Its Crisis , 1905 Constitutional Government for Russia , 1907 Balkanskii krizis i politika A. P. Izuol'skogo (The Balkan Crisis and the Politics of A.P. Iavol'skii ), 1910 Russian Realities and Problems , 1917 Bolshevism, An International Danger: Its Doctrine and Its Practice Through War and Revolution , 1920 Istoriia vtoroi russkoi revoliutsii, 1921-24 ; in English as The Russian Revolution , 3 vols., 1978-87 Russia Today and Tomorrow , 1922 Zhivoi Pushkin , 1837-1937: istoriko-biograficheskii ocherk ( Living Pushkin, 1837-1937: A Historical-Biographical Sketch ), 1937 Vospominaniia , 2 vols., 1955 ; in English as Political Memoirs, 1905-1917 ,

1967

Further Reading Riha , Thomas , A Russian European: Paul Miliukov in Russian Politics , Notre Dame, IN : University of Notre Dame Press , 1969 Stockdale , Melissa Kirschke , Pavel Miliukov and the Quest for a Liberal Russia, 1880-1918 , Ithaca, NY: Cornell University Press , 1996

Miller, Perry

1905-1963

US intellectual historian

Perry Miller declared

in Errand into the Wilderness (1956) "that the mind of man is the basic factor in human history." He traced this history in philosophy, literature, theology, science, law, rhetoric, and many other channels. Having missed World War I, the young scholar sought adventure in the merchant marine, traveled to Tampico, Mexico (the opening scene in Treasure of the Sierra Madre), the Mediterranean, and the African coast at Matadi on the Congo River. There he received an "epiphany for expounding my America to the twentieth century." As originally conceived, Miller planned a "massive of the movement of European culture into the vacant wilderness of America." Early volumes on Puritanism triumphantly provided a beginning. His studies on mapped out another field but remained at his death. And another work on Darwininism and modernism left behind many suggestions awaiting completion by others.

painting, .

.

.

narrative

Transcendentalism

incomplete

Kenneth Murdock, Samuel Eliot Morison, and Perry Miller have sometimes been linked as the three M's in the recovery of 17th-century New England Puritans from their debunkers. Murdock tackled the literature, Morison the history, and Miller combined the two. Miller, however, departed significantly from the ancestor worship of his two Harvard colleagues. They admired the Puritans as white Anglo-Saxon Protestants; Miller as an atheist admired them for their determination and integrity. The theologian Reinhold Niebuhr recognized that Miller, an unbelieving believer, could find in Jonathan Edwards, the 18thcentury brimstone preacher, "a superior guide to the labyrinths of the human heart." Miller's study of Jonathan Edwards (1949) was his most heartfelt work. If Miller's understanding of Edwards was imperfect, his understanding of himself was not. Edwards had, he wrote, "early conceived his resolution to present ideas naked." In 1941, Miller began teaching a course at Harvard on Romanticism in American literature. He started by quoting a letter from A.O. Lovejoy (whom Miller called "one of the great philosophic minds of the century"). Lovejoy, the analyst of "romanticisms," warned that the student must define which ideas Americans chose from the continent and how Americans used and transformed them. Miller began by presenting Kant's analysis of the sublime. He applied that to descriptions of American

landscapes, Niagara Falls, Kentucky

caves,

the apocalypse of the Civil War. senatorial oratory, and even

Miller generally abjured psychological interpretations in history, but he provided pioneering studies in his analysis of Henry David Thoreau, where he first identified homoerotic themes in Consciousness in Concord (1958). Miller's last lecture at Harvard (7 December 1963) analyzed the place of Whitman's homosexuality in his becoming the poet and of America. In Margaret Fuller (1963) Miller hinted at lesbian themes in Fuller's work and entertained her own that she possessed the greatest mind among the

celebrator

estimate Transcendentalists.

Miller demanded close readings of the writings of those he studied. For him, the text came first. His gathering of writings The Puritans (with Thomas H. Johnson, 1938) remains The Transcendentalists (1950) identified authors and writers virtually unknown even to specialists. American Thought (1954) indicated the direction his research might have gone had he lived longer. While Miller figures as a giant among historians, he

comprehensive.

position occupies equally literary edited an

eminent

among

critics. He

works of Washington Irving (1961), Henry David Thoreau (1958, 1960), and Charles Dickens (1962), as well as Major Writers of America (1962). He taught in the English department at Harvard where his student Alan Heimert continued his work after Miller's death. Sacvan Bercovitch, also teaching in the Harvard English department, considers Miller to be America's greatest intellectual historian. Miller's political position resembled that of nonseparating Puritanism: he wanted to purify Anglicanism without it. Likewise he enthusiastically supported war efforts and served as an officer in the OSS during World War II, yet joined with Archibald MacLeish against the excesses of Macarthyism and 1950s conformity. He was a keen admirer of John F. Kennedy, who had been a student in his course at Harvard and who had quoted John Winthrop's famous "city on the hill" in

abandoning

his farewell to Massachusetts in 1960. Miller died of a heart attack only two weeks after Kennedy's assassination. Miller influenced a multitude of students and fellow scholars. Donald Fleming carried on work in intellectual history at Harvard. The late Nathan Huggins applied Miller's principles to the Harlem Renaissance. Bernard Bailyn the American Revolution by actually reading the pamphlets of the time. Ann Douglas applied the same to New York City during the 1920s. Some might cringe at Miller's easy use of words like "essence" or "essential." There is now less talk of the "vacant wilderness of America." Seventeenth-century Puritans certainly knew that their wilderness was no blank slate as they battled the indigenous inhabitants. Nevertheless, one cannot read the American Puritans or the Transcendentalists without Miller. His close textual analysis has stood the test of time and his reputation has been strengthened not weakened by his failure to finish a master narrative. CHARLES SHIVELY

reconceptualized

techniques

See also Curti; Gilbert

Born

Chicago,

25

February

1905 , son of

a

doctor. Attended Tilton School and Austin High School , Chicago ; and University of Chicago, 1922. Traveled to Colorado before moving to Greenwich Village, New York, where he wrote for pulp magazines and occasionally acted in plays, before becoming a sailor, and eventually working for an oil company in the Belgian Congo, 1923-26. University of Chicago, BA 1928, PhD 1931; at Harvard University, 1930-31, studying with Kenneth Murdock and Samuel Eliot Morison. Taught American literature (rising to professor), Harvard University, 1931-63. Served in the US Army, 1942-45, working in the Office of Strategic Services (OSS). Married Elizabeth Williams, 1930. Died Cambridge, Massachusetts, 9 December 1963

Reentered

.

Principal Writings Orthodoxy in Massachusetts, 1630-1650: A Genetic Study , 1933 Editor with Thomas H. Johnson , The Puritans , 1938 The New England Mind , 2 vols., 1939-53 Jonathan Edwards , 1949 Editor, The Transcendentalists: An Anthology , 1950 Roger Williams: His Contribution to the American Tradition , 1953 Editor, American Thought: Civil War to World War I , 1954 Errand into the Wilderness , 1956 Editor, Consciousness in Concord: The Text of Thoreau's Hitherto "Lost Journal" (¡840-1841) Together with Notes and a Commentary 1958 Editor, Margaret Fuller, American Romantic: A Selection of Her Writings and Correspondence 1963 The Life of Mind in America: From the Revolution to the Civil War 1965 The Responsibility of Mind in a Civilization of Machines: Essays edited by John Crowell and Stanford J. Searl Jr. 1979 ,

,

,

,

Further

,

,

Reading

" Bercovitch , Sacvan , Investigations of an Americanist ," journal of American History 78 ( 1991 ), 972 87 " Douglas , Ann , The Mind of Perry Miller," New Republic , 186 -

( 3 February 1982 ), 26 30 " Middlekauff , Robert , Perry Miller," in Marcus Cunliffe and Robin Winks , eds., Pastmasters: Some Essays on American Historians , New York : Harper, 1969 -

,

,

Skotheim , Robert Alien , American Intellectual Histories and Historians , Princeton : Princeton University Press , 1966 , 453 64 -

Miller, German

Susanne 1915(Bulgarian-born) historian

Susanne Miller is

scholar of the German Social

leading Democratic Party (SPD), whose works have emphasized the ethical a

foundations of social democratic theory and practice. Miller major investigations of the SPD during and immediately after World War I, when the party found itself profoundly by the immense difficulties of governing a defeated and traumatized nation. Miller became a historian later in life, having had her interrupted by fascism and war in the 1930s and 1940s. Born Susanne Strasser in Bulgaria in 1915 into a wealthy family of the Austrian Jewish upper bourgeoisie (her father was a banker whose business interests were in Vienna and Sofia), she grew up in a post-1918 Vienna that was materially but retained much of its prewar artistic and intellectual brilliance. Young Susanne, alert to the world around her, soon became aware of her own privileged status and the poverty and insecurity of the working classes. At the same time, living in a "Red Vienna" controlled by a militant Social Democratic party, she came to realize that social injustices could indeed be rectified if individuals and groups were committed to bring about change for the better. As a student at the University of Vienna in the early 1930s, Miller was confronted by the brutal ugliness of fascism. Nazi students supported by much of the faculty dominated this venerable institution, attacking Jewish, socialist, and liberal students at will. Fascinated by history, she was at the same time acutely aware of contemporary events in Central Europe, and by her late teens was moving in militantly antifascist circles. One of her Bulgarian teachers, the philosopher Zeko Torbov, her to the writings of the German socialist Leonard Nelson. Nelson's vision of socialism was ethically based, Kantian, and strongly elitist in its political conception. For the rest of her life, Miller's socialist ideal would be based on ethics rather than economics, on freedom instead of compulsion. The year 1933 saw the collapse of democracy in Germany and the rapid erosion of parliamentary rule in Austria. For a young woman of the Jewish bourgeoisie, the future was a bleak one, and the vicious spirit that dominated the University of Vienna only deepened her despair about her own and her generation's prospects for the future. In February 1934, she witnessed the Austro-Fascist regime's bloody suppression of social democracy, becoming personally involved in relief efforts for impoverished Viennese working-class families. After spending the summer of 1934 in London as an au pair studying English, she severed her ties to Vienna and began to live mostly in England. Poor but free, Miller moved in émigré circles linked to an elitist organization inspired by Leonard Nelson's ideals, the International Socialist League of Struggle (ISK). Miller earned her living for the next decade by working in a vegetarian restaurant located between Leicester Square and wrote

challenged education

impoverished

Biography Perry Gilbert Eddy Miller.

"

Schlesinger Stephen ed., Perry Miller and the American Mind: A Memorial Issue," Harvard Review 2 ( 1964 )

introduced

essentially

Piccadilly Circus.In her free time, she

gave talks about the of fascism to women's groups linked to the Labour party. Frustrated in her plans for higher education, she read voraciously and closely followed the rapidly deteriorating menace

political landscape. During World

War II Miller entered into

a

pro forma

Miller. The acquisition with Labour Party marriage would essential later when she activist Horace

of a British passport on, prove carried out her plans to return to the continent after the defeat of Nazi Germany, During this period, she was deeply involved in the affairs of London's German-speaking émigré circles, with the small but enthusiastic ISK organization remaining at the center of her political and personal life. In 1944 Miller became the personal secretary as well as of Willi Eichler. Berlin-born Eichler served as Leonard Nelson's private secretary during the last years of his life, and succeeded him as the undisputed leader of the hierarchically organized ISK. Although pitifully tiny in numbers (perhaps two dozen active members) in London, the ISK made up in militancy and confidence what it lacked in numerical weight. Brilliant and indefatigable, Eichler advocated an idealistic vision of socialism that went far beyond the drab Marxism of the communists and the faded bureaucratic notions of the social democratic idealistic and Miller's developing concept of socialism was enhanced during these years of universal in scope collaboration and personal ties to the charismatic Eichler. The defeat of Nazi Germany in the spring of 1945 released Miller's pent-up hopes of returning to the continent to help in the creation of a free and democratic society built on the ruins of fascism. Before her return, she supported Eichler in his efforts to bring about the unification of the often bitterly hostile factions among Britain's German social democratic emigrant community. This major task achieved, they moved to occupied Germany in 1946, where they married. Settling in the devastated city of Cologne, he became chief editor of the Rheinische Zeitung, while she plunged enthusiastically into SPD organizational work among women. Undiscouraged by the moral as well as physical destruction of Germany, Miller worked tirelessly to spread socialist ideals among the population of Cologne. Popular among her fellowSPD members, she was elected, first to the Cologne district council and then to the middle Rhenish district of the party. By 1952 her talents brought her to the attention of the national SPD leadership, who selected her to work in the national committee in Bonn. Here she participated in the internal debates that led in 1959 to the adoption of the landmark Bad Godesberg declaration, which finally severed the last ties of the SPD to Marxist ideology, including the idea of class struggle and dictatorship of the proletariat. Serving as secretary of the program commission that drafted the declaration. Miller played a significant role in the extended and sometimes internal debates that resulted in a new party firmly based on ideals of ethically grounded democratic socialism. Decades of political turmoil and personal insecurity behind her, in 1959 Miller activated her long-delayed plans for an academic career, enrolling in the University of Bonn. By 1963 she had earned a doctorate in history under the direction of Karl Dietrich Bracher. Miller's dissertation was published in 1964 as Das Problem der Freiheit im Sozialismus (The Problem

companion

leadership. -

-

professional

tireless

executive

acrimonious

of Freedom in Socialism), a broadly conceived study of the "problem of freedom" in the first four decades of the social democratic movement in Germany. Superbly researched and clearly written, it illuminated the essential dilemmas faced by a mass movement in an imperial Germany that remained antidemocratic in spirit. Her thesis, that German social democracy had since 1848 carried the double burden of fighting not only for the economic and social advancement of the proletariat but also for the achievement of bourgeois liberty and republican virtue in a profoundly authoritarian society, would be a major theme in all of Miller's subsequent research. Miller's next three books were all editions of documents. Appearing in 1966 was her edition of the World War I diary of SPD Reichstag deputy Eduard David, which was hailed as a significant contribution to historical understanding of the motives for social democratic support of the war, David revealing in his diary his belief that the German proletariat's support of the imperial regime in the conflict would not only result in accelerated democratization but a final integration of long-alienated workers into the national political culture. After preparing an edition of Willi Eichler's speeches which appeared in 1967, Miller and her colleagues Erich Matthias and Heinrich Potthoff published in 1969 a massive 2-volume of documents from the crucial period of November 1918 through February 1919 when the post-Hohenzollern German state struggled to achieve democracy and come to terms with the reality of military defeat. Published under the auspices of the Commission for the History of Parliamentarianism and Political Parties, the volumes were hailed by reviewers as a major feat of scholarship, making possible for the first time objective assessments by other historians of the activities of the revolutionary Council of People's Representatives during a period of modern German history. In 1974 Miller published another major work, her study of the SPD during World War I. Once again reviewers noted the excellence of her research, which utilized not only printed and archival sources but oral testimony as well. Socialist historian Carl Landauer, writing in the American Historical Review, praised the book as "a great contribution to the history of socialism," Four years later, in 1978, Miller published another massive volume, this time investigating the "burden of power" shouldered by the SPD from October 1918 through June 1920, when the party bore the immense responsibility of governing a defeated and demoralized German Reich. Based on research in 15 archives scattered over six countries, Miller's work was again highly praised. Werner Angress noted in the American

stubbornly

edition

crucial

Historical Review that

not

only

was

her research

"exemplary,"

but her assessment of the first German experiment in socialism had been able to strike an admirable balance between and interpretation, noting both SPD achievements and

narrative

shortcomings. In her major books Miller exhibited the confidence of a who could make controversial judgments when she felt were they appropriate. Her studies of the post-1918 SPD are strongly critical of a political party increasingly out of touch

historian

with the masses, who during this crucial period yearned for both a thoroughgoing socialization of the economy and a democratization of the bureaucracy and military. Social democratic failure to achieve these goals allowed the mental and institutional structures of reactionary Germany to

fundamental

remain largely intact and in time made it possible for them to gather strength and eventually to attack and destroy the Weimar SPD was more a reflection of the ideological exhaustion of its leaders than a reflection of a clear strategy on their part. Miller's strong personal commitment to the ideals of socialism, which can be traced back to her earliest involvement in Vienna, underlies her basic interpretations of modern German history. Her telling criticisms of the social democratic leadership during the period 1914-20 when they reluctantly assumed the "burden of power" in the German Reich emphasized the passivity of the party leadership in pursuing power or pressing for internal reforms, their lack of a strong policy concept, and their growing isolation from the workers who formed the great majority of their party. Believing that history must be made accessible to a mass audience, Miller wrote books, pamphlets, and articles that contributed to popular awareness of the legacy of democratic socialism, and also helped to strengthen humane, democratic ideals in Germany. Convinced that "objective history" does not exist, Miller studied and wrote history in order to assist the working class and the democratic party that best its interests to learn from the mistakes of the past. She regarded her work as part of the democratic reconstruction of post-1945 Germany that of necessity had to study the causes for the failure of democracy in the Weimar republic. Avoiding the turgidity characteristic of much of German scholarly prose, Miller's books are characterized by a clear prose style, a of her belief that history must be comprehensible to the average educated citizen of a democracy who can only engage in effective political discourse when properly armed with the facts of history. A powerful inspiration for Miller's style and approach to historical writing was the socialist historian

republic. The gradualism of the

democratic political

represented

reflection Gustav

Mayer.

In collaboration with Heinrich

Potthoff, she published in 1981a compact history of the German social democratic In this primer aimed at non-specialists, Potthoff covered the years 1848 through 1945, while Miller's contribution was a concise survey of the successes and failures of the SPD in the Federal Republic of Germany from the end of the Third Reich in 1945 to the unification of Germany in 1990. The socialist values she discussed in this book were grounded not in Marxist notions of revolutionary inevitability but instead were an expression of the unrelenting struggle for personal and political freedom waged not only by workers but progressiveminded Germans of all classes. Because of the dramatic and sudden nature of European political changes of the 1980s, which culminated in German unification in October 1990, Miller has been kept busy adding new materials to the SPD history primer. The book, which surprised its authors by becoming a bestseller, went through a number of editions, including a well-received English-language edition in 1986. The 7th edition (1991) chronicled the dramatic events of 1989-90 which led to the demise of the totalitarian state socialism practiced in the German Democratic Republic and validated Miller's strongly held belief that to be viable, socialism had to be inseparably linked to democracy. Although she officially retired in 1978, Miller remained active into the 1990s, serving on various panels (including serving from 1982 through 1989 as chair of the SPD Executive

movement.

Committee's Historical

Commission), continuing to publish for broad audience, and occasionally participating as a citizen in mass rallies for democracy and against the dangers of ethnic intolerance and neo-Nazism. In a 1985 speech on the occasion of Miller's 70th birthday, Willy Brandt noted that what had always inspired her work was the will to assist in the creation of a better society in which working people would be able to live "good, meaningful and fulfilled lives." a

HAAG

JOHN

Biography Susanne Strasser Miller. Born Sofia, Bulgaria, 14 May 1915, a wealthy Austrian Jewish banker. Grew up in Vienna and Sofia ; studied briefly, University of Vienna, 1932 ; lived mostly in England , 1934-46; returned to Germany, 1946 Involved in German Social Democratic party politics from 1946 Received PhD, University of Bonn, 1963. Member, Commission for the History of Parliamentarianism and Political Parties, 1963-78; retired. Married 1) Horace Miller; 2) Willi Eichler, 1946

daughter of

.

.

.

Principal Writings Das Problem der Freiheit im Sozialismus: Freiheit, Staat und Revolution in der Programmatik der Sozialdemokratie von Lassalle bis zum Revisionismusstreit ( The Problem of Freedom in Socialism: Freedom, State and Revolution in the Social Democratic Party Program from Lassalle to the Debates over Revisionism ),

1964

Editor with Erich Matthias , Das Kriegstagebuch des Reichstagsabgeordneten Eduard David 1914 bis 1918 ( The War Diary of Reichstag Deputy Eduard David 1914 to 1918 ), 1966 Editor with Gerhard Weiser, Willi Eicbler, Weltanschauung und Politik: Reden und Aufsätze (World View and Politics: Addresses and Essays by Willi Eichler ), 1967 Editor with Gerhard A Ritter, Die deutsche Revolution, 1918-1919: Dokumente ( The German Revolution, 1918-1919: Documents ), 1968 ; revised 1975 Editor with Erich Matthias and Heinrich Potthoff, Die Regierung der Volksbeauftragten 1918/19 ( The Government of the People's ,

Representatives 1918/19 ), 2 vols., 1969 Burgfrieden und Klassenkampf: Die deutsche Sozialdemokratie im Ersten Weltkrieg ( Internal Truce and Class Struggle: The German Social Democratic Movement in World War I ), 1974 Die Bürde der Macht: Die deutsche Sozialdemokratie, 1918-1920 ( The Burden of Power: German Social Democracy, 1918-1920 ), 1978 With Heinrich Potthoff, Kleine Geschichte der SPD: Darstellung und Dokumentation, 1848-1980 , 1981 , revised 1991 ; in English as A History of German Social Democracy from 1848 to the Present ,

1986 Sozialistischer Widerstand im Exil: Prag, Paris, London (Socialist Resistance in Exile: Prague, Paris, London ), 1984 The Germans and Their History: Landmarks of Ideological Change: Two

Essays 1989 An Eyewitness Report," in Sibylle Quack ed., Between Sorrow and Strength: Women Refugees of the Nazi Period 1995 Susanne Miller: Sozialdemokratie als Lebenssinn: Aufsätze zur Geschichte der SPD. Zum 80. Geburtstag herausgegeben von Bernd Faulenbach ( Susanne Miller: Social Democracy as Life's Meaning: Essays on the History of the SPD, Presented on her 80th Birthday by Bernd Faulenbach ), 1995 "

,

England:

,

,

Further

Reading

Rosch-Sondermann , Hermann , and Rüdiger Zimmermann , eds., Susanne Miller: Personalbibliographie zum 75. Geburtstag überreicht von der Bibliothek der Sozialen Demokratie/Bibliothek

der Friedrinch-Ebert-Stiftung ( Susanne Miller: Bibliography of Works Presented on the Occasion of her 75th Birthday by the Library of Social Democracy and the Library of the Friedrich Ebert Foundation ), Bonn : Forschungsinstitut/Friedrich Eeért

Stiftung

,

1990

Milsom, British

legal

S.F.C.

1923-

historian

Milsom, perhaps more than any other living English legal historian of the 20th century, has secured a formidable reputation as the leading authority on the medieval history of the English common law. He is widely regarded as the successor to Maitiand and Plucknett (his distinguished predecessor in the chair of legal history in the University of London). In a now famous metaphor, Milsom characterized his craft as being "not unlike that children's game in which you draw lines between numbered dots, and suddenly from the jumble a picture emerges: but our dots are not numbered." During his period as literary director of the Selden Society (1965-81), Milsom commissioned many annual volumes and initiated the Society's Supplementary series. He also made a most S.F.C.

intellectual

notable contribution to the publishing program in 1963 when he edited a collection of precedents of oral pleadings in various common-law actions from the time of Edward I for the Society (Novae Narrationes), an enterprise that required considerable work translating the Anglo-Norman texts. In his introduction to these texts, a taste of things to come, Milsom provided a of the place of the texts and an extended commentary on the forms of action represented by the pleadings. Milsom's scholarly reputation, however, derives largely but by no means exclusively from his two principal works of and Historical Foundations of the Common Law (196 ) The Legal Framework of English Feudalism (1976), the latter being the published text of his Maitland lectures at Cambridge in 1972. But not to be forgotten is Milsom's magisterial to the reissue of the second edition of Pollock and Maitland's History of English Law (1968). In his "essay in heresy, pious heresy, intended to suggest the kind of doubt which it seems possible to have about Maitland's picture," Milsom articulated modifications to the picture of medieval English legal history as presented by Pollock and Maitland, most especially that concerning the development of land law between the of Henry II and the reign of Edward I. His main thesis was that Maitland had underestimated the role of the local courts, at the expense of exaggerating the role played by the curia regis, most especially in his analysis of property. For Milsom, the real property actions formed a part of the feudal landscape whereas Maitland overemphasized the proprietary characteristics of these actions, "working as it were backwards from Bracton." Milsom returned to his challenge of the Maitland view in his important scholarly monograph on feudalism. While prepared to acknowledge that feudalism had indeed begun to decline during the reign of Henry II, Milsom declined the Maitland view that Henry II had consciously attempted to defeudalize the law: "Great things happened; but the only intention behind writ of right, mort d'ancestor, and novel disseisin was to make the seignorial [feudal] structure work according to its own

consideration

assumptions." This revised view of the has not been seriously challenged.

course

of English

feudalism A reviewer of the first edition of Milsom's Historical Foundations predicted that it would "come to be placed beside Holdsworth and Plucknett as one of the great post-Maitland contributions to the study of the history of the common law." Milsom did not here set out to cover the whole field of the common law; indeed this would not have been compatible with his aim, which was "to give a single picture of the of the common law." The two substantively influential sections of the book concern "property in land" and and it is these, perhaps more so than the other parts, that have challenged certain widely-held orthodoxies, a theme suggested in the introductory essay to Pollock and Maitland the previous year and to which Milsom was to return again in his Maitland lectures. Although intended "to draw the main outlines of the subject," the book's sophisticated and style, a hallmark of all Milsom's work, demands a considerable familiarity with the subject matter before it can be tackled with profit. For this, one can fortunately turn to Milsom's equally well-known pupil, John H. Baker. Milsom's distinctive contribution to English legal historical scholarship is not restricted to his books. His illuminating and scholarly articles on such diverse topics as "trespass," "sale of goods in the 15th-century," "reason in the development of the common law," "law and fact in legal development," and "the nature of Blackstone's achievement," appeared in the leading English law journal, the Law Quarterly Review and elsewhere. Several of these were gathered together and published in one volume as Studies in the History of the Common

development "obligations"

epigrammatic

separately Law

(1985). STEPHEN D, GIRVIN

-

-

scholarship,

introduction

See also

Legal

Biography Stroud Francis Charles Milsom Born 2 May 1923 Educated at Charterhouse School; Trinity College, Cambridge, MA 1948 Called to the Bar, Lincoln's Inn, 1947. Commonwealth Fund fellow, University of Pennsylvania , 1947-48 ; fellow/lecturer, Trinity College , Cambridge , 1948-55 ; tutor/fellow/dean, New College , Oxford , 1956-64 ; professor of legal history, University of London, 1964-76, and Cambridge University, 1976-90 ; fellow, St. John's College , Cambridge , from 1976 Queen's Counsel, 1985. Married Irène Szreszewski, 1955. .

.

.

.

accession

Principal Writings Editor, Novae Narrationes 1963 Theodore Frank Thomas Plucknett, 1897-1965 1965 Editor, The History of English Law by Frederick Pollock and F. W, Maitland 1968 Historical Foundations of the Common Law 1969 2nd edition 1981 The Legal Framework of English Feudalism 1976 ,

,

,

,

,

,

,

F.W. Maitland , 1982 Studies in the History of the Common Law , 1985 Editor with J. H. Baker, Sources of English Legal History: Private Law to 1750 , 1986

Further Reading Baker J. H. and D. E.C. Yale A Centenary Guide to the Publications of the Selden Society London : Selden Society 1987 ,

,

,

,

,

Hudson , John ,

Century

"

Milsom's Legal Structure: Interpreting Twelfth-

Law,"

Tijdschrift

voor

Rechtsgeschiedems

59

( 1991 ),

47 66 -

" Palmer, Robert C , The Feudal Framework of English Law," Michigan Law Review 79 ( 1981 ), 1130 64 " Palmer, Robert C. , The Origins of Property in England," Law and Review History 3 ( 1985 ), 1 50 -

-

Mito School The Mito school (Mitogaku) was a Japanese school of moral, and political thought sponsored by the daimyō (barons) of the Mito domain (present-day Ibaraki Prefecture in central Honshu) during the Tokugawa period (1603-1868). These daimyō belonged to a branch of the ruling Tokugawa family of shoguns and therefore promoted scholarship which, like that of the rival Hayashi school, was designed to the existing political order. However, the Mito scholars were more inclined to produce historical writing in which were strictly judged according to neo-Confucian moral standards. The school was founded in 1657 by the second daimyō of the Mito domain, Tokugawa Mitsukuni (1628-1700), who invited Japanese and Chinese scholars to his mansion in Edo {modern Tokyo) to compile a comprehensive history of Japan from the earliest times. By Mitsukuni's death more than 130 scholars had participated in the effort, which absorbed about one-third of the domain's annual budget. Mitsukuni was the third son of the first Mito daimyō, who passed over both him and the first son (Mitsukuni's full brother) in favor of a son by a different mother when determining the succession. With the death of this half-brother, however, Mitsukuni was made heir. Guilt-stricken by his (over his elder brother who should have been chosen under Confucian rules of precedence), Mitsukuni began to study the Chinese historical texts that specified appropriate moral behavior. This was the inception of the Dai Nihon shi (History of Great Japan) project; it eventually consisted of 397 volumes, and was completed only in 1906. Rooted in Mitsukuni's own soul-searching, this and other projects of the Mito school were intended to awaken in the national military government a commitment to self-rectification. Among the noted scholars involved in the first stage of compilation (to 1720) were the Chinese exile Shu Shunsui (1600-82), a scholar of the Zhu Xi [Chu Hsi] school; Asaka

historical,

legitimize individuals

biological

selection

Tanpaku (1656-1737); Kuriyama Senpo (1671-1706); Miyake Kanran (1674-1718); and Mitsukuni's heir Tokugawa Tsunaeda (1656-17x8). These scholars followed the format of official Chinese histories, including in the Dai Nihon shi annals, biographies, treatises and charts, and combining neoConfucian ethical and historiographical principles with native Shinto influences. The divine origins of the imperial institution are assumed in this work, and the imperial regalia are invested with mystical significance. Nevertheless, the emperors are depicted as having "lost the Mandate of Heaven" from the 14th century. The Tokugawa leaders, descended from a branch of the imperial line, had, like the Ashikaga and Minamoto shoguns before them, inherited this mandate.

The treatises (ronsan) explicitly indicated the historian's judgment about a particular event. These judgments were conspicuously absent from the Hayashi school project, Honcho tsugan; they provided a distinctive moralistic tone to the first version of the Dai Nikon ski, covering the period to the early 15th century, presented to the shogunate in 1720. Most of the treatises were written by Asaka; on his death the historical work fell into abeyance until it was resumed under the of Tachihara Suiken (1744-1823) in 1786. Thereafter the school was torn by factional quarrels, in which Fujita Yūkoku (1774-1826), his son Fujita Tōko (1806-55), and the daimyō Tokugawa Harutoshi and Nariaki played important roles. During this "later period" of the Mito school, its scholars shifted their attention from moral commentary on the past to examination of laws and institutions. Asaka's ronsan were deleted from the Dai Nihon ski text at the request of Fujita Yūkoku, on the grounds that Mitsukuni had never authorized them. During a period of extraordinary internal stresses, and military pressure from Western countries, Mito school scholars came to emphasize the need for major political change to protect the national polity (kokutai), and to re-articulate a vision of Japan as the "country of the gods" (shinkoku). Thus what had originated as a school for historical inquiry became transformed into a hotbed of antiforeign activism, particularly following the signing of the unequal treaties with Western powers in the 1850s.

leadership

GARY P. LEUPP See also Arai;

Further

Japan

Reading

"

Blacker, Carmen , Japanese Historical Writing in the Tokugawa Period ," in William G. Beasley and Edwin G. Pulleyblank , eds., Historians of China and Japan , London : Oxford University Press , 1961 Koschmann , J. Victor, The Mito Ideology: Discourse, Reform, and Insurrection in Late Tokugawa Japan, 1790-1864 , Berkeley : University of California Press , 1987 Nakai , Kate Wildman , " Tokugawa Confucian Historiography: The Hayashi, the Early Mito School, and Arai Hakuseki ," in Peter Nosco , ed., Confucianism and Tokugawa Culture , Princeton : Princeton University Press , 1984 Webb , Herschel , " What Is the Dai Nihon Shi? " Journal of Asian Studies 19 (1960 ), 135 49 -

Mitre, Bartolomé Argentine

1821-1906

historian

Like most Latin American historians of the 19th century Bartolomé Mitre participated in a variety of other careers and, in fact, his political and military activity overshadowed his historiographic work for a time. He also worked as a while in exile in Chile and after he returned to his home in Argentina he was elected president. As an officer he was naturally interested in military leaders and his first work in 1859 was a 2-volume biography of General Manuel Belgrano, an outstanding leader in the Argentine independence struggle. The laudatory nature of the biography led Mitre into two

journalist

historiographic polemics

not

only revolving around his

treatment of Belgrano but also how history should be written. on

The Argentine scholar Dalmacio Velez Sarsfield took exception to Mitre's argument that Belgrano virtually had to drag the people to the battlefield to get them to support independence. Velez charged that this view was based on only one letter Belgrano wrote to a friend during the struggle and that it was not supported by other evidence. Velez and others charged that the people of Argentina were committed to independence and leaders like Belgrano were of secondary importance to the acquisition of freedom. This charge led Mitre to insist that his critics were moved more by emotion than by careful He maintained that biography and history had to be based on documents that were compared and tested and winnowed until the final truth was found. He reiterated that he had used primary documents and tested them against other evidence such as oral tradition, whereas Velez relied upon myths and stories passed on from the independence age that went untested. But when Velez continued his charges in subsequent articles Mitre broadened the debate. He claimed that Velez had now introduced the concept that the mass of the Argentine population had won the independence struggle alone without the guidance of a group of educated, elite leaders. Mitre argued that, historically, in any military encounter it required both the leaders and the fighting men to achieve victory. Therefore, he could not Velez's attempt to belittle the efforts of Belgrano and other officers. Velez countered that Mitre simply gave too much credit to Belgrano and too little to the fighting men who confronted the Spanish on the battlefield. Despite their differences on historiographic method, both Mitre and Velez had opened a discussion that influenced later historians in Argentina by emphasizing careful examination of primary materials. Beyond that, Velez ultimately conceded that Mitre's book on Belgrano was the best account of that period of Argentine history despite his slighting the Argentine people who fought in and supported the war. For his part Mitre insisted to the conclusion of the polemic that he had used primary sources and that he never encountered any other that contradicted his position on Belgrano or on Argentine society. Both men expressed the hope that their differences would aid the development of Argentine historiography. In a later polemic in 1881 and 1882 Mitre clashed with Vicente Fidel López while both were in exile in Chile. This discussion was more impassioned and the participants were more willing to use harsh language to attack each other. Once again the crux of the argument was Mitre's biography of Belgrano. Mitre reverted to his insistence that history had to be written from a careful screening of primary documentation. This time he was more critical of his opponent whom he as using too few tested documents and relying instead on ideas and concepts that López already held when he his histories. This historiographical technique Mitre came to call philosophical history. In the heat of this discussion Mitre also criticized a number of other Argentine historians for the same methodology. López argued that this public criticism of him and his countrymen was unforgivable. If he wished to another's work Mitre should have done it personally and certainly not in a foreign journal or with a foreign publisher, in this case Chilean. Nationalism was a powerful force to which

scholarship.

patriotic

economically significant understand

documentation

characterized initiated

criticize

Mitre also

subscribed, but true history was, for him, more important. López argued that Mitre's history was too detailed and too bound to the documents. Lopez's view was that such history was uninteresting and that the reader could glean much more about his country's history if the work were readable and exciting. Style, therefore, was an important ingredient which Mitre relegated to a level below painstaking research in documents. Mitre insisted that Lopez wrote his histories from the works of others, with only a modicum of primary research. His chief concern was that Argentine historiography was not yet ready for that type history when so much basic research he did not object to writing philosophical was still required history so long as it was based on fact. His complaint was with those histories that were based on too little primary research at a time when there was still so much yet to learn of a basic nature. After some 800 pages written by each man, Argentine was the primary beneficiary. From this clash of ideas Argentines could clearly evaluate two different types of historical method, archival research and synthesis on the one hand and analysis of secondary sources on the other. This was one of Mitre's great contributions to Argentine historiography. His adversaries too must be praised for their contribution, but the historiographic polemics centered around Mitre's book on the role of General Belgrano in the Argentine independence wars. -

historiography

JACK See also

Argentina;

RAY THOMAS

National; Levene; Scobie

Latin America:

Biography Aires, 1821 Graduated from a military academy, Montevideo, 1839. Involved in independence movements in Uruguay Bolivia, Peru, and Chile. Director, Bolivian Military Academy, 1849 ; journalist in Chile; fought in Uruguayan battle of Caseros 1852 ; governor, Buenos Aires Province,1860; opposition to Urquiza resolved with Mitre's battlefield victory Pavón, 1861 ; president, unified Argentine Republic 1862-68 ; unsuccessful rebellion after election defeat led to capture and imprisonment, but later pardoned, 1874 Founder, La Nación newspaper, 1870. Died Buenos Aires, 1906. Born Buenos

.

,

,

,

,

.

Principal Writings Belgrano y de la independencia argentina (History of Belgrano and of Argentine Independence ), 1859 Historia de San Martin y de la emancipación sudamericana 3 vols., 1887-90 abridged in English as The Emancipation of South America 1893 Archivo del general Mitre (Archive of General Mitre ), 2.8 vols., Historia de

,

,

,

1911-14

Obras

completas ( Complete

Further

Works ), 18 vols., 1938-72

Reading

Acuña , Ángel , Mitre historiador ( Mitre Historian ), 2 vols., Buenos Aires : Coni , 1936 " Barager, Joseph R. , The Historiography of the Rio de la Plata Area since 1830," Hispanic American Historical Review 39 ( 1959 ),

587 642 -

"

Burns , E. Bradford, Bartolomé Mitre: The Historian as Novelist, The Novel as History ," Inter-American Review of Bibliography 32 ( 1982 ), 155 67 Caillet-Bois , Ricardo Rodolfo , El americanismo de Mitre y la crítica histórica , Buenos Aires , 1971 -

Carbia , Rómulo D. , Historia crítica de la historiografía argentina desde sus orígenes en el siglo XVI ( Crìtical History of Argentine Historiography from its Origins in the 16th century ), Buenos Aires : Lopez , 1939 Jeffrey, William , Mitre and Argentina, New York : Library Publishers , 1952 Levene , Ricardo , Las ideas históricas de Mitre ( The Historical Ideas of Mitre ), Buenos Aires : Coni , 1940 Levene , Ricardo , Los estudios históricos de la juventud de Mitre ( Historical Studies of the Young Mitre ), Buenos Aires : Emece , 1946 Pia , Alberto J. , Ideología y método en la historiografía argentina ( Ideology and Method in Argentine Historiography ), Buenos Aires : Nueva Vision , 1972 Robinson , John L. , Bartolomé Mitre, Historian of the Americas , Washington, DC : University Press of America , 1982 .

Momigliano, Arnaldo

1908-1987

Italian ancient historian

Every historian has a favorite vehicle, and for Arnaldo Momigliano it was the lecture or essay, a piece of brief compass in which he could raise very general questions. This was clear even in his first book, a study of the emperor Claudius that was really a series of essays. Published in Italian in 1932, it already revealed many of the characteristics of Momigliano as a mature scholar: a taste for pithy aphorisms, an extraordinary control of modern scholarship, an interest in Judaism, and a quality of being responsive to his surroundings; it may not be accidental that a book published after a decade of fascist power culminated in a discussion of Claudius' policy of centralization. But as time passed, particularly after Momigliano's migration to England in 1939, it became apparent that his interests were far broader than those of a conventional ancient historian. While he would always remain at home in the world of classical studies, being a contributor to both the first and second editions of the Cambridge Ancient History, it eventually became clear that his interests were far broader than those of conventional historians of the ancient world. One result of his coming to live in England was the of contacts with the Warburg Institute in Bloomsbury, which had been founded for the study of cultural and history in 1921. These bore fruit in 1963 with the of a series of lectures he had arranged, The Conflict Between Paganism and Christianity in the Fourth Century. Momigliano contributed an introduction to the volume in which he reopened the old question of the connection between the rise of Christianity and the decline of the Roman empire. He argued that as the church developed into a powerful it undermined the empire. The case he developed showed lightness of touch and an ability to offer novel hypotheses based on mastery of a huge body of scholarship. These qualities were also displayed in a classic paper "The Fault of the Greeks," in which he suggested that the Greeks were less interested in other peoples than were the Jews and Romans with whom they shared the Hellenistic world, and that this had massive consequences for the way the West has looked at other cultures. A man of breadth of vision, Momigliano had a genuine passion for the life of the mind. He was fascinated by the western historiographical tradition, and moved with assurance among the works of historians from Herodotus to those of his

developing

intellectual publication

structure

contemporaries writing in half a dozen languages. It was a degree of knowledge that lent itself to displays of erudition and to a love of detail which led one distinguished Roman historian to refer to him as a pedant. While some of his published work had a slender footnote apparatus, there is no mistaking the learning behind it, while the piling up of in his more heavily documented work can certainly alarm beginners. But it can also open new horizons. His uncanny ability to use the particular and the general to illuminate each other was seen to great advantage in a lecture read before the British Academy in 1955, a monumental paper on the 6thcentury author Cassiodorus which summed up centuries of scholarship. Beginning with an unforgettable throwaway sentence ("When I want to understand Italian history I catch a train and go to Ravenna"), Momigliano went on to offer a novel hypothesis on the relationship between Cassiodorus and Jordanes which continues to provoke discussion. In one of his most influential essays, an analysis of Edward Gibbon, Momigliano remarked that the work of this scholar combined two different traditions which had developed by his time, the learning of the antiquarian érudits and the broad interests of philosophical historians. It was a comment that could have been applied to himself with equal force. The mixture of an exhilarating depth of scholarship with the most provocative broad ideas will continue to challenge and inspire.

references

JOHN See also

Poliakov;

MOORHEAD

Roman

Biography Arnaldo Dante Momigliano

Born Caraglio (Cuneo), Italy, 5 September 1908, to Jewish intellectual family. Studied with Gaetano De Sanctis University of Turin, received degree 1929. Taught at University of Rome, 1931-36; professor of Roman history, University of Turin, 1936-38: dismissed under Mussolini's race laws. Moved to England and lived in Oxford 1939-47 ; taught at University of Bristol 1947-51 ; professor of ancient history, University College, London, 1951-75. Married Gemma Segre, 1932 (1 daughter). Died London, 1 September 1987 .

,

,

,

.

Principal Writings Prime lìnee di storia della tradizione Maccabaica ( Outlines of the History of the Maccabaean Tradition ), 1930 , reprinted 1968 L'opera dell'imperatore Claudio , 1932 ; in English as Claudius the Emperor and His Achievement, 1934 Filippo il Macedone, saggio sulla storia greca del 4 secolo AC ( Philip of Macedon: Essay on Greek History in the 4th Century BC ), 1934 ,

reprinted 1987

Contributo alla storia degli studi classici , 9 vols, to date, 1955- ; selected essays in English as Essays in Ancient and Modern

Historiography

1977

,

Editor, The Conflict Between Paganism and Christianity Fourth Century 1963

in the

,

Studies in Historiography , 1966 The Development of Greek Biography, 1971 ; expanded 1993 Alien Wisdom: The Limits of Hellenization , 1975 The Classical Foundations of Modern Historiography , 1990

Further

Reading

Bowersock , Glen Warren , and Tim J. Cornell , eds., A.D. Momigliano: Studies on Modern Scholarship , Berkeley : University of California Press , 1994

" Arnaldo Dante Momigliano ," Proceedings of the British Academy , 74 ( 1988 ), 405 42 Crawford , Michael H. , and C. R. Ligota , eds., Ancient History and the Antiquarian: Essays in Memory of Arnaldo Momigliano , London : Warburg Institute , 1995 Dionisotti , Carlo , Ridordo di Arnaldo Momigliano ( Recollections of Arnaldo Momigliano ), Bologna : Mulino , 1989 Rivista Storica Italiana 100 ( 1988 ) [special issue) Steinberg , Michael P. , ed., The Presence of the Historian: Essays in Memory of Arnaldo Momigliano , Middletown, CT: Wesleyan University Press , 1991

Brown , Peter,

-

Mommsen, Hans

1930-

German historian Hans Mommsen is one of the leading German historians of the 20th century. Mommsen, who has held a chair for modern history at the Ruhr-Universität Bochum since its foundation, has made his scholarly contribution in 20th-century German history. Based on his rigorous analysis of this era, Mommsen has also become one of the leading political figures of the

republic. early work Mommsen addressed the history of the working class, both as an interest group itself, and also as a group of actors on the larger political stage. Arbeiterbewegung und nationale Frage (The Labor Movement and the National Question), a collection of Mommsen's essays published in 1979, German

In much of his

represents the culmination of his research in this area. Mommsen's growing interest in the fate of the working class and its political and union representation during the National Socialist period led him to become an expert on the Third Reich. During the 1960s, Mommsen worked with Martin Broszat of the Institute of Contemporary History, Germany's foremost research institution for the history of National Socialism. Broszat and Mommsen were among the first to reveal the between the historical evidence on the one hand and on the other the totalitarian model of National Socialist rule and its intentionalist approach to the Holocaust. Mommsen himself developed the concept of the "weak dictator" to show the limited role that Hitler as a single individual played in the catastrophe of the Third Reich. Mommsen showed how broad-ranged complicity and even apathy among various social groups contributed to the development of National Socialist rule. Mommsen's first significant work in this regard was Beamtentum im Dritten Reich (The Institution of the Civil Service in the Third Reich, 1966). Mommsen's insistence on clear historical proof as the basis of any discussion about the Third Reich has done much to limit contemporary ideological abuse of the Third Reich. For example, Mommsen was the first historian to defend Fritz Tobias' work on the Reichstag fire of 1933. In "Der Reichstagsbrand und seine politischen Folgen" (The Reichstag Fire and Its Political Consequences, 1964), Mommsen argued convincingly against both right- and left-wing conspiracy While Tobias proved the historical case that a lone arsonist set the fire, it was Mommsen who addressed the political implications of Tobias' findings by showing the political capital at stake in dismantling the myths that had arisen around the fire.

contradictions -

-

theories. contemporary

Mommsen has also

published extensively

on

the social

this he of the composition of differentiated contributed much German resistance to Hitler. In

area, too,

more to a has understanding the role both of former labor leaders and of different circles within the conservative resistance. Mommsen has preferred publishing essays rather than larger works. On the occasion of his 6oth birthday, many of his most important essays were collected in Der Nationalsozialismus und die deutsche Gesellschaft (1991), some of which have been translated in From Weimar to Auschwitz (1991). In his history of the Weimar republic, Die verspielte Freiheit (1989; The Rise and Fall of Weimar Democracy, 1996), Mommsen argues that the conflict between conservatives and socialists caused the republic's collapse, for which he ultimately blames the conservatives. Unlike most Anglo-American historians, German historians play a significant role in public discourse and Mommsen is no exception. Through his essays, which are frequently published in popular journals and newspapers, he has contributed much to maintaining a vibrant dialogue about the lessons on to be learned from the first fifty years of the 20th century. Mommsen displays a healthy if un-German distrust for the personified state. In the Historikerstreit, the debate about historicizing the Holocaust and the National Socialist regime, Mommsen deftly undermined arguments from both extremes. Rejecting the efforts of conservative politicians and historians to "close the books" on the period, in Auf der Suche nach historischer Normalität (In Search of Historical Normalcy, 1987), Mommsen argued that only a continuing dialogue with the past could provide the basis for a healthy, ever-evolving national identity. The goal should not be the creation of a "usable," consensus-driven German past. For Mommsen, a vigilant citizenry is the only sure defense of democracy. Thus, any tendency toward complacency or toward government's detachment from the people suffers harsh criticism at the hands of this combative political thinker. In a recent Festschrift for Mommsen, published on the occasion of his 65th birthday, Von der Aufgabe der Freiheit: politische Antwortung und bürgerliche Gesellschaft im 19. und 20. Jahrhundert (The Task of Freedom: Political Responsibility and Civil Society in the 19th and 20th Centuries), leading German historians and public figures paid tribute to Mommsen as an important if practitioner of his craft and a model of the historian

democracy

uncomfortable as

citizen. MARTIN R. MENKE

See also Broszat; Germany: 1800-1945

Biography Born Marburg , 5 November 1930 , s on of historian Wilhelm Mommsen and twin brother of historian Wolfgang J. Mommsen Studied history, German language, and philosophy at universities of Marburg, Tübingen, and Heidelberg; PhD, University of Tübingen, !959- Taught at Tübingen, 1960-61, Heidelberg, 1963-68, and Bochum, from 1968. Married Margaretha Reindl, 1966 .

.

Principal Writings Die Sozialdemokratie und die Nationalitätenfrage im kabsburgischen Vielvölkerstaat ( Social Democracy and the Nationalities Question in the Multi-Ethnic Hapsburg Empire ), 1963

"

"

Reichstagsbrand und seine politischen Folgen (The Reichstag Fire and Its Political Consequences), Vierteljahreshefte für Zeitgeschichte 12 ( 1964 ), 351 413 Beamtentum im Dritten Reich: Mit ausgewählten Quellen zur nationalsozialistischen Beamtenpolitik (The Institution of the Civil Der

-

Service in the Third Reich: With Selected Sources on National Socialist Civil Service Policy ), 1966 Editor with Dietmar Petzina and Bernd Weisbrod , Industrielles System und politische Entwicklung in der Weimarer Republik ( Industrialism and Political Development of the Weimar

Jansen Christian Lutz Niethammer and Bernd Weisbrod eds., Von der Aufgabe der Freiheit: politische Antwortung und bürgerliche Gesellschaft im 19. und 20. Jahrhundert: Festschrift für Hans Mommsen zum 5. November 1995 ( The Task of Freedom: Political Responsibility and Civil Society in the 19th and 20th Centuries ), Berlin : Akademie 1995 Niethammer Lutz and Bernd Weisbrod eds., Der Nationalsozialismus und die deutsche Gesellschaft: Ausgewählte Aufsätze ( National Socialism and German Society: Selected Essays ), Reinbek : Rowohlt 1991 ,

,

,

,

,

,

,

,

,

Republic ), 1974 Editor, Sozialdemokratie zwischen Klassenbewegung und Volkspartei ( Social Democracy Between Class Movement and Populist Party ), 1974

Editor, Arbeiterbewegung und industrieller Wandel: Studien

gewerkschaftlichen Organisationsproblemen

zu

im Reich und an der

Ruhr ( Labor Movement and Industrial Change: Problems in Union Organizing in the Reich and in the Ruhr ), 1978 Klassenkampf oder Mitbestimmung: zum Problem der Kontrolle wirtschaftlicher Macht in der Weimarer Republik ( Class Struggle or Co-Determination: Issues in Controlling Economic Influence the Weimar Republic ), 1978 Arbeiterbewegung und nationale Frage: Ausgewählte Aufsätze ( The Labor Movement and the National Question: Selected Essays ), 1979

Normalcy ), 1987 Editor with Susanne Willems , Herrschaftsalltag im Dritten Reich: Studien und Texte ( Everyday Rule in the Third Reich: Studies and Texts ), 1988 Die verspielte Freiheit: der Weg der Republik von Weimar in den Untergang, 1918 bis 1933 , 1989 ; in English as The Rise and Fall Weimar

Democracy 1996 ,

Der Nationalsozialismus und die deutsche

Gesellschaft, 1991; English as From Weimar to Auschwitz: Essays in German History 1991 Editor with Wolfgang Benz and Hans Buchheim Der Nationalsozialismus: Studien zur Ideologie und Herrschaft ( Studies in National Socialist Ideology and Rule ), 1993 Editor with Jiíí Kofalka Ungleiche Nachbarn: demokratische und nationale Emanzipation bei Deutschen, Tschechen und Slowaken (¡815-1914) ( Unequal Neighbors: Democratic and National Emancipation of Germans, Czechs, and Slovaks, 1815-1914),

abridged

1817-1903

German historian of the ancient world Theodor Mommsen was an extraordinarily productive and wide-ranging scholar. The Protestant pastor's son from Schleswig loyally trained as a jurist at the nearby University of Kiel, and his dissertation in Roman law and history attracted favorable attention at once. But he worked harder in his courses with Otto Jahn and with Jahn and his own brother Tycho published some passable lyric poetry. He was especially gifted as a writer of prose: his scholarly bibliography lists 1500 items and, in 1902, his Römische Geschichte (1854-56; The History of Rome, 1864-75), though long in print, won the Nobel prize for literature. Mommsen had, really, two academic careers. First, he was a professor of Roman law at Leipzig and after his dismissal on political grounds after at Zürich and Breslau. Then, because of his 1848 work with Roman inscriptions, he was appointed of Roman history at the University of Berlin. A numismatist of distinction, Mommsen was also a talented administrator: he knew how to initiate and manage large-scale, long-term academic projects, specifically in the collection and study of ancient insciptions, the location and study of Roman coin hordes in Germany, and the study of the Roman limes the wall and forts at the northern limit of Roman territory in Germany, Mommsen himself labelled such projects "large-scale scholarship" (Grosswissenschaft). He was also an active liberal in 1848 and later in the Chamber of Deputies in Prussia. Prusso-German liberals tended to moderation, and although Mommsen applauded Bismarck's application of force to German unification, he more often criticized than condoned Bismarck's policies. Thus, Mommsen helped found the leftliberal Progressive party (Fortschrittspartei) and energetically defended Jews against his famed colleague Heinrich von Treitschke. He conducted the defense in print, and resigned his secretaryship in the Prussian Academy of Sciences when Treitschke's membership at last became inevitable. The renewal of Mommsen's reputation in post-1945 Germany resulted in large part from his modeling of a decent, liberal political career. Mommsen was decent beyond any doubt, but his political attitude was not very different from his colleagues'. He merely swam on the left side of the main stream, and by his own declaration was no philo-Semite. Jews as citizens deserved defense from abuse, and Mommsen paid them the odd compliment of claiming that in 19th-century Germany they could again do what they had done for Julius Caesar, namely act as the "ferment of decomposition" by old loyalties and undercutting particularism. In private

southern

philology -

-

Editor with Ulrich Borsdorf, Glück Auf, Kameraden! Die Bergarbeiter und ihre Organisationen in Deutschland (Good Luck, Comrades! Miners and Their Organizations in Germany ), 1979 Editor with Winfried Schulze , Vom Ellend der Handarbeit: Probleme historischer Unterschichtenforschung ( Concerning the Misery of Piece-Work: Problems in Conducting Historical Research about the Underclass ), 1981 Editor with Isabella Acker and Walter Hummelberger, Politik und Gesellschaft im alten und neuen Österreich: Festschrift für Rudolf Neck zum 60. Geburtstag ( Politics and Society in the Old and the New Austria: Festschrift for Rudolf Neck on the Occasion of his 60th Birthday), 2 vols., 1981 Auf der Suche nach historischer Normalität: Beitrage zum Geschichtsbildstreit in der Bundesrepublik (In Search of Historical

of

Mommsen, Theodor

in

,

,

,

1993 "

"

Adolf Hitler und der 9. November 1923 ( Adolf Hitler and the 9th of November 1923 ), in Johannes Willms , ed., Der 9. November: Fünf Essays zur deutschen Geschichte, 1994 Widerstand und politische Kultur in Deutschland und Österreich ( Resistance and Political Culture in Germany and Austria ), 1994

Further Reading "Einleitung" (Introduction), in Lutz Niethammer and Bernd Weisbrod eds., Der Nationalsozialismus und die deutsche Gesellschaft: Ausgewählte Aufsätze ( National Socialism and German Society: Selected Essays ), Reinbek : Rowohlt 1991 ,

,

-

-

distinguished professor

-

political

fellow

subverting

he admitted what was implicit in his public ultimately Jews would have to cease to be Jews in order to become Germans. This was a logical conclusion from his basic political premise. Modern men he did not think of were properly members of selfwomen as full citizens free, yet powerful nation-states. Their citizenries governing, therefore required a high degree of national homogeneity. He wrote history, in good part, to train such a citizenry; and the history that won him a popular reputation (and his Nobel prize) was his The History of Rome. This work, which is now a classic and was an almost immediate success, is a product of an age when synthetic histories graced the homes of educated middle-class families who sometimes read them. Mommsen had these readers in mind when, in the political reaction after 1848 he published volumes 1, 2, and 3 in, 1854, 1855, and 1856. (He never completed his projected volume 4 on the age from Augustus to Diocletian, though curiously in 1885 he published a masterful volume 5 on the Roman provinces.) When he conceived and wrote the first three volumes, Mommsen was still a law professor in his early thirties. He was also a recently disappointed political advocate. Like other disappointed liberal nationalists in those years, he saw the need to ready Germany for its historical future by writing for its vicarious political instruction a narrative history that was intellectually rigorous yet readable and accessible to the lay public. Droysen and Sybel in particular charted this path. Mommsen's mastery of prose style and knowledge of Latin sources let him perform this task with distinction, even though he did not much consult the work of other recent scholars. The History of Rome is a work of limpid, graceful prose, marked by meticulous and persuasive personality sketches of major actors in an account of political and cultural history. The hostile sketches of Cicero as an empty, ineffectual and of Caesar as idealistic opportunist are genial whether right or not. That is why they remain the most read pages that Mommsen wrote. He intended these sketches as political education not in some crude allegory whereby Cicero simply stood for 1848 liberal chatterboxes and Caesar for Bismarck. Mommsen did not write crudely and, in any case, his opinion of Bismarck was not very flattering, just as his sense of self-reproach as an 1848 liberal was not very intense. He wanted to educate by making Germans understand how politics worked. That meant knowing why a Caesar won. Moreover, the Roman principate, as Mommsen saw, was not a "dyarchy" of princeps and Senate but the rule of the princeps at most helped by the Senate. Caesar was justified as the creator of the coming thing. Mommsen did not believe in fighting historical success. Despite this strongly political bent, he did not wish partisanship to overcome scholarship. It was Mommsen who made current the demand for "presuppositionless scholarship" (vorraussetzungslose Wissenschaft) while defending a colleague against dismissal on religious grounds. Mommsen's reputation with his colleagues rested less on The History of Rome than on his more specialized, more works in addition, of course, to the large-scale, projects that he launched, joined in, and superintended. These included a series of published collections of Roman inscriptions. The earliest of these, the 1852 Inscriptiones regni

correspondence utterances:

-

-

respectively, -

Neapolitani Latinae was instrumental in establishing firmly his academic reputation. There are, in addition, the many essays and articles gathered in the topically organized eight volumes of the Gesammelte Schriften published between 1905 and 1913. His most important purely scholarly work was his Römisches Staatsrecht (Roman Constitutional Law). He published this huge, technical work section by section and volume by volume between 1871 and 1888 and then issued it in a revised, edition in 1893. The work is clearly written, and systematic. As such, it displays Mommsen's celebrated though occasionally criticized power to abstract. Roman law, after all, was made piece by piece, and the Roman codifications came late and after the fact. Mommsen, however, was able to find and express an inner coherence in Roman law that let him infer a Roman constitution from its bits and pieces. The result, arguably, is an inferred clarity and consistency greater than what original Roman institutions actually possessed.

complete

comprehensive,

ROBERT FAIRBAIRN SOUTHARD

-

phrasemaker

monographic ongoing -

Germany: to 1450; Meyer; Niebuhr; Pekař; Religion; Roman; Syme; Wilamovitz-Möllendorff See also Beloch; Delbrück;

Biography Christian Matthias Theodor Mommsen. Born Garding, SchleswigHolstein, 30 November 1817 , son of a Protestant minister. Studied at the Gymnasium Christianeum Altona; University of Kiel, 1838-44 Traveled in Italy, 1844-47. Professor of law, University of Leipzig , 1848-51; University of Zurich , 1852-54 ; and University of Breslau , 1854-58 ; professor of Roman history, University of Berlin , .

1858-1903. Appointed editor-in-chief, Corpus Inscriptionum Latinarum, 1858 Member, Prussian Chamber of Deputies. Awarded Nobel prize for literature, 1902. Married Marie Reimer, 1854 children). Died Charlottenburg, near Berlin, 1 November 1903 (16 .

.

Principal Writings Editor,Inscriptiones regni Neapolitani Latinae 1852 Römische Geschichte 3 vols., 1854-56 in English as The History of Rome 4 vols., 1864-75 ; vol. 5 as Die Provinzen von Caesar his Diocletian, 1885, in English as The Provinces of the Roman Empire from Caesar to Diocletian 1886 Römisches Staatsrecht ( Roman Constitutional Law ), 3 vols., 1871-88 ; revised 1893 Römisches Strafrecht ( Roman Penal Law ), 1899 Gesammelte Schriften ( Complete Writings ), 8 vols., 1905-13 ,

,

,

,

,

Further Reading "

Theodor Mommsen ," in his Von Gibbon zu Leben und Werk führender Althistoriker der Neuzeit ( From Gibbon to Rostovtzeff: Lives and Work of the Leading Ancient Historians of Modern Times ), Darmstadt : Wissenschaftliche Buchgesellschaft , 1972 Heuss , Alfred , Theodor Mommsen und das 19. Jahrhundert ( Theodor Mommsen and the 19th Century), Kiel : Hirt , 1956 Wickert , Lothar, Theodor Mommsen: Eine Biographie ( Theodor Mommsen: A Biography), 4 vols., Frankfurt : Klostermann , Christ , Karl ,

Rostovtzeff:

1959-80 Wucher, Albert , Theodor Mommsen: Geschichtsschreibung und Politik ( Thedor Mommsen: Historian and Politics ), Göttingen : Musterschmidt , 1956

Mommsen, Wolfgang J.

1930-

German historian

Throughout

his

long

and

distinguished

academic

career

produced an extensive body of work that defies any evident categorization. As a historian, he traditional barriers between social, economic, political, and intellectual history; between continental and British history; between 19th- and 20th-century history; even between history and political philosophy. The result of this constant diffusion of interest and experimentation with new areas of Wolfgang J.

Mommsen

transcended

research has been work of both remarkable breadth and

fascinating depth, by methodological clarity interpretive originality. characterized

and

Mommsen's contribution to the study of 19th- and 20thcentury history is attested by the diversity of his themes. His writings have covered such areas as modern German history, imperialism, Max Weber, trade unionism, social protest, and appeasement. In spite of his initial emphasis on German history, he also developed an interest in comparative analysis, either by collating the British and the German models of development or by assessing the impact of key issues (e.g., social protest, appeasement) throughout Europe. His contribution to the analysis of social institutions has been significant, not simply from a historical point of view but also because of his interest in examining them in the present context and in weighing their future prospects. Mommsen's main area of research has been Bismarckian and Wilheiminian Germany. Among his many writings on this period, the recently published collection Der autoritäre Nationalstaat {1990; Imperial Germany, 1867-1918, 1995) epitomized the key points in Mommsen's analysis of imperial Germany. He emphasized the tension between persisting authoritarian structures of the German state and the of parliamentary politics, highlighting the failure of constitutional arrangements to regulate political change. He also underlined the inherent social and economic of the new state, its inability to respond constructively to the new challenges of mass politics and modernization. Mommsen attached particular importance to the period between 1909 and 1914 as the culmination of all the tensions of unified Germany. He focused his attention on the domestic factors that brought the German state to crisis shortly before the outbreak of World War I. Contrary to the traditional concept of the primacy of foreign affairs, Mommsen argued that the crisis of imperial Germany was mainly a domestic issue. Undoubtedly, lack of program and direction in the Wilheiminian foreign policy aggravated the situation. It was, however, the complete detachment of government from parliament, the ensuing loss of political legitimacy, and the failure of German imperialism to foster economic development or to appease the nationalists that created the domestic and established war as a solution to crisis. In order to complement his social and political analysis of German history until 1914, Mommsen also turned to intellectual history and political philosophy. His editorial work on Intellektuelle im Deutseben Kaiserreich (Intellectuals in the German Kaiserreich, 1993) highlighted the emergence of a new generation of intellectuals in 19th-century Germany who

socioeconomic

introduction contradictions

unresolved

deadlock

questioned traditional concepts of German culture and put forward a more pluralistic model for a German mass society. He also produced a poignant analysis of Max Weber's thought in Max Weber und die deutsche Politik, 1890-1920 (1959; Max Weber and German Politics, 1890-1920, 1984). Mommsen's interest in Weber has not been mainly philosophical. As a he has incorporated Weber's ideas into the political of imperial Germany, assessing their inherent contradictions but uncovering their consistent radical-liberal reasoning as a powerful antidote to the official ideology and politics of the

historian, context

Wilhelminian establishment. Mommsen's interest in modern German history, however, is not confined to the pre-1918 period. He argued that the of 1918 in Germany failed to transform the structures of the state. In spite of the introduction of the republic, the position of traditional elite groups was not seriously challenged. He also co-edited The Fascist Challenge and the Policy of Appeasement (1983), which analyzed Nazi foreign policy in the context of European appeasement. The volume highlighted the willingness of all European powers to "tame" the emerging fascist challenge by granting concessions, in the hope that they would eventually avoid another military conflict. It also located the fundamental flaws in the political and military doctrines of appeasement, arguing instead that the belated adoption of appeasement policies coincided with an unprecedented increase in Germany's military power. In this sense, it was ill-timed, insufficient for the Nazi leadership, and dangerously deceptive for the rest of Europe. The comparative dimension in Mommsen's work is in his research on the development of social institutions in Britain and Germany. In The Emergence of the Welfare State in Britain and Germany, 1850-1950 (1981) he examined how the two countries influenced each other in the construction of welfare state during the 19th and 20th centuries. On a general level, he believed that the comparison between the British and the German models of socioeconomic development was an extremely constructive exercise in comparative history. He also never hesitated to use his historical analysis of welfare state in order to put forward radical ideas about introducing a model of solidarity in the international system, whereby welfare would guarantee aid from rich to developing countries. Mommsen's overall work reflects three major shifts in German historiography. First, as the primacy-of-domestic policy thesis gained ground, Mommsen placed particular emphasis on the domestic factors that influenced policymaking under the Bismarckian, the Wilhelminian, and the Third Reich. Second, by using his experience from the study of imperial Germany to shed light on the problems of interwar Germany, he underlined continuities in German history and contributed to the historicization of the Third Reich. Finally, although Mommsen located certain peculiarities in the German state and society, he treated German history not in isolation from, but in firm with historical developments in the rest of Europe.

revolution

authoritarian

manifested

policies

postwar

connection

ARISTOTLE A. KALLIS See also Labor

Biography Mommsen Born Marburg, 5 November 1930 , son of historian Wilhelm Mommsen and twin brother of historian Hans

Wolfgang Justin

.

Mommsen. Attended University of Marburg 1951-53 ; PhD, University of Cologne, 1958 ; post-doctoral study, University of Leeds, 1959. Taught at University of Cologne 1959-67 ; and University of Düsseldorf from 1968 ; director, German Historical Institute, London, 1978-85 Married Sabine von Schalburg 1965 (3 daughters, 1 son). ,

,

,

.

,

Principal Writings Max Weber und die deutsche Politik, 1890-1910, 19 59 : revised 1974 ; in English as Max Weber and German Politics, 1890-1910 ,

1984 "

German War Aims ," Journal of Contemporary History 1 ( 1966 ), 47 74 " " Die latente Krise des Deutschen Reiches, 1909-1914 ( The Latent Crisis of the German Reich, 1904-1914 ), in Handbuch der deutschen Geschichte, vol. 4: Deutsche Geschichte der neuesten Zeit von Bismarcks Entlassung bis zur Gegenwart, part 1; Von 1890 bis 1933 , 1973 The Age of Bureaucracy: Perspectives on the Political Sociology of Max Weber , 1974 Imperialismustheorien , 1977 ; in English as Theories of Imperialism , The Debate

on

-

1980 Der europäische Imperialismus: Aufsätze und Abhandlungen , 1979 Editor with Wolfgang Mock , The Emergence of the Welfare State in Britain and Germany, 1850-1950 , 1981 Editor with Gerhard Hirschfeld , Sozialprotest, Gewalt, Terror: Gewaltanwendung durch politische und gesellschaftliche Randgruppen im 19. und 20. Jahrhundert, 1982.; in English as Social Protest, Violence, and Terror in Nineteenth- and Twentieth-

Century Europe 1982 ,

.

Editor with Lothar Kettenacker, The Fascist Challenge and the

Policy of Appeasement 1983 ,

Editor with Hans-Gerhard Husung, The Development of Trade Unionism in Great Britain and Germany, 1880-1914 , 1985 Editor with Jürgen Osterhammel , Imperialism and After: Continuities and Discontinuities , 1986 Editor with Stig Förster and Ronald E. Robinson , Bismarck, Europe, and Africa: The Berlin Africa Conference, 1884-1885, and the Onset of Partition , 1988 The Political and Social Theory of Max Weber: Collected Essays ,

1989 Der autoritäre Nationalstaat: Verfassung, Gesellschaft und Kultur des deutschen Kaiserreiches , Frankfurt : Fischer , 1990 ; in English as Imperial Germany, 1867-1918: Politics, Culture, and Society in an Authoritarian State , London and New York : Arnold , 1995 Editor with Gangolf Hubinger, Intellektuelle im Deutschen Kaiserreich ( Intellectuals in the German Kaiserreich ), 1993

Mongol Empire The history of the Mongol empire dates back to 1206 when Temüjin was proclaimed Genghis Khan or Great Khan of all the Mongols, establishing a united Mongol feudal state. The first major studies of the history of the empire were not until the 19th century. Since then practically all have focused mainly on reproducing a narrative of Mongolian history based on various contemporary chronicles, such as Nigucha Tobcbiyan and Yüan ch'ao pi shih (The Secret History of the Mongols, 1982). There have been several areas that have attracted the attention of scholars and given rise to discussion. The first revolved around the social and political organization of the nomadic peoples of the Mongol plain. Soviet and Mongolian historians in Istoriia

undertaken historians controversial

of the Mongolian the unification of different Mongolian tribes was the final stage in the formation of a feudal state on the territory of present-day Mongolia. Boris Vladimirtsov in Obschestvennyi stroi mongolov (The Social System of the Mongols, 1934) and Ralph Fox in Genghis Khan (1936) pointed out that Mongolian feudal lords (noyod), who opted to keep their private herds separately and to lead a nomadic life based around a clan (ayil), required a and powerful state to provide for their security and as well as to give them means to keep their vassals, and to strengthen their power over the common nomad (arat). Moreover, all these historians stressed the important role of the nökör "free companions" who abandoned their own clan whose activities also to obligate themselves to each other stimulated the formation of the empire. What is more, Genghis Khan's charismatic personality and his success as a military leader helped to recruit new followers. In Turkestan ν epokhu mongol'skogo nashestviia (1898-1900; vol. 2. as Turkestan Down to the Mongol Invasion, 1928) Vasilii Bartol'd that the rise of Genghis Khan could be explained by the policy of "divide and rule." This had long been the practice of the Chinese towards their nomadic tribesmen neighbors, and their initial response to the success of Temüjin was seen in this context. They believed the warring among the Mongols would waste energy better turned against China itself. A second problem centered on the figure of Genghis Khan himself. Historians have recognized Genghis Khan's decisive role in Mongolia's history as the founder of a unique nomadic empire, but assessing the long-term results of his vision of a Mongol empire has been harder. His administrative and reforms could have promoted the prosperity of Mongolia, but instead he chose to continue with a state based around constant warfare. Vladimirtsov, the contributors to the Istoriia Mongolskoi Narodnoi Respubliki, and the Mongolian Chuluung Dalai in his Mongolia ν XIII-XIV vekah (Mongolia in the 13th-14th Centuries, 1983) all maintained that the Mongols' campaigns were pernicious not only for the conquered nations but for the conquerors as well, since the population of Mongolia considerably decreased as a result of permanent warfare which also dissipated plundered wealth. Genghis Khan and his successors are notorious for their military campaigns against other nations. The reason for these campaigns, as Soviet historians have put it, was the limited economic basis of cattle-breeding. The pastoral economy of the Mongols could not satisfy the growing needs of the noyod, and conquests were necessary to smooth over inner in Mongol society. Moreover, Fox argued that Genghis Khan had no opportunity to conduct profitable trade with his neighbors because all were in decay. Less economic approaches have included that of the English historian Henry Howorth who, in his History of the Mongols from the 9th to the 19th Century (1876) painted Genghis Khan as the scourge of God. Howorth was merely repeating a traditional idea expressed in various Armenian annals such as Istoriia mongolov inoka Magakii, XIII veka (History of the Mongols by the 13thcentury Monk, Magakia, 1871). In The Mongols and Russia (1953) George Vernadsky also spoke about the divine mission of Genghis Khan, whom Vernadsky saw as imbued with an imperial idea and the wish to unite all nomads of the steppes.

Mongolskoi Narodnoi Respubliki (History People's Republic, 1954) emphasized that

centralized

wellbeing, —

-

postulated

military

historian

contradictions

This is similar to the position of Nikolai Veselovskii in Lektsii po istorii mongolov (Lectures on History of the Mongols, 1909). He considered Genghis Khan to be the only person capable of awakening the Mongols and harnessing their belligerent spirit in order to push them towards conquering new lands. Bartol'd concluded that Genghis Khan cared little about the well-being of the Mongols, but rather was with increasing his own wealth and the living standards of his relatives and close friends. A third problem dealt with approaches to the rapid decline of the empire after Genghis Khan's death. Vladimirtsov pointed out that the new state system was not strong enough to challenges. Genghis Khan had seized power and then legitimized it at the kuriltai (tribal council). This led to conflict among his descendants and undermined the strength of the subsequent rulers. By the 1360s such provinces as the Golden Horde and the Mongol state in Iran and the Transcaucasian region had severed their ties to the central power and begun to pursue their own policies. Vladimirtsov and Fox attributed the disintegration of the empire to a lack of clan unity and the increasing influence of the non-Mongol peoples. According to Veselovskii, after Genghis Khan's grandson Kublai Khan conquered China in 1271, the Chinese simply assimilated the Mongols and made them submit to the huge Chinese machine. Chinese historians, such as Yui Bayan in his 1955 biography of Genghis Khan, have denied that the period of 1271-1368 was a period of Mongolian dominance; instead they have deemed it to be a footnote to Chinese history. In this connection Chuluung Dalai has emphasized the role of Kublai's brother Arigböge, and of his cousin Kaidu, who each fought against him in order to keep the political center of the empire in Mongolia, fearing its relegation to the periphery. According to both Veselovskii and to Bira in

preoccupied withstand

bureaucratic

progressive

Mongolskaia istoriografiia (Mongolian Historiography, 1978), the Yuan dynasty collapsed under the religious influence of the Buddhists whose intrigues and conspiracies weakened Mongol authority. The Mongols were also strained by the need to a large army to suppress the uprisings of the peoples they had conquered. As the empire was based on a military force, their economy was quickly exhausted by military expenditures, and there was no common economic basis that could integrate the peoples of this multinational state. In 1368 the Yüan dynasty was overthrown, putting an end to the Mongol empire while the core of it Mongolia lapsed into tribal disunity and feudal wars.

maintain

-

-

DMITRI POLIKANOV See also Bartol'd; China: Late Imperial; China: Historical Writing, Late Imperial; Ibn Khaldūn; Korea; Middle East; Paris; Pelliot; Rashïd; Russia: Medieval; Russia: Early Modern; Vernadsky

Bira , Sh .,

Mongolskaia istoriografiia (XIII-XVII veka) (Mongolian centuries) Moscow : Nauka 1978 Historiography, 13th-17th ,

,

Brent , Peter L. , The Mongol Empire: Genghis Khan, His Triumph and Legacy , London : Weidenfeld and Nicolson , 1976 Dalai , Chuluung, Mongolia ν ΧΠΙ-XIV vekah ( Mongolia in the 13th-14th Centuries ), Moscow : Nauka , 1983 " Dalai , Chuluung, Chingishan i velikoe mongolskoie gosudarstvo " ( Genghis Khan and the Great Mongol State ), Problemy Dal'nego Vostoka 6 ( 1992 ) Fox , Ralph, Genghis Khan , London : Lane , 1936 Grousset , René L'Empire des steppes: Attila, Genghis-Khan, Tamerlan , Paris : Payot , 1939 ; in English as The Empire of the Steppes: A History of Central Asia , New Brunswick, NJ: Rutgers ,

Press , 1970

University

Grousset , René , Le Conquérant du monde: la vie du Gengis-khan , Paris : Michel , 1944 ; in English as Conqueror of the World , New York : Orion , 1966 , London: Oliver and Boyd, 1967 " " Gumilev, Lev Nikolaevich , Ludi i priroda velikoi stepi ( People and Nature of the Great Steppe ), Voprosy istorii 11 ( 1987 ) Howorth , Henry Hoyle , History of the Mongols from the 9th to the 19th Century, London : Longman , 1876 Istorila mongolov ot drevneishikh vremen do Tamerlana ( History of the Mongols from Ancient Times to Tamerlane ), St. Petersburg ,

1834 mongolov inoka Magakii, XIII veka ( History of the Mongols by the 13th-century Monk, Magakia ), St. Petersburg

Istoriia

"

Kapitsa Mikhail Stepanovich Esche raz o roli Chingishana ν istorii ( Once Again about the Role of Genghis Khan in History ), Voprosy istorii 7 ( 1988 ) Lister Richard Percival Genghis Khan New York : Stein and Day 1969; published in the UK as The Secret History of Ghengis ,

,

"

,

,

,

,

Khan , London : Davies , 1969 Mailla , Joseph-Anne-Marie de Moyriac de, Histoire générale de la Chine ou annales de cet Empire ( General history of China; or, The annals of This Empire), vols. 9-11 of 13, Paris : Clousier, 1777-85 Martin , Henry Desmond , The Rise of Chingis Khan and His Conquest of North China , Baltimore : Johns Hopkins Press , 1950 Ohsson , Constantin d' , Histoire des Mongols depuis Tchinguiz-khan jusqu'à Timour Bey ou Tamerlan ( History of the Mongols from Genghis Khan up to Timur-bei or Tamerlane ), 4 vols., The Hague : Van Cleef , 1834-35 Pelliot , Paul , and Louis Hambis , trans., Histoire des campagnes de Gengis-khan (History of the Genghis Khan's campaigns), Leiden : Brill , 1951 Phillips, E. D. , The Mongols, New York : Praeger, and London: Thames and Hudson, 1969 Prawdin , Michael , The Mongol Empire: Its Rise and Legacy , London : Allen and Unwin , and New York: Macmillan, 1940 Rachewiltz , Igor de, Papal Envoys to the Great Khans , Stanford, CA : Stanford University Press , and London: Faber, 1971 Saunders , J.J. , The History of the Mongol Conquest , London :

Routledge , 1971 Smirnov, K. , Armiia

mongolov ν XIII veke. Po zapiskam sovremennika-evropeitsa ( The Mongol Army in the 13th Century as Described by a European Contemporary), St. Petersburg 1903 Vernadsky George The Mongols and Russia New Haven : Yale University Press 1953 Vladimirtsov Boris Chingis-khan St. Petersburg : Grzhebin 1922 ; in English as The. Life of Chingis-Khan London : Routledge and Boston: Houghton Mifflin, 1930 Vladimirtsov Boris Obschestvennyi stroi mongolov: Mongol'skii kochevoi feodalizm (The Social System of the Mongols: Mongolian Nomadic Feudalism ), Leningrad 1934; in French as Le Régime social des Mongols: le féodalisme nomade Paris : Musée Guimet 1948 Yüan ch'ao pi shih ; in English as The Secret History of the Mongols edited and translated by Francis Woodman Cleaves Cambridge, MA : Harvard University Press vol. 1 1982 ,

,

,

,

,

,

Further Reading

Luzac ,

1968 Philadelphia: Porcupine, ,

,

,

,

,

Akademiia Nauk SSSR , Istorila Mongolskot Narodnoi Respubliki ( History of the Mongolian People's Republic) Moscow : Nauka , 1954 ; Cambridge, MA : Harvard University Press for the East Asian Research Center, 1976 Bartol'd , Vasilii , Turkestan ν epokhu mongol'skogo nashestviia , 2 vols., St. Petersburg : Akademiia Nauk , 1898-1900 ; vol. 2 in English revised as Turkestan Down to the Mongol Invasion , London : Luzac , 1928 ; revised with additional chapter, London : 1977

,

1871

,

,

,

,

,

,

,

,

,

,

Montesquieu French

1689-1755

the encyclopedist declared, his history of Rome had made significant contribution to the new "human sciences."

so,

philosopher

a

HUGH L. GUILDERSON

Montesquieu was one of the first, if not the very first, of the 18th-century philosophical historians. Although his most famous work, De l'Esprit des lois (1748; The Spirit of the Laws, 1748) influenced the development of political and sociological thought, especially among English writers, Montesquieu began his attempt to explain the causes of social change with the of the Considérations sur les causes de la grandeur des romains et de leur décadence (1734; The Greatness of the Romans and Their Decline, 1965). That historical study was philosophical because it sought to explain history by historical events to changes in social and legal structures. The lives of heroes and the exposition of divine purposes were abandoned in favor of the pursuit of secular causes of events. This new method of history, therefore, was in the sense that it was critical and in the sense that it was empirical, or scientific. In writing the history of Rome's decline, Montesquieu hoped to discover the laws of history. Law, to Montesquieu, was "that which arranges things." So the laws of history, in contemporary historiographical terms, would be discovered by investigating the relations between state and

publication

connecting historical

philosophical

society. Montesquieu's history of

See also Gatterer; Historical

Geography; Niebuhr; Raynal

Biography Charles-Louis de Secondat , Baron de la Brède et de Montesquieu Born La Brède, Bordeaux, 18 January 1689 , to an aristocratic family; inherited La Brède after his mother's death in 1695. Educated at Collège de Juilly, near Paris, to 1705; then in the faculty of law, University of Bordeaux Called to the Bar, 1708 ; practiced in Paris , 1708-13 ; had a judicial career as councillor, Bordeaux parlement, 1714-16 , president, 1716-26, before retiring to travel to Germany, Austria, Italy, Switzerland, Holland, and England, 1728-31. Wrote on a variety of philosophical, legal, and historical topics from 1721 Married Jeanne de Lartigue, 1715 (2 daughters, 1 son). Died Paris, 10 February 1755 .

.

.

.

Principal Writings English as The Persian Letters , 1961 Considérations sur les causes de la grandeur des romains et de leur décadence 1734 ; in English as The Greatness of the Romans and Their Decline , 1965 De l'Esprit des lois , 1748 ; in English as The Spirit of the Laws , Lettres persanes , 1721 ; in

1748 Rome is the least known of his

works today, yet it was in the Considérations that he the method that would influence Hume, Gibbon, Raynal, and others. Roman history was known to his readers, it offered the opportunity to investigate both a republic and an empire, and its historical record was relatively complete, so it was a logical subject for the new kind of history. After considering Rome's transformation from a republic into an empire, Montesquieu developed a general theory of causation:

developed

It is not fortune that rules the world. On this point, consult the Romans who enjoyed a series of consecutive successes when their government followed one policy, and an unbroken set of reverses when it adopted another. There are general causes, whether moral or physical, which act upon every monarchy, which advance, or ruin it. All accidents are subject to these causes. If the chance loss of a battle, that is, a particular cause, ruins a state, there is a general cause that created the situation whereby this state could perish by the loss of a single battle.

maintain,

Thus, for Montesquieu, historical knowledge did not depend understanding the role of political or military heroes or even political or military events, but on understanding the significance of social, economic, and institutional changes. The importance of Montesquieu's new philosophical, or method was recognized in Diderot's Encyclopédie, where the article "Observation" compared Montesquieu's empirical method to that of natural philosophy. Montesquieu's history of Rome was offered as the example of the superiority of the method of observation, "the primary foundation of all the on

Further

Reading

Althusser, Louis , Montesquieu: la politique et l'histoire , Paris : Presses Universitaires de France , 1959 ; in English as Politics and History: Montesquieu, Rousseau, Hegel, and Marx , London : NLB , 1972 Aron , Raymond , Les Etapes de la pensée sociologique , enlarged edition, Paris : Gallimard , 1967 ; in English as Main Currents in Sociological Thought, vol. ι New York : Basic Books , 1965 Barckhausen , Henri-Auguste , Montesquieu: ses idées et ses oeuvres , Paris : Hachette , 1907 " Hampson , Norman , Montesquieu," in his Will and Circumstance: and the French Revolution , Norman : Rousseau, Montesquieu, University of Oklahoma Press , and London: Duckworth, 1983 Hulliung , Mark , Montesquieu and the Old Regime , Berkeley : University of California Press , 1976 Keohane , Nannerl O. , Philosophy and the State in France: The Renaissance to the Enlightenment, Princeton : Princeton University Press , 1980 " Neumann , Franz , Introduction ," to Montesquieu, The Spirit of the Laws , New York : Hafner, 1949 Richter, Melvin , ed., The Political Theory of Montesquieu , Cambridge and New York : Cambridge University Press , 1977 Shackleton , Robert , Montesquieu: A Critical Biography , Oxford : Oxford University Press , 1961 Shklar, Judith , Montesquieu , Oxford and New York : Oxford .

University

Press ,

1987

Starobinski , Jean , Montesquieu , Paris : Seuil, 1953

scientific,

sciences the principal of extending the circumference of ..

.

means

scientific knowledge." Montesquieu had done more than and record the facts. He had revealed the relations between the facts and shown how they were connected. By doing

accumulate

Montgomery, David

1927-

US labor historian

Regarded as the pre-eminent historian of the United States David Montgomery is perhaps more rightly associated with the depth of his knowledge of class formation in America and his grasp of international issues and historiographies. Few

workplace,

historians of the United States working class have ranged as broadly over the course of the 19th and 20th centuries; fewer still can punctuate their writings with references to studies in Italian and French, alluding to transatlantic migrations, European social democratic traditions, and the militant stands of Canadian miners. Montgomery continually reaches for understanding of the "big picture" and, if his books and essays occasionally fall short of sustaining an assertive thesis, they nevertheless always illuminate obscured histories of central importance in the making of working-class America. Schooled in the Communist party, the machinist's trade, and labor unions, as well as in traditional academic training, Montgomery brings deep commitments and vital sensitivities to his studies of workers. Montgomery is attracted to the by which workers exert limited control over their lives, which are often governed by imperatives not of their making; he is necessarily concerned with the economics of production, the politics of opposition, and the culture of class institutions, from neighborhoods and families to taverns and leisure activities. Intrigued by the post-Civil War clash of Radical Republicans, struggling to resolve the question of race in American political economy, and labor reformers, who demanded that "class" inequality be addressed as well, Montgomery's early research produced a stunningly original account of the years preceding the depression of the 1870s. Breathtaking in its

mechanisms

immediately

interpretive boldness, Montgomery's Beyond Equality (1967) lured students into the world of working-class institutions ideas and industrial struggles via a contentious thesis that Radical Republicanism foundered on the shoals of class conflict. Before turning to the history of the workplace in the later 19th and 20th centuries, Montgomery produced much-read articles on workers and the preindustrial city, and on artisans and nativism. Appearing at just the moment that many "new left" graduate students began research projects that would later flourish as the "new labor history," these studies, as well as Montgomery's Radical America pamphlet, What's Happening to the American Worker (1969), established his reputation in the overlapping circles of activist and academic labor history. A late 1960s stint working alongside E.R Thompson at the University of Warwick consolidated this prestige, and many graduate students were drawn to Montgomery's imaginatively constructed working-class history seminars at the University of

Pittsburgh. that Montgomery began the studies of shopfloor practices that consolidated forms of workers' control at the very peak of American capitalism and managerial (Taylorism and other rigorous efforts to curb the These essays eventually appeared in Workers' Control in It

was

in this

period

innovation

craftsman).

America (1979). Montgomery wove together accounts of 19thcentury union work rules, immigrant workers, managerial

reform, machinists and the Socialist party, and the World War I battle over whose standards workers' or employers' would prevail in industry. He closed the collection with a synthetic tour de force, a suggestive account of the state and the -

-

workplace

that drew on his own researches as well as firsthand experiences with movements that attempted to transcend the coercions and concessions of Washington's ongoing "New Deal Formula." Criticized for his romanticization of craft and his inattention to the powerful fragmenting forces of race and gender, Montgomery continued to research and think

sectionalism

through the

nature

of workplace/state relations and class

1987 book The Fall of the House of Labor presented struggle. His

brilliant reconstruction of the layering of working-class America, the first three chapters outlining the experiences of skilled workers, common laborers, and semi-skilled operatives in ways that incorporated race and gender into an appreciation of the pervasive class struggle endemic to the late 19th century. a

The latter half of the book traced the theme of working-class political and industrial opposition through to the mid-1920s, offering readers a cascade of insights and imaginative scaffolded on wide reading and empirically researched case studies. Many critics thought the book less than they had been for, but in looking for the focused thesis, convincingly they were perhaps expecting what Montgomery rarely produced. His strength as a historian seldom manifested itself in the routine narrative and narrowly-construed academic project. Rather, Montgomery's range across boundaries both geographic and analytic and his refusal to be cornered into a particularity meant that he wrote with the intention of graphic generalization, the suggestive parts of the whole often, in the end, outweighing in significance the concluding arguments. Montgomery's latest book, Citizen "Worker (1993), returns to themes he first addressed in his studies of Radical in the 1960s. Perplexed by the ease with which market "freedoms" and the supposed "values" and citizenship of "representative" democracy were ideologically in the 1990s, Montgomery looked to the experience of workers in the 19th-century United States with the economic and political realities of bourgeois order. He found a paradox. Popular democracy expanded in the formal sense, but grew at the same time as the substantive restrictions of exploitative "free" market relations circumscribed its material meanings, narrowing the role of "government." Studies of master-servant doctrine and the bondage of African American workers, the policing of the dangerous classes, and labor's relation to the established political party system provide the substance of his commentary. To appreciate Montgomery is to appreciate the complexity and combativeness of American workers. His texts are never far from the workplace, where so much of class antagonism is born, but they are not removed from other spaces where and understandings are also forged. No historian of United States workers can capture the lived experience of labor as Montgomery has for the last thirty years. Watching him in a public lecture has always been observing a theatrical act of reconstruction: the text unfolds as Montgomery revels in the culture of the Chicago anarcho-communist milieu, parading across the stage in ribald ribbing of the 19th-century bourgeoisie, or bends over the arduous tasks of rough canal navvies or sweat-drenched puddlers. Whatever his subject, his concern is work and the politics of change. Quoting Samuel Gompers at the end of Citizen Worker, Montgomery his own perspective: "There never yet existed coincident with each other autocracy in the shop and democracy in political life."

interpretations

waiting packaged, -

-

Republicanism practices conflated

identities

perform

summarizes

BRYAN D. PALMER See also Commons; Labor; Social; United States: Historical Writing, 20th Century

Biography Born Bryn Mawr, Pennsylvania, 1 December 1927 Received BA, Swarthmore College , 1950 ; MA, University of Minnesota , 1960, PhD 1962. Taught at Hamline University, 1962-63 ; University of Pittsburgh , 1963-77 ; University of Warwick , 1967-69 ; State University of New York , Buffalo, 1977-78 ; and Yale University from 1979 Married (2 children). .

.

promotion

Principal Writings Beyond Equality: Labor and the Radical Republicans, 1862-1872 1967 Labor History 1968 What's Happening to the American Worker 1969 Workers' Control in America: Studies in the History of Work Technology, and Labor Struggles, 1979 The Fall of the House of Labor: The Workplace, the State, and American Labor Activism, 1865-1925 1987 Citizen Worker: The Experience of Workers in the United States with Democracy and the Free Market During the Nineteenth Century 1993

,

,

,

,

,

,

Further

Reading

Abelove , Henry et al. , eds., Visions of History , by MARHO: The Radical Historians Organisation, Manchester : Manchester University Press , and New York: Pantheon, 1983 " Brody, David , The Old Labor History and the New: In Search of an American Working Class ," Labor History 20 ( 1979 ), 111 26 " Kealey, Gregory S. , Gutman and Montgomery: Politics and Direction of Labor and Working-Class History in the United States," International Labor and Working-Class History 37 -

(190

) 58

-

68 "

Monds , Jean , Workers' Control and the Historians: A New Economism ," New Left Review , 97 ( May 1976 ), 81 100 " Montgomery, David , Thinking about American Workers in the 1920s ," with responses by Susan Porter Benson and Charles S. Maier, international Labor and Working Class History , 32 -

( 1987 ), 4 38 A Symposium on The Fall of the House of Labor," Labor History 30 ( 1989 ), 93 137 Wiener Jonathan M. "Radical Historians and the Crisis in American History," in his Professors: Politics, and Pop London -

"

-

,

,

,

and New York : Verso , 1991

T.W. 1907-1984

Moody,

Irish historian T.W.

Moody

perhaps

the

Course of Irish History (1967), Moody's writings all bear the hallmark of extensive research into primary documents and a rich awareness of the historiography of his various subjects. Despite the step forward his Londonderry Plantation came to represent in Irish social history, it is not Moody's research that reveals the important place he came to have in the practice of Irish history. Moody's significance is due more to his of his profession and his general cultural and pedagogical influence over large numbers of graduate students than it is to his particular skill as a historian. Along with his former student Robert Dudley Edwards, Moody played the decisive role in the founding of two historical societies, one in Belfast in 1936 and another in Dublin in 1937, with the expressed goal of creating a more formal academic tone in the practice of Irish history. This was followed by the of the first Irish historical journal, Irish Historical Studies, in 1938 with Moody and Edwards as co-editors. The editors hoped to emulate the standards of journals such as the English Historical Review or the Historische Zeitschrift to encourage archival research into unused sources at the same time that they acknowledged that the project intended to increase knowledge of Ireland's past among teachers and the public. Critical to this effort was confronting historical "myth" and fostering the "revision" of that history. Moody and Edwards admitted that what they had in mind was an agenda akin to that of the London-based Historical Association, founded on the notion of "fact"-driven history, dedicated to increasing accurate public understanding of the past. This project moved beyond the usual work of academic historians. With time Moody came to take a pivotal role on a number of governmental and quasi-governmental bodies focused on disseminating Irish history through radio and broadcasts both in Northern Ireland and in the Republic. Out of a series of 21 television lectures came The Course of Irish History, co-authored/edited with F.X. Martin, which has remained in print in revised editions ever since. In academic history Moody's accomplishments with Irish Historical Studies were paralleled in his role in the 1940s in developing monograph series publishing dissertations in Irish history, first with the publishers Faber and Faber and then with Routledge and Kegan Paul. He followed this with his grandly envisioned A New History of Ireland. In his 1967 presidential address to the Irish Historical Society, Moody announced a monumental multivolume and multi-author project to create a standard history of Ireland conceived along the lines of the Cambridge histories. This project was slow to develop and

was

leading

leading historian of Ireland, and promoter of modern Irish historical

a

was

practice. In his many roles mentor, historian, editor, and public as

cultural

figure Moody had an impact on the practice of Irish history that is without equal. In the process Moody's legacy has become the source of some controversy within Ireland, as his emphasis on demythologizing Ireland's past through detailed research in primary sources, and his disinterest in theoretical problems, played a major role in the development of a selfconsciously "revisionist" history of Ireland. Perhaps because of Moody's lack of interest in theory it is not easy to characterize his research interests and publications. Author of three major books, The Londonderry Plantation, 1609-41 (1939); Queen's Belfast, 1845-1949 (1959); and Davitt and Irish Revolution, 1846-82 (1981), as well as of the most widely read Irish history text, The

coauthor/editor

establishment

television

resulted in

only

one

published

volume and the

completion

of

the time of Moody's death in 1984. Nonetheless, the project continues to publish additional volumes in the series. Moody's writing was varied, detailed, archivally driven, and bears the marks of a considerable stylist. But his agenda was much more theoretically determined than he was aware of or willing to admit. The focus on myth and demythologizing, and the assumption of a more "objectively based" history, in the Irish context, has led to criticism that Moody and his students were and are revisionists determined to deny the nationalist vision of the Irish past a debate with profound implications for present-day Irish politics and culture. While this criticism of many of those who followed his lead has merit, Moody's own work was notable for its tolerance and another

at

particularly -

on the Irish landowning classes of the literature that followed him in its insistence on a broader, and less hostile, approach to the oftmaligned landowners. However, his work on the radical land agitator Michael Davitt is open to criticism as too accepting of Davitt within a legal and constitutional tradition in 19thit is clearly the work of an admirer who century politics wished Davitt to be seen as an exemplar. Moody's accomplishment has been a profound one. In many respects he made the practice of Irish history what it is today and because of it deserves praise and criticism. Without Irish Historical Studies it is difficult to see how Irish history would have moved past a 19th-century nationalist agenda, but with it, the criticism that Irish history is now mainly revisionist and positivist, often imitative of British historical models, and with little awareness of the theoretical problems inherent in a of "scientific" history, seems hard to refute. Nevertheless, as a part of a tradition in European historiography, and more specifically as a part of the British tradition of historiography, Moody's career and influence in Irish history are almost without equal.

openmindedness. anticipated much

His work

F. S.L. , and R. A.J. Hawkins , eds., Ireland under the Union: , Varieties of Tension: Essays in Honour of T.W. Moody, Oxford and New York : Oxford University Press , 1980 " Mulvey, Helen F. , Theodore William Moody (1907-1984): An Appreciation," Irish Historical Studies 24 ( 1984-85 ), 121 30

Lyons

-

-

practice

SEÁN FARRELL MORAN

See also Ireland;

Lyons

Biography

Theodore William Moody. Born Belfast, 26 November 1907 , son of an engineer. Educated at Royal Academical Institution, Belfast; BA, Queen's University, Belfast , 1930 ; PhD, Institute of Historical Research , 1934 Taught at Queen's University, Belfast , 1932-39 ; fellow/professor, Trinity College , Dublin , 1939-77 (emeritus). Married Margaret C.P. Robertson , 1935 (1 son, 4 daughters). Died .

li

February 1984

.

-

,

vols.,

1959

Editor with Francis X. Martin , The Course of Irish History , 1967 " Thirty Years' Work in Irish History (I) Irish Historical Studies 15 160 (September 1967 ), 359 90 " A New History of Ireland ," Irish Historical Studies 16 ( 1969 ), "

-

141 57 -

Editor, Irish Historiography 1936-1970 1971 The Ulster Question, 1603-1973 1974 Editor with others, A New History of Ireland 1976Irish History and Irish Mythology," Hermathena 124 ( 1978 ), Editor, Nationality and the Pursuit of National Independence ,

,

political

1913-

theorist

Barrington Moore, Jr. is the author of seminal books on an astonishing variety of topics, from specific studies of Soviet and society to a wide-ranging investigation of the origins of conceptions of privacy in antiquity. All of his work, as James J. Sheehan has observed, combines the conservative's sense of

politics

the harsh limits of the human condition with the radical's anger at the persistence of injustice. But one book stands out as his masterpiece: Social Origins of Dictatorship and. Democracy (1966) is among the most influential and widely cited works of the 1960s. Moore is a sociologist and political theorist with intellectual debts to both Marx and Weber, and he is skilled in the art of using historical studies for comparative purposes. His great book combined a global thesis about the social origins of political regimes with extensive case studies of specific patterns of development in England, France, the United States, China, Japan, and India. Moore argued that in order to understand why certain social and political alignments have proven more favorable to outcomes than others, it is essential to investigate social relations, and particularly the fates of landlords and peasants during the process of modernization. If a powerful class of privileged nobles presides over the transition to agriculture, they are likely at some stage to form coalitions with large industrialists: the result may be some form of fascist dictatorship (Japan, Germany). If oppressed peasants persist in large numbers, and the landlord class succeeds in inhibiting the development of a bourgeoisie, the eventual result may be a peasant revolution that issues in a communist dictatorship (China, Russia). Only if the of labor-repressive landlords and non-commercial peasants is dissolved in the course of historical development is a outcome likely. But such a consummation is rarely achieved, according to Moore, without some episode of (the French Revolution, the American Civil War) or some measure of coercion (the English enclosure movement). And where no dissolution of the backward agricultural sector occurs, the result is stagnation (India). from This bold argument elicited cloudbursts of criticism specialists who questioned Moore's grasp of the literatures of their particular fields, from conservatives who objected to his neo-Marxian emphasis on conflicts and coalitions between social classes, and from liberals who objected to his suggestion that social revolution has been a prerequisite for democracy. Ten years after Social Origins appeared, Jonathan Wiener a brilliant survey of several dozen substantial critiques. And thirty years after its initial publication, the book is widely recognized as a classic contribution to modern historical a provocative stimulus to further comparative analysis admirers and critics alike. by

democratic

agrarian

7 24 -

,

1978 Davitt and Irish

Revolution, 1846-82 , 1981 Editor with Richard Hawkins and Margaret Moody , Florence Arnold Foster's Irish Diary , 1988 Further Reading Constructive and Instrumental': The Dilemma of Brady Ciaran Ireland's First 'New Historians ,'" in Ciaran Brady ed., interpreting Irish History: The Debate on Historical Revisionism

violence

published

"'

,

,

Dublin : Irish Academic Press , 1994

combination democratic

-

,

"

,

sociologist

and

commercial

The Londonderry Plantation, 1609-41: The City of London and the Plantation in Ulster , 1939 Thomas Davis, 1814-45 , 1945 Editor with J. C. Beckett , Ulster since 1800: A Political and Economic Survey , 1954 " Twenty Years After," Irish Historical Studies 11 ( 1958-59 ), 1 4 With J. C. Beckett , Queen's Belfast, 1845-1949: The History of a

University

US

antidemocratic

Principal Writings

1

Moore, Barrington, Jr.

,

sociology,

subsequent books

In

Moore continued

to

pose

large

questions and examine the costs, and limits of to

Zelnik ,

of Misery, revolutionary Reflections

the Causes Human and upon Certain Proposals to Eliminate Them (1972), a small book with a grand 18th-century title, he examined the bases of predatory politics in the contemporary world. In Injustice (1978), he turned to the case of German workers in the 19th and 20th centuries, looking for the factors that either revolutionary action or political passivity at points in modern German history. Here the emphasis was on working-class consciousness and agency, and Moore's about the efforts of German workers at once to and to renegotiate the terms of the social contract ran very close (though in a more pessimistic key) to E.P. Thompson's conclusions about the making of the English working class. Like Thompson, Moore tended increasingly in his later work to draw on the insights of anthropology. But whereas Thompson (the romantic) used anthropological concepts to illuminate specific aspects of a particular culture, Moore (the rationalist) was in search of certain universal features of the human conceptions of injustice, of reciprocity, of privacy, that transcend the limits of any one culture. Hence his use of the comparative method and his willingness to pursue data and to draw conclusions from very diverse types of societies. The result has been an extraordinary body of work, which continues to stimulate bold approaches to comparative historical studies.

determined critical

conclusions preserve

condition:

BRUCE THOMPSON See also

Mayer; Sociology; Tilly, C;

World

12 May 1913 , son of a forestry engineer. Received BA, Williams College, 1936 ; PhD, Yale University, 1941. Research analyst, US Justice Department, 1941-43 ; and Office of Strategic Services, 1943-45 Taught at University of Chicago, 1945-48 ; professor, Harvard University, from 1948. Married Elizabeth Carol , 1944 .

.

Principal Writings Soviet Politics The Dilemma of Power: The Role of Ideas in Social Change , 1950 Terror and Progress USSR: Some Sources of Change and Stability in the Soviet Dictatorship , 1954 Political Power and Social Theory, 1958 Social Origins of Dictatorship and Democracy: Lord and Peasant in the Making of the Modern World , 1966 Reflections on the Causes of Human Misery and upon Certain Proposals to Eliminate Them , 1972 Injustice: The Social Bases of Obedience and Revolt , 1978 Privacy: Studies in Social and Cultural History , 1984 Moral Aspects of Economic Growth, and Other Essays , 1998 -

Further Reading Sheehan James J. Barrington Moore on Obedience and Revolt ," Theory and Society 9 ( 1980 ), 723 34 Smith Dennis Barrington Moore: Violence, Morality and Political Change London : Macmillan 1983; as Barrington Moore, Jr: A Critical Appraisal Armonk, NY: Sharpe 1983 Stone Lawrence Revolution and Reaction ," in his The Past and the Present Revisited London : Routledge 1987 Wiener Jonathan M. Review of Reviews: Social Origins of and Democracy," History and Theory 15 ( 1976 ), 146 75 "

,

-

,

,

,

,

,

,

"

,

,

,

,

"

Dictatorship ,

Moreno

Fraginals, Manuel

1920-

Cuban historian of Latin America Few historians of Latin America have had the

enormous

influence of Manuel Cuba and Fraginals, born Moreno

in

in 1920

still active in research, teaching, and writing in 1998. His has been an unusual and extraordinary career. After a degree in law at the University of Havana, Moreno studied history with the eminent Silvio Zavala and Rafael Altamira at the Colegio de México in the mid-1940S. In Mexico he began a steady stream of publications that explored several aspects of Mexican and Cuban history and society, notably ¿Nación o plantación? (Nation or Plantation?, 1948), Augustin deIturbide: Caudillo (Augustín deIturbide: Caudillo, 1950), and Misiones cubanas en los archivos europeos (Cuban Missions to European Archives, 1951). With a boundless intellectual curiosity, energy, and focused attention, Moreno began a lifelong professional interest in Cuban society in all its varied but especially the impact of the slave labor-based plantation society that developed in the later 18th and 19th

tireless

dimensions,

centuries.

Exiled by the dictator Fulgencio Batista in the early 1950s, Moreno spent several years in Venezuela, where he engaged in a variety of lucrative businesses. He would bring to his

Biography Born Washington, DC,

,

-

on

structural

,

Moore's

causes,

action. In

"

Passivity and Protest in Germany and Russia: Conception of Working-Class Responses to Barrington Injustice," Journal of Social History 15 ( 1982.), 485 512

Reginald

,

-

later histories, when he returned to that vocation after 1959, valuable insights from the world of commerce, especially the way in which businessmen deal with investments and His scholarly production has been prodigious. Moreno has also contributed more than a hundred scholarly articles to journals published in dozens of countries in dozens of

production. languages.

Moreno's major contribution to the historiography, however, derives from his various studies of Cuban slave society, none more insightful than El ingenio (1964; The Sugarmill, 1976). Much more than a narrow study of sugar and slavery, it is a complex and magisterial analysis that combines economics, politics, anthropology, labor management principles, social mores, and general culture into

seamlessly a

multifaceted study illustrative of the overall changing of Cuban society throughout the 19th century. The

mentality

Sugarmill

elevated studies of American slave societies

to

a

higher plane by demonstrating their inherent dynamism and flexibility. After its publication, studies that saw a simple, polarized world of mutually antagonistic masters and slaves no longer proved acceptable. Moreno's works gave greater agency to slaves in the day-to-day operation of Cuban and argued that slave owners were not inhumane simpletons. That observation has contributed much to the understanding of the operation of slave plantations in the 19th century. His other main thesis, that slavery and technological innovation were incompatible, has not withstood the test of further research as well. Nevertheless, The Sugarmill was path-breaking to gain for its author in 1982 the Clarence Haring award of the American Historical

plantations

sufficiently

prestigious

Association for the best

previous

publication

from Latin America in the

ten years.

FRANKLIN W. KNIGHT

See also Cuba

Biography Born

Cuba,

1920. Received law

degree University of ,

Havana , 1944 ;

then studied with Silvio Zavala and Rafael Altamira at the Colegio de México , MA 1947 Exiled from Cuba, and worked in Venezuela before taking up research/writing career from 1959. Distinguished visiting professor, Florida International University, 1997-98 .

.

Principal Writings ¿Nación o plantación? ( Nation or Plantation? ), 1948 Augustin de Iturbide: Caudillo ( Augustin deIturbide: Caudillo ), 1950

Misiones cubanas en los archivos europeos ( Cuban Missions to European Archives ), 1951 José Antonio Saco: estudio y bibliografía (José Antonio Saco: Studies and Bibliography ), 1960 El ingenio: el complejo económico social cubano del azúcar, 1760-1860 , 1964 , revised in 3 vols., 1978 ; vol. 1 in English as The Sugarmill: The Socioeconomic Complex of Sugar in Cuba,

1760-1860 1976 Editor, Africa en America Latina 1977 ; in English as Africa in Latin America: Essays on History, Culture, and Socialization 1984 Editor with Stanley L. Engerman and Frank Moya Pons Between Slavery and Free Labor: The Spanish-Speaking Caribbean in the Nineteenth Century 1985 La historia como armas y otros estudios sobre esclavos, ingenios y plantaciones 1983 Cuba a través de su moneda 1985 Guerra, migración y muerte: el ejército español como vía migratoria ,

,

,

,

,

,

,

,

1993

Historia común ( Cuba/Spain, Spain/ Cuba: A Common History ), 1995

Cuba/España España/Cuba:

Further

Reading

" Ribeiro Junior, José , Entrevista/Interview: Manuel Moreno Fraginals ," Historia [Brazil] 11 ( 1992 ), 51 56 -

Morgan, Edmund US historian of

early

S. 1916-

America

Edmund S. Morgan's career as a historian of early America has spanned more than half a century. From assessing Puritan beliefs and behavior in

17th-century

New

England

to

slavery pinpointing understanding

in the South to the rise of the ideological forces undergirding the American Revolution, Morgan has investigated a variety of topics covering more than two centuries of early American history. In the process, he has resisted being categorized into a historiographical slot. This, however, has not dissuaded certain members of the academy from trying. While some have argued that Morgan is a "Niebuhrian," others have labeled him as a "left-liberal" housed under a consensus roof. Rising out of his exhaustive quest to study the primary source material, Morgan's prose does demonstrate one undisputable pattern: an empathy for

and a fascination with their ideas. Assisting him with his intellectual forays into the past was his wife and sometimes co-author, Helen M. Morgan. Trained under Perry Miller at Harvard University, Morgan completed his doctoral degree in 1942. Morgan's dissertation, a study of the Puritan New England family, called attention to the paucity of scholarship on what went on inside the Remedying this omission, Morgan's work considered covenant theology's effects on such matters as child rearing, affective emotions, marriage, and household management. His dissertation published as The Puritan Family (1944) and numerous articles and books published afterwards revealed his continued interest in New England Puritanism. Subsequent studies published by Morgan urged his readers to consider the political activism of a Roger Williams or an Anne Hutchinson, not to mention the brooding poetry of a Michael Wigglesworth or the intellectual vision of an Ezra Stiles. Morgan's early scholarship revealed his unwillingness to join with Progressive historians such as Vernon Parrington who had cast Puritans in an unsavory light. Rather, Morgan's work humanized the intense intellectual and emotional energy that went into what he referred to as the "Puritan Dilemma," namely the struggle of the godly to wrestle with inner- and other-worldly demands. Countless students have pondered this conflict as they traced the life of the Bay Colony's first governor, John Winthrop, in Morgan's elegantly written volume The Puritan Dilemma (1958). Five years later, Morgan completed perhaps his most substantial work, Visible Saints (1963). Dedicated to Perry Miller, it was an important reinterpretation of a Puritan ideal: the church of the Elect. Disputing the contention that the criterion for church membership was fixed prior to their departure from English ports of call, Morgan argued that a short time after their arrival New Englanders had altered membership to a gathered church composed of tested Saints. Intrigued by what people were doing outside the confines of New England, Morgan's efforts to reconstruct life in Virginia produced what was arguably his most controversial book: American Slavery, American Freedom (1975). In his analysis of how African slavery replaced indentured servitude as the dominant form of labor in the Chesapeake, Morgan argued that the rise of slavery and the concomitant espousal of liberty and equality by Virginia planters was the "central paradox of American history." As the imperial crisis deepened in the 1760s and 1770S, Morgan's research revealed Virginians to be remarkably comfortable in their ability to express republican ideas arising out of the freedom they enjoyed and the they imposed on their workers. Morgan's interest in the rhetoric of revolutionaries began long before American Slavery, American Freedom appeared in print. Investigating the deepening chasm between the American colonies and Britain prompted Morgan and his wife to write The Stamp Act Crisis (1953). Through a series of biographical sketches, the Morgans put human faces on a political crisis. Three years later, Morgan completed a narrative survey of the Revolutionary period in The Birth of the Republic, 1763-1789 (1956). Because he discounted the notion that class conflict held as much significance as republican ideals in the march toward revolution, some of Morgan's readers placed him in a "NeoWhig" school of post-World War II historians. Nonplussed by

people

household.

exclusively

enslavement

this attempt to label him, in The American Revolution (1958), Morgan decided to categorize others, offering his candid of the work of past historians and the various schools of interpretation. He then challenged his peers to delve deeper into the Revolutionary generation for new clues and insights. Morgan's clarion call fell on a ready audience of scholars, including himself. In a prize-winning essay published in 1967 entitled "The Puritan Ethic and the American Revolution," Morgan discussed the linkages between the revolutionaries and their Puritan forebears. As America's bicentennial approached, a plethora of studies on the American Revolution and ideology appeared. Morgan contributed to this publishing a collection of essays entitled The Challenge of the American Revolution (1976). Another book published that year, The Meaning of Independence, was a chance for Morgan to illuminate the beliefs of the first three presidents of the United States: George Washington, John Adams, and Thomas Jefferson. Although Morgan retired from his post as Sterling professor at Yale University in 1986, his affection for Clio still continues. A coterie of former graduate students, many of whom are professors in their own right, produced Saints and Revolutionaries (1983) in his honor. In 1988, Morgan a provocative study entitled Inventing the People. Morgan's study charted the ideological shift from the divine right of kings embraced by the early Stuarts to the triumph of the sovereignty of the people by the time of the American Revolution. After investigating these two extremes, a Morgan claimed that divine right kingship and popular sovereignty were both a "necessary fiction" created by political elites. With some calling him "Whiggish" and others calling him "impish," Morgan's latest work has once again caused to mine the primary sources to see if he is right.

assessment

republican

scholarship,

The Challenge of the American Revolution , 1976 The Meaning of Independence: John Adams, George Washington, and Thomas Jefferson , 1976 The Genius of George Washington , 1980 Inventing the People: The Rise of Popular Sovereignty in England and America , 1988

Further Reading Courtwright David T.

" , , Fifty Years of American History: An Interview with Edmund S. Morgan," William and Mary Quarterly 44 ( 1987 ), 336 69 Hall , David D. , John M. Murrin , and Thad W. Tate , eds., Saints and Revolutionaries: Essays in Early American History , New York : Norton , 1983 " Liddle , William D. , Edmund S. Morgan ," in Clyde N. Wilson , ed., Twentieth-Century American Historians , Detroit : Gale 1983 [Dictionary of Literary Biography, vol. 17 ] -

Morison, Samuel Eliot

distinguished

US historian

published

Disavowing any allegiance

questioning

historians

ELIZABETH T. VAN BEEK See also

Gipson; Slavery:

Modern

1887-1976

to particular philosophies of history, unaffiliated with specific schools of historical thought, and having trained few graduate students in any definite historical methodology, Samuel Eliot Morison is nonetheless considered by many the "dean of twentieth-century American historians." His renown derived from the longevity and the prolific quality of his career as well as from his ability to reconcile the objectives of his profession with the popular demands of lay audiences. Primarily a historian of the sea and of history, Morison gained notoriety by restoring the of fallen historical figures such as John Paul Jones, William Bradford, and Matthew C. Perry, heroes who had been "taken from the people" in Morison's estimation by irreverent professional historians of the early 20th century. Some viewed the resurrections of these "dead, white males" as undesirable reversions back to the patriarchal traditions of 19th-century "romantic" historians such as Parkman, Prescott, and Motley while others considered them as necessary correctives to the iconoclastic revisionism of 20th-century historians. Morison cared little for such methodological debates, however: he simply wished to attract readers of all types to his balanced and highly readable books, which he inevitably did. Morison's intellect was shaped by the "great triumvirate" of American historians at Harvard University at the beginning

scholarly intellectual

reputations

-

Biography Edmund Sears Morgan Born Minneapolis, 17 January 1916, son of lawyer. Received BA, Harvard University, 1937 , PhD 1942.; studied at the London School of Economics , 1937-38. During World War II worked as machinist, Massachusetts Institute of Technology radiation laboratory. Taught at University of Chicago, 1945-46 ; Brown University, 1946-55 ; and Yale University, 1955-86 (emeritus). Married Helen Theresa Mayer, 1939 (2 daughters). .

a

-

Principal Writings

of the 20th-century

The Puritan Family: Essays on Religion and Domestic Relations in Seventeenth-Century New England , 1944 ; revised and enlarged

Turner, and Albert Bushnell Hart who instilled in him a love for social history, regionalism, and cultural history. This wideranging training enabled Morison to pursue an awesome array of scholarly interests, including in the first twenty years of his career major works on such diverse topics as 17th-century Puritanism, the tercentenary history of Harvard, the maritime history of Massachusetts, and a biography of Christopher Columbus. In this last work, Admiral of the Ocean Sea (1942), Morison reversed the prevailing negative portrait of Columbus in the works of Henry Vignaud and others by employing a historical technique patterned after the participatory models of Thucydides and Parkman. Resailing Columbus' sea voyages,

1966 The Stamp Act Crisis: Prologue to Revolution , 1953 ; revised with Helen M. Morgan , 1963 The Birth of the Republic, 1763-1789 , 1956 ; 3rd edition 1992 The American Revolution: A Review of Changing Interpretations,

1958 The Puritan Dilemma: The Story of John Winthrop , 1958 Visible Saints: The History of a Puritan Idea , 1963 Roger Williams: The Church and the State , 1967 " The Puritan Ethic and the American Revolution ," William and

Mary Quarterly

24

{ 1967 ),

3 43 -

American Slavery, American Freedom: The Ordeal of Colonial

Virginia

,

1975

—

Edward

Chaining,

Frederick

Jackson

-

Morison

attempted

to

answer

certain

perplexing questions

about the discoverer by identifying self-consciously with him. This empathetic approach to historical inquiry was praised by some as "controlled imagination" and criticized by others as "reckless subjectivity," but most readers agreed that Morison's dramatic narrative style made the biography worthy of its Pulitzer prize. The most extensive use of this participatory technique came in the field of military history, where Morison's struggles against debunkers had crucial implications for foreign policy. Historian Charles Beard had argued in The Devil Theory of War (1936) that reluctant Americans had been drawn into World War 1 by disreputable leaders motivated purely by selfish political and economic concerns. When Beard advanced a similar argument in the early 1940s with regard to Franklin D. Roosevelt's to enter World War II, Morison labeled him a "dialectical materialist," a bitter, contemptuous historian who was capable of seeing the world only in conspiratorial terms. In an article facetiously titled "History Through a Beard" (1948), Morison argued that his nemesis was practicing history with the "economic autarchy" of a Hitler by "endeavoring to inculcate in the rising generation the same self-pity about being tricked into war that bedeviled the generation of the 1920s and 30s." Determined to uncover the true story of the coming of the war and to chronicle its activities from a firsthand Morison secured a commission from Roosevelt to serve as the "official" historian of naval operations during the war. He gained berths on patrol boats, destroyers, and heavy cruisers; participated in planning sessions for invasions; sea battles; narrowly escaped death at the hands of a Japanese kamikaze pilot; and conducted post-operational with commanders in the Pacific theater. The result of his labors and those of his hardworking assistants was a 15-volume study which took him nearly two decades to complete. The History of United States Naval Operations in World War II (1947-62) not only argued against the economic determinism of debunkers such as Beard, whom Morison derided as historians" who had never "seen" war, the series also many of the standard interpretations of military history. Refusing to adopt the congratulatory tone of traditional

decision

inflammatory

perspective,

witnessed interviews

"armchair

challenged military histories, pointed government-sponsored deficiencies rejected operations Morison

to

where evident. He also the conventional notion advanced by 19th-century historians such as Jacob Burckhardt that only absolutist regimes made effective fighting nations, arguing instead that "the history of modern warfare proves that they cannot win over representative governments in the long run." And Morison was one of the first military historians of note to popularize (without glamorizing) the story of naval operations in war, sailing a path between the in US naval

excesses

of Winston Churchill's "Hornblower"

treatment

and

the obsessive detail of Admiral Richard Bates' Naval War College history of battle strategies. The capstone of Morison's scholarly career, a ι-volume survey of United States history entitled The Oxford History of the American People (1965), was a highly subjective of his nation's past. As with nearly all of Morison's works, it challenged the "bland concoction of orthodoxies known as 'standard history,'" not by providing any thematic unity or alternative hypothesis to the prevailing interpretations of the American past, but by injecting Morison's "distinctive personality" into a compelling and highly readable narrative

assessment

scholarship and decades of personal Although historians such as Daniel Boorstin accused Morison of avoiding explanatory theories by plunging "without direction into the dark and muddied well of personal feelings, hobbies and prejudices," Morison preferred to think of the volume as the crowning moment in a long career devoted to making the past accessible and to a people jaded by the "dull pedantry" of traditional grounded

in sound

participation in American life.

enjoyable scholarship.

GREGORY M. PFITZER

See also Commager; Latin America: Colonial; Miller, P.; Parkman; Popular; United States: Historical Writing, 20th Century

Biography

Born Boston , 9 July 1887 Attended Noble's School, Boston; St. Paul's School, Concord, New Hampshire ; BA, Harvard University, 1908, MA 1909 , PhD 1912; also studied at the Sorbonne, Ecole des Science Politiques , Paris , and University of Grenoble. Taught briefly at Radcliffe College and the University of California ; joined Harvard faculty, 1915 Served in the US army during World War I ; delegate to the Paris Peace Conference. Harmsworth professor of American History , Oxford University, 1922-25; professor, Harvard University, 1925-55. Historian of naval operations during World War II , and served in many theaters of operation. Married 1) Elizabeth Shaw Green, a painter, 1910 (died 1945; 3 daughters, 1 son); 2) Priscilla Barton, 1949 (died 1974). Died Boston, 15 May1976 .

.

.

Principal Writings The Maritime History of Massachusetts, 1783-1860 , 1921 Oxford History of the United States , 2 vols., 1927 Builders of the Bay Colony, 1930 The Growth of the American Republic , with Henry Steele Commager, 1930 ; 5th edition 1962 The Puritan Pronaos: Studies in the Intellectual Life of New England in the Seventeenth Century, 1935 ; as The Intellectual Life of Colonial New England , 1960 Admiral of the Ocean Sea: A Life of Christopher Columbus , 2 vols., 1942; as Christopher Columbus: Admiral of the Ocean Sea , 1942

The History of United States Naval Operations in World War 11 , 15 vols., 1947-62; condensed as The Two-Ocean War: A Short History of the United States Navy in the Second World War ,

1963 John Paul Jones: A Sailor's Biography 1959 One Boy's Boston 1962 The Oxford History of the American People 1965 The European Discovery of America 2 vols., 1971-74 ,

,

,

,

Further Reading Cunliffe , Marcus , and Robin Winks , eds., Pastmasters: Some Essays on American Historians , New York : Harper, 1969 Loewenberg , Bert J. , American History in American Thought: Christopher Columbus to Henry Adams , New York : Simon and Schuster , 1972 Pfitzer, Gregory M. , Samuel Eliot Morison's Historical World: In Quest of a New Parkman , Boston : Northeastern University Press , 1991

Skotheim , Robert Allen , American Intellectual Histories and Historians , Princeton : Princeton University Press , 1966 " Taylor, P. A.M. , Samuel Eliot Morison: Historian ," Journal of American Studies 11 ( 1977 ), 13 26 -

Morton, W.L.

(1961), provided a powerful statement of Morton's environmentalist, and emphatically nationalistic

conservative,of

1908-1980

Canadian historian W.L. Morton

was a

history, working

dominant

at

a

in the

writing of Canadian

time when three

A.R.M. Lower and Donald

the historical

figure

Creighton profession in the country. -

men

cast a

-

large

Morton, shadow

Morton

brought a conservative, western perspective to Canadian history, his work best summarized by Carl Berger's description as a balance of region and nation." A westerner by birth and conviction, Morton nonetheless took an active role in the sweeping debates about the origins and meaning of Canada. Morton's first major contribution to Canadian historical scholarship came through the publication of The Progressive Party in Canada (1950). This work, part of a series of studies over

"delicate

the emergence of the Social Credit phenomenon in western was a detailed and insightful investigation of the roots of western alienation and protest. It offered an important to the prevailing tendency to interpret western uprisings in personal and radical terms, and instead provided a perceptive analysis of the broad-based support for non-mainstream parties in the region and of the many regional contradictions that prevented the Progressive movement from becoming a lasting national force. Perhaps his most notable work, and the one that established him as the leading historian of the west, was the monumental Manitoba: A History (1957). Morton's Manitoba revealed both the passion of a regional advocate and the insight of the scholar. Arguably, it was also his best written work, evoking time and place in a way that remains unique in the writing of Canadian history. Regional concerns played a major role in Morton's work throughout his career. His introduction to Alexander Begg's Red River Journal {1956) is one of the best pieces of writing on the western fur trade. His work, particularly in his books on Manitoba, and, more generally, in his seminal article, "The 'North' in Canadian Historiography," revealed his conviction that the environment played a major role in shaping of Canadian history and regional societies. Throughout this writing, and perhaps in reaction to the continued assertiveness of western Canadian politicians, Morton sought to explicate the important connections between regional distinctiveness and the essence of being Canadian. While he found much that was unique in being western Canadian, he consistently argued that too much could be made of the differences and that the west was an inherently Canadian place. This conviction that Canada could not be understood reference to its regions and the regions had to be explained in a national context, pushed Morton to tackle broader, national topics. He became the executive editor of the Canadian Centenary series, a consciously nation-building act of designed to explore Canada's historical roots, and a key volume on the years surrounding Confederation in 1867. Morton continued his search for the broader of Canadian history and believed that he found it in the country's curious combination of commitment to the British crown, its northern location, its legacy of dependence, and its emerging international role. In a survey text, The Kingdom of Canada (1963), Morton shaped these ideas into a detailed A more accessible publication, The Canadian Identity

on

Canada,

counterbalance

political

without

scholarship, contributed "relevance"

narrative.

view

Canada. While his approach fell from favor in the more divisive era of the 1960s and 1970s, Morton remained convinced that the special character of Canada could be best explained through broad patterns and national-level

historiographically analysis.

Toward the end of his career, Morton turned his attentions the link between the fur trade and the development of Canada. He was, at the time of his death, working on a of Donald A. Smith, fur trader and railway developer, and one of the key figures in the integration of the prairie west into Confederation. Perhaps his greatest intellectual legacies were his constant effort to bring the west to the attention of the nation's historians, no easy feat in the 1950s and 1960s, and his search for broad patterns in the study of Canada's past. A passionate nationalist, disturbed by the disintegrative impulses that rocked the country in the 1960s and 1970s, Morton believed that historians had a major public role to play in contemporary political debates. He played a significant intellectual role as a counterbalance to the liberal ideas that dominated Canada after the 1960s. Canadian historians shifted their attentions to what J.M.S. Careless described as the nation's "limited identities," the bonds of region, race, class, and gender that played such an influential role in shaping the country's past; Morton's emphasis on national themes and processes seemed out of step with historiographical realities, but he persisted in his belief that region and nation were not inherently in conflict. Morton's scholarship both reflected and influenced the changing nature of Canadian scholarship. He is remembered best for his regional histories, which set high standards for their depth of research, quality of writing, and sensitivity of analysis. Much of this work, on the Métis, Manitoba, the fur trade, and western protest, remains of considerable His national-level analyses have not held the attention of the country's historians in the same manner, for the metahistorical analysis that Morton offered does not find much favor in these more context-driven and theoretical times. Morton's most enduring legacy, however, may yet prove to be his struggle to explain the uniqueness of Canada as a political and social experiment. His belief in the importance of Canada being a northern nation, his conviction that the struggle between region and nation need not wreck the national fabric, and his belief in the continuing importance of Canada's British connections as a counterbalance to American influences speak to issues of continuing importance in Canada.

to

biography

significance.

KEN COATES See also Canada;

Ormsby

Biography William Lewis Morton. Born Gladstone , Manitoba, 13 December 1908 , son of a farmer. Received BA, University of Manitoba , 1935 ; Rhodes scholar, Oxford University, BA 1934, MA 1937 Served in the Canadian Army Reserve , 1940-45 Taught at St. John's College, Winnipeg, 1935-38 ; United College, Winnipeg, 1938-39 ; University of Manitoba , 1939-40 and 1942-67; Brandon College, 1940-42; and Trent University, Peterborough, 1966-69. Married Margaret Orde , 1936 (1 sons, 1 daughter). Died Medicine Hat, Alberta, .

.

1980

.

Principal Writings The Progressive Party in Canada , 1950 Editor, Red River Journal, by Alexander Begg , 1956 Manitoba: A History , 1957 ; revised 1967 The Canadian Identity , 1961 ; revised 1972 With Martha Arnett MacLeod, Cuthbert Grant of Grantown: Warden of the Plains of Red River , 1963 The Kingdom of Canada , 1963 The Critical Years: The Union of British North America,

1857-1873 1964 ,

Contexts of Canada's Past: Selected Essays of W.L. Morton , edited " by A. B. McKillop , 1980 [includes The 'North' in Canadian

Historiography "] Further Reading Berger Carl ed., The

West and the Nation: Essays in Honour of , , W.L, Morton , Toronto : McClelland and Stewart , 1976

Mosse, George L.

1918US (German-born) intellectual/cultural historian teacher and scholar, George Mosse has posed challenging questions about what it means to be an intellectual engaged in the world. The central problem Mosse has examined throughout his career is: how do intellectuals relate their ideas to reality or to alternative views of that reality? In other words, how do intellectuals adjust their ideas and beliefs to everyday life? In order to answer these questions, Mosse has chosen to focus on intellectuals and the movements with which they were often connected at their most intemperate. He does this in order to compel individuals to confront the implications of ideas and movements, for Mosse feels that it is the historian's task to force people to face reality. For Mosse, the role of the historian is one of political engagement; he or she must the connections (and disconnections) between myth and As

a

delineate reality.

as a scholar may well stem from his assimilated German Jew. His family owned the Mosse publishing house in Berlin (publishers of the Berliner Tagesblatt), and they were forced into exile with Hitler's to power. While not allowing his status as an erstwhile refugee to generate self-pity, Mosse's experience of the National Socialist regime and his Jewishness seem to explain his focus as a scholar. In his work Mosse eschewed a more traditional approach to intellectual history, preferring to concentrate on intellectual history as a cultural phenomenon. His approach demanded that he not confine himself to the giants of intellectual history, but to focus also on the works of secondary thinkers, popular writers, polemicists, and pamphleteers. In this way Mosse hoped to see how ideas make their way through popular thought and, more specifically, how ideas devolved from elite culture to National Socialism. Mosse's career has had two parts, the later study of modern nationalism, National Socialism, and the position of Jews in modern society and an earlier engagement with the early modern period. It should be said that although he has studied two very different eras, Mosse's theoretical focus has remained much the same. He has always been interested in the way

Mosse's

youth

as

priorities

an

ascension

mediate between intellectual elites and the masses and how this applied to the functioning of everyday life. One of his first major works, The Holy Pretence (1957), was an of how Puritans, while sincere in their beliefs, made compromises with everyday life. In switching his focus to modern Europe, Mosse attempted to determine the place of political symbols in mass politics, including how they are appropriated on a popular level. He saw this process as a secularization of religious impulses, with political leaders (as opposed to clerics) using symbols to draw

symbols

examination

people

(as opposed to religious important works, The Nationalization of the Masses (1975), Mosse showed how symbols impose form and, as such, disguise reality, within a more general study of how nationalism and politics in Germany became mass politics and the role of mass political rituals in this process. He cited many examples of how people in power manipulated symbols for their own ends. Mosse revealed this process as one of "mystification," arguing that it is the job to disconnect symbols from reality in a process of demystification. Mosse qualified his view of mystification when he stated in Nazism (1978) that leaders of fascist and National Socialist movements did not merely manipulate their followers but captured in rhetoric what their followers already felt. Mosse also pointed out how, while leaders shaped symbols and language to their own agenda, they were also constrained by the same symbols and language. In other words, they were compelled to become their own ideologies. In The Nationalization of the Masses, Mosse concluded that one cannot understand history as a reasonable progression, fitting easily into rational structures. Movements such as into

political

organizations).

In

one

movements

of his

most

historian's

somewhat

National Socialism and fascism were, for Mosse, more than rational political systems, focusing on feelings rather than on ideas. Despite this, Mosse has not been dismissive of these movements or their adherents as he saw that perceptions of reality, no matter how skewed, were as concrete for those who held them as reality itself. In Nazism Mosse expressed the idea that people, for the most part, have false rather than true consciousness. He this falseness as arising from a faulty match between interests and perceptions. To get at this, he examined how interests are expressed within the interplay of symbols, myths, and ideas. An example of this is anti-Semitism, which Mosse in several of his books has seen less as an actual fear or hatred of Jews per se than as an abstraction of middle-class angst over economic and social insecurity. This theme was also taken up in The Nationalization of the Masses, wherein Mosse pointed out how seemingly irrational beliefs have been used to rationalize mundane problems. Another major theme of Mosse's work has been the of politics. Mosse understood the National Socialist corruption of traditions and values as part of this but he also realized that the process predated the Nazis. As he stated in Nazism, "It's part of a growing brutalization a part of the idea of a total war which you already have in World War I: The enemy must be killed and to kill the enemy

attitudes

recognized

brutalization

brutalization,

-

is

a

good

act."

In Fallen Soldiers

(1990), Mosse examined how the dual themes of brutalization and manipulation of symbols interact to produce the "Myth of the War Experience." By this, Mosse

referred to a system of beliefs prevalent after World War I in which death in war, through apotheosis of the war dead, redeemed the nation as a whole in a way similar to Christian beliefs in Christ's crucifixion and resurrection. As such, death in war was seen as transcendent. Mosse argued that the peoples of Europe required such a myth to deal with the impact of the mass carnage of World War I. However, a political movement like National Socialism used the myth for its own ends as a glorification of war and the German nation, as defined by Nazi racial doctrine. Some cultural historians have criticized Mosse for implying that myth is a manifestation of false consciousness, arguing that there is no such thing as a true, unmediated Also, Mosse has tended to focus most acutely on those ideas and movements that played out into the National Socialist period. As such, some of Mosse's critics have claimed to detect a sense of teleologism in his work. Mosse has addressed this criticism in Confronting the Nation (1993), a study of how nations manifest themselves and how Jews have reacted to this. In this work, he emphasized that nationalism was, at its inception, the intellectual property of the Western liberal tradition and that nationalism only gradually became co-opted by irrational and extremist thinkers and politicians. In the book's introduction, Mosse calls for us all to remember this fact and for Western liberalism to reclaim nationalism in the name of liberal humanist principles.

consciousness.

JAMES See also

Masculinity; Nietzsche; World

E. FRANKLIN

War I

1979 Masses and Man: Nationalist and Fascist

,

Perceptions of Reality

,

1980 Jews beyond Judaism 1985

German

,

Nationalism and Sexuality: Middle-Class Morality and Sexual Norms in Modern Europe , 1985 Fallen Soldiers: Reshaping the Memory of the World Wars , 1990 Confronting the Nation: Jewish and Western Nationalism , 1993 The Image of Man: The Creation of Modern Masculinity , 1996

Further

Reading

"

Between Rationality and Irrationalism: George L. Mosse, the Holocaust, and European Cultural History," Simon Wiesenthal Center Annual 5 ( 1988 ), 187 202 Drescher Seymour David Warren Sabean and Allan Sharlin eds., Political Symbolism in Modern Europe: Essays in Honor of George L. Mosse New Brunswick, NJ: Transaction 1982 Aschheim , Steven E. ,

-

,

,

,

,

,

Motley, John Lothrop US historian of

,

early

modern

1814-1877

Europe

One of the

leading American historians of Europe during the 19th century, John Lothrop Motley's dramatic narrative, his love of liberty, and his emphasis on heroic characters make his work a classic example of American Romanticism. His The Rise of the Dutch Republic (3 vols., 1856) met with popular acclaim, but was flawed by its Protestant bias and inadequate research. Later works reflected a more sophisticated but were less successful with the reading public. Motley entered Harvard at the age of 13, and, drawn to the German Romantic writers, published a translation of Goethe while still a student. After graduating, he traveled to Germany, obtaining a doctorate from Göttingen. There he began a friendship with Otto von Bismarck, who became the model for a character in one of Motley's two novels, Morton of Morton's Hope (1839). After serving in the US legation to the court of St. Petersburg and a term in the Massachusetts Motley began work on a history of the Dutch revolt against Spain in the 16th century, a topic to which he was drawn by his interest in the writings of the German Romantics, notably

methodology,

Biography George Lachmann Mosse Born Berlin, 20 September 1918 to a publishing family. Emigrated to the US 1930 s. Received BS, Haverford College, 1941 ; PhD, Harvard University, 194 6. Taught University of Michigan 1944 ; University of Iowa 1944-55 ; and University of Wisconsin Madison from 1955 (emeritus). .

,

,

,

at

,

,

,

Principal Writings The Struggle for Sovereignty in England, From the Reign of Queen Elizabeth to the Petition of Right , 1950 The Holy Pretence: A Study in Christianity and Reason of State from William Perkins to John Winthrop , 1957 The Culture of Western Europe: The Nineteenth and Twentieth Centuries, an Introduction , 1961 The Crisis of German Ideology: Intellectual Origins of the Third Reich , 1964 Editor, Nazi Culture: Intellectual, Cultural, and Social Life in the Third Reich , 1966 Editor with Walter Laqueur, 1914 : The Coming of the First World War , 1966 Editor with Walter Laqueur, Literature and Politics in the Twentieth

Century, 1967 German and jews: The Right, the Left, and the Search for a "Third Force" in Pre-Nazi Germany , 1970 Editor with Walter Laqueur, Historians in Politics , 1974 Editor with Bela Vago , Jews and Non-Jews in Eastern Europe, 1918-1945

Editor, International Fascism: New Thoughts and New Approaches

,

1974

The Nationalization of the Masses: Political Symbolism and Mass Movements in Germany from the Napoleonic Wars Through the Third Reich , 1975 With Michael A. Ledeen , Nazism: A Historical and Comparative Analysis of National Socialism , 1978 [interview] Toward the Final Solution: A History of European Racism , 1978

lifelong

legislature, Goethe and Schiller.

Motley's account of the revolt, The Rise of the Dutch Republic, was constructed as if it, too, were a novel, one which centered on the epic clash between two giants: the noble William the Silent and the nefarious Philip II of Spain. His comic passages and powerful characterization produce an absorbing work, but critics have found fault with his bias against Catholicism and his projection of 19th-century republican onto 16th-century burghers. Motley had to underwrite the publication of The Rise of the Dutch Republic himself, but it became an immediate bestseller and critical success, winning praise from Washington Irving and François Guizot, among others. It remained in print for more than a century. The Dutch translation of The Rise of the Dutch Republic won generous praise from Dutch historians, notably Bakhuizen van den Brink, Groen van Prinsterer, and Robert Fruin, despite the

sentiments

fact that their analyses and use of sources were far more than Motley's. Indeed, Dutch historiography at this time

sophisticated

advanced as that of German historians. Fruin did mix criticism with his praise, noting that Motley's description of the siege of Leiden contained a number of inaccuracies. Motley's next project was the History of the United Netherlands (4 vols., 1860-67), which carries his account of the revolt up to the 1609 truce between the Dutch and the Spanish. Possibly influenced by the professionalism of Dutch historians, Motley based this work on research in French, Spanish, Dutch, and British archives. No longer celebrating the triumph of liberty, he now aimed to place the revolt in its wider European context, demonstrating its effects on British and on French history. Recasting himself as a diplomatic made his position as an outsider an advantage, but his scholarly approach was less popular than his earlier style, and sales of History of the United Netherlands never matched The Rise of the Dutch Republic. Motley's diplomatic career took precedence over his scholarly one for some time after the publication of History of the United Netherlands. He was appointed minister to the Habsburg court in Vienna, and later minister to London, but was caught in a power struggle between Hamilton Fish, the secretary of state, and Charles Sumner, the chairman of the Senate Foreign Relations Committee, and this led to his dismissal. He spent the remainder of his life in England, where he wrote The Life and Death of John of Barneveld, Advocate of Holland (2 vols., 1874). This was his most scholarly work, written after Motley had reviewed stacks of documents in Oldenbarneveldt's nearly illegible handwriting, most of them neglected by historians to that point. He championed Oldenbarneveldt in this account, casting Maurice of Nassau in an unfavorable light. That made him the object of harsh criticism from a former friend, Groen van Prinsterer, defender of the royal House of Orange-Nassau. Motley died in 1877, still intending to write a history of the Thirty Years' War. His pioneering use of a variety of national archives had played a key role in winning respect for the work of American historians abroad, and his lively style attracted generations of Americans to an interest in European history. was

nearly

as

historian

several

MARYBETH CARLSON

See also Fruin

Biography

Massachusetts, 15 April 1814 to a well-off merchant family. Received BA, Harvard University, 1831 ; then postgraduate study at Göttingen and Berlin. Unsuccessful as a novelist he served as a diplomat and turned to writing history. Married Mary Benjamin, 1837 (3 daughters, 1 son). Died Kingston Russell, near Dorchester, England, 29 May 1877 Born Dorchester,

,

,

.

Principal Writings The Rise of the Dutch Republic , 3 vols., 1856 History of the United Netherlands , 4 vols., 1860-67 The Life and Death of John of Barneveld, Advocate of Holland , 2 vols., 1874 The Writings of John Lothrop Motley , 17 vols., 1973

Further Reading Blok , Petrus Johannes , "John Lothrop Motley as Historian (1814-1877) ," in his Lectures on Holland for American Students , Leiden : Sijthoff , 1924

Fruin , Robert ,

"

Motley's Geschiedenis der Vereenigde Nederlanden ( Motley's History of the United Netherlands ) in his Verspreide geschriften 11 vols., The Hague : Nijhoff 1900-05 vol. 3 ,

118 224 Geyl , Pieter, -

,

,

"

,

.

"

Motley's Rise of the Dutch Republic ," in his Encounters in History , Cleveland : Meridian , 1961 ; London: Collins, 1963 Gooch , G. P. , History and Historians in the Nineteenth Century, London and New York : Longman , 1913 ; revised 1952 Guberman , Joseph , The Life of John Lothrop Motley , The Hague : Nijhoff

,

1973

Holmes , Oliver Wendell , John Lothrop Motley: A Memoir , London : Trübner, 1878 ; Boston : Houghton Osgood , 1879 Levin , David , History as Romantic Art: Bancroft, Prescott, Motley, and Parkman , Stanford, CA : Stanford University Press , 1959

Mousnier, Roland French politcal/instiu onal

1907-1993

historian

Roland Mousnier was a distinguished historian of the highest rank who is best known for his institutional histories of early modern French government and society. Mousnier holds an interesting place in the hierarchy of French historians because he eschewed the Annales school of social history at the height of its 20th-century popularity and pursued a more traditional, often highly narrative, approach to historical analysis. He also vehemently rejected Marxist reductionism and any notion that class was a useful method of analysis for early modern society. Mousnier was thus something of an outsider among his peers. While it was fashionable to study peasants, he concentrated on nobles. While it was common to search for conflict between those who controlled the means of and exploited workers, Mousnier focused on tensions he perceived between elites in French society: the traditional nobility of the sword and the administrative nobility of the robe. Because of these differences Mousnier stimulated many historical debates during his long career and was well known to British and American audiences through the translation of many of his works into English. Mousnier published his doctoral thesis in 1945, La Vénalité des offices sous Henri IV et Louis XIII (The Venality of Offices under Henry IV and Louis XIII), and first introduced his of early modern social stratification as a "society of orders." According to Mousnier early modern Europeans most valued status, honor, and social esteem so that their "society of orders," was divided vertically by ranks as opposed to by classes. Mousnier incorporated this theme with single-minded certainty into most of his publications. It was fully elaborated in his 2-volume work, Les Institutions de la France sous la monarchie absolue, 1598-1789 (1974-80; The Institutions of France under the Absolute Monarchy, 1979-84). In the 1950s and 1960s Mousnier launched a critical attack on Boris Porchnev, a Soviet Marxist historian who used class as an explanation for 17th-century French popular revolts. Mousnier denounced the idea of class warfare in preindustrial society and even argued in Les Hiérarchies sociales de 1450 à nos jours (1969; Social Hierarchies, 1450 to the Present, 1973) that societies based on orders were historically more common and numerous than societies based on class or caste. In volume 2 of The Institutions of France, however, Mousnier modified

scholarly

production

interpretation

horizontally

his thesis somewhat to emphasize transition and change. He concluded that in the18th century France evolved from a society of orders to a society of classes as attitudes changed and the country moved closer to a market-based economy. Although not part of the Annales school, Mousnier was very interested in social history and traveled to the United States to study anthropology and sociology. He even turned away briefly from his study of the nobility and published a work on the peasantry in 1968, Fureurs paysannes (Peasant Uprisings in Seventeenth-Century France, Russia, and China, 1970). His work in the 1960s and 1970s grew more multidisciplinary and comparative, but the results were not entirely satisfactory. In Social Hierarchies, for example, Mousnier used Bernard Barber's functional theory of social stratification to examine various societies

China, Tibet, 200

pages

so

across

and Nazi

that

time in

(among others) France, Russian, Germany. Mousnier did all this in under

most

of his discussion

was

far

too

generalized. Theodore Rabb and Charles Tilly both criticized him for oversimplifying the

societies he examined and the social theory he used. Mousnier was an outspoken right-wing conservative and a devout Roman Catholic, and many thought he wrote Social Hierarchies to warn the world against communism and/ or "technocratic orders." One of Mousnier's most successful books examined the assassination of France's popular king, Henry IV., The work, L'Assassinat d'Henri IV (1964; The Assassination of Henry IV, 1973) delineated two themes. First it considered the society that produced the assassin, François Ravaillac, and the forces that drove him to murder his king. Mousnier uncovered societal angst surrounding Henry IV's kingship by showing that many of his subjects disapproved of his actions and Mousnier concluded that there were many "potential Ravaillacs" in French society ready to do away with the king. The author's second theme hypothesized that the impact of Henry's assassination strengthened the "triumph of absolutism in France." Mousnier produced this work long before began to attack the very idea of "absolutism" and rendered his discussion outdated. The book remains highly useful, however, for Mousnier's insight into the tensions that divided early modern French society. Perhaps Mousnier's most lasting contribution to early modern French scholarship concerns his recognition of the importance patronage and clientage played in the early modern world. His "society of orders" included an understanding of the complicated ties that bound social superiors and inferiors in reciprocal relationships, Mousnier termed these linkages maître-fidèle relations and explained they involved ties of total devotion between kings and subjects, and between gentlemen and their patrons. Mousnier contended that fidelity was the definitive characteristic of patronage ties. Although his of fidelity was later criticized as too narrow by American scholars such as Sharon Kettering and Robert Harding, his exploration of patronage fostered numerous studies of the issue by French, British, and American scholars, most notably by Yves Durand, Arlette Jouanna, and jean-Marie Constant. In developing a model of 17th-century French society, Mousnier's "society of orders" often overlooked merchants, artisans, peasants, and women. He never incorporated differences as elements of classification in his social model, and he too readily accepted the words of legal jurists as

policies. revisionists

definition

economic

indicators of how French society functioned. Whether historians agree with his "society of orders" or not, however, they are still indebted to Mousnier for his investigations of and the social relationships they encompassed. Peter Burke commented in 1992 that Mousnier's arguments are dated, but they provoked useful inquiry and forced a generation of post-World War II scholars to re-think assumptions about old regime society. ANNETTE FINLEY-CROSWHITE

perfect

institutions

See also France: 1450-1789

Biography Roland Emile Mousnier. Born Paris, 7 September 1907 Attended lycée in Paris and studied at the Ecole Pratique des Hautes Etudes , PhD 1931. Taught at Lycée Corneille, Rouen , 1932-37 ; Lycée Janson-de-Sailly, Paris , 1937-40 ; and Lycée Louis-le-Grand, Paris, 1940-47 Joined the French Resistance during World War II. Professor, Faculty of Letters and the Institute of Political Studies, Strasbourg, 1947-55, and Faculty of Letters, Sorbonne, 1955-77. Founded Centre de Recherches sur l' Histoire de la Civilisation de l 'Europe moderne, 1958, and Institut de Recherches sur les Civilisations de l'Occident moderne , 1970 ; president, Comité français des Sciences historiques , 1971-75 Married Jeanne Lecacheur, 1934. Died 9 February 1993 .

.

.

.

Principal Writings La Vénalité des

offices sous Henri IV et Louis XIII ( The Venality of Offices under Henry IV and Louis XIII ), 1945 ; revised 1971 Les Réglements du Conseil du Roi sous Louis XIII ( The Statutes of the Kings Council under Louis XIII ), 1949 Les XVIe et X Vile siècles: la grande mutation intellectuelle de l'humanité: l'avènement de la science moderne et l'expansion de l'Europe ( The iéth and 17th Centuries: The Great Intellectual Awakening of Humanity: The Beginning of Modern Science and the Expansion of Europe ), 1953 L'Assassinat d'Henri IV , 1964 ; revised in English as The Assassination of Henry IV: The Tyrannicide Problem and the Consolidation of the French Absolute Monarchy in the Early Seventeenth Century, 1973 Lettres et mémoires adressées au chancelier Séguier (1633-1649) ( Letters and Mémoires addressed to Chancelier Séguier), 1 vols., 1964 Fureurs paysannes: les paysans dans les révoltes du XVIle siècle (France, Russie, Chine) , 1968 ; in English as Peasant Uprisings in

Seventeenth-Century France, Russia, and China , 1970 Les Hiérarchies sociales de 1450 à nos jours , 1969 ; in English as Social Hierarchies, 1450 to the Present, 1973 " French Institutions and Society, 1610-1661 ," in J.P. Cooper, ed., The New Cambridge Modern History, vol. 4: The Decline of Spain

and the

Thirty

Years War , 1970

La Plume, la faucille et le marteau: institutions et société en France du Moyen Age à la Révolution (The Pen, the Sickle, and the Hammer: Institutions and Society in France from the Middle Ages to the Revolution ), 1970 Les Institutions de la France sous la monarchie absolue, 1598-1789 , 2 vols., 1974-80 ; in English as The Institutions of France under the Absolute Monarchy, 1 $98-1789 , 2. vols., 1979-84 Paris capitale au temps de Richelieu et de Mazarin ( Paris as Capital in the Era of Richelieu and Mazarin ), 1978 " Les Fidélités et les clientèles en France aux XVIe, XVIIe et XVIIIe " siècles ( Patron-Client Relations in France in the i6th, 17th, and i8th Centuries ), Histoire sociale/Social History 15 ( 198 z ), 35 46 L'Homme rouge, ou la vie du cardinal de Richelieu, 1581-1642 ( The Man in the Red Robe; or, The Life of Cardinal Richlieu ), .

-

1991

Further

Reading

abandonment of limitations in

represented dangerous modern society. Mumford, who distrusted specialization, searched a

Durand , Yves , ed., Hommage à Roland Mousnier: clientèles et fidélités en Europe à l'époque moderne (Hommage to Roland Mousnier: Patron-client relations in Europe to the Modern Era ), Paris : Presses Universitaires de France , 1981 " Hayden , J. Michael , Models, Mousnier and Qualité: The Social Structure of Early Modern France ," French History 10 ( 1996 ),

and

for holistic solutions

pleaded

to

renew

and balance

American culture. His vision darkened in the postwar years, when he spent a deal of his time assailing the development of American

good

375 398 -

society. He continued to write and publish books about cities, architecture, culture, and technology, in particular his "Renewal of Life" series (1934-51), The City in History (1961), and the z-volume The Myth of the Machine (1967-70). Mumford, the citizen, helped defeat the New York City planners who wanted to build an expressway that would have decimated a vibrant city neighborhood. His concerns were global as well. He worked in the movement against nuclear

multivolume

Mumford,

Lewis 1895-1990

US architectural and cultural historian

belonged to a rare and declining species in America: the public intellectual. Living into his tenth decade, Mumford published thirty books and thousands of articles. Although he never earned a college degree or held a long-term academic post, he extended and deepened public awareness about the importance of architecture, cities, and technology to culture, thought, and everyday life. Lewis Mumford

20th-century

In 1916 at the age of 21, Mumtord dropped out of college. He aimed instead to make New York his university. "My

present interest in life," the young Mumford wrote, "is the exploration and documentation of cities." And while his influenced the formation of two scholarly disciplines his most American Studies and the history of technology and writer about cities came as a contributions significant architecture. Through his "Sky Line" column in the New Yorker, which he wrote from 1931 to 1963, and The Culture of Cities (1938), his most important book, he helped define the debates over urban development and city planning. More than just a history of urban places, The Culture of Cities contains plans for future cities, attacks the megalopolis, and calls for regional planning. In fact, Mumford first entered public prominence when, in 1923, he joined with a group of architects, planners, and environmentalists to form the Regional Planning Association of America (RPAA). The group planned to advocate the building of several garden cities, an idea borrowed from British planners. Mumford, his notes, acted as the RPAA's spokesperson and theoretician. While the RPAA captured limited attention during the New Deal years of the 1930s, their ideas never won widespread appeal, Mumford's regionalism did not reflect nostalgia for smalltown life. Rather, Mumford, a resident of New York City for his first forty years and of a small upstate New York town for the remainder of his life, thought planning could disperse and thus preserve the benefits of urban life. He contended that a "polynucleated" city was superior to a "mononucleated" city. He wanted cities to remain manageable in size and scope. Throughout much of his life, Mumford appeared out of step with American society. One notable instance was his powerful denunciation of American neutrality as Europe drifted toward war in the late 1930s. His stance, articulated in Men Must Act (1939) and Faith for Living (1940), ruptured several with other intellectuals. Mumford's thoughts about technology matched his views on planning. During the 1930s, the decade in which Mumford had his greatest influence, he published Technics and Civilization (1934), a path-breaking study of the history and culture of In the book he argued that mega-machines of the day

interests

and he protested the war in Vietnam. in Mumford's life was that admirers honored him with awards in his later years even as they (and mainstream American culture) ignored or forgot his ideas. America's messy urban sprawl and its fascination with and dependence on and machines have obliterated Mumford's social vision. CHRISTOPHER MACGREGOR SCRIBNER

proliferation A great

irony

technology

See also Hughes, T.; Sauer; Technology; Urban; United States; Historical Writing, 20th Century

-

-

biographer

friendships

technology.

Biography

Born Flushing, New York, 19 October 1895 , illegitimate son of a New York lawyer. Studied at City College of New York; New School for Social Research ; Columbia University Served as radio operator, US Navy, 1918 Associate editor, Fortnightly Dial, 1919 ; acting editor, Sociological Review , London , 1920 ; co-editor, American Caravan , 1927-36 ; independent author. Married Sophia Wittenberg, 1921 (1 son, 1 daughter). Died Amenia, New York , .

.

26

January

1990

.

Principal Writings The Brown Decades: A Study of the Arts in America, 1865-1895 , 1931

Technics and Civilization , 1934 The Culture of Cities , 1938 Men Must Act , 1939 Faith for Living , 1940 Art and Technics , 1952 The City in History: Its Origins, Its Transformations, and Its Prospects , 1961 The Myth of the Machine , 2 vols., 1967-70

Further Reading Carrithers Gale Jr. Mumford, Tate, and Eiseley: Watchers in the Night Baton Rouge : Louisiana State University Press 1991 Fried Lewis Makers of the City Amherst : University of ,

,

,

,

,

,

,

,

Massachusetts Press , 1990 Goist , Park Dixon , From Main Street to State Street: Town, City, and Community in America , Port Washington, NY: Kennikat Press , 1979 Hughes , Thomas P., and Agatha C. Hughes , eds., Lewis Mumford: Public Intellectual , New York : Oxford University Press , 1990 Krueckeberg , Donald Α. , ed., The American Planner , New York : Methuen , 1983 Miller, Donald L. , Lewis Mumford: A Life , New York : Weidenfeld and Nicolson , 1989 Novak , Frank G. , The Autobiographical "Writings of Lewis Mumford: A Study in Literary Audacity , Honolulu : University of Hawaii Press , 1988

Muratori, L.A.

1672-1750

Italian medievalist

Every present-day student researcher into medieval Italian history rapidly becomes acquainted with the name of Muratori, probably first by encountering the 25 volumes of Rerum Italicarum Scriptores (Writers or Historians of Italian Affairs, 1723-51), This immense compilation, the fruits not only of own labors but of his collaboration and with a network of scholars in Italy and beyond (more than 6000 of his letters survive), made available works, both Latin and Italian, which in many instances had lain for centuries unpublished or even if published, in the obscurity of long-forgotten editions. The day is still far distant when the original Scriptores will be superseded either by the new edition, initiated in 1900 under the editorship of Giosuè Carducci, or by piecemeal re-editions elsewhere. The new Scriptores (commonly referred to together with the old under Muratori's name) has combined the re-editing of many of the texts he published with editions of others unknown to or untouched by him, but the works for which we still have recourse to the original are numerous and considerable. Eric Cochrane professed himself content if his Historians and Historiography in the Italian Renaissance (1981) should be used as "a guide

Muratori's

correspondence

to Muratori."

Muratori of course had his progenitors both as "Italian" historian and more generally as a pioneer of the study and publication of sources. His Italian medieval agenda was in large part set by the De Regno Italiae of Carlo Sigonio (1523-84), of whom he wrote an appreciative biographical sketch. Sigonio helped to focus Muratori's attention not only on the period of the "kingdom of Italy" (as distinct from the empire of Rome) but on the sources for its study. Around the time of Muratori's birth both the compilation and the criticism of the sources for ecclesiastical history were becoming established scholarly on a large scale; it is sufficient to mention the Bollandists and the Maurists. Of significance for Muratori were Cardinal Baronius (1538-1607), whose Annales Ecclesiastici was by a series of continuators including Muratori's younger contemporary Mansi, and the Cistercian Ferdinando Ughelli (1596-1670), whose Italia Sacra, a compendium of historical information arranged by province and diocese, appeared between 1644 and 1662 and was revised by Nicolò Coleri (1723-33). Muratori's Scriptores are an almost everyday resource for the medieval Italian researcher; the 6-volume Antiquitates Italicae Medii Aevi (Ancient Italy in the Middle Ages, 1738-42) occupies a particular place in the regard of modern scholars as a pioneering work that breaches the limits of narrative history to take notice of other documentary sources and of such physical mementoes of the past as coins, seals, and medals. The work consists of 75 "dissertations" on topics which range from the ranks of society and the structure of government to coinage, heresy, poetry, hospitals, and parishes; each topic is illustrated by extensive quotation of sources and by where appropriate. Less used today, perhaps, are the twelve volumes of Annali d'Italia (Annals of Italy, 1744-49), in which Muratori endeavored to extrapolate a chronological survey of Italian history from the sources.

activities

updated

originally

engravings

The coverage

attempted

in the Annali continued down to

by contrast, both the Scriptores and the Antiquitates are monuments to a still-familiar concept of the "Middle Ages" which Muratori helped to establish, to the point that he enforced 1749;

cut-off date of 1500 on the chronicles he published in the former. Even if the date seems, and is, arbitrary, it is that an Italian should feel that the history of his had reached an epoch at the end of the 15th century, with the imposition on the peninsula of a framework of "foreign" rule within which native powers, including the papacy, were to down to Muratori's own time and for the foreseeable future. the history of the centuries before 1500, which had extension, By witnessed the formation of a distinctive Italian civilization in the aftermath of the fall of Rome, had an identity that deserved study and commemoration in greatly changed times. This assertion, which still needed making in face of the long dominance of historical interests by Greece and Rome, also had a clear political resonance, insofar as it implied an ongoing historical identity for "Italy." In that sense, Muratori was compiling materials for the use of the Risorgimento as well as for the more disinterested purposes of modern scholarship. Felix Gilbert saw him as among the foremost of those who between the 16th and18th centuries upheld the sense of an Italian identity. This did not, however, necessarily or obviously imply opposition to the existing system of Italian states. As librarian of the dukes of Este at Modena, one of the oldest of Italy's native ruling dynasties, who had found their niche within the Habsburg system, Muratori too enjoyed the favor and protection of the imperial house on those occasions when he threatened to fall foul of Rome as his works enjoyed considerable fame and influence in Austrian Enlightenment circles. Rather, it was in the nature of his scholarly enterprise that he drew to the attention of contemporary Italians, and their rulers, the historical record of their past, of both the and complex interrelationships of the states in which their predecessors had lived and their jealous pursuit of Several possible blueprints for Italy's future, as the next century would show, could be derived from the contemplation of its history. Towards the end of his life Muratori rendered the Antiquitates into a 3-volume Italian edition, implying a bid for an educated readership which lay beyond the confines of the scholarly community. He was an advocate of the reading of the scriptures to the people, and even published a translation of the Catholic Mass to aid understanding. To be aware of his activity as a moderate Catholic reformer, who became embroiled in controversies over the reality of witchcraft and the abolition of excessive saints' days, is to supply a context in which his historical scholarship takes on a fuller meaning. a

understandable country

function

intellectuals

intimate independence.

narrow vernacular

DIANA WEBB

Historiology; Italy:

See also

since the Renaissance; Manzoni

Biography Ludovico Antonio Muratori Born Vignola in Modena , 21 October 1672 , to a poor family. Educated by the Jesuits, then at the state school of Modena; took minor orders and received degree in canon and civil law, 1688 Ordained priest, 1695 ; nominated curator, Ambrosian Library , Milan , 1695 ; chief archivist, court of Modena, 1700-50 Died Modena, 23 January 1750 .

.

.

.

the "historical" and the "systematic" (the second

Principal Writings Primi disegni della Repubblica letteraria d'Italia (First Designs for a Literary Republic of Italy ), 1703 Riflessioni sopra il buon gusto nelle scienze e nella arti ( Reflections on Good Taste in the Sciences and the Arts ), 1708 Rerum italicarum scriptores ( Writers or Historians of Italian Affairs ), 25 vols., 1723-51 Antiquitates Italicae Medii Aevi ( Ancient Italy in the Middle Ages),

vols., 1738-42 Annali d'Italia ( Annals of Italy ),

1744-49

,

,

,

,

,

,

,

,

,

In

most

concerned with Adler's category, to some extent

aesthetics, while music theorists have dealt with theoretical

and ethnomusicologists have studied matters,

non-western musics.

the history of the discipline, archival research and the editing of musical texts and musico-theoretical have been the occupation of many prominent scholars and have resulted in critical editions of certain repertories (14thcentury polyphony, for example), of the works of certain (the Bach-Geseilschaft's edition of the works of J.S. Bach beginning in 1851 being the earliest example), of works deemed of national importance (the German and Austrian Denkmäler series), and of facsimile editions (the Solesmes monks' Paléographie musicale, 1899-, which reproduces the earliest notated music in the West). Many medieval and Renaissance writings have been edited and published, especially in the series Corpus scriptorum de musica ( 1950—); these works are now appearing in a computer data base called Thesaurus musicarum latinarum. As far as performance practice is concerned, fewer problems surround music that has never left the current repertory (such as much 19th-century music) than music more removed from the present. In some cases, it is extremely difficult to recover lost performance traditions. Landmarks in the study of performance include work on the performance of baroque music. For medieval and Renaissance music, a great deal of effort was at first expended on deciphering archaic notation systems, but also on questions of text underlay, tuning, and more recently, the range and quality of singers' voices. Broad-based discussions of musical style, which move chronologically, have also been the purview of musicologists, for example Jan LaRue's Guidelines for Style Analysis (1970). Periods in music history (which correspond roughly to those of art history) have been delineated on the basis of major shifts, and so there have also been important works devoted to the music of each period, for example the series published by Norton, which includes books on Medieval, Renaissance, Baroque, Classical, Romantic and 20th-century music, each by a specialist in the music of that period. There are a vast number of studies of the music and biography of individual composers: Alexander Thayer's Life of Beethoven (1866-79) is an early example on which many subsequent studies have been based. There continue to be valuable studies such as these made in the field of musicology, but since the 1960s several have called into question the aims and methods of musicological enquiry, and there was a decisive shift in the discipline with the publication of Joseph Kerman's Music (1985). Kerman called for musicologists to move away from "positivistic" studies towards "criticism"; not only did the majority of musicological studies up until this time concentrate on the "objective" search for historical truth, but there was also a long tradition of regarding musical works as transcending the people, places, and times from which they came. Debates concerning music's autonomy were prevalent in the mid-19th century (see, for example, the writings of the music critic Eduard Hanslick), and this idea has been carried

documents

Further Reading Bertelli Sergio Erudizione e storia in L.A. Muratori (Erudition and History in L.A. Muratori ), Naples : Nella sede dell'Istituto 1960 Carpanetto Dino and Giuseppe Recuperati Italy in the Age of Reason, 1685-1789 London and New York : Longman 1987 Chadwick Owen The Popes and European Revolution Oxford and New York : Clarendon Press 1981 ,

non-western

in

Throughout

6

,

acoustics, psychology, aesthetics, theory, pedagogy, and the encompassing the later 20th century, musics). study of North America, musicologists have been especially first and also with

,

Cochrane , Eric , Historians and Historiography in the Italian Renaissance , Chicago : University of Chicago Press , 1981 Dupront , Alphonse , L.A. Muratori et la société européenne des prélumières: essai d'inventaire et de typologie d'après l'Epistolario (L.A. Muratori and European Society before the Enlightenment), Florence : Olschki , 1976 " Gilbert , Felix , The Historian as Guardian of National Consciousness: Italy between Guicciardini and Muratori ," in his History: Choice and Commitment , Cambridge, MA : Harvard University Press , 1977 Rosa , Mario , Riformatori e ribelli nel '700 religoso italiano ( Reformers and Rebels in 18th-century Italian Religious History ), Bari : Dedalo , 1969 Venturi , Franco , Italy and the Enlightenment: Studies in a Cosmopolitan Century, New York : New York University Press , and London: Longman, 1972 Woolf, Stuart , A History of Italy, 1700-1860: The Social Constraints of Political Change , London and New York : Methuen , 1970

Musicology Musicology is the scholarly study of music. In its modern guise, it began in the 19th century, prior to which there was little interest in the historical study of music, since the music performed was largely that of the present (although past ideas and certain theoretical concepts from the past were often part of current thought about music). The first music to remain in the repertory a generation beyond its composition was that of Ludwig van Beethoven; since the middle of the 19th century, performers have continually reached further back in time to revive older musical works, developing in the process a canon of "masterpieces." That this phenomenon should have begun in the 19th century is not surprising, for it was part of the historicizing tendency prevalent in that century; it also reflected the growing interest in the notion of genius. Hence, until recently, much of the focus of musicological work has been on archival research, textual criticism, problems concerning performance, the broad delineation of style based on the canon, and biographical studies. The attempts to systematize the discipline were by Germans, notably by Guido Adler. These early musicologists used the term Musikwissenschaft to encompass all thinking about music. Adler proposed two divisions to be made within the discipline:

composers

theoretical

historical

stylistic

musicologists

Contemplating

into the 20th century, albeit tacitly. A new generation of responded to Kerman with works in which the

musicologists

production of social meaning through music became the focus, drawing for models (belatedly, compared to other disciplines) on poststructuralist cultural criticism. Addressing social and political meaning indeed meaning of any kind in music is particularly difficult, since music is not a language in the sense, but "new musicology," as it is being called, holds that particular sound structures (melodic, rhythmic, harmonic, timbral, etc.) are, indeed, socially determined. Watershed studies in this new direction have come from Susan McClary, whose work has focused on music, gender, and sexuality (for -

-

ordinary

she has studied the opera Carmen to reveal how the characters' masculine and feminine qualities are depicted in the music) and Lawrence Kramer, who has drawn on, among other writings, Foucault's theory of cultural archaeology to determine how music of certain historical moments reflects other cultural concerns of the time and place. Collaborative volumes of essays have also appeared, for example Solie's Musicology and Difference (1993) and Brett, Wood and Thomas' Queering the Pitch (1994), the former concerned with gender studies, the latter exploring homosexual composers and issues in music. Works such as these have gone far to recover composers who have been marginalized. In Bergeron's Music (1992), the issue of the musical canon is addressed: musicologists have traditionally been exclusively concerned with western "classical" music, and even this has been stratified into acceptable and less-acceptable composers and works to study; but recently musics that have hitherto been neglected have begun to receive critical including popular music (sociologists have long studied it, but without much discussion of the music itself). Richard Middleton's theoretical work, Studying Popular Music (1990) has been very important in this respect. Jazz has, for the past twenty years, enjoyed comparatively wide acceptance as an area for serious enquiry and many fine musicological works have been produced, notably Gunther Schuller's The Swing Era (1989). Traditional musicology has concentrated on the notated score, but now performance (both live and recorded) is receiving attention, not only with respect to the sound made, but with the relationship of musical production to the body (see, for example, Carolyn Abbate's Unsung Voices, 1991).

example,

Disciplining tradition

attention,

SUSAN FAST

Further

Reading

Abbate , Carolyn , Unsung Voices: Opera and Musical Narrative in the 19th Century, Princeton : Princeton University Press , 1991 " Adler, Guido , Umfang, Methode und Ziel der Musikwissenschaft " (Scope, Methods, and Aim of Musicology), Vierteljahresschrift für

Musikwissenschaft

1

( 1885 ),

5 20 -

Adler, Guido , and E. Schenk , eds., Denkmäler der Tonkunst in Österreich (Monuments of Austrian Music ), Vienna , 1894 Allen , Warren Dwight , Philosophies of Music History , New York : American Book Company, 1939

Willi The Notation of Polyphonic Music, 900-1600 Cambridge, MA : Medieval Academy of America 1953 Bach Johann Sebastian Werke ed. Bach-Gessellschaft Leipzig 1851-99 Bergeron Katherine ed., Disciplining Music: Musicology and Its Canons Chicago : Chicago University Press 1991 Brett Philip Elizabeth Wood and Gary C. Thomas eds., Queering the Pitch: The New Gay and Lesbian Musicology New York and London : Routledge 1994 Dolmetsch Arnold The Interpretation of the Music of the Seventeenth and Eighteenth Centuries Revealed By Contemporary Evidence London : Novello 1915 ; revised 1946 Gochring Edmund J. issue ed., Approaches to the Discipline," Current Musicology 53 ( 1993 ) [special issue] Hanslick Eduard Vom musikalisch-schönen: ein Beitrag zur Revision der Aesthetik der Tonkunst 2 vols., Leipzig : Weigel 1858 ; in English as The Beautiful in Music: A Contribution to the Revisal of Musical Aesthetics London : Novello 1891 Haydon Glen Introduction to Musicology: A Survey of the Fields, Systematic and Historical, of Musical Knowledge and Research Chapel Hill : University of North Carolina Press 1941 Kerman Joseph Contemplating Music: Challenges to Musicology Cambridge, MA : Harvard University Press 1985 Knighton Tess and David Fallows eds., Companion to Medieval and Renaissance Music London : Dent and New York: Schirmer,

Apel

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

"

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

1992

Kramer, Lawrence , Music as Cultural Practice, 1800-1900 , Berkeley : University of California Press , 1990 Kramer, Lawrence , Classical Music and Postmodern Knowledge , Berkeley : University of California Press , 1995 LaRue , Jan , Guidelines for Style Analysis , New York : Norton , 1970

McClary Susan Feminine Endings: Music, Gender, and Sexuality Minneapolis : University of Minnesota Press 1991 ,

,

,

,

Mathiesen , Thomas , project director, Thesaurus musicarum latinarum , Bloomington, IN : The Thesaurus , 1991 Middleton , Richard , Studying Popular Music , Milton Keynes : Open University Press , 1990 Mocquereau , André , and Joseph Gojard , eds., Paléographie musicale: les principaux manuscrits de chant grégorien, ambrosien, mozarabe, galbéan , 2 vols., Solesmes: St. Pierre , 1899 Reaney, Gilbert, ed., Corpus scriptorum de musica , Rome : American Institute of Musicology, 1950 Recent Researches in Music of the Middle Ages, Renaissance , Madison, WI : AR Editions , 1964 Riemann , Hugo , Grundriss der Musikwissenschaft (History of Music -

-

..

Theory), Leipzig : Quelle

&

.

Meyer 1908 ,

Schrade , Leo , ed., Polyphonic Music of the Fourteenth Century , 24 vols., Monaco : Editions de l'Oiseau-Lyre , 1956-91 Schuller, Gunther, The Swing Era: The Development of Jazz, 1930-1945 , New York : Oxford University Press , 1989 Solie , Ruth Α. , ed., Musicology and Difference: Gender and Sexuality in Music Scholarship , Berkeley : University of California Press , 1993

Spiess Lincoln Historical Musicology: A Reference Manual for Research in Music Brooklyn : Institute of Medieval Music 1963 Thayer Alexander Ludwig van Beethovens Leben edited by H. Dieters 3 vols., Berlin 1866-79 ; in English as The Life of Ludwig van Beethoven 3 vols., New York : Beethoven ,

,

,

,

,

,

,

,

,

,

Association , 1921 Waite , William , The Rhythm of Twelfth Century Polyphony, New Haven : Yale University Press , 1954

N Naima, Mustafa Ottoman

political

165 –1716

historian

Naima was the most well known and popular historian of the late 17th and early 18th centuries of the Ottoman empire. He was born in Aleppo, Syria and arrived in Istanbul sometime after 1683 where he became a halberdier (teberdar) and rose quickly to become secretary of the council (divan) of Kalaylikoz Ahmed Pasha who subsequently was appointed Grand Admiral (kapudan-t derya) of the empire. Naima then embarked on the career as a member of the imperial path of a bureaucrat service (hacegan) affiliated with the treasury-chancellery which at this time was developing into an embryonic foreign

secretarial (kalem) ministry.

Naima's service brought him to the attention of Hüseyin Köprülü, scion of the famous Köprülü family, who became grand vizier from 1697 to 170z. Hüseyin Köprülü appointed

(vak'anüvis) in 1700. Up to the time of Naima's appointment, the term vak'anüvvis had generally meant recorder-of-events, but due to Naima's interpretation of his job, the vak'aüivis began to be recognized as someone who interpreted events and did not just record them, Naima's to his craft is that his work fundamentally changed the Ottoman perception of the historian. His work contributed to the recognition by imperial officials of the need to develop an accurate historiography in order better to administer the empire and to enhance its legitimacy. Naima served as imperial historian for only two years, but this period was crucial to the subsequent evolution of the empire. It was just prior to the revolution of 1703 in which Sultan Mustafa II (1695-1703) was deposed and Ahmed III (1703-30) became Sultan. Ahmed III inaugurated a period of Ottoman history known as the Tulip Period (Lâle Devrî) in which the empire sought political, intellectual, and cultural rapproachment with Europe. Naima's career as historian with these crucial years of imperial history. Naima seems to have stopped writing around 1704, He held a series of important imperial posts until his death in 1716 at the age of 62. In addition to his history, some scholars attribute the section on the deposition of Jeyhülislam Feyzullah in the history of Ra§id, his successor as official historian, to Naima. Naima apparently made notes on the period 1660 to 1698/ 99 that he intended to include in his history, but they were not included in Ibrahim Miiteferrika's 1733 printed version of his work.

Naima official historian

contribution

coincided

Naima's fame rests

on his multivolume work dealing with from October 1591 to April 1660, a span of 71 years and 7 months in the Muslim lunar calendar. Entitled Ravzat el-büseyin fi hulâsât ahbâr el-bâfikayn (The Garden of al-Hüseyin, Being the Choicest of News of the East and West), and sometimes known as Tarib-i vaka'i (History of Events) it came gradually to be called simply Naima's History. Hüseyin in the original title referred to Hüseyin Köprülü, Naima's patron and grand vizier. Münir Aktepe argues on the basis of three additional manuscripts (out of a total of 40) of Naima's work that he found in Istanbul libraries that Naima's history commenced 18 years earlier than the 1591 date suggested by Lewis V. Thomas in A Study of Naima (1972.). Naima's history covers the reigns of eight Sultans: from Murad III (1574-95 to Mehmed IV (1648-87). Naima's history is in the tradition of Islamic scholarship and heavily dependent on the work of his predecessors. In many instances Naima copied verbatim and at some length from scholars such as Kâtip Çelebi (Fezleke/Treatises) and $arih al-Manarzade whose work was subsequently lost. He also relied on Hiiseyin Maanoǧlu, the son of the famous Druze Amir Fakr ad-Din who attained political autonomy from the Sublime Porte in the middle of the 17th century, for his of events in the Arab provinces. Naima also plagiarized and quoted extensively from the works of his predecessors: Ibrahim Peçevi, Vechihî, Kara Çelebîzade Tevki'i Abdî, and Abdülaziz Efendi among others. Like many of the learned men of his time Naima was a disciple of the famous North African scholar Ibn Khaldün, and followed his five theories regarding the characteristics of the rise and fall of empires: i) the heroic age of the establishment and expansion (nümüv); 2) the consolidation of the state and its slave-servant hierarchy; 3) the heyday of the state by stability; 4) the period of stagnation (vüküf) and; 5) disintegration (inhitat). In his history, Naima stated that he thought the Ottoman empire was in the fourth stage of the cycle. In the introduction to his work, Naima stated his nine for writing good history: 1) tell the truth and it; 2.) disregard the false tales of the common folk; 3) be as objective (dehrin) as possible; 4) let the reader draw the moral for himself; 5) use plain language and do not sacrifice clarity for literary affection; 6) use appropriate embellishment such as verses from Arabic and Persian to increase appeal; 7) discuss astrology, but only when the historian can prove that causes created certain consequences; 8) recognize that

the

period

knowledge

characterized

principles substantiate

astrological

NAIMA

people who do not know history are reckless; 9) strive to history in order to comprehend the work of preceding

write

Babinger Franz Die Geschichtsschreiber der Osmanen und Ihre Werke ( Ottoman Historians and Their Works ), Leipzig : ,

,

Harrassowitz , 1927 , 245 49 Cânib , Ali , ed., Nâimâ Tarihi (The History of Naima ), Istanbul : Devlet matbaasi , 1927 Çelebi , Âsaf Hâlet , Naîmâ: hayati, san'atí, eserleri ( Naima: His Life, Artistry and Works ), Istanbul : Varhk Yayí nevi, 1953 Çelebi , Kâtip , Fezleke ( Summation ), 2 vols., Istanbul : Ceride-i Havadis Matbaasi , c. 1870 Edip, Halide , Memoirs , New York : Century, and London: Murray, -

historians. Naima followed his own advice well. Given the traditions of the time in which he wrote, he was more objective not only than many of his predecessors, but than many of his A teliing comment on his methodology, however, is that he did not see the contradiction between his objective criteria and his belief in the efficacy of the explicative power of astrology to provide an explanation for historical Naima did adhere to his admonition to write more plainly and clearly, and this is the greatest contribution of his work. He wrote in a much more simple style than the bombastic Arabic and Persian writing of his time. His engaging style was the reason that his history was one of four historical works to be printed by Ibrahim Miiteferrika which contributed to his continuing appeal. Salim Efendi, one of Naima's contemporaries, characterized him as "a witty scoundrel of a devil-may-care nature and a poet of broad talent. But he was skillful in his own branch of knowledge and an able writer of prose and verse. In the field of Ottoman history, he is perfect and detailed." Naima's appeal bridged the centuries. In her Memoirs (1916), Halide Edip, the foremost woman of letters of modern Turkey, whose life spanned both the 19th and 20th centuries as well as the Arabic and Latin scripts used for writing Turkish, noted the appeal of Naima to her generation: he was a "wonderful Turkish chronicler who reaches to levels of Shakespearian penetration in his simple yet vivid descriptions" and provides "a wonderful vision of individual souls, large crowds, and revolutions in life and actions."

successors.

developments.

customarily

psychological

1926

Encyclopaedia of Islam

Leiden : Brill 1913-36 vol. 7 917-18 Hammer-Purgstall Joseph von Geschichte des Osmanischen Reiches (History of the Ottoman Empire ), 10 vols., Budapest : Hartleben 1827-1935 Islam Ansiklopedisi ( version of Encyclopaedia of Islam in Turkish ), ,

,

,

,

,

,

,

Istanbul , 1941 -, vol. 9 , 44 49 -

Peçevî Ibrahim Peçevî tarihi (Peçevî's History ), edited by Murat Uroz 2 vols., Istanbul : Nesrivat Youdu, 1968-69 Raçid Mehmed Tarih-i Rashid ( Rashid's History ), 2nd ed., 6 vols., Istanbul : Matbaa-yi Amire 1865 Refik Ahmet Alimler ve sanatkârlar (Scholars and Artists ), Istanbul : ,

,

,

,

,

,

,

,

Kitaphane-yi Hilmi , 1924 Salim , Mehmed Emin , Tezkire-i Salim (Memories of Salim ), Istanbul : Matbaasi , 1896-97 Siireyyâ , Mehmed , Secill-i Osmânî ( Ottoman Register), 4 vols., Istanbul : Matbaa-yi Âmire , 1890-93 Tahir, Bursali Mehmed , Osmanli müellifleri ( Ottoman Authors ), 3 vols., Istanbul : Matbaa Amire , 1915-19 Tayyarzade , Ahmed Atâ , Tarih-i Âta ( History of Ata ), 5 vols., Istanbul : Yahya Efendi Matbaasi , 1844-46 Thomas , Lewis Victor, A Study of Naima , edited by Norman Izkowitz , New York : New York University Press , 1972

Robert Olson

Naitō

Torajirō

186 –1934

See also Ibn Khaldūn; Ottoman; Rashīd

Japanese historian

Biography

Konan, NaitōTorajirō, Naitō foremost in Japan during interpreter of Chinese history

formally known

Mustafa Naima (Na'īma). Born in τ 65 5 ; raised in Aleppo, Syria in an established military family. Went to Istanbul some time after 1683 where he became in succession a halberdier, a secretary to the Istanbul council (divan) and a member of the elite hacegan (scribal service) ; official court historian , 1700-02.; held a series of important imperial posts , 1702.-16 Died c.i September 1716 , in Patras, Greece ; survived by one son, Ramiz , who was a member of the ulama (clergy) .

.

Principal Writings Ravzat el-hüseyiti fi hulâsât abbâr el-bâfikayn (The Garden of alHüseyin, Being the Choicest of News of the East and West ); also known as Tarikh-i vaka'i, and Tarib-i Naima , 2 vols., 1733 ; in English as Annals of the Turkish Empire from 1591-1659 of the Christian Era , 1832 ; and as Naima's History Resail-i siyasiya ( Political Treatises ), manuscript in Süleymaniye Library Esad Efendi collection , Istanbul

,

Ottoman Politics , Leiden : Nederlands Historisch-Archeologisch Instituut te Istanbul , 1984 " " Aktepe, Münir, Naîmâ Tarihi'nin Yazma Nüshalari Hakkinda (Concerning the Manuscripts of Naima's History), Tarth Dergisi 35

-

52

.

as

was

the

an

era

when his country moved steadily towards a deeper imperialist involvement in Chinese affairs. The tragic consequences of this brought, after 1945, a fierce criticism of his views from a younger generation of scholars keen to exorcise the past, but some of his ideas concerning the periodization of Chinese history have outlasted those of his critics, and gained a yet wider influence as Western scholars, almost entirely absent from his field of study during his lifetime, have come to examine the problems that he first described. Naitō came from a samurai background in which the study of Chinese literature formed a major part of the curriculum. Though he also studied English a little, it was his prose style in Japanese that marked him out as destined for a life of from very early in his career. His scholarship ranged widely, in the manner of his generation, yet despite early years employed as a journalist rather than as an academic, his achievements, particularly as a teacher at Kyoto University, were often substantial. Though he asked his son to translate for him a classic study on early China by Henri Maspero, he soon told him to stop, because he himself knew much more than Maspero despite the fact that much of his published research focused on the Qing period (1644-1911). One of his main achievements as a teacher was to put the study of the

influence

Further Reading Abou-el-Haj, Rifa'at Ali The 1703 Rebellion and the Structure of

( 1949 ).

of China

-

1

ΝAMIER

documents of this own

lifetime,

on a

which drew firm foundation.

period,

to a

close

during

his

.

Naitō's most lasting influence, however, especially beyond the confines of Japanese China studies, has been due to his periodization of Chinese history into the equivalents of ancient, medieval, and modern. This scheme is already apparent in his Sbinaron (On China) of 1914, which set the medieval/modern divide at c.800-1000CE, the "Tang-Song transition," in parlance. It was more novel than one might imagine: before his time the notion of a "Golden Age" in Chinese followed by long decline had been widespread in East Asia, and had been taken up with a vengeance by Westerners, who saw their own arrival in China as the stimulus that would arouse that country from complete torpor. Naitö's tripartite division is open to the objection that it fostered similar self-regarding sentiments in Japan, in that the "modern" era was held to have run its course, so that China now required renewal with outside help. But Naitö was never a simple apologist for Japanese expansion; he could not, for

contemporary

antiquity

instance,

Japanese military aggression

countenance

in

China,

military could not understand his own view of the importance of Japanese cultural leadership. From the start he saw republicanism as inevitable in China, and his emphasis on the importance of local society in China picked up antiautocratic arguments already apparent in 17th-century Chinese writings. But equally he could not abide the rise of a new, Western-educated Chinese leadership who knew less of their own history than he did. Like many pundits on foreign affairs, since the

his chief fault was an unwillingness to accept that the country on which he had staked his career could develop in ways other than those he himself thought ideal. The great merit of his periodization, by contrast, was its recognition of a pattern of development in the Chinese past which others had been unwilling to see. In fact, though he may have derived some hints from Japanese discussions of the term "medieval" in relation to their own history, his scheme reflects a longstanding awareness on the part of traditional Chinese historians that the period from early in the Common Era to the 11th century had been marked by cultural influences, such as the importation of Buddhism, that gave way to a of the purely Chinese culture of antiquity. It is

reevaluation

perhaps significant that Naito, a Buddhist, started his career writing for a Buddhist periodical, but his delineation of the medieval period actually concentrates on its distinctive sociopolitical history in a way that has far fewer precedents than the characterization of the time span in religious terms. Since 1945 Nait 's most famous idea has been subjected to

journalistic

various modifications:

a

"recent modern"

period

was

soon

to meet the charge that Naitö's scheme stagnation, while most current writing in the West would see the period 800-1000 as but a phase in longerterm or successive changes, rather than a brief but completely exceptional episode. Even so, the "Tang-Song transition" remains a notion which it is difficult to do without, and it now seems that whatever his demerits, the credit due to Naitö for raising a generation of scholars who took change in Chinese

tacked

implied

onto

the end,

recent

historv seriously will

never

be taken from him. T.H. BARRETT

See also

Maspero

Biography Born Kemanai , Akita prefecture, 18 July 1866 Educated in Osarizawa, and at Akita Normal School, 1883-85. Elementary school principal, Tsuzureko, Akita , 1885-87 ; journalist specializing in Chinese issues, in Tokyo, and later Osaka (also visiting Taiwan and China ), 1887-1907 ; first professor of East Asian history, Kyoto University, 1907-2.7 Died Mikanohara, Kyoto prefecture, 26 June .

1934

.

Principal Writings sbigakusbt ( History or Chinese Historical Writing ), 1949 vols., 1969-76 This collection of Naitō's writings includes all his best-known publications; Sbinaron (On China, 1914 ), which first made known his thoughts on periodization is in vol. 5 For a listing of articles not included in this collection see pp. 335 44 of Fogel Politics and Sinology

Shina

Naitō Konan zensbū, 14

.

.

-

,

,

,

below.

Further Reading Fogel Joshua Α. Politics and Sinology: The Case of NaitōKonan, 1866-1934 Cambridge, MA : Harvard University Press 1984 Miyakawa Hisayuki An Outline of the Naitō Hypothesis and Its Effects on Japanese Studies of China ," Journal of Asian Studies 14 ( 1955 ). 533 52 Okamoto Shumpei Japanese Response to Chinese Nationalism: Naitō (Ko'nan) Torajirō's Image of China in the 1920s ," in F. Gilbert Chan and Thomas H. Etzold eds., China in the 1920s: Nationalism and Revolution New York : New Viewpoints 1976 An Intellectual's Response to Western Intrusion: Tam Yue-him NaitōKonan's View of Republican China ," in Akira Iriye ed., The Chinese and the Japanese: Essays in Political and Cultural Interactions Princeton : Princeton University Press 1980 ,

,

,

,

"

,

-

"

,

,

,

,

,

"

,

,

,

,

,

Namier, Lewis British (Polish-born)

18 8–1960 historian

Namier, born Ludwik Niemirowski to Polish parents, educated at Balliol College, Oxford. As a youth he was influenced by attending lectures by Vilfredo Pareto at Lausanne. He was employed in the political intelligence of the British Foreign Office before serving as political secretary of the Jewish Agency for Palestine in 1929-31. In 1931 he was elected to the chair of history at Manchester University, which he occupied until 1953. Namier not only changed his name and embraced Anglicanism, but became firmly part of the British including among his achievements membership in the Athenaeum and a knighthood in 1952, although he was a Zionist. His fame as a historian is founded on two books, The Structure of Politics at the Accession of George III (1929) and England itt the Age of the American Revolution (1930), and on his editorship of the History of Parliament series. Namier's research often used prosopography or collective biography, a technique that worked extremely well for studying elites and small groups. From common education, membership in the same clubs and lodges, and other similarities it is possible to discern a "group mind." As a research technique, prosopography as he employed it frequently revealed that local not broad national issues, determined political behavior. For his pains Namier was accused of taking ideas out of history Lewis was

department

Establishment,

lifelong

interests,

and claiming that principles did not count in politics, but in actual fact he was much less a cynic than he was a zealous collector of facts and believer in meticulous research rather than jumping to generalizations. He did not trust grand and opposed what he regarded as mythmaking, which he felt could be curbed by the study of such neglected materials as wills and tax records. He was not a "number cruncher" or mindless advocate of quantification, although there is some substance to the charge that he did not "believe in belief." Namier's name is often invoked when the old question of whether history can be a science is discussed. While he took advantage of the growth of reference sources and boom in the publication of records which would have made an earlier of historians envious, he would have been aghast at any assertion that prosopography would work in every When a group such as members of the House of Commons was readily identifiable and ample biographical material was available, a prosopographical approach was eminently useful and remains so. His work on Parliament in the 18th century and Europe in the 19th century has already become somewhat outdated, so it is as the modern father of prosopography that Namier perhaps has earned his permanent place in historical discussions.

narrative

generation

circumstance.

PAUL

JOHN

RICH

See also Britain: 1485-1750; Britain: since 1750; Butterfield; Central Europe; Hargreaves; Macaulay; Political; Prosopography;

Rosenberg, H.; Rudé; Seton-Watson, R.; Taylor

Lewis Bernstein Namier Born Ludwik Niemirowski in Wola .

Okrejska, Poland, June 1888, to a secular Jewish family Educated privately, then briefly at the universities of Lvov and Lausanne, and the London School of Economics ; studied at Balliol College Oxford, .

,

BA 1911 Came to Britain , 1906 ; naturalized 1913 Served as private, 10th Royal Fusiliers, 1914-15 ; in Department of Propaganda, 1915-17, Department of Information, 1917-18, and Political Intelligence department, Foreign Office, 1918-20 Taught modern history, Balliol College , 1910-11 ; in business , 1921-23 ; engaged in historical research , 1913-29 ; political secretary, Jewish Agency for Palestine , 1929-31 ; professor of modern history, Manchester University, 1931-53 ; editorial board member, History of Parliament series. Married 1) Clara Sophie Poniatowski Edeleff, 1917 (died 1945 ); 2) Julia Kazarin de Beausobre , 1947 Knighted 1952 Died 19 August 1960 .

.

.

.

.

.

The Structure of Politics at the Accession of George III , 1929 England in the Age of the American Revolution, 1930 In the Margin of History , 1939 Conflicts: Studies in Contemporary History , 1942 1848: The Revolution of the Intellectuals , 1944 Facing East , 1947

Decay:

A

Study

in

Disintegration, 1936-1940,

1950

Avenues of History , 1952 Basic Factors in Nineteenth-Century European History , 1953 Vanished Supremacies , 1958 [collected essays] Crossroads of Power , 1962 [collected essays]

Further Reading Lewis Namier , New York : St. Martin's Press , and , Linda , London: Weidenfeld and Nicolson, 1989

Colley

Wars (180– 15)

or series of events, have generated quite as much writing as the Napoleonic Wars. The number of countries involved, the chronological scope, and the far-reaching effects

Few events,

of the wars have spurred the production of a truly daunting number of works. Works on the wars were published while the conflicts still raged. Much of this early writing took the form of reportage (what might now be termed journalistic or contemporary history). A good example of such writing is Robert Ker Porter's Letters from Portugal and Spain, published in 1809. Many such works suffered from the shortcomings of most journalistic writing, that is a lack of in-depth background and often premature analyses. After the end of the Napoleonic Wars in 1815, interest in works on the period continued, though many of these works were limited in scope, in part due to the sheer vastness of the subject. Some of the most valuable and interesting works of the early 19th century are the memoirs of erstwhile combatants. Some of the better-known memoirs were written by commanders. Many of these were French marshals and who sought to establish their places within the Napoleonic legend. One of the best memoirs written by a high-ranking officer is Opérations du 3e Corps, 1806-1807 (Operations of the Third Corps, 1806-1807) by Marshal Davout (1896), a painstaking account of the battle of Auerstedt and the of Davout's army corps, emphasizing Davout's important role in the defeat of the Prussians. Other commanders (on all sides) wrote memoirs that are often amusing for the lengths to which the writers go in order to demonstrate their to the course of history. Some of these are examples of pure self-aggrandizement, such as Marshal Macdonald's literary reshaping of his poor generalship and an attempt to convince the restored Bourbons of his repentance for one-time loyalty to Napoleon in Souvenirs (Memoirs, 1892). Numerous memoirs were also written by relatively minor and sought to give an accurate accounting of battles, life, and the feeling of participating in great events. Many

journalistic

generals,

operations

indispensability

figures

Principal Writings

in

Napoleonic

high-ranking

Biography

Europe

Namier, Julia, Lewis Namier: A Biography , London and New York : Oxford University Press , 1971 Pares, Richard , and A. J. P. Taylor, eds., Essays Presented to Sir Lewis Namier , London: Macmillan, and New York : St. Martin's Press , 1956

military

memoirs

were

written to promote

agendas

or

particular

views

of the meaning of the Napoleonic era for subsequent For example, many German accounts emphasized the nationalist notion of a popular German war against the French invader. One of the best analyses of these writings is Hans Kohn's Prelude to Nation-States (1967), in which the author examined the polemic prevalent amongst early nationalists in Germany and France. This trend was also evident in the

generations.

attempts at hagiography involving Napoleon. A major source in this is Napoleon's memoirs, as dictated to his servant in exile Las Cases. Napoleon portrayed himself as a child of the French Revolution who tried to preserve its ideals, while introducing them to a benighted Europe like a modem Prometheus. A very

commentary on the legends surrounding Napoleon's memory is H.A.L. Fisher's Bonapartism (1980), which sought to separate myth from the reality of Napoleon's remarkable life. There were few works that attempted to encompass the full course and scope of the subject; however, some of those that did make the attempt are among the classic studies of Napoleonic warfare. The 19-volume study by Mathieu Dumas, Précis des événements militaires, ou essais historiques sur les campagnes de 1799 à 1814 (Summary of Military Events, or Historical Essays on the Campaigns of 1799 to 1814, 1816-26), demonstrated the difficulty of handling such a vast topic as the Napoleonic Wars; despite the amount of textual space, Dumas was able to cover only up to the year 1807 with any kind of comprehensiveness. Other writers of the early 19th century, such as Antoine Henri Jomini in Vie politique et militaire de Napoléon (The Political and Military Life of Napoleon 1827), limited the scope of their work to examining individual commanders or the operations of

good

single

modern

armies.

Much of the writing of the early 19th century was intended for a military audience, slanted to the instruction of military officers. These tended to take the form of campaign histories and military analyses. One of the most cited writers in either genre is Carl von Clausewitz, whose body of work was compiled into Hinterlassene Werke des Generals Carl von Clausewitz über Krieg und Kriegführung (Posthumous Works of General Carl Clausewitz on War and Warfare, 1832-1937). In looking back on the military events of his epoch, Clausewitz posited war as an instrument of state policy. He also argued that armies, in their forms, organizations, and operations, were dependent on their particular contexts, reflecting the political cultures and societies that engendered them. Clausewitz saw the nation-states of post-French Revolutionary Europe as producing the modern nation-in-arms, making possible for the first time mass armies backed by the full resources of their nations. He posited the difference between what he called "real war" and "true war," the former being primitive, heroic warfare; the latter was, for Clausewitz, the state of modern warfare. In "true war," the enemy's will to resist was eliminated through the battlefield of its forces; thus Clausewitz's emphasis was on battle, the decisive clash of large, well-organized armies. Clausewitz's writings were to have a deep effect on military history in general, and the history of the Napoleonic Wars in particular, well beyond the 19th century. Following Clausewitz, most historians of the Napoleonic Wars have concentrated on major battles and great commanders in a way that demonstrates the influence of the Prussian theorist. One may see evidence of this influence in a number of campaign and battle histories, as well as in general works on military Surprisingly, perhaps, Clausewitz's work did not receive a positive reception immediately in his native Prussia. Many of official ruling circles were wary of the populist of mass armies discussed by Clausewitz, preferring to rely on military professionals to preserve the position of the However, as the 19th century wore on, political elites were tempted to co-opt nationalist sentiment for their own ends. For these leaders, Clausewitz's ideas on mass armies and the army as a school of the nation became more attractive. In Geschichte der Kriegskunst im Rahmen der politischen Geschichte (1900-20; History of the Art of War within the Framework of Political

von

annihilation

theory. members implications

monarchy.

History, 1975-85),

Hans Delbrück

cast

the history of the

Like Clausewitz, evolution of warfare in Clausewitzean terms.

Delbrück

saw

armies and the conduct of

war as

tied

Western mode of

to

political

the armed conflict. of apogee In the latter half of the 19th century and into the early 20th century, many European military establishments utilized Clausewitzean or similar ideas to justify their positions vis-àvis state and society. Much of the Napoleonic military history of this period was written, in part, to justify this relation, and much of it written by military officers or published by military presses. One of these works was Alembert-Goget and Colin's La Campagne de 1805 en Allemagne (The Campaign of 1805 in Germany, 1902-08), published by the historical section of the French high command. Besides producing a detailed account of the campaign that included the French victories over the Austrians at Ulm and Austerlitz, the authors sought to enhance the image of the French army, which had suffered defeat during the Franco-Prussian War at the hands of Austria's closest ally, Germany. Other militaries sought to use the history of the Napoleonic Wars in a similar manner. Several campaign histories were published in the Habsburg monarchy under the auspices of the

organization, with the modern

war as

army, which was trying to recover a glorious image damaged by defeats in the middle of the 19th century. Two good

of such work Krieg, 1809 (War, 1809, 1907-10) and examples of the und are

Wars 1814 (Austria in the rubric under written of which were both Liberation, 1913), of the Austro-Hungarian Kriegsarchiv (war archive). Like most of the official histories, those works are valuable sources of material on the Austrian military establishment. However, beyond that they are fairly unreliable due to their ignoring of unsuccessful operations and the problems present within the Austrian military establishment. The Austrian army was seen, with some justification, as the main support of the monarchy and the unity of the empire, so it was unlikely for an official history to pursue a critique of the army. Some writing on the Napoleonic Wars was meant not for military aggrandizement, but for the promotion of an ideology. This was especially true in the Soviet Union, where, in Diplomatila i voiny tsarkoi Rossii v. XIX stoletii (Diplomacy and the Wars of Tsarist Russia in the 19th Century, 1923), Mikhail Pokrovskii wrote that the wars were merely a means by which France attempted to defend and extend its economic system. Napoleon's invasion of Russia was explained, not as a national struggle, but as the conflict between two classes from differing countries. However, this approach was officially attacked during the late 1930s because of Soviet uneasiness over the aggressive foreign policies of Nazi Germany. During World War II, the idea of a national resistance against Napoleon was revived in order to exhort the Soviet populace to resist the Germans. In the 20th century, the study of the Napoleonic Wars has become more objective, while the emphasis still remains on battles, commanders, and military establishments. David Chandler wrote a very good book along these lines entitled The Campaigns of Napoleon (1966), which managed in one volume to give an informative account of Napoleon's conduct of warfare, along with an analysis of military strategy and the armies of the period. Gunther Rothenberg has written a general

Befreiungskrieg, 1813

examination of the armies of the

period entitled The Art of the Age of Napoleon (1977). In this work, detailed the organization of the various major armies, as well as their strategy and tactics. A more recent book by Owen Connelly, Blundering to Glory (1987), offered a less than flattering portrait of Napoleon, in which the emperor is seen as talented at rescuing himself from his own mistakes but not at enacting any sort of carefully planned

Warfare in Rothenberg

action.

Connelly's book, while

alternative

the

proposing dominant view of Napoleon great captain, also demonstrated the an

to

as

continued reliance of Napoleonic military history on traditional subjects. Very little has been written on the so-called minor theaters of Napoleonic warfare such as Sweden, Illyria, or the Low Countries. Some innovation in the study of the Napoleonic Wars is to be found in the section on Waterloo in John Keegan's The Face of Battle (1976). While Keegan did relate a general account of the course of the battle, he does so as a framework for his main project, which was to attempt to discover the experience and feeling of the battle on the part of its lower-ranking participants. Keegan's work suggests the possibilities of combining history with some of the newer approaches of social and cultural history. An early attempt in this regard was Jean Morvan's Le Soldat impérial (The Imperial Soldier, 1904), a study of the Grande Armée's rank and file, rather than its commanders. Other areas of research are suggested by Stuart Woolf's Napoleon's Integration of Europe (1991), in which Woolf examines the process by which France attempted to its satellites and the relations between subalterns and metropolitan France. While Woolf focuses on civilian, as well as military service, his approach is applicable to the study of the military culture of the satellites in the Napoleonic orbit. JAMES E. FRANKLIN

military

integrate

See also

Delbrück; Keegan; Military

Delbrück , Hans , Geschichte der Kriegskunst im Rahmen der politischen Geschichte , 4 vols., Berlin : Stilke , 1900-10 , reprinted Berlin: de Gruyter, 1962-66 ; in English as History of the Art of War within the Framework of Political History , 4 vols., Westport, CT: Greenwood Press , 1975-85 Dumas , Mathieu , Précis des événements militaires, ou essais historiques sur les campagnes de 1799 à 1814 ( Summary of Military Events, or Historical Essays on the Campaigns of 1799 to 1814 ), 19 vols., Paris : Treuttel et Wüurtz, 1816-26 Ellis , Geoffrey, The Napoleonic Empire, London : Macmillan , and Atlantic Highlands, NJ: Humanities Press, 1991 Elting, John R. , Swords around a Throne: Napoleon's Grande Armée , New York : Free Press , 1988 Fisher , H. A. L. , Bonapartism , Oxford : Clarendon Press 1908 Horward , Donald D. , ed., Napoleonic Military History: A Bibliography, New York : Garland , and London: Greenhill, 1986 Jomini , Antoine Henri , Vie politique et militaire de Napoléon ( The Political and Military Life of Napoleon), 4 vols., Paris : Anselin , ,

1827 Keegan John The Face of Battle London : Cape and New York: Viking, 1976 ,

,

,

,

Kohn , Hans , Prelude to Nation-States: The French and German Experience, 1789-1815 , Princeton, NJ: Van Nostrand , 1967 Kriegsarchiv, Krieg, 1809 (War, 1809 ), 4 vols., Vienna : Seidel, 1907-10 Kriegsarchiv, Befreiungskrieg, 1813 und 1814 (Austria in the Wars of Liberation ), 5 vols., Vienna : Seidel , 1913 Macdonald , Jacques Etienne Joseph Alexandre , duc de Tarante, Souvenirs du maréchal Macdonald, duc de Tarente ( Memoirs ), Paris : Pion , 1892 Morván , Jean , Le Soldat impérial (1800-1814) ( The Imperial Soldier ), 2 vols., Paris : Plön , 1904 Palmer, Alan W. , Napoleon in Russia: The 1812 Campaign , New York : Simon and Schuster, and London: Deutsch, 1967 Pokrovskii , Mikhail N. , Diplomatiia i voiny tsarskoi Rossii ν XIX stoletii ( Diplomacy and the Wars of 19th-century Tsarist Russia ), Moscow : Krasnaia nov' , 1923 Porter, Robert Ker, Letters from Portugal and Spain London : ,

Longman 1809 ,

Rothenberg

Gunther, The Art of Warfare in the Age of Napoleon, , London: Batsford, 1977 ; Bloomington : Indiana University Press ,

1978 Rothenberg Gunther Napoleon's Great Adversaries: Archduke Charles and the Austrian Army 1791-1814 London: Batsford, and Bloomington : Indiana University Press 1982 Weller Jac Wellington in the Peninsula, 1808-1814 London : Vane ,

,

,

,

,

Further

Reading

,

Alembert-Goget Paul Claude and Jean L.A. Colin La Campagne de 1805 en Allemagne ( The Campaign of 1805 in Germany), ,

,

,

4 vols., Paris : Chapelot , 1902-08 Barnett , Correlli , Bonaparte , London : Allen and Unwin , and New York, Hill and Wang, 1978 Brett-James , Antony, Life in Wellington's Army , London : Allen and Unwin , 1972 Bryant Arthur, Years of Victory, 1802-1812 , London: Collins, 1944 ; New York : Harper, 1945 Chandler, David G. , The Campaigns of Napoleon, New York : Macmillan , and London: Weidenfeld and Nicolson, 1966 Clausewitz , Carl von , Hinterlassene Werke des Generals Carl von Clausewitz über Krieg und Kriegführung ( Posthumous Works of General Carl von Clausewitz on War and Warfare ), 10 vols., Berlin : Dümmler, 1832-1937 Clausewitz , Carl von , Vom Kriege , 3 vols., Berlin : Dümmler, 1832-34 ; in English as On War , London : Trübner, 1873 ; edited by Michael Howard and Peter Paret , Princeton : Princeton University Press , 1976 Connelly, Owen , Blundering to Glory: Napoleon's Military Campaigns , Wilmington, DE : Scholarly Resources , 1987 Davout , Louis Nicolas , duc d'Auerstadt et prince d'Eckmuhl , Opérations du 3e Corps, 1806-1807 ( Operations of the 3rd Corps, 1806-1807 ), Paris : Levy, 1896 ,

,

,

,

1962 Woolf , Stuart , Napoleon's Integration of Europe , London and New York : Routledge , 1991

Nash, Gary

B.

193 –US

historian

Gary

Β. Nash is

one

of the foremost exponents of that

of complexity American history" which, according "rediscovery Richard in

Hofstadter, characterized the discipline from the 1970s on. In a period that emphasized the historical role of the dispossessed and of groups previously overlooked, including women, African Americans, nonwhite ethnic groups, and labor, and which focused on social history, Nash produced major pioneering works examining urban and AfricanAmerican history, whose breadth of vision and sophistication are entitled to stand beside any products of previous eras of US historiography. As such, he is a leading proponent of what to

became known

as

the "new social

history."

Nash chose to concentrate his scholarly endeavors on preCivil War United States history. His first major work, The Urban Crucible (1979), was a reinterpretation of the part the city played in early American political change and ideology. In particular, it drew attention to the role of urban class and class conflict in bringing on the American Revolution. Nash looked at "[t]he narrowing of opportunities and the rise of poverty" in three colonial American cities, New York, Boston, and Philadelphia, and suggested that such deprivation was a major causative factor in the American Revolution. He also traced the concurrent development of a sense of class consciousness during this period, which he suggested could not be ignored. He did not suggest that ideology was simply "a reflection of economic interests," nor that there was a "unified laboring class," but he did focus on previously ignored groups, particularly slaves and poor laborers, and argued that the role of women also required further investigation. This work won wide acclaim, and is justly regarded as a key work on the history of the revolutionary period. In his book of collected essays, Race, Class, and Politics (1986), Nash carried these themes further. These essays were painstaking, immensely wellresearched pieces of scholarship, whose existence proved that a preoccupation with social history and the study of non-elites could be combined with the highest academic standards. His next monograph, Forging Freedom (1988), concentrated

formation

on a particular community in one major city, Philadelphia. Again, it focused on the dispossessed and ignored. It also traced the growing transformation of white Philadelphians' sentiments toward free blacks, from racial harmony in the early 1790s to antagonism and outright hostility in the early 1830s. Initially Philadelphia had one of the largest free black communities, which served as a model of what such groups might but by 1820 race relations had deteriorated to the point where blacks would face discrimination and racial injustice for

accomplish,

whites

century to come. Sympathetic Philadelphián proved unable to assist the black community, which remained vital, united, and vibrant in its opposition to more

than

a

nonetheless

slavery and discrimination. Nash also edited a textbook and several collections of designed for undergraduate audiences. Again, such works highlighted the role of groups previously ignored or dismissed by historians. His influential co-authored textbook, The American People (1986), stressed class conflict and the political, social, and economic achievements and role of industrial workers, trade unionists, blacks, and women, while tending to minimize and discount the centrality of middle-class reformers and such liberal presidents as Theodore Roosevelt, Woodrow Wilson, and Franklin D. Roosevelt. The Great Fear (1970), co-authored with Richard Weiss, was an early effort not only to deal with race, but also to make whites aware of and to implicate white society in prevailing American racism. The Private Side of American History (1975) attempted to "provide a fresh perspective from which to view such vital but often neglected aspects of American history as work; family life, childbirth, child rearing, and sex; education and entertainment; religion; health, disease, and death; and conflicts created by encounters between diverse Native Americans and colonists, blacks and groups whites, and immigrants and established residents." This neatly encapsulates the preoccupations of the new social history, of which Nash is such a distinguished and well-qualified

readings,

population -

description

avatar. Yet it does not fully describe his own work, which often transcends its subgenre to cross the boundaries between social, urban, ethnic, and political history. In this respect, Nash's oeuvre perhaps represents the future direction which the best of United States history will take.

PRISCILLA M. ROBERTS See also Native American; United States: American Revolution

Biography

27 July 1933. Received BA, Princeton University, Taught at University of California Los Angeles from 1964 Married 1955 (4 children). Born

Philadelphia,

1955, PhD 1964

.

,

,

.

Principal Writings and Politics: Pennsylvania, 1681-1726 , 1968 Class and Society in Early America , 1970 With Richard Weiss , The Great Fear: Race in the Mind of America , 1970 ; 3rd edition 1991 Red, White, and Black: The Peoples of Early America, 1974 ; 3rd edition 1991 The Private Side of American History: Readings in Everyday Life , 1975 The Urban Crucible: Social Change, Political Consciousness, and the Origins of the American Revolution , 1979 ; abridged as The Urban Crucible: The Northern Seaports and the Origins of the American Revolution , 1986 Editor with others, The American People: Creating a Nation and a

Quakers

Society , 2 vols., 1986 Race, Class, and Politics: Essays

on Colonial and Revolutionary Society 1986 Forging Freedom: The Formation of Philadelphia's Black Community, 1720-1840 1988 ,

,

Race and Revolution , 1990

Further Reading American Historical Review 94

(June 1989 ), 581 698 -

Hamerow, Theodore S. , Reflections on History and Historians , Madison : University of Wisconsin Press , 1987 Kraus , Michael , and Davis D. Joyce , The Writing of American History , revised edition, Norman : University of Oklahoma Press , 1985 Novick , Peter, That Noble Dream: The "Objectivity Question" and the American Historical Profession , Cambridge and New York :

Cambridge University

Press ,

1988

" Stearns , Peter N. , Toward a Wider Vision: New Trends in Social G. Kämmen , ed.. The Past Before Us: in Michael History," Contemporary Historical Writing in the United States, Ithaca, NY: Cornell University Press , 1980 Thelen , David P., Jonathan Wiener, John D'Emilio , Herbert Aptheker, Gerda Lerner, Christopher" Lasch , John Higham , Carl Degler, and David Levering Lewis , A Round Table: What Has Changed and Not Changed in American Historical Practice ?" Journal of American" History 76 ( 1989 ), 393 478 Veysey, Laurence R. , The 'New' Social History in the Context of American Historical Writing ," Reviews in American History 7 ( March 1979 ), 1 12 -

-

.

Nationalism Nationalism as a discourse is inextricably linked with the history, and evolution of, the idea of the nation. Nations, nationalists argue, constitute the optimum form of social organization, and possess specific, distinctive characteristics

which

be utilized to include or exclude, and to provide roles for the individuals and groups that comprise the nation. The nation is envisaged (sometimes alongside religious belief) as the highest and most important object of allegiance. Although nationalism as a concept for serious historical inquiry emerged in the interwar period, the concept began to receive serious scholarly attention in the 1960s, when joined scholars from other disciplines in order to study the subject. The time scale given for the emergence of a national consciousness varies between historians and according to country. For example, while Liah Greenfeld pointed to 16th-century England, Linda Colley has located the formation of British nationalism in the 18th century. For most historians of the subject, nationalism, and national feeling, first emerged during the time of the French Revolution. According to this interpretation, nationalism emerged as a liberal doctrine of popular sovereignty and freedom from external influence. This phase of nationalism was evident in Western Europe during periods of aspiration to nationhood, or the internal unification of existing nations. Peter Sugar, for example, has seen nationalism as a revolutionary force aiming to transfer sovereignty from rulers to the people, and was ideologically informed by the work of Jean-Jacques Rousseau and later theorists such as Giuseppe Mazzini. In contrast, the concept of uniqueness was an early and integral component of in Central and Eastern Europe. Johann Herder cited language as a factor of national uniqueness. Language is communal, and reflects thought. Languages are different, communities are different. For Johann Gottlieb Fichte, language mirrored the national soul (Volksgeist) and, for its protection, needed periodic cleansing of alien elements. This line of reasoning could be used to justify the exclusion of perceived alien inhabitants of the nation. Historians have distinguished between different types of nationalism, which emerged as a result of local needs and Hans Kohn differentiated between Western and Eastern nationalism, and Isaiah Berlin discriminated between cultural and political nationalism. Western European (political, or nationalism, was seen as the rational organization of the state and the advancing of citizenship rights, emphasizing individual freedom within the framework of the nation, and tending to be urban and middle-class. Eastern European or "objective") nationalism, which emerged without an urban middle class, was characterized by a mystical bond between the land and people, and was a reaction to western ideas of modernization. It was believed that "the people" were infused with a creative force, of which nations were the For cultural nationalists, race, language, and an apparent shared community of descent are important ideological factors. An influential three-phase model for national consciousness was offered by Miroslav Hroch. The first stage was based upon a cultural renaissance, usually manifesting itself as a search for folklore and customs. The second stage witnessed the emergence of activists calling for the establishment of a nation. Stage three saw mass support for the national idea, which was often evident during periods of rapid modernization. Historians of nationalism have sought to define the meaning of the concept, and have questioned the legitimacy of the central tenets of nationalist ideology. Nationalism has been variously analyzed as an ideological vehicle for the can

defining

historians

specifically

nationalism

therefore

conditions.

"subjective")

(cultural,

expression.

therefore

mobilization of popular support for bourgeois goals; as a tool to be used to enrol the masses into politics; as a secular form of religion, in which individuals achieve freedom and through the cultivation of their unique national identity; and, conversely, as a by-product of the urge, during certain periods of a nation's history, for cultural homogeneity. Eric Hobsbawm, however, in Nations and Nationalism since 1780 (1990} posited the thesis that, as national languages emerged only from the confusion of local dialects as a result of mass literacy and education, nations and national feeling were largely invented, or imposed from above. This imposition has been legitimated by the use of invented histories, traditions, and symbols, such as national anthems and national flags. This approach has also been used by Benedict Anderson and Ernest Gellner, studying the functions of nationalist discourse within rapidly modernizing societies Writers of national histories were invariably nationalists, informed by the pervading cultural ethos of the time, which drew heavily upon nationalist discourse. See, for example, George Bancroft's History of the United States from the Discovery of the American Continent (1834-74); František Palacky's Geschichte von Böhmen (History of Bohemia, 1836-67); Jules Michelet's Histoire de France (1833-67; History of France, 1844-46); Heinrich von Treitschke's Deutsche Geschichte im neunzehnten Jahrhundert (1879-94; History of Germany in the Nineteenth Century (1879-94); and William Stubbs' Constitutional History of England (1874-78). Early national historians essentialized supposed national and sought to trace these national markers into the distant past, thereby placing the nation in a long-term framework, and legitimizing the idea of the nation. This reciprocity between nationalism and the writing of national history informed the culture of the time, and resulted in constructions of the nation and national identity which many modern historians now question. Early nationalists emphasized national characteristics in order to call for the forging of nations (for example, in the case of Italy and Germany), to glorify and to eulogize the nation, or to redefine or reassert national character. The glorification of the historical of some nations was even echoed by Marx and Engels, who argued that the Slavonic peoples of Eastern Europe were geschichtslos (without history) and that their languages and cultures would die out with the march of progress. The later 19th century saw biological ethnicity emerge as a central factor of belonging to, or exclusion from, the nation. This was due to Darwinian evolutionary ideas, and their application to human society by thinkers such as Comte de Gobineau, Vacher de Lapouge, and Houston Stewart Chamberlain. The uniqueness of "races" was stressed, as well as their phenotypical into a hierarchy of worth and ability. Again this classification tended to favor "historic" nations such as the English, Germans, and French, and created a vast category of subaltern peoples from the Irish through to the Turks and the Bantu. Later, fascist demanded the submerging of the individual in the totality of the nation (Volksgemeinschaft), with national goals defined by a dictator, and popular support roused for the pursuit of those goals. Nazism added to this ideology many of the ideas to be found in the cultural nationalism model, with its emphasis on racial exclusivity and superiority, and the perceived biological basis of national characteristics. Michael Burleigh has argued

fulfillment

characteristics, historical

"achievements"

classification

ideology

that an entire discipline Ostforschung (study of Eastern Europe) emerged during the Third Reich, which attempted to reinterpret the historical role of the Germans in Eastern Europe as one of natural dominance over "inferior, historyless" peoples. Eric Hobsbawm has challenged the notion of specific national and the replacement of group allegiance for national allegiance; he has also questioned ethnicity as a founding factor of nationhood, and has cited migration and the existence of multi-ethnic regions in his defence. Just as Western nationalism has affected the construction of histories, so in turn the emergence of an intelligentsia claiming in some way to represent African, Asian, and South American indigenous populations has led to the creation of new histories. In some of these histories the construction of the subject is mimetic. The work of Basil Davidson on Africa is largely a hermeneutic inversion of Western nationalist historiography. Some scholars have made methodological innovations. Gayatri Chakavorty Spivak has questioned the ability of the scholar to represent the "subaltern" historical subject and Edward Said has argued that the concept of the "Orient" and the whole discipline of "Oriental Studies" was constructed by Western scholars (particularly the British, French, and Germans) during the era of the growth of their own national consciousness. Much of the recent research by historians of nationalism has also focussed upon the interrelationship between gender and nationalism. Anthias and Yuval-Davis have highlighted the role assigned to women as producers in the nation-state. They have asserted that women are assigned the role as the nation's biological reproducers, and, in their role as mothers, of the culture of the nation/ethnic group through the socialization of future generations during children's formative years. Feminine symbolism has also been addressed, for example, the image of "vulnerable" womanhood needing male protection during periods of war. Nationalist discourse is seen to have encouraged the division of male and female into spheres the private and the public with the effect that the "natural" female role has been perceived as passive domestic provider, while the male performed the duties of the active citizen in service of the nation. Nationalism as a subject for research appears to exert an enduring interest, with the revival of nationalism, and the creation of new nation-states, especially in Eastern Europe and the former Soviet Union. The debate concerning the creation of a United Europe will also serve to question current theories of nationalism, and the applicability, indeed relevance, of the role of nationalism to such a supra-state. The role of rival forms of allegiance (gender, sexuality, race, class), and their reciprocal relationship with nationalism also continues to be -

-

characteristics

perpetuating separate -

-

a

lively

source

of debate. CATHERINE CARMICHAEL

and MICHAEL ALMOND-WELTON See also Anderson, B.; Balkans; Bancroft; Berlin; Davidson; East Central Europe; Hobsbawm; Michelet; Palacky; Said; Stubbs; Sugar; Treitschke

Further Reading Anderson , Benedict , Imagined Communities: Reflections on the Origin and Spread of Nationalism , London and New York : Verso , 1983 ; revised 1991

Anthias , Floya and Nira Yuval-Davis , Woman, Nation, State , Basingstoke: Macmillan, and New York : St. Martin's Press , 1989 Bancroft , George , History of the United States from the Discovery of the American Continent , Boston : Little Brown , 10 vols.,

1834-74 Berlin , Isaiah , Vico and Herder: Two Studies in the History of Ideas , London : Hogarth Press , and New York: Viking, 1976 Breuilly, John , Nationalism and the State , Manchester : Manchester University Press , and New York: St. Martin's Press, 1982 Burleigh , Michael , Germany Turns Eastwards: A Study of Ostforschung in the Third Reich , Cambridge and New York :

Cambridge University

Press ,

1988

Chamberlain , Houston Stewart , Die Grundlagen des neunzehnten Jahrhunderts , Munich : Bruckmann , 1899 ; in English as Foundations of the Nineteenth Century, 2 vols., London : Lane , 1910 Britons: Forging the Nation, 1707-1832 , New Haven , , and London : Yale University Press , 1992 Curthoys, Ann , Carroll Smith-Rosenberg , Mary Poovey, Catherine Hall , Samita Sen , Beth Baron , Joanna de Groot , and Eleni " Varikes , Gender Nationalisms and National Identities ," Gender and History 5 ( 1993 ), 159 83 [special issue] Darwin , Charles , On the Origin of Species by Means of Natural Selection; or, The Preservation of Favoured Races in the Struggle for Life , London: Murray, 1859 , New York : Appleton , i860;

Colley Linda

-

6 revisions, 1860-76 Darwin , Charles , The Descent of Man, and Selection in Relation Sex, 2 vols., London: Murray, and New York : Appleton , 1871 Davidson , Basil , The Story of Africa , London : Mitchell Beazley,

to

1984 Fichte , Johann Gottlieb , Reden an die deutsche Nation, Berlin: In der Realschulbuchhandlung , 1808 ; in English as Addresses to the German Nation , Chicago : Open Court , 1922 Gellner, Ernest , Nations and Nationalism , Oxford: Blackwell, and Ithaca, NY: Cornell University Press , 1983 Gobineau , Comte de, Essai sur l'inégalité des races humaines , 4 vols., Paris : Firmin Didót , 1853-55 ; in English as The Inequality of Human Races, New York: Putnam, and London : Heinemann , 1915 Greenfeld , Liah , Nationalism: Five Roads to Modernity , Cambridge, MA : Harvard University Press , 1992 Hayes , Carlton J.H., Essays on Nationalism , New York : Macmillan , 1926

Hayes Carlton J.H. The Historical Evolution of Modern ,

,

Nationalism , New York : Macmillan , 1931 Herder, J.G. , Ideen zur Philosophie der Geschichte der Menschheit , 4 vols., 1785-91 ; in English as Outlines of a Philosophy of the History of Man , London : Hansard , 1800 ; abridged as Reflections on the Philosophy of the History of Mankind , Chicago : •University of Chicago Press , 1968 Hobsbawm , Eric J. , Nations and Nationalism since 1780: Programme, Myth, Reality, Cambridge and New York :

Cambridge University

Press , 1990

Hroch , Miroslav, Social Preconditions of the National Revival in Europe: A Comparative Analysis of the Social Composition of Patriotic Groups among the Smaller European Nations , Cambridge and New York : Cambridge University Press , 1985 Hutchinson , John , The Dynamics of Cultural Nationalism: The Gaelic Revival and the Question of the Irish Nation State , London and Boston : Allen and Unwin , 1987 Hutchinson , John , and Anthony D. Smith , eds., Nationalism , Oxford and New York : Oxford University Press , 1994 Kedourie , Elie , Nationalism , London : Hutchinson , and New York: Praeger, i960 ; revised 1993 Kemiläinen , Aira , Nationalism: Problems Concerning the Word, the Concept and Classification , Jyvaskyla, Finland : Jyväskylvfän Kasvatusapillinen Korkeakoulu , 1964 Kohn , Hans , The Idea of Nationalism , New York : Macmillan , 1944

Michelet , Jules , Histoire de France , 17 vols., Paris : Hachette , 1833-67 ; abridged in English as History of France , 2 vols., London : Chapman and Hall , 1844-46 ; New York: Appleton,

1845-47 Minogue Kenneth R. Nationalism New York : Basic Books and London: Batsford, 1967 Nairn Tom The Break-up of Britain: Crisis and Neo-Nationalism ,

,

,

,

London : NLB , 1977 ; revised 1981 ,

,

,

,

Problem der "Geschichtslosen" Völker , Berlin : Olle & Wolter, 1979 ; in English as Engels and the "Nonhistoric" Peoples: The National Question in the Revolution of 1848 , Glasgow : Critique,

1986 Said , Edward W. , Orientalism , New York : Pantheon , and London:

Routledge, 1978 Spivak Gayatri In Other Worlds: Essays in Cultural Politics London and New York : Methuen 1987 Stubbs William The Constitutional History of England in Its Origin and Development 3 vols., Oxford : Oxford University Press 1874-78 Sugar Peter F. and Ivo J. Lederer eds., Nationalism in Eastern Europe Seattle : University of Washington Press 1969 ,

,

,

,

,

,

,

,

,

,

,

,

Treitschke , Heinrich

,

Deutsche Geschichte im neunzehnten Jahrhundert, 5 vols., Leipzig : Hirzel , 1879-94 ; in English as History of Germany in the Nineteenth Century, 7 vols., London : Jarrold , and New York: McBride, 1915-19 Vacher de Lapouge , Georges , Race et milieu social: essais d'anthroposociologie ( Race and Social Milieu: Essays on Anthropological Sociology ), Paris : Rivière , 1909 von ,

Native American

within the field up until the watershed by Frederick Hoxie into three neat Indian

the

of

policy, history frontier conflict (including white settlement and warfare), and tribal

Palacky František Geschichte von Böhmen ( History of Bohemia ), 5 vols., Prague : Kronberger & Weber 1836-67 Rosdolsky Roman Zur Nationalen Frage: Friedrich Engels und das ,

developments

categories: "the history of

,

,

,

These

years have been divided

History

The late 1960s and early 1970s can be seen as a watershed within Native American history. A shift significant in scope, methodology, and perspective accompanied an upsurge in publication and scholarship. Prior to this, native peoples had a limited and circumscribed role within histories of the United States, whose direction and leadership were firmly European. In 1893 when Frederick Jackson Turner delivered his famous lecture, "The Significance of the Frontier in American History," he positioned the frontier and the Indian firmly within the nation's past. The Indian's characterization as a "vanishing" and/or a "noble savage" solidified within contemporary and within United States history. Subsequent early 20th century historical studies that focused on Native Americans, dismissed as "myth" a rich native oral tradition, and based research upon European sources laden with mediations of male bias, and cultural incomprehension. The University of Oklahoma Press did, however, pioneer Native American history publication, beginning a Civilization of the American Indian series in 1932 which included Grant Foreman's series of texts on Indian removal. Like Angie Debo's work in the 1940s, Foreman's texts remain valuable standard tribal-history subject studies concerned with native experience. Yet it was the of frontier conflict which retained most popularity with the reading public up until the middle decades of the 20th in texts by scholars such as George T. Hunt and Howard Peckham. Nevertheless, as late as the mid-20th century Native Americans remained essentially marginalized figures within the broad range of interpretations of American history.

discourse

translation,

fascination

century

histories whose narratives usually ended around 1900" with historians dominating the first two categories and the last. Anthropology had of course provided a bedrock for scholarship on Native Americans, its most significant early publication being Lewis Henry Morgan's 1851 The League of the Iroquois. A useful overview of the discipline and its development has been provided by Marvin Harris. Even after the reorientation in Indian scholarship stemming from the 1960s, scholarship on Indian policy did not disappear: its foremost practitioner remains Francis Paul Prucha. But after the early 1970s, debate moved beyond consideration of the construction or merits of specific policy and increasingly focused instead on how such policy was administered and by native peoples. Scholars, benefiting from developments such as the foundation of the D'Arcy McNickle Centre in 1972., began to move beyond the stereotype of the "vanishing American." They began to frame research around questions of cultural survival and and new recognition of the actuality of cultural and creative adaptation to another culture came to the fore. As the "conflict" and "consensus" paradigm which had been applied to American history lost intellectual currency, the Indian voice became more significant in the construction of the American past. Instead of casting American Indians as either the nation's chief victims or as marginal "exotics," historians began to address the complexities of Indian-white relations

anthropologists

theoretical

experienced

institutional

insidious

persistence, continuity

across

time.

While Dee Brown created a popular but one-sided version of white-Indian relations for the Vietnam and Civil Rights generation, texts such as Angie Debo's A History of the Indians of the United States (1970) and Wilcomb E. Washburn's The Indian in America (197s) aimed toward more or less overviews. The most broad-ranging body of studies were published by the Smithsonian from 1978 as the Handbook of North American Indians (general editor William C. Sturtevant) which gave an encyclopedic summary of knowledge of the prehistory, history, and cultures of the aboriginal peoples of North America. After 1970, pre-Columbian history assumed a new within US history and US history textbooks, and pre Columbian culture gained a global context. The essay collection edited by Alvin M. Josephy, Jr., America in 1492 (1992) engaged in the contested area of pre-Columbian population an issue developed by Russell Thornton in American Indian Holocaust and Survival (1987). Since the 1970s, "discovery" as the founding myth of the United States has remained a fascination for scholars, together with the implications and complexities of early contact. Recent approaches have tended to present fluid, reciprocal, mutual encounters whose nature remains dependent on the distribution of power within and between each group. Since 1991, there has been a welcome deluge of "Columbian Encounter" scholarship, parts of which are of particular value to students of indigenous America. The compilation New World Encounters (1993) edited by Stephen Greenblatt is one particularly useful New Historicist group of studies that gives discourse a determining

comprehensive

multivolume

significance

estimate,

role in the process of colonialism. A refreshing recent approach to contact and post-contact trade relations can be found in the twelve essays in Ethnohistory and Archaeology (1993), edited by J. Daniel Rogers and Samuel M. Wilson. Spanish conquest of the Indies has received much varied and diverse attention ranging from the quirky and romantic The Conquest of Paradise (1990) by Kirkpatrick Sale to the careful arguments housed within the anthology of Western of the Island Caribs by Peter Hulme and Neil L. Whitehead. Conquest of the South and Southeast is discussed within the essay collection, The Forgotten Centuries (1994) edited by Charles Hudson and Carmen Chaves Tesser. The biological impact of "discovery" has been traced by Alfred W. Crosby, Jr., in The Columbian Exchange (1972). Crosby's work can be juxtaposed to that of William Cronon and of Carolyn Merchant. Such work has problematized any idealized picture of an Indian Eden prior to contact, especially the idea of virgin land, and shown clear connections between environmental degradation and native conquest. The myth of a disease-free pre-contact America received similar treatment in Disease and Demography in the Americas (1992), edited by John W. Verano and Douglas H. Ubelaker. Male and female cross-cultural mediators post-contact were the focus of the collection Between Indian and White Worlds (1994), edited by Margaret Szasz. Indian academic voices which consider the role and significance of Columbus and "discovery" included Confronting Columbus (1992), edited by John Yewell, Chris Dodge, and Jan DeSirey and The Unheard Voices (1994), edited by Carole M. Gentry and Donald A. Grinde, Jr. New approaches have developed the history of contact the 17th and 18th centuries, for which limited records exist. "Ethnohistory," pioneered during the late 1950s and 1960s by anthropologists such as Anthony F.C. Wallace, attempted to present an Indian-oriented perspective within a marriage of categories and concepts. An excellent introduction to the approach is James Axtell's The European and the Indian (1981). Historians such as Neal Salisbury, Gary B. Nash, and Richard White have brought a new understanding of the of cultural perspective and of the extent of native peoples' adaptation to European influence. The Iroquois nation's within colonial politics has become another focus for scholars such as Daniel K. Richter, Francis Jennings, Barbara Graymont, and contributors to the compilation edited by Oren Lyons and John Mohawk. Dean Snow's comprehensive history, The Iroquois (1994) provided special, field-based insight to this group of peoples from 900 CE to the present. Debate continues over the nature of Indian cultural change which accompanied the fur trade. Key players in this debate include George R. Hammell and Christopher L. Miller, Calvin Martin, Arthur J. Ray, and contributions to the critique of Martin's text edited by Shepard Krech. The perception of Indians held by Jefferson and his has been studied by Bernard W. Sheehan who has related conceptions of native peoples in the late 18th and early 19th centuries to policy shifts designed to amalgamate and "civilize" them. Aspects of Jeffersonian thinking carried forward into the Jacksonian era where two recent texts stand out. The first is Satz's American Indian Policy in the Jacksonian Era (1975) and the second Rogin's Fathers and Children

archaeological

understandings

associated

during disciplinary

specificity significance

contemporaries

(1975)·

Twentieth-century Indian studies remains a developing field. The late Hazel W. Hertzberg provided an excellent foundation stone for further study with her 1971 The Search for an American Indian Identity. Hertzberg characterized the Native American church as an example of modern religious "panIndianism." As a combination of Indian and non-Indian it has received further discussion within Omer C. Stewart's Peyote Religion (1987) and David F. Aberle's The Peyote Religion among the Navaho (1966). A useful overview of specific Native American 20th-century figures can be found in American Indian Intellectuals (1978), edited by Margot Liberty, while Indian leadership across both the 19th and 20th centuries receives consideration within Indian Lives (1985) edited by L.G. Moses and Raymond Wilson. Scholars have found little positive to write about Indian until the growth of Indian-oriented education in the 1970s. This aspect of Indian affairs remains a developing avenue of research, although there are useful broad-based texts by Margaret Szasz and by Estelle Fuchs and Robert J. Havinghurst. Authors such as Lomawaima and Mihesuah have also how public and boarding school student experience affected Indian tribal and pan-tribal identity. To date, the 20thcentury urban Indian experience has not received broad-ranging or comprehensive attention, although groundwork has been laid by Bernstein, Fixico, Sorkin, and Hauptman. A further developing area of research, most of which is found within essays and journal articles, is that of the histories of Native American women. In 1984 Gretchen Bataille and Kathleen Sands provided an overview of biographical studies of 20th-century Native American women and more recently Nancy Shoemaker has edited a much-needed essay collection. The Indian "princess" Pocahontas alias "Matoaka," daughter of the Indian leader Powhatan, is a dominant symbol of 17thcentury contact, and remains a focus of study surrounding native women. This can be related to the fact that she is the ultimate native subaltern, given that she left no words of her own. Recently, Robert S. Tilton has charted the powerful contrasting representations of her made possible by her silence; Karen Ordahl Kupperman provided an earlier study. Indian art is inseparable from other aspects of native culture. From George Catlin's best-selling 1841 work 10 Lawrence Abbott's 17 interviews with practicing Native American artists, texts on this topic have yielded insight into issues of and native interaction with the non-Indian world. Correspondingly, Indian literatures have much to teach students of both the Indian past and Indian future. The work of critics such as Arnold Krupat have brought a new complexity to understanding the nature of the US literary canon and have developed understandings of the significance of the recent of Indian writers. An excellent access to the motivation and agendas of Indian writers has been provided by Laura Coltelli in her 1990 interview compilation. One of the most recent and interesting developments within Native American Studies is the increasing research on mestizo culture, that is, the product of racial intermixture of all kinds. Jacqueline Peterson and Jennifer S.H. Brown have edited a useful introduction to the developing research on the Métis, and Maria Root has edited a more general text, Racially Mixed People in America (1992). Gary B. Nash is concerned to see

traditions,

education

investigated

probably verifiable

"authenticity"

success

that the "hidden history" of a Mestizo America gains its proper historical significance, while studies of Afro-Indian relations, by Jack D. Forbes and Theda Perdue, have caused a series of older assumptions to be questioned. Indian historical writing has been forced to address issues that overlap with subaltern and postcolonial studies. Issues of power, agency, "Indian voice," and audience for Indian await productive resolution. Although excellent work such as Robert Berkhofer's The White Man's Indian (1978) has demonstrated the invented nature of so much of Indian representation, native scholars and commentators remain critical of the fact that much scholarship is discrete from central concerns of Native American Indian experience. It is to be hoped that the growing body of Native American authorship will further the rich possibilities of peaceful coexistence and communication which the current erosion of orthodoxy within United States history seems to promise.

intercultural

scholarship

JOY See also Axtell; Prucha; Turner

Further

PORTER

Crosby; Debo; Ethnohistory; Frontier; Nash;

Reading

Abbott , Lawrence , ed., I Stand in the Center of the Good: interviews with Contemporary Native American Artists , Lincoln : University of Nebraska Press, 1994 Aberle , David F., The Peyote Religion among the Navaho , Chicago : Aldine , 1966 Axtell , James , The European and the Indian: Essays in the Ethnohistory of Colonial North America , New York : Oxford University Press , 1981 Axtell , James , Beyond 1492: Encounters in Colonial North America , New York : Oxford University Press , 1992 Bataille , Gretchen M. , and Kathleen Mullen Sands, American Indian Women: Telling Their Lives , Lincoln : University of Nebraska Press , 1984 Berkhofer, Robert , Jr. , The White Man's Indian: Images of the American Indian from Columbus to the Present , New York :

Knopf 1978 ,

Bernstein , Alison R, , American Indians and World War II: Toward a New Era in Indian Affairs , Norman : University of Oklahoma Press , 1991 Brown , Dee , Bury My Heart at Wounded Knee: An Indian History of the American West , New York : Holt Rinehart, and London: Barrie and Jenkins, 1971 Catlin , George , Letters and Notes on the Manners, Customs and Conditions of North American Indians , 2 vols., New York : Wiley and Putnam , and London: Catlin, 1841 ; reprinted Minneapolis: Ross and Haines, 1965 Coltelli , Laura , Winged Words: American Indian Writers Speak , Lincoln : University of Nebraska Press , 1990 Cronon , William , Changes in the Land: Indians, Colonists, and the Ecology of New England, New York : Hill and Wang, 1983 Crosby, Alfred W. , Jr. , The Columbian Exchange: Biological and Cultural Consequences of 1492 , Westport, CT: Greenwood Press , 1972

Crosby Alfred W. Jr. Germs, Seeds, and Animals: Studies in Ecological History Armonk, NY: Sharpe 1994 Debo Angie And Still the Waters Run: The Betrayal of the Five Civilized Tribes Princeton : Princeton University Press 1940 ; reprinted 1984 Debo Angie The Road to Disappearance Norman : University of ,

,

,

,

,

,

,

,

,

,

,

,

Oklahoma Press , 1941 ; reprinted 1979 Debo , Angie , A History of the Indians of the United States , Norman : University of Oklahoma Press , 1970 ; reprinted 1989

Fixico , Donald Lee, Termination and Relocation: Federal Indian Policy, 1945-1960 , Albuquerque : University of New Mexico

1986

Press ,

Forbes , Jack D. , Black Africans and Native Americans: Color, Race and Caste in the Evolution of Red-Black Peoples , Oxford and New York : Blackwell , 1988 ; revised as Africans and Native Americans: The Language of Race and the Evolution of RedBlack Peoples , Urbana : University of Illinois Press , 1993 Foreman , Grant , Indian Removal: The Emigration of the Five Civilized Tribes of Indians , Norman : University of Oklahoma Press , 1932.; reprinted 1976 Foreman , Grant , The Five Civilized Tribes , Norman : University of Oklahoma Press , 1934 ; reprinted 1972 Fuchs , Estelle , and Robert J. Havinghurst , To Live on This Earth: American Indian Education , Garden City, NY: Doubleday, 1972 Gentry, Carole M. , and Donald A. Grinde , Jr. , eds., The Unheard Voices: American Indian Responses to the Columbian Quincentenary, 1492-1992 , Los Angeles : American Indian Studies Center, University of California , 1994 Graymont, Barbara , The Iroquois in the American Revolution , Syracuse, NY: Syracuse University Press , 1972 Greenblatt , Stephen , ed., New World Encounters , Berkeley : University of California Press , 1993 Harris , Marvin , The Rise of Anthropological Theory, New York· Crowell , 1968 Hauptman , Laurence M. , The Iroquois and the New Deal, Syracuse, NY: Syracuse University Press , 1981 Hauptman, Lawrence M. , The Iroquois Struggle for Survival: World War II to Red Power , Syracuse, NY: Syracuse University Press , 1986 Hertzberg , Hazel W. , The Search for an American Indian Identity: Modern Pan-Indian Movements , Syracuse, NY: Syracuse

University

Press , 1971

Hoxie , Frederick E. , A Final Promise: The Campaign to Assimilate the Indians, 1880-1920 , Lincoln: University of Nebraska Press,

1984 ; Cambridge : Cambridge University Press , 1989 Hoxie , Frederick E. , " The View from Eagle Butte: National Archives Field Branches and the Writing of American Indian History," journal of American History 76 ( 1989 ), 172 80 Hudson , Charles , and Carmen Chaves Tesser, eds., The Forgotten Centuries: Indians and Europeans in the American South, 1521-1704 , Athens : University of Georgia Press , 1994 Hulme , Peter, and Neil L. Whitehead , Wild Majesty: Encounters with Caribs from Columbus to the Present Day, Oxford and New York : Oxford University Press , 1992 Hunt , George T. , The Wars of the Iroquois: A Study in Intertribal Relations , Madison : University of Wisconsin Press , 1940 ; -

reprinted 1994 Jennings Francis The Invasion of America: Indians, Colonialism, and the Cant of Conquest Chapel Hill : University of North ,

,

,

Carolina Press , 1975 Josephy, Alvin M. , Jr. , America in 1492: The World of the Indian Peoples before the Arrival of Columbus , New York : Knopf, 1992 Krech , Shepard III , ed., Indians, Animals, and the Fur Trade: A Critique of Keepers of the Game , Athens : University of Georgia Press , 1981 Krupat , Arnold , The Voice in the Margin: Native American Literature and the Canon , Berkeley : University of California Press , 1989 Kupperman , Karen O. , Settling with the Indians: The Meeting of English and Indian Cultures in America, 1580-1640, Totowa, NJ: Rowman and Littlefield , 1980 Liberty, Margot , ed., American Indian Intellectuals , St. Paul, MN : West , 1978 Lomawaima , K. Tsianina , They Called It Prairie Light: The Story of Chilocco Indian School , Lincoln : University of Nebraska Press , 1994

Lyons Oren and John Mohawk Exiled in the Land of the Free: Democracy, Indian Nations, and the US Constitution Sante Fe : ,

,

,

,

Clear

Light

,

1992

Martin , Calvin , Keepers of the Game: Indian-Animal Relationships and the Fur Trade , Berkeley : University of California Press ,

Sturtevant , William C. , general editor, Handbook of North American Indians , Washington, DC : Smithsonian Institution Press ,

I978

1978 Merchant , Carolyn , Ecological Revolutions: Nature, Gender, and Science in New England , Chapel Hill : University of North Carolina Press , 1989 Mihesuah , Devon Α. , Cultivating the Rosebuds: The Education of Women at the Cherokee Female Seminary, 1851-1909 , Urbana : University of Illinois Press , 1993 " Miller, Christopher L. , and George R. Hammell , A New Perspective on Indian-White Contact: Cultural Symbols and Colonial Trade ," Journal of American History 73 ( 1986 ), 311 28 Morgan Lewis Henry, The League of the Ho-dé-no-sau-nee or Iroquois , Rochester, NY: Sage and Brother, 1851 ; reprinted as League of the Iroquois , New York : Corinth , 1962 Moses , Lester George , and Raymond Wilson , eds., Indian Lives: Essays on Nineteenth and Twentieth Century Native American Leaders , Albuquerque : University of New Mexico Press , 1985 Nash , Gary B., Red, White, and Black: The Peoples of Early America , Englewood Cliffs, NJ: Prentice Hall , 1974 ; 3rd edition, -

,

1991 "

Nash , Gary B.,

The Hidden History of Mestizo America ,"

of American History

82

( 1995 ),

941

-

Journal

64

Peckham , Howard , Pontiac and the Indian Uprising, Princeton : Princeton University Press , 1947 ; reprinted 1994 Perdue , Theda , Slavery and the Evolution of Cherokee Society, 1540-1866, Knoxville : University of Tennessee Press , 1979 Peterson , Jacqueline , and Jennifer S.H. Brown , eds., The New Peoples: Being and Becoming Métis in North America , Lincoln : University of Nebraska Press , 1985 Prucha , Francis Paul , ed., Documents of United States Indian Policy, Lincoln : University of Nebraska Press , 1975 Prucha , Francis Paul , The Great Father: The United States Government and the American Indians , 2 vols., Lincoln : University of Nebraska Press , 1984 ; abridged 1986 Prucha , Francis Paul , American Indian Treaties: The History of a Political Anomaly, Berkeley : University of California Press , 1994 Ray, Arthur J. , Indians in the Fur Trade: Their Role as Trappers, Hunters, and Middlemen in the Lands Southwest of Hudson Bay, 1660-1870, Toronto : University of Toronto Press , 1974 Richter, Daniel K. , The Ordeal of the Longhouse: The Peoples of the Iroquois League in the Era of European Colonization , Chapel Hill : University of North Carolina Press , 1992 Rogers , J. Daniel , and Samuel M. Wilson , eds., Ethnohistory and Archaeology: Approaches to Postcontact Change in the Americas , New York : Plenum Press , 1993

Rogin Michael Paul Fathers and Children: Andrew Jackson and the Subjugation of the American Indian New York : Knopf 1975 Root Maria P.P. ed., Racially Mixed People in America Newbury Park, CA : Sage 1992 Sale Kirkpatrick The Conquest of Paradise: Christopher Columbus and the Columbian Legacy New York : Knopf 1990 Salisbury Neal Manitou and Providence: Indians, Europeans, and the Making of New England, 13-00-1643 New York : Oxford University Press 1982 Satz Ronald N. American Indian Policy in the Jacksonian Era Lincoln : University of Nebraska Press 1975 Sheehan Bernard W. Seeds of Extinction: Jeffersonian Philanthropy and the American Indian Chapel Hill : University of North ,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

Carolina Press , 1973 Shoemaker, Nancy, ed., Negotiators of Change: Historical Perspectives on Native American Women , London and New York : Routledge 1995 Snow , Dean R. , The Iroquois , Oxford and Cambridge, MA : Blackwell 1994 Sorkin , Alan L. , The Urban American Indian , Lexington, MA : ,

,

Lexington 1978 ,

Stewart , Omer C , Peyote Religion: A History , Norman : University of Oklahoma Press , 1987

~

Szasz , Margaret, Education and the American Indian: The Road to Self-Determination, 1928-1973 , Albuquerque : University of New Mexico Press , 1974 Szasz , Margaret, Between Indian and White Worlds: The Cultural Broker , Norman : University of Oklahoma Press , 1994 Thornton , Russell , American Indian Holocaust and Survival: A Population History since 1492 , Norman : University of Oklahoma Press , 1987 Tilton , Robert S. , Pocahontas: The Evolution of an American Narrative , Cambridge and New York : Cambridge University Press , 1994 Turner, Frederick Jackson , The Significance of the Frontier in American History , Madison : State Historical Society of Wisconsin , 1894 [as lecture 1893 ] Verano , John W. , and Douglas H. Ubelaker, eds., Disease and Demography in the Americas , Washington, DC : Smithsonian Institution Press , 1992 Wallace , Anthony EC ., The Death and Rebirth of the Seneca, New York : Knopf , 1970 Washburn , Wilcomb E. , ed., The American Indian and the United States: A Documentary History , 4 vols., New York : Random House , 1973 Washburn , Wilcomb E. , The Indian in America , New York : Harper, 1975

The Roots of Dependency: Subsistence, and Social Change among the Choctaws, Pawnees, Lincoln : University of Nebraska Press , 1983 The Middle Ground: Indians, Empires, and in the Great Lakes Region, 1650-1815 , Cambridge and

White , Richard , Environment, and Navajos , White , Richard ,

Republics

New York : Cambridge University Press , 1991 Yewell , John , Chris Dodge , and Jan DeSirey, eds., Confronting Columbus: An Anthology , Jefferson, NC : McFarland , 1992

Natural Sciences, Historical The history of historical natural sciences (i.e., geology, mineralogy, botany, and zoology, as well as other fields formerly emcompassed by natural history) has a pattern of development very similar to that of the history of sciences in general. The first historical accounts were written by 19thcentury scientists involved in the very constitution of these disciplines, mainly as part of a strategy of social and academic legitimization. An excellent example would be the introductory chapters of Charles Lyell's Principles of Geology (1830-33), in which he gives his version of the birth of geology as a modern science and establishes the "heroes" and the "villains," obviously placing himself among the former. This kind of was responsible for the transmission of a "received view," that is still very common in textbooks and secondary papers on the history of science. In the 1930s the first works focusing especially on the history of historical natural sciences appeared; these echoed the new level of institutionalization being at that time by the history of sciences in general, due to the efforts of scholars such as George Sarton and Paul Tannery. At the institutional level there was the creation in 1936 of the international Society for the Bibliography of Natural History (from 1983 Society for the History of Natural History). This society embraces all aspects of the history and

paleontology,

exposition

indubitably

experienced

bibliography of the earth sciences and

of disciplines within the biological and publishes a regular and comprehensive

set

journal. On the thematic level, a good example of a text specific to the is Adams' The Birth and Development of the Geological

area

(1938). Its evident "internalistic" approach emphasizes tracing ideas and concepts supposed to be non- or pre-scientific

Sciences

back

their roots, as well as identifying the precursors or individuals considered to have had their time. This kind of work usually combined certain elements of erudite scholarship made necessary by consultation of some of the original sources (classical, medieval, or early modern works), and a philosophical framework even if this is better used to judge than to elucidate "the strange explanations which were put forward by ancient writers." Such an intellectual of scientific rationality has flourished up until today, as can be seen in FJlenberger's or Gohau's histories of geology. On the other hand, the "externalistic" approach the other side of the theoretical debate that arose in the 1930s resulted in another trend of historiographical production which has also extended up to present. Using historical materialism more or less explicitly, these works were produced mainly by Eastern European historians of science, although some Chinese have also worked along this line. Emphasis was placed on a and analysis of the material conditions of a given time and society, stressing its economy and needs, and then links with scientific achievements and ideas. Fine papers, to quote a few, are those by Tikhomirov and Guntau. Part of the writings along this line were also contained in introductory chapters with a nationalistic view in scientific textbooks, whose main purpose is to carve a niche for outstanding countrymen in the general standard history of the to

farsighted insights beyond -

history -

-

description

establishing representative sciences.

It is important to mention that not all of the historiography produced up to the beginning of the 1970s followed these general trends. Books by Hooykaas, Davies, and Rudwick, are probably better fitted within the framework of a social history of historical natural sciences. Hoykaas was especially skilled in his connection of philosophy, science, religion, and literature. Rudwick, on the other hand, pioneered the use of sources in the history of sciences. From the 1970s onwards, the development of the social studies of science opened a rich arena for work in this field, allowing for the flourishing of a diversified historiography,

iconographical

which has increased since the 1979 publication of Barnes and Shapin's Natural Order. Demystifying and reconceiving and natural sciences has led the studies to focus on the relationships between these disciplines and imperialism, on the contradictory processes involved in the "mundialization" of sciences, on the construction of our image of nature (and the very shaping of our knowledge about it), and on minor actors such as insect collectors, women scientists, mineral dealers, or amateur botanists. Former "peripheral" themes or countries (in Latin America or Africa) have come to receive more attention over the years, too. Hence, it seems that a broader and more accurate picture of the history of historical natural sciences is emerging.

naturalism

SILVIA FIGUEIRÔA See also

Archaeology; Sarton;

Science

Further Reading Adams , Frank D. , The Birth and Development of the Geological Sciences , New York : Dover, 1938 Albritton , Claude C. , Jr. , The Abyss of Time: Changing Conceptions of the Earth's Antiquity after the Sixteenth Century , San Francisco : Freeman Cooper, 1980 Barnes , Barry, and Steven Shapin , eds., Natural Order: Historical Studies of Scientific Culture , London : Sage , 1979 Davies , Gordon L. , The Earth in Decay: A History of British Geomorphology, 1578-1878 , New York : American Elsevier, and London: Macdonald, 1969 Ellenberger, François , Histoire de la géologie ( The History of Geology ), 2 vols., Paris : Lavoisier, 1988 -94 Geikie , Archibald , The Founders of Geology , New York and London : Macmillan , 1905 Gohau , Gabriel , Histoire de la géologie , Paris : La Découverte , 1987 ; in English as A History of Geology , New Brunswick, NJ: Rutgers Press , 1990

University

Gould , Stephen J. , Time's Arrow, Time's Cycle: Myth and Metaphor in the Discovery of Geological Time , Cambridge, MA : Harvard Press ,

University

1987

Guntau , Martin , Die Genesis der Geologie als Wissenschaft (The Genesis of Geology as a Science), Berlin : Akademie , 1984 Hooykaas , Reijer, Natural Law and Divine Miracle: A HistoricalCritical Study of the Principle of Uniformity in Geology, Biology, and Theology , Leiden : Brill , 1963 Kumar, Deepak , Science and Empire: Essays in Indian Context, 1700-1947 , Delhi : Anamika , 1990 Lyell, Charles , Principles of Geology , 3 vols., London : Murray, 1:

830

33

-

MacKenzie , John M. , ed., Imperialism and the Natural World , Manchester : Manchester University Press , 1990 Porter, Roy, The Making of Geology: Earth Science in Britain, 1660-1815 , Cambridge and New York : Cambridge University Press , 1977 Rossi , Paolo , I segni del tempo: storia della Terra e storia delle nazioni da Hooke a Vico (Signs of Time: History of the Earth and History of Nations from Hooke to Vico ), Milan : Feltrinelli , 1979

Rudwick , Martin J.S. , The Meaning of Fossils: Episodes in the History of Palaeontology New York : American Elsevier , and London: Macdonald, 1972 Rudwick , Martin J.S. , The Great Devonian Controversy: The .

Shaping of Scientific Knowledge

among Gentlemanly Specialists Chicago : University Chicago Press 1985 Rudwick Martin J.S. Scenes from Deep Time: Early Pictorial Representations of the Prehistoric World Chicago : University Chicago Press 1992 Secord Anne Science in the Pub: Artisan Botanists in Early Nineteenth-Century Lancashire ," History of Science 32 ( 1994 ),

,

,

,

,

,

,

"

,

,

269 315 Secord , James , Controversy in Victorian Geology: The CambrianSilurian Dispute, Princeton : Princeton University Press , 1986 Sheets-Pyenson , Susan , Cathedrals of Science: The Development of Colonial Natural History Museums during the Late 19th Century , Montreal : McGill-Queen's University Press , 1989 " Tikhomirov, Vladimir V. , An Attempt to Analyse the Development of Geology as a Science," International Geological Review 13 -

( 1971 ) Torre , Alejandro R.D. , Tomás Mallo , and Daniel P. Fernández , eds., De la ciencia ilustrada a la ciencia romántica (From Enlightened Science to Romantic Science ), Madrid : Doce Calles , 1995 " Torrens , Hugh S. , Women in Geology 2: Etheldred Benett ," Open Earth 21 ( 1985 ), 12 13 " Torrens , Hugh S. , and Michael A. Taylor, Saleswoman to a New Science: Mary Anning and the Fossil Fish Squaloraja from the Lias of Lyme Regis," Bulletin, Dorset Natural Historical and -

Archaeological Society

105

( 1989 ),

135

-

48

The

study

of naval history involves the

use

of modern

historical methods the naval dimension of the past to examine

breadth, depth, and

a few seminal theses were written at this time, notably those of Robert Albion, Theodore Ropp, Arthur Marder, and James Baxter, all based on European archives. A strong naval institutional base preserved the subject, but the academic history of war has been marginalized, and with it the scholars who work in the field. There are more naval teaching in American universities than anywhere else, but there is no recognized school, no core debate, and little In France the study of war was a prominent target of the Annales school, and, lacking an institutional base, journals, and a coherent school, naval history remains marginal. Building on the educational traditions of the mid-19th century, high quality work was produced as part of naval education, and in staff notably Edouard Desbrière's work on Napoleon's plans to invade Britain. But the French Navy lost interest in the 1950s and the subject withered. Modern work, attempting to link into the core discipline, has concentrated on ports and logistics. The most prominent individual scholar, Jean Boudriot, has devoted a lifetime to the study of the wooden warship. French naval archives remain popular, but published French-language material is poorly integrated into the field. The brief naval of Germany, 1848-1945, has encouraged a more focused approach, concentrating on key debates, notably on the of the Tirpitz program, discussed by Jonathan Steinberg and Volker Berghahn, among others, the degree of continuity between the Imperial and Nazi navies, and the impact of politics. Linked to a strong British field, these works offer the closest approximation in naval history to a major debate. It is significant that the history of the German navy is closely into a dynamic historical mainstream. However, naval history in Germany is taught only in naval academies. John Hattendorf's Ubi Sumus? (1994) provides an overview of the current state of the art. It is necessarily defensive. Across the world naval history is struggling for recognition in and for survival in naval education. It is still trying to walk the fine line between the divergent demands that faced John Laughton in the 1870s; his methodology remains the benchmark for naval history, combining broadly based scholarship with the publication of primary source material, to expand the educational potential of the subject. Naval history has rarely been able to afford the luxury of an internal debate. In order to be noticed naval historians have to work in the mainstream. Recently Jan Glete's outstanding Navies and Nations (1993) addressed the role of navies in the formation of modern nation-state. The early naval historians had little overlap as to subject. Their debates were reflecting the problem of combining scholarship and relevance. This was resolved by the universal acceptance of Laughton's "scientific" approach over Mahan's subordination of evidence to message. Perhaps more than any other branch of history the work of naval historians has reflected present Where Laughton sought to build naval doctrine, and Corbett a national strategy, the post-1918 work of Robert Albion reflected American antitrust legislation, and that of Arthur Marder the "merchants of death" campaign against the private manufacture and sale of arms. The disastrous losses inflicted on British and allied merchant shipping by U-boats in the two world wars prompted a wide ranging debate on the reasons why the Royal Navy was so ill-prepared. Until recently this produced more repetition and polemic than wisdom,

teaching, although

Naval History in

require specific skills in addition to those commonly required of historians, including knowledge of maritime technology, tactics, and strategy. The significance of naval history lies in the extent to which it can contribute to the development of mainstream history. For many years the study of navies, and other aspects of the history of war, has been ignored or denigrated, to the detriment of understanding. There remains a critical dichotomy at the heart of naval history, which reflects its origins. It has always been subject to the divergent demands of academic attempting to raise the standard of scholarship, and armed context. Practitioners

historical

communities

seeking a relevant educational tool. In consequence it has received only fitful support from either community. It is indicative of the present-mindedness of naval history that there is no sustained historiography, and little interest in the objects and methods of the pioneers. The professional study of naval history was developed by Professor Sir John Knox Laughton (1830-1915), a Cambridge mathematics graduate and naval instructor. Laughton argued that an accurate understanding of the past was the basis for the development of contemporary naval doctrine. His selfdevised "scientific" approach to the sources paralleled the Rankean methodology promoted by his friend and colleague Samuel Rawson Gardiner. Appointed professor of modern history at King's College, London in 1885, Laughton brought naval history into the academic mainstream, contributing to the English Historical Review and The Cambridge Modern History. He enlisted the academic community to interpret the past for the Royal Navy, founding the Navy Records Society in 1893 to print archival material that would illuminate contemporary strategic debates. He stressed the importance of the context within which naval activity took place, and founded the study of imperial history at King's College. Laughton's aims and methods dominated the naval history in Britain and America. His most prominent followers were Captain Alfred Thayer Mahan USN (1840-1914) and Sir Julian Corbett (1854-1922). Mahan used history to support theories on the role of naval power in world history, and the primacy of sea-control strategies, in order to raise support for battlefleet seapower to his countrymen. Although he served as president of the American Historical Association, Mahan was more propagandist than scholar, subordinating the evidence to the message. His work was premature and unreliable. By contrast Corbett developed Laughton's approach, providing a succession of wide-ranging studies for the contemporary Royal Navy. However, Laughton had no successor in a British The Royal Navy, which had gained much from the study of history before 1914, founded a chair at the Naval College in 1919, but appointed a lightweight professor, revealing a careless approach. Without an academic base, and deprived of Laughton's intellectual drive, the subject slipped into a narrowly focused backwater, occasionally illuminated by the work of an isolated individual. A similar pattern was repeated around the world. In the United States early interest, prompted by Mahan, soon By the 1930s the subject had disappeared from university services

university. professional

withered.

historians optimism.

histories,

history

purpose

integrated

universities,

historical

methodological,

concerns.

because the prospect of a third such struggle seemed all too immediate. The rise of the Soviet navy prompted a rash of addressing the basic question of whether Russia was, or had ever been, a naval power, a question addressed in John Daly's recent study. Most of the material was too present-minded to survive the collapse of the Soviet Union, but it has contributed to the wider debate about naval power as a historical The "natural" sea-powers are usually given as Athens, Carthage, Venice, and Britain, although Japan and the United States, which are essentially continental military powers, have been included. These are contrasted with Sparta, Rome, the Ottoman empire, Spain, France, Russia, and Germany. In the naval history of smaller states has been considered, in a context far removed from that normally applied to the Royal Navy; Lawrence Sondhaus' two volumes on the Habsburg Navy contributed a notable example. By contrast Iain Hamilton's The Anglo-French Naval Rivalry, 1840-1870 (1993) provided a model comparative analysis of two services by their perceptions of each other and engaged in a series of arms races and crises. Paul Halpern's work on the Mediterranean spread the research base wider still. Naval history can be broken down by period and by subject. It is now possible to examine the historiography, and see signs of development, but the coverage is inconsistent. The of warships, both as technical history and operational analysis, has a strong following, Jon Sumida's In Defence of Naval Supremacy (1989) being a highlight because it expanded the boundaries of the subject. Sumida examined critical aspects of the pre-1914 Royal Navy, calling into question the validity of Arthur Marder's From the Dreadnought to Scapa Flow (1961-70). Nicholas Rodger's The Wooden World (1986) examined the old image of life afloat in the sailing navy, revealing how the mid-18th-century Royal Navy functioned. This important book revised popular images dating back to the campaign against corporal punishment in the first half of the 19th century. Paul Kennedy's seminal The Rise and Fall of British Naval Mastery (1976) an ambitious single-volume survey integrating naval, economic, and international history to revise the image created by Mahan played a large part in reviving the academic study of naval history in Britain. Significantly the strongest institutional supporter of naval history in the past thirty years has been the interdisciplinary Department of War Studies at King's College, London. From 1970 Bryan Ranft, professor of history at the Royal Naval College, Greenwich, returned the subject to the academic It is now approximately where John Laughton left it in 1915, and will make little more progress without a permanent academic base. Until the subject can offer career opportunities and promotion it will remain marginal. Few historians study navies, fewer still teach naval history, and hardly any are naval history teachers. Without the support of scholars the subject would long ago have died out. Naval history should make better use of the talents of those outside the academic mainstream; the subject is innately and need not apologize for that, if best practice is employed. Critically naval history must reintegrate itself into the academic mainstream, to further the development of scholarship, losing the support of navies. This caveat is critical, for navies still provide the greatest number of teaching posts. The key question for the subject is how to define naval historical

expertise.

Is it to be found in the most

encyclopedic conception understanding of a specific

interest,

of the naval past,

phenomenon.

Cromwellian navy; but in doing so it risks continuities and long-term comparisons.

addition necessarily dominated

development

-

-

mainstream.

specialist nonacademic

popular,

without

or

in the detailed

in breadth, depth, and context? The latter offers the best hope for reintegration in a monograph-led profession, notably by encouraging those with period-specific expertise to examine naval issues, as seen in Bernard Capp's important study of the

period,

losing sight

of naval

Andrew Lambert See also Mahan; Maritime

Further

Reading

Albion , Robert Greenhalgh , Forests and Sea Power: The Timber Problem of the Royal Navy 1652-1862 , Cambridge, MA : Harvard University Press , 1926 Baugh Daniel Α. , British Naval Administration in the Age of Walpole , Princeton : Princeton University Press , 1965 Baxter, James Phinney, The Introduction of the Ironclad Warship , Cambridge, MA : Harvard University Press , 1933 Berghahn , Volker, Der Tirpitz Plan: Genesis und Verfall einer innenpolitischen Krisenstrategie unter Wilhelm II ( The Tirpitz Plan ), Dusseldorf : Droste , 1971 Boudriot , Jean , Le Vaisseau de 74 canons , 4 vols., Paris : Boudriot , 1976-78 ; in English as The Seventy-four Gun Ship: A Practical Treatise ott the Art of Naval Architecture , 1986-88 Capp , Bernard , Cromwell's Navy: The Fleet and the English Revolution, 1648-1660 , New York and Oxford : Oxford University Press , 1989 Corbett , Julian S. , England in the Seven Years' War: A Study in Combined Strategy , London : Longman , 1907 Corbett , Julian S. , Some Principles of Maritime Strategy , London : Longman , 1911 ; reprinted London: Conway, 1971 Daly, John Charles Kennedy, Russian Sea Power and "The Eastern Question," 1827-41 , Annapolis: Naval Institute Press , and London: Macmillan, 1991 Desbrière , Edouard , 1793-1805: projets et tentatives de débarquement dans les îles britanniques ( 1793-1805: Plans to Invade the British Isles ), 5 vols., Paris : Chapelot , 1901-02 Ehrman , John , The Navy in the War of William III, 1689-1697: Its State and Direction , Cambridge : Cambridge University Press, 1953 Friedmann , Norman , British Carrier Aviation: The Evolution of the Ships and Their Aircraft , London : Conway, 1988 Glete , Jan , Navies and Nations: Warships, Navies, and State Building in Europe and America, 1500-1860 , 2 vols., Stockholm : Almqvist δc Wiksell , 1993 Graham , Gerald Sandford The Politics of Naval Supremacy: Studies in British Maritime Ascendancy , Cambridge : Cambridge University Press , 1965 Grove , Eric J. , Vanguard to Trident: British Naval Policy since World War II , London : Bodley Head , 1987 Halpern , Paul G. , The Naval War in the Mediterranean, 1914-1918 , Annapolis: Naval Institute Press , and London: Allen and Unwin, ,

,

1987 Halpern Paul G.

, , A Naval History of World War I , Annapolis : Naval Institute Press and London: University of London Press, 1994 Hamilton , C. Iain, The Anglo-French Naval Rivalry, 1840-1870, Oxford: Clarendon Press, and New York : Oxford University Press , 1993 Hattendorf , John B. , Ubi Sumus? The State of Naval and Maritime History , Newport, RI : Naval War College Press , 1994 Hattendorf, John B. , Doing Naval History: Essays Towards Improvement, Newport RI : Naval War College Press, 1995 Hunt , Barry Dennis , Sailor-Scholar: Admiral Sir Herbert Richmond, 1871-1946 , Waterloo, Ontario : Wilfrid Laurier University Press , ,

1982

Kennedy Paul M. The Rise and Fall of British Naval Mastery London : Allen Lane 1976 Lambert Andrew The Crimean War: British Grand Strategy, 1853—1856 Manchester : Manchester University Press 1990 Laughton John Knox The Scientific Study of Naval History," Journal of the Royal United Services Institute 18 ( 1874 ), 508 Laughton John Knox Studies in Naval History: Biographies London : Longman 1887 Lavery Brian The Ship of the Line 2 vols., London : Conway 1983-84 Mackay Ruddock F. Fisher of Kilverstone Oxford : Clarendon .

,

,

,

,

,

,

,

"

,

,

,

-

26

,

,

,

,

,

,

,

,

,

,

Press , 1973 Mahan Alfred Thayer, The Influence of Sea Power upon History, 1660-1783 , Boston : Little Brown , and London: Sampson Low, ,

1890 Marder, Arthur Jacob , The Anatomy of British Sea Power: A History of British Naval Policy in the pre-Dreadnought Era, 1880-1905 , New York : Knopf, 1940 Marder, Arthur Jacob From the Dreadnought to Scapa Flow , 5 vols., Oxford : Oxford University Press , 1961-70 Meyer, Jean , and Martine Acerra , Marines et révolution , Rennes : Ouest-France , 1988 Milner, Marc , North Atlantic Run: The Royal Canadian Navy and the Battle for the Convoys , Toronto : University of Toronto Press , ,

1985 Navy Records Society, London 1894-, 150+ volumes published Nicolas Nicholas Harris A History of the Royal Navy from the Earliest Time to the Wars of the French Revolution 2 vols., London 1847 Ranft Brian M. ed., Technical Change and British Naval Policy, 1860-1939 London : Hodder and Stoughton 1977 Rodger N. A. M. The Wooden World: An Anatomy of the Georgian Navy London : Collins 1986 Ropp Theodore The Development of a Modern Navy: French Naval Policy, 1871-1904 Annapolis : Naval Institute Press 1987 Schurman Donald M. The Education of a Navy: The Development of British Naval Strategic Thought, 1867-1914 London Cassell 1965 Schurman Donald M. Julian S. Corbett, 1854-1922: Historian of British Maritime Policy from Drake to Jellicoe London : Royal Historical Society 1981 Seager Robert II Alfred Thayer Mahan: The Man and His Letters Annapolis, MD : Naval Institute Press 1977 Sondhaus Lawrence The Habsburg Empire and the Sea: Austrian Naval Policy, 1797-866 West Lafayette, IN : Purdue University ,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

Press , 1989 Sondhaus , Lawrence , The Naval Policy of Austria-Hungary, 1867-1918: Navalism, Industrial Development and the Politics of Dualism , West Lafayette, IN : Purdue University Press , 1994 Steinberg , Jonathan , Yesterday's Deterrent: Tirpitz and the Birth of the German Battlefleet , London : Macdonald , 1965 Sumida , Jon Tetsuro , In Defence of Naval Supremacy: Finance, Technology and British Naval Policy, 1889-1914 , London , Allen and Unwin , and Boston: Unwin Hyman, 1989 Tunstall , W. C. Brian , The Realities of Naval History , London : Allen and Unwin , 1936 Zimmerman , David , The Great Naval Battle of Ottawa , Toronto : University of Toronto Press , 1989

Near East: Ancient The ancient Near East, that region that lies between the Mediterranean Sea and the Iranian plateau and includes Palestine and Mesopotamia, the fertile valleys of the Tigris and the Euphrates rivers, and Egypt, has inspired historians since Herodotus. The inquiry by historians into the past of the region

has been a grand enterprise, but one the results of which must be judged critically as subjective and provisional at best. The western historian's passion for Greco-Roman grandeur has remained virtually intact through the modern inquiries based on linguistic expertise and on more scientific methods of research, but the ancient Near East and its legacy of secrets have remained elusive, haunting, and mysterious. However, much that is known and understood about the region and its peoples today is indebted to western support for archaeological excavations, restoration of monuments, and the collection and deciphering of artifacts and recorded texts. The best summaries of current knowledge range from James Breasted's classic and still valuable A History of Egypt from the Earliest Times to the Persian Conquest (1905) to Thomas Levy's The Archaeology of Society in the Holy Land (1995). Other helpful works include John A. Wilson's The Burden of Egypt (1951); S.N. Kramer's The Sumerians (1963); Georges Roux's Ancient Iraq (1964); W.W. Hallo and W.K. Simpson's The Ancient Near East: A History (1971); David Oates and Joan Oates' The Rise of Civilization (1976); Bruce Trigger's Ancient Egypt (1983); Gösta Ahlström's The History of Ancient Palestine from the Paleolithic Period to Alexander's Conquest (1993); and the latest edition of H.G. May's Oxford Bible Atlas (1984). These are among the most comprehensive and readable "histories" of the region available in English, although all remain subject to revision due to the continuing flow of discoveries. Also of value to students are "time line" graphs, among the most useful of which is Ian Shaw's Time Line of the Ancient World: 3000 BC-AD 500 (1994). It must be emphasized that today historians of these and other such soundly researched overviews are dependent on geographers and meteorologists, archaeologists and paleographers and philologists, paleontologists and mineralogists, to say nothing of mythologists, comparative and theologians, and they draw conclusions for consumption by the general reader only very cautiously. Many have discovered that the overriding theme and principal of the historical source material of the ancient Near East (and even the medieval and modern Middle East) is a passion for continuity, not critical interpretation.

sociologists, religionists,

characteristic For

example,

in

Mesopotamia,

from

Babylonian

to

times, preponderance of historical lists of consists of kings, annals of their reigns, and writing the names of the gods they served, preserved in temple and other monumental inscriptions and in constructed archives for administrative documents and records. Most notable is the Sumerian king list, compiled from various sources by Thorkild Jacobsen; it is a source that has yielded important information on a Sumerian heroic age and of an uninterrupted monarchy and a governing system of elders centered in Uruk that lasted from the mid-3rd millennium to the 18th century BCE. The discovery in Nineveh of the library of Ashurbanipal (668-617 BCE) yielded 20,000 clay tablets, including an Akkadian of earlier Babylonian and Hittite versions of the much older Sumerian pictographic record of heroic stories associated in myth with king Gilgamesh of Uruk, whom scholars now believe existed. Two invaluable collections available in English bring the general reader in close touch with primary textual sources and, as much as is possible, with the thinking and beliefs of ancient Sassanian-Persian

the

recension

The first is J.B. Pritchard's Ancient Near (1950), which includes translations of the Epic of Gilgamesh, the Code of Hammurabi, and important texts from Akkad, Egypt, and Palestine, with marginal concordances of sacred Egyptian and biblical sources. The second is the richly interpretive yet soundly informed Before Philosophy (1946), edited by Henri Frankfort, which includes Jacobsen's brilliant

was set

Mesopotamia, with its depiction of Gilgamesh's time. Prior to our more scientific age and as recently as the late 19th century, information about the ancient Near East came

with his family from Ur in Sumer to Hebron in Canaan around 1850 BCE, and Joseph's to Egypt occurred during the Hyksos period (1700-1580). The encounters between the Israelites from Egypt and the Canaanites of Lebanon and Syria (Phoenicians to later Greek and Roman historians) occurred around 1290 as a result of the Exodus led by Moses. The conquest of Canaan, by Joshua, took approximately a hundred years by successive chiefs (or Judges) of the twelve tribes; finally David (c.1010-955) united the kingdom under a single authority on behalf of the progeny of Abraham. The capital city was Jerusalem and remained so until Solomon's death in 935, when the kingdom was divided into two parts: Israel in the north, Judah in the south. Jerusalem continued as the capital of Judah. Phoenicia, with its port cities of Sidon and Tyre, was the first to fall to the Israelites, although eventually it rose to eminence as a trading and maritime power throughout the eastern Mediterranean, particularly with the founding of Carthage in 814. The historic importance of Phoenicia derives from its invention of the alphabet. Later adopted and modified by the Greeks and the Aramaeans of central Syria, it supplanted all previous writing systems developed in the Near East. The region of the divided kingdom of the Jews was conquered first by the Assyrians (neo-Babylonians c. 580), which marked both the cultural apogee of Babylon, with its famous hanging gardens under Nebuchanezzar, and the captivity of the Jews, 586-538. The Assyrians were followed by the Achaemenid Persians (539-331), the Greeks and Romans, and in 640CE the Muslims. Greater attention focused on the region of Palestine in 1947 and 1948, with the discovery in the Qumran caves of the Dead Sea Scrolls, dating from c. 140 BCE, and with the founding of the state of Israel. Millar Burrows' The Dead Sea Scrolls (1955) remains a readable and balanced historical account and of the discovery of the scrolls and of their importance to Jewish and Christian religious understanding. Numerous books have appeared on the subject, and controversies from various quarters surround the discovery, claim to ownership, and of the scrolls. One of the best non-textual sources for the sites of ancient Palestine, as for Egypt and Mesopotamia, is the series of educational films produced by the National Geographic Society for dissemination in schools and colleges. Gösta Ahlström and Thomas Levy have provided two fine studies of the archaeology and history of ancient Palestine. In summary, a few points need reiteration. Alhough the ancient Near East is distant in time, that distance has been greatly shortened in the last two centuries through the efforts of both amateur explorers and scientists. Long-buried and texts have been uncovered, deciphered, and critically assessed. The modern historian has found guidance both from the learning and observations of the Greek writer Herodotus and from the carbon-14 dating of the American scholar Libby. The content and inspirational origin of the familiar old texts

Near East

peoples.

Eastern Texts

essay on

through "genial amateurs," to use George Roux's phrase; prior, that is, to the discovery in 1946 by C.W.F. Libby of the University of Chicago of the radiocarbon method of dating ancient and prehistoric artifacts. Among those scholars of Mesopotamia noted by Roux were the explorer and Sir Henry C. Rawlinson and the Italian-born French consul of Mosul, Paul E. Botta, who in 1843 led thefirst serious archaeological team to excavate Assyrian sites in Iraq, most notably at Nineveh and Nimrud. This paved the way for the discovery in 1845 of the Akkadian Semitic version of the Gilgamesh epic by two scholars from the British Museum, A.H. Layard and George Smith, and the Turkish archaeologist to us

philologist

Hormuzd Rassam.

Between 1835 and 1847 the deciphering of the AssyroBabylonian language (Akkadian) was assured by Edward Hincks of Ireland, Jules Oppert of France, and Rawlinson, who contributed to the 5-volume collection The Cuneiform Inscriptions of Western Asia (1861-1909). By 1900 the other Mesopotamian language, Sumerian, was at least provisionally understood, and the process of collecting the multitude of texts for museums and university libraries in Europe, America, and

Turkey was underway.

More careful scientific methods of

excavation and research by the later German archaeologists Robert and Walter Andrae at particular sites, such as Babylon and Assur respectively, were followed by other Europeans, such as Sir Leonard Woolley at Ur, A. Parrot at

Koldewey

Mari, and British and American teams at Kish and other sites in the 20th century. Armed with modern technology, the heirs of these scholars and explorers have attempted to penetrate back into the 4th and 5th millennia BCE and into the Stone Age of ancient Iraq. In the study of Egypt certain western names stand out, in terms of the unraveling of hieroglyphics and the of the science of Egyptology. Most prominent is J.F. Champollion, who in 1821 deciphered the 604 ideogram signs, phonogram consonants, and determinative symbols of the Rosetta Stone, which was unearthed by Napoleon's troops near the Egyptian city of Rosetta in 1799 and is now in the British Museum. Gaston Maspero, founder of the French school of Oriental Archaeology at Cairo, excavated at Luxor and Karnak. His work, Histoire ancienne des peuples de l'orient (1874-1908; The Dawn of Civilization, 1894; The Struggle of the Nations, 1896; and The Passing of the Empires, 1900), remains a classic in the field. Breasted carried out research in both Egypt and Mesopotamia; his translations of historical records and his books, including History of Egypt and The Dawn of Conscience (1933), are essential reading. Egyptian funerary literature including the famous Book of the Dead, with its recorded charms, spells, formulas for use in the afterlife, prophecies, wisdom verse, hymns, and songs

especially

establishment

-

-

placed

down in inscriptions first, and later on papyrus scrolls in tombs with the mummies. The earliest collection

dates from the 18th dynasty (1580-1350BCE). John A. Wilson's admirable translations are available in Pritchard's Ancient Near Eastern Texts.

Many

western

readers

are

familiar with the biblical

literature associated with the history of the Israelites. Abraham,

it

is

generally believed,

came

migration

undertaken

assessment

interpretation

general

monuments

considered sacred and authoritative have been subjected to content and non-monotheistic perspective of still older texts, such as the secular Mesopotamian Epic of Gilgamesh (with its detailed account of a Great Flood), the 2ndmillennium Code of Hammurabi, and the Egyptian Book of the Dead, each a testimony of distinct and parallel development throughout the ancient Near East. The Epic of Gilgamesh gives a sophisticated picture of the human concerns, particularly of what Jacobsen called "the revolt against death," that drove the Babylonian people of the 2nd millennium to affirm a worldview whose central idea was human justice rather than the whims of gods. Further, although rich in its mythopoetic it also depicted the ancient Near East as a place of continuing dialectic between unsettled nomadic steppe and desert peoples and the builders of the great cities who guarded the sacred and encouraged civilization. The distinguished Muslim social historian and philosopher Ibn Khaldün (133 21406) demonstrated that this dialectic continued through preIslamic Arabian times and on through Islamic history. The contemporary traveler both to the older surviving cities and to the more rural regions of the Middle East discovers a continuity difficult to comprehend from the perspective of western consciousness. The ancient Near East continues to hold secrets of experience and wisdom mirroring the desires and needs of many beyond its boundaries of place and time, and the spirit of inquiry and passion to understand still invite the historian to journey there, and to return to communicate to others what remains to be learned. HERBERT W. MASON

comparison with the

consciousness,

modern

See also Breasted; Egypt: Ancient; Massignon;

Trigger

Ahlström , Cösta W. , The History of Ancient Palestine from the Paleolithic Period to Alexander's Conquest , Minneapolis : Fortress Press , and Sheffield: JSOT Press, 1993 Breasted , James Henry, A History of Egypt from the Earliest Times to the Persian Conquest , New York : Scribner, 1905 , revised 1909 ; London: Murray, 1938 Breasted , James Henry, The Dawn of Conscience , New York : Scribner, 1933 Burrows , Millar, The Dead Sea Scrolls , New York: Viking, 1955 ; London : Seeker and Warburg, 1956 Frankfort , Henri , general editor, Before Philosophy: The Intellectual Adventure of Ancient Man: An Essay on Speculative Thought in the Ancient Near East , Baltimore : Penguin , 1946 ; Harmondsworth: Penguin, 1949 Hallo , William W. , and William Kelly Simpson , The Ancient Near East: A History , New York: Harcourt Brace, 1971 Jacobsen , Thorkild , Sumerian King List, Chicago : University of Press , 1939

Kramer, Samuel Noah , The Sumerians: Their History, Culture, and Character , Chicago : University of Chicago Press , 1963 Levy, Thomas E. , ed., The Archaeology of Society in the Holy Land , New York : Facts on File , and Leicester: Leicester University

Press, 1995 Maspero Gaston Histoire ancienne des peuples de l'orient Paris : Hachette 1874-1908 ; in English as The Dawn of Civilization: Egypt and Chaldaea London : SPCK and New York: Appleton, 1894 ; The Struggle of the Nations: Egypt, Syria and Assyria 1896 ; and The Passing of the Empires: 850 BC to 330 BC 1900 May Herbert G. ed., Oxford Bible Atlas 3rd edition, Oxford and New York : Oxford University Press 1984 ,

,

,

,

,

,

,

,

,

Needham, Joseph

190 –19 5

British historian of Chinese science Ever since the late

Enlightenment

and

into

the 20th century,

technology have reinforced the Western conviction of cultural superiority. Joseph Needham's clearest mission was to attack Western complacency by showing just how many crucial scientific advances had in fact been imported from China. Famously, he cited Francis Bacon to the effect that the history of the Western world had been changed by the three inventions of printing, gunpowder, and the magnetic compass, and went on to show how all three of these Western science and

irrevocably

had been discovered in China significantly in advance of the European scientific revolution. Needham portrayed science as the source and inspiration for a new, ecumenical world He is best known for his massive Science and Civilization in China (1954-94); its seven large, multi-part volumes covering science, technology, and medicine throughout Chinese history. This history provided examples of Chinese science in extraordinary detail. The amassing of scientific achievement in China to the point where it was superior to Europe throughout the Middle Ages and until at least the 16th century prompted the so-called "Needham question": why did the scientific take place in Europe and not in China? Needham's answer (in grossly oversimplified terms) was that only could have bred modern science. Needham's impact has been considerable. In China he has been widely seen as a of Chinese culture by the standards of modernity; in the West, Needham has contributed to a reconceptualization of non-European cultures as capable of science and rationality. His work has been eagerly adapted and emulated in countries such as India. Needham started his career as a biochemist/embryologist at Cambridge University and it was not until after World War II that he began to publish on China. He was a successful having been elected fellow of the Royal Society by the time he shifted to the history of Chinese science. Throughout his life, he argued that science provided the means for the improvement of human life. A devout Anglican, he associated the Regnum Dei with the society that science could and would create. In the 1920s and 1930s, Needham published on the of biology and also looked at the history of science and

community.

Further Reading

Chicago

Oates , David , and Joan Oates , The Rise of Civilization , Oxford : Elsevier Phaidon , 1976 Pritchard , James Bennett , ed., Ancient Near Eastern Texts Relating to the Old Testament , 2 vols., Princeton : Princeton University Press , 1950 ; 3rd edition 1969 Rawlinson , Henry C. , Edwin Norris , George Smith , and T. G. Pinches , The Cuneiform Inscriptions of Western Asia , 5 vols., London : British Museum , 1861-1909 Roux , Georges , Ancient Iraq , London : Allen and Unwin , 1964 , Cleveland: World, 1965 ; revised 1980 Shaw , Ian , Time Line of the Ancient World: 3000 BC-AD 500 , London : British Museum Press , 1994 Trigger, Bruce G. et al. , Ancient Egypt: A Social History , Cambridge and New York : Cambridge University Press , 1983 Wilson , John Α. , The Burden of Egypt: An Interpretation of Ancient Egyptian Culture , Chicago : University of Chicago Press , 1951 ; reprinted as The Culture of Ancient Egypt, 1956

,

,

,

revolution

capitalism

champion decolonized

scientist,

philosophy

He developed a florid style in keeping with his High Church leanings. When writing an embryology textbook, he dealt first with the history of that subject, producing his first

religion.

properly

historical monograph, History of Embryology. It was straightforward history of ideas showing the progress of scientific thought. During the late 1920s and 1930s, Needham became a in the Wellsian mould, and associated with other socialist scientists, such as Desmond Bernal, J.B.S. Haidane, Hyman Levy, Lancelot Hogben, Julian Huxley, and J.G. Crowther. The

a

socialist

socialism of the time fitted well both with Needham's of the Regnum Dei and with the supposedly superior role given to science in the Soviet Union. Needham joined a chorus arguing that science had been supported by capitalistic as long as it was small scale, but was now frustrated in its chiliastic role, and only socialist structures could provide the necessary degree of organized rationality for the prosperity of

inhibitor was a concept to be found both in biological sciences and in the "frustration of science" apparent to the self-styled advocates of a greater role for science in society. Needham's historiography now seems dated, and few Western historians accept the validity of the Needham But the monumentality of his resurrection of a non Western scientific heritage, along with his commitment to a non-Eurocentric and anti-racist history of science, remain

question. extraordinary.

ARNE HESSENBRUCH

conception

See also Science

structures

Biography

humanity. When a high-powered Soviet delegation lectured on history of science from a Marxist perspective in London in 1931, many socialist scientists took note. Selfconsciously externalist history of science in Britain dates from this encounter. Needham also began to embed his history of ideas within the society in which they were put forward. But he remained wedded to the of good science as independent of culture. He employed this conception in indignant rebuttals of Nazi scientists who made distinctions between German and degenerate Jewish science. In 1937, three Chinese students came to Cambridge, including Lu Gwei-Djen, who was to become Needham's main collaborator in his magnum opus and also his second wife. They surprised him with reports of science-like activity in the Chinese past and he began to study Chinese. China was not only a country with a highly literate classical culture to that of ancient Greece, it could also provide material for the argument for universal science. In addition China already attracted the sympathy of Western socialists, faced as it was with Japanese imperialism. Needham spent 1942-46 in the Kuomintang-held parts of the Chinese hinterland as head of the Sino-British Science Cooperation Office which aimed to help Chinese science in its anti-Japanese war effort. In this period he collected many of the materials for Science and Civilization in China. After 1946, Needham began work on the history of Chinese science, while remaining active in both local and international politics. He was famously instrumental in putting the S (for science) in UNESCO. This UN body initiated work on a multivolume of humanity. In the committee work the Annales historian, Lucien Febvre, convinced the committee and Needham of the need to feature not only the accomplishments of all cultures, but also the exchanges and transmissions between them. Most historiographical features of the Science and in China can be located in Needham's experience from the late 1920s to the late 1940s: universalism and cooperation in science, interest in China, concern with the transmission of science, and an interest in the inhibiting factors in historical development. Universalism was common in science apologetics, as was the contention that scientific government would social strife, specifically class struggle; interest in China was common in socialism, the transmission mechanism in science was an explicit part of the UNESCO project, and the

conception

comparable

history

Civilization

eliminate

Noel Joseph Terence Montgomery Needham. Born near London , 9 December 1900 , son of a doctor. Educated at Oundle School ; studied medicine and science, Gonville and Caius College, Cambridge Fellow, Gonville and Caius College , from 1924 ; demonstrator, then reader in biochemistry, Cambridge University, 1928-66 ; director, Needham Research Institute, Cambridge University, 1976-90. Married 1) Dorothy Mary Moyle, biochemist, 1924 (died 1987); 2) Lu Gwei-Djen, 1989 (died 1991 ). Died Cambridge , 24 March 1995 .

.

Principal Writings History of Embryology

, 1934 ; revised 1959 Science and Civilisation in China , 6 vols., 1954-94 The Development of Iron and Steel Technology in China , 1958 With others, Heavenly Clockwork: The Great Astronomical Clocks of Medieval China , 2nd edition, 1986

Further

Reading

Goldsmith , Maurice , Joseph Needham: 20th-Century Renaissance Man , Paris : UNESCO Publishing , 1995 Nakayama , Shigeru , and Nathan Sivin , eds., Chinese Science: Explorations of an Ancient Tradition , Cambridge, MA : MIT Press , 1973 Teich , Mikuláš, and Robert Young , eds., Changing Perspectives in the History of Science: Essays in Honour of Joseph Needham , London : Heinemann , and Boston: Reidel, 1973

Nevins, Allan

1890–1971

US historian Allan Nevins

of the best-known, most prolific, and 20th-century historians of the United States. His prodigious output included more than 50 books, at least another 75 edited volumes, and around a thousand articles, essays, and reviews. Nevins' workaholic habits, his industry, energy, and determination to spend every possible minute on research and writing were legendary among his peers. C. Vann Woodward described him as "a one-man history-book industry, a phenomenon of American productivity without parallel in the field." A farmer's son, Nevins was born in Camp Point, Illinois, and quickly acquired a lifelong habit of omnivorous reading. He took his bachelor's and master's degrees in English at the University of Illinois, publishing the thesis he produced for the latter degree, but he never obtained a doctoral was one

versatile

literature

For fifteen years, until he reached his late

thirties, he journalist, producing editorials and literary articles for the liberal periodicals the Nation and the New York Evening Post. While thus employed, he produced several books, among them histories of the Evening Post (1922) and The American States during and after the Revolution, 1775-1789 (1924). Nevins' historical studies and his close

degree.

was

employed

as a

connections with New York

literary and intellectual figures him academic recognition. In 1927 he joined helped Cornell University's history department. A year later he moved to Columbia University, where he remained until 1958, when he reached the mandatory retirement age of 68. Nevins' journalistic experience helped to account for both his productivity and his insistence that history should be appealing to the public. He was firmly committed to the belief that history should be accessible and entertaining to the general reader; not only should it be based upon exhaustive research and embody high standards of detailed accuracy, it should also be well written and entertaining. His historical models were the great 19th-century narrative historians, such as Thomas Carlyle, Thomas Babington Macaulay, and Francis Parkman. His own works, predominantly in biography and narrative history, exemplified these demanding standards, and some were immensely popular, gaining several prizes. Nevins' memories of interviewing subjects for newspaper articles, obtaining unrecorded information, also played a role in his in 1948, of the Columbia Oral History Program, an enterprise that was the first such in the United States, and which has since spawned many imitators. Nevins' belief that academic historians were inaccessible and unsympathetic to the man in the street also led him to establish the journal American Heritage, designed to interest the general reader rather than the specialist historian. Nevins' work also embodied mid-2oth-century liberal American values. He was a strong supporter of the New Deal, of civil rights, and of American intervention in World War II. In the late 1940s he spent three summers as chief public affairs officer at the United States Embassy in London. These values came through particularly strongly in Ordeal of the Union (1947-71), his 8-volume history of the American Civil War, in which he condemned slavery, ascribing the responsibility for the war to its existence, and argued that war was on occasion justified. Nevins' passionate belief that history was not simply for specialists was rooted in his sense that the study of the past was essential to the understanding of the present. Nevins' work, particularly The Emergence of Modern America, 1865-1878 (1927) and his biographies of inventors and businessmen, helped to bring about a reassessment of 19thcentury American industrialization and its architects. Nevins argued that economic development in the United States caused relatively little human suffering, while raising the general of living and making the United States a great industrial power capable of defeating Germany in both world wars. The great capitalists of that period should, he argued, be viewed, not as "robber barons," but as men whose economic selfinterest had played an essentially positive role in American history, and who had done nothing criminal by the standards of their time. Nevins' magnum opus was Ordeal of the Union, his history of the Civil War, completed only after his death. to win

otherwise

establishment,

standard

narrative

This work emphasized political, social, administrative, cultural, and economic, rather than purely military history. The later volumes stressed the manner in which the changes resulting from the Civil War laid the foundations of future industrial development. He also published several political biographies, including studies of John C. Fremont, Hamilton Fish, Grover Cleveland, and the diplomat Henry White. All were fairly balanced works, although Nevins was sometimes criticized for aligning himself too closely with the status quo and with his subjects. Overall, it can justly be said that Nevins lived up to the criteria he set himself, and was a worthy successor to those 19th-century narrative historians whom he tried to emulate. PRISCILLA M. ROBERTS

See also Commager; United States: Historical Writing, 20th Century

19th Century;

United States:

Biography

Born Camp Point, Illinois 20 May 1890 Received BA in English, University of Illinois 1912 MA 1913 Traveled to Europe after graduation. Editorial writer New York Evening Post, 1913-23 and Nation, 1913-18 ; literary editor, New York Sun 1924-25 ; staff member, New York World 1925-27, 1928-31 Taught at Cornell University 1927-28 ; and Columbia University T928-58. Married Mary Fleming Richardson 1916 (2 daughters). Died Menlo Park, .

,

,

.

.,

,

,

,

.

,

,

,

,

California , 5 March 1971

.

Principal Writings The Evening Post: A Century of Journalism, 1922 The American States during and after the Revolution, 1775-1789 , 1924

The Emergence of Modem America, 1865-1878 , 1927 Grover Cleveland: A Study in Courage , 1932 Abram S. Hewitt : With Some Account of Peter Cooper , 1935 Hamilton Fish: The Inner History of the Grant Administration , 1936 John D. Rockefeller : The Heroic Age of American Enterprise , 2 vols., 1940 America: The Story

of a Free People with Henry Steele Commager

,

,

1942

The Ordeal of the Union , 8 vols., 1947-71 ; includes The War the Union , 4 vols., 1959-71 The Emergence of Lincoln , 1950 With Jeanette Mirsky , The World of Eli Whitney, 1952 Study in Power: John D. Rockefeller, Industrialist and

Philanthropist

vols.,

2

,

for

1953

Ford , 3 vols., 1954-63 Allan Nevins on History , edited by Ray Allen Billington , 1975

Further Reading Billington Ray Allen Allan Nevins, Historian: A Personal Introduction ," in Ray Allen Billington ed., Allan Nevins on History New York : Scribner 1975 Kraus Michael and Davis D. Joyce The Writing of American History revised edition, Norman : University of Oklahoma Press 1985 Lowery Charles D. Nevins, Joseph Allan ," in Dictionary of American Biography: Supplement Nine, 1971-1975 New York : "

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,

,

,

,

,

,

,

,

,

"

,

,

,

Scribner, 1994 McMurry, Richard M. ,

"

Allan Nevins ," in Clyde N. Wilson ed., Twentieth-Century American Historians Detroit : Gale 1983 [Dictionary of Literary Biography, vol. 17 ] Sheehan Donald and Harold C. Syrett eds., Essays in American Historiography: Papers Presented in Honor of Allan Nevins New York : Columbia University Press 1960 ,

,

,

,

,

,

,

,

"

Terry Robert J. The Social and Intellectual Ideas of Allan Nevins ," MA thesis, Cleveland : Western Reserve University 1958 Wish Harvey The American Historian: A Social-Intellectual History of the Writing of the American Past New York : Oxford University Press 1960 ,

,

,

,

,

,

,

New

Zealand

The first significant history of New Zealand, Arthur S. Thomson's The Story of New Zealand: Past and Present, Savage and Civilized (1859), emphasized, like most other 19thcentury chronicles, the successful nature of British In The Long White Cloud: Ao Tea Roa (1898), the former Liberal cabinet minister William Pember Reeves provided a narrative of exploration and settlement that culminated in the progressive Liberal legislation of the 1890s. Reeves' of political history influenced many later historians, and his colorful and compact account remained the standard history for some sixty years. Pakeha (that is, settlers of

colonization.

interpretations European ancestry)

amateur

ethnologists, most notably S. Percy

Smith in Hawaiki (1898), created a history for New Zealand before the European intrusion by textualizing and chronologizing traditions of the indigenous Maori people. In the first third of the 20th century, journalists such as Lindsay Buick and James Cowan compiled popular accounts of episodes connected with the establishment of British Cowan, who was bilingual, was unusual in drawing upon oral testimonies from both Maori and Pakeha, particularly in his government-commissioned The New Zealand Wars (1912-23). The centennial of British colonization in 1940 provided the occasion for a great deal of historical writing and research, much of it celebrating Pakeha achievements; the governmentsponsored centennial surveys prepared through the Historical Branch of the Department of Internal Affairs included some short historical works, among them J. C. Beaglehole's The Discovery of New Zealand (1939). Two versions of a history of social services by W.B. Sutch commissioned for the same series were rejected, the second apparently at the of the prime minister, but both manuscripts were published by private firms: Poverty and Progress in New Zealand (1941) and The Quest for Security in New Zealand (1942) provided a left-wing account of New Zealand's history that received a further lease of life in the 1960s when the books were reissued in amplified editions. The involvement of the state in the production of historical works continued in the postwar period, particularly through the War History Branch which was responsible for the of more than forty campaign, unit, and service histories commemorating New Zealand activities in World War II. There was also an increasing number of histories, of varying size and sophistication, published to mark provincial, regional, and local anniversaries of Pakeha settlement; one of the most notable and scholarly was Philip Ross May's The West Coast Gold Rushes (1962). Public interest in New Zealand history was further stimulated by the activities of the Historic Places Trust, established in 1954. Until the 1950s, most of the research into aspects of New Zealand history carried out by the few academic historians in

sovereignty;

distinguished

instigation

subsequently

publication

the small university colleges was pursued within an imperial framework. In the 1950s and 1960s, however, as the expanded, there was a growing emphasis on teaching and researching New Zealand history for its own sake, and the publication of Keith Sinclair's A History of New Zealand (1959) and W.H. Oliver's The Story of New Zealand (1960) provided an important impetus in this process. As well as a large increase in the number of students carrying out research for MA theses (both Sinclair and Oliver had drawn on the unpublished labors of earlier MA students for their histories), a significant number of students from around 1970 onwards undertook doctoral research in New Zealand topics. The scope and strengths of all this essentially empirical endeavor were reflected in the multi-authored The Oxford History of New Zealand (1981), edited by W.H. Oliver with B.R. Williams. Partly reflecting developments in historical scholarship and partly in response to political changes within New Zealand itself, New Zealand historians during the 1970s and 1980s added enquiry into social, cultural, and intellectual aspects of the past to their more traditional concerns with and economic affairs. As a result, issues of gender, class, and the nature of the colonial encounter have become much more prominent. Raewyn Dalziel's 1977 article "The Colonial Helpmeet" was especially important in stirring debate about the social roles of women; and two volumes of essays edited by Barbara Brookes, Charlotte Macdonald, and Margaret Tennant indicate the dimensions of this research. Erik Olssen has been the leading analyst of class; his Building the New World (1995) describes in rich detail social and political transformations in a Dunedin working-class suburb. In contrast, Miles Fairburn's The Ideal Society and Its Enemies (1989) argues that "the colonist was a socially independent individual," while Rollo Arnold, in New Zealand's Burning (1994), depicts a "yeoman world" built upon family and community life. Perceptions of the colonial encounter were significantly changed by James Belich's The New Zealand Wars and the Victorian Interpretation of Racial Conflict (1986) and Claudia Orange's The Treaty of Waitangi (1987). The establishment of the Waitangi Tribunal in 1975, and the extension of its back to 1840 a decade later, have resulted in hundreds of Maori claims for loss of land and other possessions and a greatly increased demand for historical researchers, Maori and Pakeha. The Tribunal's published reports are revealing a

universities

elsewhere

political

typical

jurisdiction

"hitherto largely submerged history." Judith Binney's Maori

an excellent recent illustration of the extent to which Pakeha historians now draw upon Maori traditions and perspectives as well as documentary materials. In Making Peoples (1996) James Belich attempts a major of New Zealand history, emphasizing bicultural perspectives. A second volume will carry the story through the 20th century. The editors of The Dictionary of New Zealand Biography

Redemption Songs (1995)

is

reinterpretation

(1990-), a government project designed as a sesquicentennial commemoration, mirrored contemporary concerns about the inclusiveness of the historical record by setting targets for representation of women and Maori, while Maori subjects also appear in a companion series in the Maori language, Ngā Tāngata Taumata Rau (1990-). Many of the contributors to the Dictionary have been amateur historians whose expertise was developed through compiling local and family histories;

academics and amateurs have also shared the growing for the preservation and use of oral testimony. At the same time the chief historian, Jock Phillips, has reinvigorated the Historical Branch and increased opportunities for historians through launching a major program of public

enthusiasm

professional historv.

PETER GIBBONS See also

Beaglehole; British Empire; Grimshaw; Masculinity; Military; Pacific; Popular; Sinclair; Women's History: Australia and New Zealand

Further

Reading

1996 Binney Judith Redemption Songs: A Life of Te Kooti Arikirangi Turuki Auckland: Auckland University Press, 1995 ; Honolulu : University of Hawaii Press 1997 Brookes Barbara Charlotte Macdonald and Margaret Tennant eds., Women in History: Essays on European Women in New Zealand Wellington : Port Nicholson Press 1986 Brookes Barbara Charlotte Macdonald and Margaret Tennant eds., Women in History 2 Wellington : Bridget Williams Books

The Writing of New Zealand History: A Kuhnian Perspective," Historical Studies: Australia and New Zealand 17 ( 1977 ), 384 98 Reeves William Pember The Long White Cloud: Ao Tea Roa -

,

,

,

London : Horace Marshall , 1898 Rice , Geoffrey, ed., The Oxford History of New Zealand , Oxford and New York : Oxford University Press , 1992 Sinclair, Keith , A History of New Zealand , Harmondsworth : Penguin , 1959 ; 4th edition 1991 " Sinclair, Keith , New Zealand ," in Robin Winks , ed., The Historiography of the British Empire-Commonwealth: Trends, Interpretations, Resources , Durham, NC : Duke University Press ,

,

,

,

,

,

B.G.

17 6–1831

(Danish-born)

historian

Overshadowed by Theodor Mommsen, the other great 19thcentury historian of Rome, Barthold Georg Niebuhr diplomat, financier, and official historian at the Prussian court was largely forgotten after the later 19th century. However, he was one of the founders of German historicism, of attempts to make historical thinking follow the laws of natural science, and of modern source criticism. This may even be why Niebuhr was displaced, as he himself helped to achieve a radical critique of sources and of earlier historical writing. He was once characterized by Wilhelm von Humboldt as a scholar among statesmen and a statesman among scholars. Niebuhr's fame has been restored over the last two decades, and rests on his studies of Roman history. He was active in organizing academic enterprises such as a publication of all Greek inscriptions (Corpus Inscriptionum Graecarum), his initiative for the Corpus Scriptorum Históriáé Byzantinae, and his foundation of the philological journal Rheinisches Museum {1827). His university lectures in Bonn, which also covered the history of Greece and the Orient, demonstrated the of his knowledge. He believed that all other histories led up to Roman history, and this underpinned his universal concept of history. In this respect Burckhardt and Ranke agreed with Niebuhr. In contrast to Bossuet's theological of history, Niebuhr tried to find a "philological" method that would allow him to interpret ancient history as a discipline of classical philology. He caused a sensation with his "theory of songs": he was convinced that a large part of Roman history could best be understood through the of Roman songs, which he saw as an essential element in a plebeian tradition distinct from the official annals of the patricians. August Wilhelm von Schlegel and Mommsen, both among his fiercest critics, firmly rejected Niebuhr's theory. After his -

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,

-

German

,

,

,

1970 " Ward , Alan , History and Historians before the Waitangi Tribunal ," New Zealand Journal of History 24 ( 1990 ), 150 67

Niebuhr,

,

,

Smith , S. Percy, Hawaiki: The Whence of the Maori , Christchurch : Whitcombe and Tombs , 1898 ; revised 1904 , 1910 , 1921 Sutch , William Bail , Poverty and Progress in New Zealand , Wellington : Modern Books , 1941 ; revised 1969 Sutch , William Ball , The Quest for Security in New Zealand , Harmondsworth : Penguin , 1942 ; revised 1966 Thomson , Arthur S. , The Story of New Zealand: Past and Present, Savage and Civilized , 2 vols., London : Murray , 1859 ; reprinted

Te

,

,

1992 Cowan ,

"

1966

Arnold , Rollo , New Zealand's Burning: The Settlers' World in the mid-iHSos , Wellington : Victoria University Press , 1994 Beaglehoie , John C. , The Discovery of New Zealand, Wellington : Department of Internal Affairs , 1939 Belich , James , The New Zealand Wars and the Victorian Interpretation of Racial Conflict , Auckland : Auckland University Press , 1986 Belich , James , Making Peoples: A History of the New Zealanders from Polynesian Settlement to the End of the Nineteenth Century, Auckland : Allen Lane , and Honolulu: University of Hawaii Press, ,

Pickens , Keith ,

,

statesman, -

James The New Zealand Wars: Campaigns and the Pioneering Period

A

,

2

,

History of the Maori vols., Wellington:

Government Printer, 1912-23 " Dalziel , Raewyn , The Colonial Helpmeet: Women's Role and the Vote in Nineteenth-Century New Zealand ," New Zealand Journal of History 11 ( 1977 ), pp. 111 13 The Dictionary of New Zealand Biography, 3 vols to date, Wellington and Auckland : Allen and Unwin/Auckland University Press Department of Internal Affairs, 1990-96 Fairburn , Miles , The Ideal Society and Its Enemies: The foundations of Modern New Zealand Society, 1850-1900 , Auckland : Auckland University Press , 1989 Kawharu , Ian Hugh, ed., Waitangi: Maori and Pakeha Perspectives of the Treaty of Waitangi , Auckland ; Oxford University Press , 1989 May, Philip Ross , The West Coast Gold Rushes , Christchurch : -

-

Pegasus 1962 NgāTāngata Taumata Rau 3 vols, to date, various publishers, 1990-96 Oliver W. H. The Story of New Zealand London : Faber i960 Oliver W. H. with Bridget R. Williams eds., The Oxford History of New Zealand Wellington : Oxford University Press and Oxford: Clarendon Press, 1981 ; 2nd edition, Geoffrey W. Rice ed., Auckland: Oxford University Press, 1992 ,

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"

Olssen , Erik ,

Where To from Here: Reflections on the TwentiethCentury Historiography of Nineteenth-Century New Zealand ," New Zealand Journal of History 26 ( 1992 ), 54 77 Olssen , Erik , Building the New World: Work, Politics and Society in Caversham, iXHos-iyios , Auckland : Auckland University Press , -

1995

Orange Claudia The Treaty of Waitangi Wellington : Allen and Unwin 1987 Phillips Jock Of Verandahs and Fish and Chips and Footie on Saturday Afternoon ," New Zealand Journal of History 14 ( 1990 ), ,

,

,

"

,

118 34 -

,

,

universality

understanding

interpretation

death it became obvious that Niebuhr's methods were too personal to have produced a school. Schlegel found his style too complicated. Contemporaries criticized the mixture of personal reflection, historical and literary analogies, and highly detailed descriptions. In this context Macaulay said that Niebuhr did not distinguish clearly enough between historical truth and what could be called a hypothesis. Generally, however, the Roman history was praised more in England than anywhere else outside Germany. Mommsen's masterly history of Rome, which should be seen in the context of Niebuhr's historical writing, emphasized the nobility's achievements and interpreted Roman history as the archetype of national unity. Coming from a northern German rural background Niebuhr early on showed interest in the agrarian conditions of his and in questions of land ownership. The ideas of the French Revolution, especially of Gracchus Babeuf concerning the equal distribution of land and harvests, made a considerable impact on Niebuhr at the time of the Danish and later Prussian of the peasants. As the meaning of Roman agricultural structures and their laws played an important role in the of the legitimacy of contemporary agricultural claims, Niebuhr soon became interested in the history of the early Roman republic, particularly in the struggle between the and the plebeians. He identified completely with the latter. This does not mean that he was a revolutionary: on the it meant first that Niebuhr had high regard for the balance that had been achieved between the two Roman classes, and second that his preference was for a constitutional monarchy based on the social and constitutional harmony of the estates. Between 1803 and 1806 he wrote his Zur Geschichte der Römischen Staatsländereien (On the History of the Roman Landed Estates), a preparation for his famous history of Rome. In his Römische Geschichte (1811-32; History of Rome, 1828-42), without doubt Niebuhr's greatest historical work, he stressed the relevance of the Roman tribunes whom he saw as the representatives of the people. Thus it was the of the tribunes that supported the interests of the estates. In these books he studied the Roman state and its culture. They were published after Niebuhr had lectured on Roman history at the newly founded University of Berlin. His lectures, and later his books, were so successful and popular that Savigny claimed that Niebuhr was opening a new era for Roman history, and Goethe proclaimed that all history should be written in the same manner. Here Niebuhr projected his contemporary political ideal of a harmony between the estates into the Roman past. This led to a highly idealized picture of Roman history and the Roman constitution. According to Niebuhr, this constitution was based on liberty, morality, and honesty, and its strength lay in its gradual development and continuity. He claimed that Rome was an example of political perfection and of the combination of power with mind. In order to prevent revolutionaries from using those ideas for their own political ends, Niebuhr had to demonstrate, drawing closely on the sources, that Roman agricultural laws had hitherto been wrongly reconstructed and that Livy and Cicero, and even Montesquieu, had misinterpreted them. No one before Niebuhr had looked at the coherence of the Roman state with its successive institutional, political, and legal changes. His investigation of the Roman republic was the equivalent of Grote's study of Athenian democracy. The early

country

liberation

discussion

history of

nation, Niebuhr

a

not

was a

not

events, Roman

history with the development of English compared history, which he saw from a somewhat Whiggish standpoint as a process of steady constitutional perfection from 1688. His detestation of revolution led him

political

admire

to

institution

Burkian reformist

a

system.

Friedrich Engels was one of the first to see that Niebuhr's history, because it emphasized the plebeian aspects, could have social implications, but it was certainly far from propagating a revolution. Niebuhr discussed the agricultural and social of the Roman republic, and he called for a liberal constitution for his own times, although he was aware of the contradictions between the ideal and reality. Niebuhr to the development of German classical studies in the early 19th century by bringing together the collection of classical texts with the interpretation and the description of their historical settings. Further, Niebuhr first formulated the connections between the historian's personal experiences in his time and his understanding of the past; consequently he it essential for historians to have practical experience of politics and administration.

constitution contributed

considered

BENEDIKT STUCHTEY

patricians contrary,

of

argued, history institutions and of classes individuals. Niebuhr

See also Byzantium; Sanctis; Whewell

Biography Barthold

Georg Niebuhr Born Copenhagen 27 August 1776 son of engineer/explorer Studied at Kiel University 1794-96 Private secretary to Danish minister of finance 1796-98 Completed education, University of Edinburgh 1798-99 Joined Danish civil service 1800 ; director, National Bank 1804 ; moved to Prussia, 1806 ; served as privy state councillor and head of banks and state debt section resigned 1810 ; appointed state historian 1810 ; taught at University of Berlin 1810 and later at University of Bonn ; Prussian ambassador to the Vatican 1816-23 ; taught at University of Bonn 1823-31 Member, Prussian State Council 1823 Married Amélie Behrens 1800 Died Bonn, 2 January 1831 .

an

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.

Principal Writings Zur Geschichte der Römischen Staatsländereien

( On the History of the Roman Landed Estates ), written 1803-06 Römische Geschichte , 3 vois., 1811-32 ; in English as History of Rome ,

1828-42

Kleine historische und philologische Schriften (Small Historical and

Philological Writings ),

2

vols., 1828-43

Nachgelassene Schriften nichtphilologischen

Inhalts ( Posthumous Non-Philological Writings ), edited by Marcus Niebuhr 1842 Geschichte des Zeitalters der Revolution (History of the Age of Revolutions ), edited by Marcus Niebuhr 2 vols., 1845 Vorträge über römische Geschichte ( Lectures on Roman History ), edited by Meyer Isler 3 vols., 1846-48 Vorträge über alte Geschichte, an der Universität zu Bonn gehalten ( Lectures on Ancient History Held at the University of Bonn ), edited by Marcus Niebuhr 3 vols., 1847-51 Vorträge über alte Länder- und Völkerkunde ( Lectures on Ancient Geography and Ethnology ), edited by Meyer Isler 1851 Vorträge über römische Alterthümer ( Lectures on Roman Antiquities ), edited by Meyer Isler 1858 ,

,

,

,

,

,

Further Reading " Bridenthal , Renate , Was there a Roman Homer? Niebuhr's Thesis and Its Critics ," History and Theory 11 ( 1972 ), 193 213 -

Christ , Karl , Von Gibbon zu Rostovtzeff: Leben und Werk führender Althistoriker der Neuzeit (From Gibbon to Rostovtzeff: The Life and Work of the Leading Ancient Historians of Modern Times ), Darmstadt : Wissenschaftliche Buchgesellschaft , 1972 " Christ , Karl , Barthold Georg Niebuhr," in Hans-Ulrich Wehler, ed., Deutsche Historiker , vol. 6 , Görtingen : Vandenhoeck & Ruprecht ,

1980 " Hanns Reill , Peter, Barthold Georg Niebuhr and the Enlightenment Tradition ," German Studies Review 3 ( 1980 ), 9 26 Heuss , Alfred , Barthold Georg Niebuhrs wissenschaftliche Anfänge: Untersuchungen und Mitteilungen über die Kopenhagener Manuscripte und zur europäischen Tradition der lex agraria (loi agraire) , Göttingen : Vandenhoeck & Ruprecht , 1981 Rytkönen , Seppo , Barthold Georg Niebuhr als Politiker und Historiker ( Barthold Georg Niebuhr as Politician and Historian ), Helsinki : Suomalainen Tiedeakatemia , 1968 " Straub , Johannes , Barthold Georg Niebuhr 1776-1831," in Bonner Gelehrte: Beiträge zur Geschichte der "Wissenschaften in Bonn (Scholars from Bonn: Contributions to the History of the Arts and Sciences in Bonn ), Bonn : Röhrscheid , 1968 Walther, Gerrit Niebuhrs Forschung ( Niebuhr's Research ), Stuttgart: -

,

Steiner , 1993 Wirth , Gerhard , ed., Barthold Georg Niebuhr, Historiker und Staatsmann: Vorträge bei dem anlässlich seines 150. Todestages in Bonn veranstalteten Kolloquiums 10.-12. November 1981 ( Niebuhr, Historian and Statesman: Lectuers Given at the Colloquium Held in Bonn on the 150th Anniversary of His Death ), Bonn : Röhrscheid , 1984 Witte , Barthold C. , Der preussische Tacitus: Aufstieg, Ruhm und Ende des Historikers Barthold Georg Niebuhr, 1776-1831 ( The Prussian Tacitus: The Rise, Glory, and Fall of the Historian Barthold Georg Niebuhr ), Düsseldorf : Droste , 1979

the living conditions and experiences of average Germans in the Ruhr area between 1930 and i960. Niethammer approximately 200 people between the ages of 55 and 80 from 1980 to 1982. His research led him to the conclusion that average Germans accepted Nazi rule rather compliantly, largely motivated by the desire for stability and security. Niethammer's historiographical study, Posthistoire: ist die Geschichte zu Endei (1989; Posthistoire: Has History Come to an End?, 1992) is one of his few works available in English. In this short, analytical study, Niethammer examined the notion of the collapse of historicism in the face of massproduced culture and society. This theme is traced from its adoption by western intellectuals in the 19th century through its absorption, in the modern era, into mainstream culture. Niethammer criticized the whole method of historical as being derived from an elitist conception that portrays history as a simple process of fulfillment. Recently Niethammer produced a study on East Germany,

interviewed

treatment Die

volkseigene Erfahrung (National Experience, 1991).

Niethammer explored the social norms and culture which existed within East Germany during the Cold War, basing his study on a vast array of interviews conducted in 1987, with additions being added after German unification in 1989. The study attempts to place East Germany within the overall of German history and come to terms with how East Germans dealt with the collapse of the Third Reich and the occupation that followed.

framework

STEPHEN Κ. CHENAULT

Biography

Niethammer,

Lutz

1939–German

oral historian Lutz Niethammer, a German philologist, is best known for his work in German oral history and he has spent the greater part of his career conducting research into the lives of average

from the 1930s to the present. Recently Niethammer published several important studies on the social history of East Germany, the impact of the postwar occupation, and East Germany's role within the general context of German history.

Studied history, theology, and the universities of Heidelberg , Bonn, Cologne, and Munich, receiving his PhD from Heidelberg, 1971 Fellow, St Antony's College, Oxford University, 1972-73 ; taught at University of Essen , 1973-81 ; Fernuniversity, Hägen , 1981-93 ; professor, University of Jena , from 1993 Married Regina Schulte , 1990 Born

26 December 1939

Stuttgart

social sciences

,

.

at

.

.

(2 daughters).

people

His ground-breaking studies have forced historians to rethink earlier interpretations of social conditions and living standards under Hitler and have shed immense light on postwar German

history. Niethammer's earlier works dealt with the Allied occupation of Germany. In 1982 he published Die Mitläuferfabrik (The Fellow-Traveler Factory), an expanded version of his doctoral dissertation. Herein Niethammer examined the relationship between the American forces of occupation and the Germans who were forced to endure it. The Germans, in time, developed a form of passive resistance to American occupation and methods. The work is noteworthy for its even-handed treatment of both American and German reactions to the war and the occupation. With the publication in 1983 of the first volume of Lebensgescbicbte und Sozialkultur im Ruhrgebiet 1930 bis 1960 (Life Histories and Social Culture in the Ruhr Region, 1930-1960), Niethammer established himself in the field of oral history. The volume includes eight essays which examined

denazification

Principal Writings

in Bayern: Säuberung und Rehabilitierung unter amerikanischer Besatzung ( Denazification in Bavaria under the American Occupation Forces ), 1972.; doctoral thesis reprinted as Die Mitläuferfabrik: die Entnazifizierung am Beispiel Bayerns ( The Fellow-Traveler Factory: Denazification in the Case of

Entnazifizierung

Bavaria ), 1982 Zwischen Befreiung und Besatzung: Analysen des USGeheimdienstes über Positionen und Strukturen deutscher Politik 1945 ( Between Freedom and Occupation: An Analysis of US Intelligence Positions and Structures within German Politics ), 1976 Editor with Werner Trapp, Lebenserfahrung und kollektives Gedächtnis: die Praxis der "Oral History" ( Life Experience and Collective Memory: The Practice of Oral History ), 1980 Lebensgeschichte und Sozialkultur im Ruhrgebiet 1930 bis 1960 ( Life Histories and Social Culture in the Ruhr Region,

1930-1960 ),

3

vols., 1983-86

Editor with Othmar Nikola Haberl , Der Marshall-Plan und die europäische Linke ( The Marshall Plan and the European Link ), 1986 Die volkseigene Erfahrung: eine Archäologie des Lebens in der Industrieprovinz der DDR: 30 biografische Eröffnungen ( National Experience: Archeology of Life in the Industrial Province of the German Democratic Republic ), 1991

Posthistoire: ist die Geschichte zu Ende ?, 1989 ; in English as Posthistoire: Has History Come to an End !, 1992 Editor, Der "gesäuberte" Antifaschismus: die SED und die roten Kapos von Buchenwald: Dokumente ("Cleansed" Antifascism: The SED [Socialist Unity Party of Germany] and the Red NCOs of Buchenwald: Documents ), 1994

Farming Community as the Life-Source of the Northern Race, 192.9) exemplified the dangerous intellectual currents which freely merged with the doctrines of National Socialism. Nietzsche's cultural pessimism found expression in a variety of intellectual circles in Weimar Germany. As depicted in Peter Gay's Weimar Culture (1968), Aby Warburg's Kulturhistorische Bibliotek Warburg in Hamburg attracted historians,

philosophers,

Nietzsche, German

Friedrich 184 –190 historical philosopher

Friedrich Nietzsche's innovative blend of philology and with cultural history drove modern European society and its leading thinkers into a crisis of modernity. Exemplified through his work "Vom Nutzen und Nachtheil der Historie" (1874; "On the Use and Disadvantage of History," 1909) Nietzsche rejected the scientism typifying Rankean and Hegelian forms of historical analyses. Nietzsche contended that scientism (or historicist positivism) had overpowered the creative, spontaneous forces of history within us. Building on Arthur Schopenhauer's denunciation of history as a science, Nietzsche demanded of historians a greater sense of moral responsibility and intellectual cultivation. Nietzsche belonged to a new generation of 19th-century German thinkers who changed the character of historical and philosophical inquiry. Rejecting Leopold von Ranke's view of historical analysis, Nietzsche joined with his contemporary Jakob Burckhardt in emphasizing deeply cultural and social values inhibiting the individual's creative impulses. Historians tend toward two interpretations of Nietzsche. For one group, Nietzsche remains a challenge and inspiration; Hajo Holborn, Gordon Craig, and Karl Dietrich Bracher interpreted Nietzsche as the cultural critic attempting to steer European society away from its self-destruction in the modern age. For another group, Nietzsche symbolizes Europe's self-destructive cultural and political evolution in the 20th For example, George L. Mosse interpreted Nietzsche as a warning of the residual barbarism and anti-intellectualism within the western soul. Steven E. Aschheim's The Nietzsche Legacy in Germany, 1890-1990 (1992) traced the early appeal of Nietzsche's critiques of liberalism and contemporary society on Austrian intellectual circles of the 1870s, particularly on Gustav Mahler and Viktor Adler. A decade later, Nietzsche's echo expanded into Europe's radical fringes. Within Ecce Homo (1887), Nietzsche commented on his peculiar popularity among

philosophy

dispassionate imbedded

century.

"Socialists, Nihilists, Anti-Semites, Christian-Orthodox, [and] Wagneriane." Nietzsche rose in national prominence in the 1890s

only

after the

publication

of Also

(1883-85; Thus Spake Zarathustra, 1896).

Sprach

Zarathustra

He became

an

by integral

the component of mainstream intellectual discourse turn of the century, the year of his death. In his eulogy, the historian Kurt Breysig equated Nietzsche's reputation with that of Jesus Christ and the Buddha. In George L. Mosse's The Crisis of German Ideology (1964), Nietzschean hero-worship combined with a romanticized German Volkisch movement early in the 20th century. Hans Günther's Ritter, Tod, und Teufel (Knights, Death, and Devils, 1920) and Walther Darré's Das Bauerntum als Lebensquelle der nordische Rasse (The

and philologists anxious to apply the ideas of Burckhardt and Nietzsche in more creative historical analyses. Sponsored by the Warburg Institute, Ernst Cassirer, Paul Lehmann, Erwin Panofsky, and Eduard Norden contributed important works breaking with German historical tradition by blending a sociophilosophical approach into the more traditional emphasis on political history. As tuberculosis in Thomas Mann's Der

Zauberberg (1924; Magic Mountain, 1927) symbolized society in decay, Weimar historians applied Nietzschean ideas to larger studies of history. Oswald Spengler's popular Der Untergang des Abendlandes (1918-22; The Decline of the West, 1926-28) used Nietzschean notions of social decay, militarism, and

changing

social values in order to understand the decline of western civilization. While cultural critics such as Berlin's Kurt Tucholsky used Nietzsche to attack German militarism, Arthur de Gobineau and Houston Stuart Chamberlain's racist histories drew heavily from Nietzsche's condemnation of Christianity and his posthumously published notes in Der Wille zur Macht (1901; Will to Power, 1909-10). Coupled with Nietzschean impulses in Alfred Rosenberg's Mythus des 20. Jahrhunderts (1925; Myth of the Twentieth Century, 1982) and Martin Heidegger's Sein und Zeit (1927; Being and Time, 1962), Hitlerism's intellectual foundation was complete. George L. Mosse's Germans and Jews (1970), however, observed that European fascists, such as the Italian poet Gabriel D'Annunzio, drew strength from Nietzsche's ecstatic pagan primitivism driving the emergence of the new man, one worthy of worship the Übermensch or Overman. Nietzsche's writings were highly instrumental in motivating the growth of Zionism. Aschheim's The Nietzsche Legacy and Nahum Glatzer's Franz Rosenzweig (1953) explored the origins of classical Zionism in Rosenzweig's adoption of Nietzsche's radical individualism to breathe a new vitality into Jewish life, evident in Rosenzweig's work Der Stern der Erlösung ( 1921; The Star of Redemption, 1971). Paralleling his thoughts on Hasidism, Martin Buber focused Nietzschean individualism onto Zionist/Jewish national aspirations. Finally, Micha Josef Berdichevsky moved Zionist/Jewish historiography out of its religious and apolitical tendencies toward a reinvigorated selfconfidence in Jewish cultural and political emancipation. For historians seeking the motivating forces within the personalities of historical figures, Nietzsche's Zarathustra gave a certain impetus to psychoanalysis and psychohistory. Sigmund Freud and Carl Jung found an inspiration in Nietzsche's desire to release unconscious passionate desires and escape the limitations imposed upon the individual by society. Erik H. Erikson's Young Man Luther (1958) blended Freud and Nietzsche into an analysis of Luther, while Robert G.L. Waite's The Psychopathic God: Adolf Hitler (1977) applied this form of historical analysis to uncover the pathological drives behind Hitler's rise to power. Directed toward contemporary western civilization, Francis Fukuyama's The End of History and the Last Man (1992) -

reflected the continued influence of Nietzsche's Thus Spake Zarathustra. While praising the spread of liberal democracy, Fukuyama lamented contemporary liberal society's devaluation of egoistic individualism. Fukuyama endows Nietzsche with a prophetic capacity, as Nietzsche had interpreted liberal as the victory of moral passivity and relativism over the struggle for recognition and self-respect. In parallel with Nietzsche, Fukuyama sees history, or the consciousness of historical evolution, as a constant inspiration to push on to new horizons. Beyond the realm of historical inquiry, Geoff Waite's Nietzsche's Corpsle (1996) stands as a powerful reminder of Nietzsche's impact on philosophical and literary circles from deconstructionism to postmodernism and in artistic circles from aestheticism to surrealism. For better or worse, Nietzsche has become an integral component of modern intellectual discourse.

democracy

DAVID A. MEIER

also Burckhardt; Cultural; Foucault; Historiology; Joli; Mayer; Memory; Spengler; Weber, M.; White, H.; WilamovitzSee

Möllendorff

Biography

Friedrich Wilhelm Nietzsche Born Röcken, Prussia , 15 October 1844 , son of a Lutheran minister who died when Nietzsche was five Educated by tutors then attended local school, transferring to Schulpforta , 1858 ; studied philology with Ritsch , University of Bonn , 1864-65 ; studied at University of Leipzig, 1865-67, PhD 1869 Compulsory military service , 1867-68 Taught Greek, University of Basel, 1869-79 ; retired on medical pension. After a series of physical and mental breakdowns , died Weimar, 25 August 1900 .

.

.

.

.

Niida Noboru Japanese

1904–196

historian of Chinese

legal history

The pioneer and founder of modern studies of Chinese legal in Japan, Niida produced numerous valuable works. He was nicknamed Mencius by his high school classmates due to his excellent understanding of Chinese classics. He studied Chinese philology and institutional history during his university years under the supervision of Nakada Kaoru (1877-1967), the founder of modern studies of Japanese legal and institutional history, which prepared solid foundations for his future research. At age of thirty, Niida established himself as a leading scholar in the field by publishing Tōrei sbūi (Reconstruction of the Tang Administrative Statutes, 1933), an epoch-making work of over a thousand pages based on extensive reading and careful textual study, for which he received a prize from the Imperial Academy of Japan the following year. Three years later, Niida received a doctorate from Tokyo Imperial University for Tō-Sō hōritsu bunsho no kenkyū (A Study of Legal Documents of the T'ang and the Sung, 1937), in which he made detailed analyses of medieval Chinese written contracts on sales, rents, employment, inheritance, and Chūgoku mibunbōsbi (A History of Chinese Statutes on Status, 1942), however, which looked systematically into the Chinese legal history on the clan, the family, the relative, and the slave, can be considered as his representative work because of its significance in understanding traditional Chinese social organization as a whole. During World War II, Niida was associated with a largescale survey of customary law in North Chinese village society, the results of which were published later in six volumes under with the help of a young his editorship. He also conducted and scholar Japanese interpreter investigations into the and commercial guilds in the Peking area, which opened up a new field of interest. The early postwar period saw a series of fundamental changes in China, especially due to land reform and the establishment of the new marriage laws. Niida was sympathetic to the Chinese revolution and deeply involved in the revival of Marxist interpretation of Chinese history. Chügoku no shakai to girudo (Chinese Society and the Guild, 1951) and Chūgoku no nōson kazoku (China's Rural Families, 1954), the two studies based on his wartime survey and showed this transformation in his scholarship. The best expression of his general view of Chinese history can be found in a book published around the same time, Chūgoku hōseishi (A History of the Chinese Law, 1952). In the late 1950s Niida returned to the subject on which much of his prewar work had been concentrated the interpretation of the institutional manuscripts discovered at Tunhuang and of the documents discovered at Turfan. Following Nakada's example he brought together his life's research in the 4-volume set, Chūgoku hōseishi kenkyū (Studies in Chinese Legal History,

history

adoption.

-

Principal Writings "

-

Vom Nutzen und Nachtheil der Historie für das Leben ," in

Unzeitgemäße Betrachtungen vol. 2 1874 definitive edition in Werke: Kritische Gesatntausgabe edited by Giorgio Colli and Mazzino Montinary 1967 ; in English as On the Use and Disadvantage of History," in Complete Works edited by Oscar Levy vol. 5 1909 and as On the Uses and Disadvantage of History for Life ," in Untimely Meditations edited by R. J. Hollindale 1983 Also Sprach Zarathustra 4 vols., 1883-85 ; in English as Thus Spake Zarathustra 1896 Ecco Homo written 1887 ; published in German 1908 ; published in English, 1911 Der Wille zur Macht 1901 ; in English as The Will to Power 2 vols., 1909-10 ,

,

,

,

"

,

,

"

,

,

,

,

,

,

,

,

,

,

,

Further Reading Aschheim , Steven E. , The Nietzsche Legacy in Germany, 1890-1990 , Berkeley : University of California Press , 1992 Heller, Erich , The Importance of Nietzsche: Ten Essays , Chicago : University of Chicago Press , 1988 Megill , Allan , Prophets of Extremity: Nietzsche, Heidegger, Foucault, Derrida , Berkeley : University of California Press , 1985 Mosse , George L. , The Crisis of German Ideology: Intellectual Origins of the Third Reich , New York : Grosset and Dunlap , 1964 ; London: Weidenfeld and Nicolson, 1966 Pasley, Malcolm , ed., Nietzsche: Imagery and Thought: A Collection of Essays , Berkeley : University of California Press , and London:

Methuen, 1978 Solomon , Robert C. , ed., Nietzsche: A Collection of Critical Essays , Notre Dame, IN : University of Notre Dame Press , 1980

industrial

investigation, -

1959-64). DE-MIN TAO

Biography Niida Noboru Born 1 January 1904 Attended school in Tokyo ; studied law at Tokyo Imperial University, ΒΑ 1928 , doctorate 1937 .

.

.

Researcher, Tokyo Institute of the Academy of Oriental Culture 1929-39 ; professor, later director of the Institute of Oriental Culture at Tokyo University 1942-64 Died 22 June 1966 ,

,

.

.

nōson kazoku (China's Rural Families ), 1954 in Chinese Legal History ), 4 vols., 1959-64 Chūgoku no dentō to kakumei: Niida Noboru shu 1974 [includes

Chūgoku

no

Chūgoku hōseishi kenkyū( Studies

,

bibliography]

Principal Writings Tōrei shūi ( Reconstruction of the T'ang Administrative Statutes ), 1933 Τō-Sōhōritsu bunsho no kenkyū(A Study of Legal Documents of the T'ang and the Sung), 1937 Chūgoku mibunkōshi ( A History of Chinese Statutes on Status ), 1942 no shakai to girudo (Chinese Society and the Guild ), Chūgoku böseishi (A History of the Chinese Law ), 1952

Chūgoku

.

1951

Further

Reading "

Ikeda On , Niida Noboru ," in Egami Namio , ed., T y gaku no keifu ( A Genealogy of the Oriental Studies in Japan ), vol. 2 , Tokyo : Taishükan shoten , 1994 " Oyama Masaaki , Niida Noboru ," in Nagahora Kieji and Kano Masanao , eds., N hon no rekis ika ( The Historians of Japan ), Tokyo : Nihon hyöronsha , 1976

O Obolensky,

Dimitri

historian of

1918–Rus ian

Byzantium

Obolensky has specialized in Byzantine cultural and religious history. His work on religion made him a recognized expert on all aspects of Orthodox church history, although his major contributions to the field have concerned Orthodoxy's impact in the Byzantine empire's provinces. For example, he increased our understanding of the significance of Cyril and Methodius' missionary activities among the West Slav Dimitri

Moravians and the

Bulgars,

as

well

as

the influence those

actions had much later

on the Russians. His most important the history of the Byzantine Orthodox church is his 1948 monograph The Bogomils: A Study in Balkan NeoManichaeism, which has become the standard work on this heresy. Besides eliminating misconceptions concerning the Bogomils, Obolensky's research differentiated them from neoManichaen sects, and treated them as a distinct phenomenon in the Balkans between the 10th and the 14th centuries. The other major contribution Obolensky has made to Byzantine studies is his somewhat controversial theory of the Byzantine commonwealth. He developed this thesis in several publications collected in The Byzantine Inheritance of Eastern Europe (1982) and Byzantium and the Slavs (1971). The monograph The Byzantine Commonwealth (1971) contains the fullest presentation of his thesis. In these books Obolensky argued that common cultural traditions derived from the of Byzantine civilization developed among the people who invaded the Byzantine empire between the 6th and the 8th centuries. Such a view clashes with the nationalism that has dominated the work of most East European historians since the latter part of the 19th century. It also underscored the fact that 20th-century Byzantine historiography, which has involved many disciplines, has largely remained international in approach. Obolensky's thesis concentrated on the Serbs, Croats, and Bulgarians who settled in the Balkans. At the extremes of Byzantine influence he included the Moravians and non-Slavic Magyars in the west, and the Russians and Khazars in the east. For some reason, Obolensky omitted Italy, Sicily, the Caucasus, and the Arab lands, all of which experienced Byzantine culture to some degree. In the Byzantine Commonwealth Obolensky defined their commonalty as a "supranational community of Christian states of which Constantinople was the center and Eastern Europe the peripheral domain." At first the invaders sought to plunder

study

on

richness

the empire, but soon turned from attacking it to emulating its culture, primarily due to the work of Orthodox missionaries such as Cyril and Methodius. The resulting single cultural held together by the common bonds of geographical contiguity, political exchange, cultural values, artistic styles, and, above all, Orthodox Christianity, laid the foundation of Eastern Europe by molding undisciplined tribes into nations.

community

The commonwealth's zenith came in the nth century, although it lasted from the mid-9th century until Constantinople fell to the Ottomans in 1453. Even after that date its influence in Eastern Europe until the 18th century, although Obolensky refuted the Russian contention that they were the successors (the Third Rome) to the Roman and Byzantine empires. A remnant of the commonwealth survives today in the practices of the Orthodox church. Byzantium's most significant gift to these peoples was writing and literature, the very basis of civilization. However, the Bulgars, Serbs, and Russians never copied the Byzantine educational system, and consequently monks and clerics, rather than laymen, monopolized learning and literature. Byzantine officials and clerics also taught the princes of these tribes how to govern, and transmitted Byzantine political institutions to them without erasing their individuality. Perhaps Byzantium's greatest source of influence on the Balkan Slavs was its legal system, although the Russians completely avoided it. Russian historians praised Obolensky's conclusion that the links between the Russians and Byzantium were cultural not political, unlike those that bound the Bulgars and to a lesser the Serbs to the Byzantine empire. Although united extent by a common religion, Orthodoxy, the Kievan Rus borrowed much more from Byzantine models than did the Muscovites, due mainly to Kiev's closer proximity to Constantinople; this accounts for many of the differences between the Kievan Rus and Muscovite Russians. In the final analysis, Obolensky's importance rests on his conclusion that the Byzantine empire integrated most East Europeans into western civilization through the powerful influence of its religion and culture.

persisted

-

-

ROBERT F. FORREST

See also

Byzantium;

Russia:

Early

Modern

Biography Born Petrograd I April 1918 Educated at Lycée Trinity College Cambridge BA 1940, PhD 1943 College Cambridge, 1942-48: lecturer, 1945-46; Church, Oxford, 1950-85: reader in Russian and .

,

,

,

,

.

Pasteur, Paris ;

Fellow, Trinity fellow, Christ Balkan medieval

OBOLENSKY

history, Oxford University, 1949-61, professor, 1961-85 (emeritus). Married Elisabeth Lopoukhin, 1947 (marriage dissolved 1989) .

Principal Writings The

A Study in Balkan Neo-Manichaeism , 1948 Study in Ecclesiastical Relations ," Dumbarton Oaks Papers 11 ( 1957 ), 23 78 " The Heritage of Cyril and Methodius in Russia ," Dumbarton Oaks Papers 19 ( 1965 ), 45 65 With David Knowles , The Middle Ages , 1968 [The Christian Centuries, vol. 2 ] The Byzantine Commonwealth: Eastern Europe, 500-1453 , 1971 Byzantium and the Slavs: Collected Studies , 1971 Editor with Robert Auty , An introduction to Russian History , 1976 The Byzantine Inheritance of Eastern Europe , 1982 Six Byzantine Portraits , 1988 "

Bogomils:

Byzantium,

Kiev and Moscow: A

-

-

O'Gorman, Edmundo

1906–19 5

Mexican historian

Although

he is

a

lawyer by profession, Edmundo

O'Gorman's

as a young man was literature. In 1932 he published short story "El caballo blanco" (White Horse) and a few poems. However, literature was not to become his calling, although his elegant prose as a historian was to reflect his fondness for writing. O'Gorman was an assiduous reader of the Spanish and essayist José Ortega y Gasset. Under his influence and that of another Spanish philosopher, José Gaos, a refugee from Spain after 1938, O'Gorman was set on the road to the history of ideas. In order to be able to devote all his time to his intellectual pursuits, O'Gorman gave up his career as a lawyer. During the following years, he wrote, co-directed Mexico's national archives, and studied for his master's and doctoral degrees, which he received in 1946 and 1951

pastime a

philosopher

respectively.

In 1951 O'Gorman published La idea del descubrimiento de América (The Idea of America's Discovery). This work marked the beginning of O'Gorman's long career analyzing and arguing about this topic. O'Gorman contended that Columbus did not discover America because, seeking east Asia, he did not realize what he had really found. Americo Vespucci came closer to this realization, and so did those who named the New World after him. O'Gorman was a powerful polemicist. Throughout his he engaged in scholarly polemics with fellow historians such as Silvio Zavala, Lewis Hanke, Marcel Bataillon, Octavio Paz, Jacques Lafaye, and Miguel León-Portilla, to name just a few. In the early 1950s, he sustained a dialogue with the French historian Bataillon on the idea of the discovery of America. The scholarly exchange was published under the title Dos concepciones de la tarea histórica con motivo de la idea del descubrimiento de América (Two Conceptions of the Historical Task of Defining the Idea of America's Discovery, 1955). Bataillon disagreed with O'Gorman's interpretation of the idea of discovery because his reading of the sources was different from that of O'Gorman. Bataillon's exposition of his with O'Gorman comprised the first part of the book. In the second part O'Gorman replied to Bataillon defending his

lifetime

differences

idea of the

discovery

of America. The book concluded with

exchanges of letters between Bataillon and O'Gorman from June to September 1954. In La invención de América (1958; The Invention of America, 1961), O'Gorman reiterated his thesis and took one step further in developing his theory that America could not have been discovered because it had no existence as America in the minds of men in 1492 and subsequently. The concept of America dawned slowly and did not fully exist until well into the 16th century. In this work O'Gorman also reviewed the voyages of Columbus and Vespucci and the changing geographical concepts of the two navigators. O'Gorman's thesis was that America's historical meaning derived from Western consciousness, that the West provided Americans with points of reference to think of themselves historically. He argued that the idea of discovery was meaningless because only that which fully existed could be discovered. In the 1961 English edition of the book he added a chapter in which he distinguished two traditions in Mexico's history: the AngloSaxon, derived from the Reformation, and the Hispanic, from the Counter-Reformation, two traditions that stood in dire opposition to each other in one historical subject. O'Gorman's study of Mexico's history led him to reflect on the theory of history, on the relationship between the subject and object, and the problem of truth in history. In these reflections, he adopted a historicist, relativist, and idealist standpoint. In addition to the theoretical reflection, he inquired into what elements constituted Mexican historical awareness. In several works he examined in great depth the racial and religious underpinnings of the cult of the Mexican Virgin of Guadalupe. As the preparations for the celebration of the 500th of Mexico's discovery by Europeans were underway, O'Gorman became involved in a sharp public debate with Miguel León-Portilla who had proposed the substitution of the notion of discovery for that of an encounter of the Old and the New worlds. O'Gorman objected to this vision of the conquest. He argued that the idea of an encounter did not correspond to the historical truth and was too superficial. When in 1492 the Europeans came into contact with the moral and physical environment of the New World, there was a profound transformation of both. The result was an "ontological assimilation of American to European reality." O'Gorman maintained that the world is one and could not be divided into separate entities. Because his disagreements with León-Portilla did not lead to a change in the concept of the celebration, in 1987 O'Gorman resigned from the Mexican Academy of History. The debate has not been resolved.

stemming

historical

anniversary

DANIELA SPENSER

See also Latin America:

Colonial;

León-Portilla

Biography Born Coyoacán Federal District Mexico 1906 son of an English mining engineer and painter. Educated at Colegio Franco Inglés, 1922; received law degree, Escuela Libre de Derecho 1928 ; MA in philosophy, National Autonomous University 1948 PhD in history, 1951 Practiced law 1928-38 ; taught (rising to professor), National Autonomous University 1940-78 Worked at National Archives, 1938-52. Married Ida Rodriguez. Died 1995 ,

,

,

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,

,

,

.

.

OGOT

Principal Writings

He has stuck

La idea del descubrimiento de América: historia de esa interpretación y crítica de sus fundamentos( The Idea of America's Discovery: History of Its Interpretation and the Criticism of its Foundations ), 1951 With Marcel Bataillon , Dos concepciones de la tarea histórica con motivo de la idea del descubrimiento de América (Two Conceptions of the Historical Task of Defining the Idea of America's Discovery ), 1955 La invención de América: el universalismo de la cultura de Occidente , 1958 ; in English as The Invention of America: An Inquiry into the Historical Nature of the New World and the

his

Meaning of Its History , 1961 Meditaciones sobre el criollismo ( Meditations on Creolism ), 1970 México, el trauma de su historia ( Mexico: The Trauma of Its History ), 1977 Destierro de sombras: luz en el origen de la imagen y culto de Nuestra Señora de Guadalupe de Tepeyac ( Shadows in Exile: Light in the Image and Cult of Our Lady of Guadalupe Tepeyac ), 1986 Further Reading Florescano Enrique and Ricardo Pérez Montfort eds., Historiadores de México en el siglo XX (Mexican Historians of the20th Century), Mexico City : FCE & CONACULTA 1995 La obra de Edmundo O'Gorman ( The Works of Edmundo O'Gorman ), Mexico City : UNAM 1968 [includes bibliography] Ortega y Medina Juan ed., Conciencia y autenticidad históricas: escritos en homenaje a Edmundo O'Gorman ( Historical Consciousness and Authenticity: Writings Dedicated to Edmundo O'Gorman ), Mexico City : UNAM 1968 [includes bibliography] ,

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,

Ogot, Bethwell

A.

1929–Kenyan

historian of Africa Bethwell Ogot has been a tireless supporter of African history. He has supervised more than 60 MA and Ph.D theses written at universities in Kenya, Tanzania, Ghana, Nigeria, Botswana, and Sweden. Perhaps most noteworthy among his numerous achievements has been his work with the International Scientific Committee for the Preparation of the UNESCO History of Africa ( 1971-to date), as president of the Committee from 1978 to 1984, and as editor of the fifth volume, Africa from the Sixteenth to the Eighteenth Century (1992). His promotion of cultural awareness does not stop at the boundaries of Africa: Ogot has also served as the UNESCO consultant on culture from 1980 to 1984 and as a member of the International Commission for the Preparation of a History of the Scientific and Cultural Development of Mankind since 1980. Ogot has earned the reputation of being a staunch defender and promoter of oral traditions as historical sources. While others before him, such as Jan Vansina and Basil Davidson, employed oral traditions, no one had used oral traditions as their primary form of evidence for a professional degree. His dissertation on the precolonial history of the Luo was published as A History of the Southern Luo (1967) and remains a seminal example of oral historiography. Ogot has persisted in his belief that African history should be based primarily on African historical sources, not on colonial sources. Doing so, he claims, purges African history of most of its racist connotations, such as those developed during the colonial era.

eventually

to a liberal mode of interpretation throughout striving to raise awareness of Africa's place in world history, without becoming caught up in ideological rhetoric. Kenya has been the main focus of Ogot's scholarship. He

career,

the founder and chairman of the Historical Association of Kenya from 1966, served as editor of the association's proceedings, Haditb, and published widely on Kenyan history. In fact, so strong is the link between Ogot and Kenya's history that, with few exceptions, every scholar writing on Kenya in the past two decades is either a former student of his or a foreign student who has had the advantage of his supervision. Two subfields of African history especially benefited from Ogot's work. The first, military history, was a timely subject of study given its prevalent role in postcolonial politics. Ogot stated in the introduction of War and Society in Africa (1972), that in order to understand the role of the military in Africa, scholars must study the role of the military in precolonial and colonial Africa. Much of the current role of the military in Africa has connections to much older traditions concerning African views of the military and of violence. To attribute the current role of the military solely to the events of the postcolonial situation is to lack a clear understanding of African history and culture. The second subfield cultivated by Ogot was ecological history. Much of the foundation for study of the African was laid in the introduction of Hadith 7: Ecology and History in East Africa. Here Ogot stated that ecological history is the story of man's efforts to adapt himself to his environment and his environment to himself. But human culture and society are not determined by environment. The physical environment is passive, human activity is not. Humans have spatial alternatives, and human societies could have evolved in a number of ways. What we must understand is why they evolved in the way they did. Another key issue in studying the environment is understanding environmental change over time: the Sahara being an excellent example for study. Finally, Ogot encouraged ecological historians to borrow from other disciplines, especially geography, in developing a methodology for studying the environment. TOYIN FALOLA and JOEL E. TISHKEN was

contemporary

environment

See also Africa: Eastern; Oliver

Biography Bethwell Allan Ogot Born 3 August 1929 Educated .

.

at

Makerere

University College, Kampala, Uganda, 1950-52, diploma in education, 1952 ; St. Andrew's College, Canada 1955-59 ; University of London 1960-61 Taught mathematics, Alliance High School, Kikuyu, 1953-55 ; lecturer in history, Makarere University College 1959-64 ; ,

,

.

,

secretary-general, East African Institute of Social and Cultural Affairs 1963-68 ; taught (rising to professor) University of Nairobi 1964-66 ; ,

,

,

director, Institute of African Studies 1965-75 Editor, East African Journal, 1964-74, and Trans Africa Journal of History, from 1970. Married Grace Emily Akinyi, 1959 (3 sons, 1 daughter). ,

.

Principal Writings "

Oral Traditions and History," in Merrick Posnansky, ed., Prelude to the African Past , 1966 A History of the Southern Luo , 1967 Editor with J. A. Kieran , Zamani: A Survey of East African History ,

1968

"

Historians and East Africa ." in John Donnelly Fage , ed., Africa and Its Past , 1969 Editor, Politics and Nationalism in Colonial Kenya , 1972 Editor, War and Society in Africa , 1972

Editor, Kenya before 1900 1976 Editor, Ecology and History in East Africa 1979 Historical Dictionary of Kenya 1981 History, Ideology and Contemporary Kenya," Kenya Historical Review 7 ( 1982 ) Editor, Kenya in the Nineteenth Century 1985 Editor, Africa from the Sixteenth to the Eighteenth Century 1992 [UNESCO General History of Africa, vol. 5 ] Editor with W. R. Ochieng Decolonization and Independence in Kenya, 1940-93 1995 The Making of Kenya: A Hundred Years of Kenya's History, 1895-1995 1995 ,

,

,

"

,

,

,

,

,

,

,

Oliver, Roland

notably

in the

nevertheless

chapters comprehensiveness.

Five years after Oliver's retirement, however, The African Experience (1991) appeared, the product of his reflections on the state of African history today. Its approach was thematic, bringing out the common factors in the history of the since the emergence of humanity, as seen by an author who could indeed place them in the context of the whole. It is ironic, therefore, that he should once again be involved in

Further Reading Ochieng W. R. ed., A Modern History of Kenya, 1895-1980: Essays in Honour of B.A. Ogot Nairobi : Evans 1989 ,

overtaken by fresh evidence and fresh conclusions, case of the spread of the Bantu languages as described by Guthrie. In the same way, the rapid but patchy growth of African archaeology, which provided him with the bulk of his material, allowed him only provisional conclusions. In collaboration with the archaeologist Brian Fagan, he published Africa in the Iron Age, c.500 BC to AD 1400 (1975), followed by The African Middle Ages, 1400-1800, with Anthony Atmore (1981), together with articles and in the Journal of African History and the Cambridge History. What really mattered was the vision which governed the effort, and which ensured that history remained in control of the whole range of African studies in its quest for

repeatedly

continent

,

controversy, this time

1923–Britsh

Between 1948 and his retirement in

1986, Roland Oliver

over

his view of the colonial

period.

In

(1967), also written in collaboration with Anthony Atmore, he had argued that African nationalism did not spring from African resistance to colonial conquest, but since 1800

Africa

historian of Africa

progressed from the first lectureship in African history at the University of London's School of Oriental and African Studies to its first professorship. As co-founder of the Journal of African History, and subsequently of the Cambridge History of Africa, he not only provided historians of Africa with the first forum for their subject, but also with its fullest complete account. As a teacher, he was in effect the founder of that subject as it is taught today, drawing together the European-

from its acceptance

centered histories of the colonial period, the findings of social anthropologists and linguists, the evidence of archaeologists, and the regional studies of his early contemporaries in Britain, France, and North America together with those of the first generation of African historians into a comprehensive discipline for the continent as a whole. His own published work began with studies of the colonial period: The Missionary Factor in East Africa (1952) and Sir Harry Johnston and the Scramble for Africa (1957), but in the first volume of the Oxford History of East Africa (1963) with Gervase Mathew he dealt with the precolonial period which he had come to see as the key to the entire project. In The Dawn of African History (1961), and still more in A Short History of Africa (1962) written in collaboration with John Fage he showed the way to write the history of the whole of Africa from the beginning, from an Africancentered point of view. It was unfortunate that the fourth chapter ("The Sudanic Civilisation") of this brilliant little book, in which he attempted to show the spread of divine kingship across the continent from a base in ancient Egypt, should have exposed him to as an exponent of the infamous "Hamitic hypothesis" of the civilization of black Africans by whites. What it did reveal was his inevitable dependence, in his quest for the early history of Africa, upon the works of scholars who for the most part were not historians, in this case ethnologists. In a heroic struggle to convert their findings into history, he found himself

for his refusal to confront the causes of contemporary crisis in the continent. It would be a pity if a lifetime's successful struggle for the African past were to be clouded by the unfashionableness of his opinions on the merits of that short period which the preface to A Short History declared was no longer the be-all and end-all of history on the continent.

as an avenue to

real advancement. In his

Literary Supplement review of volume 7 of the UNESCO General History of Africa, he sharply criticized the contributors, and in particular the editor, Adu Boahen, for their denunciation of the colonial period as one of exploitation and impoverishment. In Bethwell Ogot's review of The African Experience Oliver was in turn criticized for a benign view of the colonial conquest and subsequent colonial rule, as well as 1985

Times

MICHAEL BRETT See also Africa: Eastern

-

coedited -

-

-

criticism

Biography Roland Anthony Oliver Born Srinigar, Kashmir, 30 March 1923 Attended Stowe School ; King's College, Cambridge MA and PhD. Attached to Foreign Office, 1942—45. Junior research fellow, King's College, Cambridge , 1946-48 ; taught (rising to professor), School of Oriental and African Studies, University of London, 1948-86 (emeritus). Married 1) Caroline Florence Linehan , 1947 (died 1983; .

ι

daughter); 2)

Suzanne

.

Doyle,

1990

.

Principal Writings The Missionary Factor in East Africa , 1952 Harry Johnston and the Scramble for Africa , 1957 The Dawn of African History , 1961 With J. D. Fage , A Short History of Africa , 1962 ; 6th edition, 1986 Editor with others, History of East Africa , 3 vols., 1963-76 With Anthony Atmore , Africa since 1800 , 1967 With Brian Fagan , Africa in the iron Age, c.500 Be to ad 1400 , Sir

1975

General editor with J. D. Fage , The

Cambridge History of Africa 8 vols., 1975-86 With Anthony Atmore The African Middle Ages, 1400-1800 1981 General editor with Michael Crowder The Cambridge Encyclopedia of Africa 1981 The African Experience 1991 ,

,

,

,

,

,

Further Reading M.C. ( Michael Crowder ), Roland Oliver," Journal of African History special issue in honour of Roland Oliver, 29 ( 1988 ), Ogot Bethwell Α. Review of R.A. Oliver, The African Experience ," Journal of African History 33 ( 1992 ), 477 82 "

,

1

-

4

"

,

,

-

Oral History because the practice had its origins outside of or on the fringes of professional "respectability" in terms of sources, methods, and practitioners, oral history seems to defy precise definition. When oral historians, or those who use the term "oral history" in their writings, describe what it is they do, they mix genres with abandon. Sometimes what is being described is oral tradition; at others life history, life review, or life course. For some oral historians the practice is the of interviews for archival purposes, to provide a record for the future. For others it is the conduct of interviews for particular publications or public history projects, and for still others it is a pathway to "community empowerment." In the term "oral historian" is applied with great looseness. Some argue that the oral historian is the person who conducts the interview, others that the oral historian is the person being interviewed the narrator who tells the history. Neither is there any agreement on what to call people being interviewed: they can be interviewees, narrators, subjects, respondents. In recent years oral history has become a noun, the thing itself is the thing being collected, rather than the activity of for historical purposes. Indeed there is even debate over whether oral historians simply collect oral histories, or create them. Such imprecision is at once liberating and confusing: in the sense that traditional disciplinary and sub-disciplinary boundaries are of little meaning and are crossed with impunity; confusing in the sense that it is almost impossible from the name itself to understand the practice. Work in oral history, as described by practitioners, published in a variety of forms, or presented at various meetings of oral historians, varies from

Perhaps

collection

addition -

interviewing

liberating

detailed

empirical

case

studies,

to

methodological analyses,

to

folkloric or linguistic studies, and from the presentation of collected testimony to the analysis of conversation. Because the phenomena itself is so universal people talking to other people about what happened in the past, and what meaning that past has Latin American testimonials, Scandinavian life histories, small group conversations, consciousness-raising groups, one on one interviews, survey interviews, Holocaust memories, and African oral traditions are all fair game for the oral historian. If form is irrelevant, the subject of analyses is enormously wide. Originating in many areas as a way to fill in the gaps in the written record, either as archival practice or because that written record simply ignored so much of the daily life of so many people, oral history has outgrown its roots in the -

-

search for data and has become an activity seeking to ail forms of subjectivity: memory, ideology, myth, discourse systems, speech acts, silences, perceptions, and in all its multiple meanings. The search is not only to document the past but to reveal how the past lives on in daily life; what people do with what has been given to them as a historical heritage. Despite the confusion over terms and the scale of the task they have set for themselves, oral historians seem to go about their work untroubled by this imprecision. Aside from a few attempts within the American oral history movement to come to some consensus on goals and guidelines, and a few articles seeking to define the relationship between oral history and the life history method, or oral history and oral traditions, most oral historians have not found it necessary to be overly concerned with careful distinctions. Reflecting the status of oral history, bridging the gap between the academic discipline of history and the work of local or community historians, archivists, public historians, or simply collectors with no well defined position in the traditional academic hierarchy, it has not been possible or, in many cases, necessary to devote the kind of effort needed to construct boundaries. Yet, a community of oral historians has evolved, both on a number of national levels and internationally. Formal oral societies and associations have existed since the 1960s in most of the English-speaking world, and new national have been founded in Argentina, Brazil, Mexico, Russia, and other countries. There are also informal oral history within formal organizations such as the History Workshop in South Africa and ASEAN (Association of South East Asian Nations) archivists. On the international level there have now been nine official and several interim international conferences that have brought together oral historians from many different national and scholarly traditions. In their membership and these organizations reflect the openness of the field itself. At the most recent international conference held in Sweden an international association was formed and officers elected, with board members from six continents. The association plans a the first series of publications and will hold its next meeting outside of Europe or the United States in Rio de Janeiro. The combination of national, regional, and international is the most significant structuring of the oral history and by its very nature will probably impose some more or less consistent definition of the practice. The oral history movement has, over the past twenty years, produced its own rich and varied bibliography. The basic text and primer in the field is Paul Thompson's The Voice of the Past (1978). Reflecting the origins of the British oral history in the "new" social history, The Voice of the Past is deeply informed by both the empiricist and positivist bent of that and its commitment to uncover the history of those who have heretofore been ignored by professional historians. It is an invaluable starting point for anyone interested in oral history. A more structuralist presentation of the theoretical and methodological problems of oral history is Ronald Grele's Envelopes of Sound (1991). Far and away the most insightful and complex work to date in oral history is The Death of Luigi Trastulli, and Other Stories (1991) by Alessandro Portelli. Combining Italian traditions of historiography harkening back to Croce, Gramsci, and Carlo Ginzburg, and more recent work

understand

consciousness

history organizations

sections

programs -

-

organizations

movement,

movement

historiography,

narrativity, Trastulli is a series of reflections on issues raised by Portelli's fieldwork experiences interviewing Italian workers

on

and members of various Appalachian communities in the United States. Cross-cultural and cross-disciplinary it reveals the of the practice of oral history to open up and redefine the nature of the historical process itself. A Shared Authority (1990) by Michael Frisch moves from issues of the creation of oral documents to questions of use in a variety of public venues. "Women's Words, edited by Sherna Gluck and Daphne Patai (1991), contains a number of essays attempting to apply feminist theory to oral history. There are also several publications of essays on oral history in different nations, such as Oral History, edited by David K. Dunaway and Willa K. Baum {1984, revised 1996) on oral history in the United States, and (Re)introduzindo história oral no Brasil by José Carlos Sebe Bom Meihy (1996) on the Brazilian movement. Articles on oral history and news of events, conferences, and bibliographies are most easily found in the journals published by national organizations such as the Oral History Association of Australia's Journal, the Oral History Review of the [United States] Oral History Association, and especially, Oral History, the journal of the British Oral History Society. A special edition of Bios: Zeitschrift für Biographie Forschung und Oral History (1990) contained a series of essays on the state of the field in the Americas, China,

potential

various

Eastern

Europe,

and Western

Europe.

The exciting possibilities of merging careful empirical studies with newer questions of subjectivity raised by the use of oral histories can be found in such works as Fascism in Popular Memory (1984, translated 1987) by Luisa Passerini; Dark Sweat, White Gold by Devra Weber (1994); Trade Unionists Against Terror by Deborah Levenson-Estrada (1994); and

Righteous Lives (1993) by Kim Lacy Rogers. Interesting works attempting to apply philosophical

hermeneutics oral history Elite Oral History be found to

can

in

McMahan, and in some of the essays History Interviewing (1994), edited by McMahan and Rogers. A steady stream of first-rate article literature can be found in the past issues of the International Journal of Oral History (1980-89), which first attempted to create an international Discourse

(1989) by

Eva

in Interactive Oral

forum for oral history, and in the three volumes published to date as the International Yearbook of Oral History: Memory and Total Totalitarianism, edited by Luisa Passerini (1992); Between Generations, edited by Daniel Bertaux and Paul Thompson (1993); and Migration and Identity edited by Rina Benmayor and Andor Skotnes (1994). The Yearbook is no longer published but a successor series is planned. "Subjectivity and Multiculturalism in Oral History," an issue of the International Journal of Oral History (1990), edited by Ronald Grele, contains a number of essays from a broad range of perspectives from various parts of the world. The most important Spanish-language journal is Historia y Fuente Oral, whose director, Mercedes Vilanova, is the first president of the International Oral History Association. Founded in 1989 the journal offers a mix of original and essays. Other publications have been issued in Portuguese by the Brazilian Oral History Association. Lastly, the brilliant Theatres of Memory (1994) by Raphael Samuel showed the wide influence of oral history in opening new

translated

questions about the traditional practice of history. In all of these works one can see the continuity of thinking about oral history despite the broad range of interests among oral historians. The major creative tension in the field of oral history is that between the concern to develop a scholarship equal in to the documents, and the concern with community history. That tension can be seen in the project listings of the Singapore national archives, in the debates within the South African History Workshop movement, in the early issues of the History Workshop Journal in Britain, in the programs of the American Oral History Association, in the work done at Fernuniversität (Open University) in Germany, and in debates in Mexico and Brazil. The practice of oral history, by its very nature, raises questions about where history is practiced, who practices it, and to what end since it is a form of historical work not limited to traditional sites. Oral history also raises questions about the personal relations between the historian and the object of investigation. There is no question that the oral historian, here considered as the interviewer, is intimately

richness

involved in the creation of the document he or she then goes on to interpret (no matter what the setting for the There is also no question that both the person being interviewed and the interviewer bring to the interview a complex and textured sense of history. In both community history and more traditional publications this is the crux of the issue of presentation. The interaction between interviewer and interviewee as each struggles to understand the other is what raises the theoretical questions at the heart of oral history, and itis this interaction that gives the promise of a new history from the bottom up not just the creation of documents of the heretofore ignored populations but the ways in which those in the community become their own historians and present their history. Both on a theoretical level and as a form of oral history brings into question the assumptions of professionalism among historians. This is, at once, the great promise and the great divide. While future trends are difficult to predict, two trajectories seem clear. More and more oral historians, in particular in Europe and the United States, are experimenting with new to organize, present, and make interviews and finding aids available to wider audience. There are also attempts to use the Internet to enlarge the practice of oral history. Though still experimental, the intersections of oral history and the virtual text are clear. Also more and more work is being done in radio and video interviewing. Examples of video interviews from Europe, the United States, Brazil, Asia, and Africa have been presented at a variety of conferences, as has radio use of oral history. Radio programming has long been a tradition in places such as Canada and the United Kingdom and has now spread widely. In the United States the work of Charles Hardy III and Pamela Hensen has been of particular note. Oral History has been a particularly creative practice over the past twenty years, and the growth of interest and activity shows no sign of diminishing. As more historians from the academy and among the citizenry turn to oral history as part of their historical practice, and as new fora are founded for the practice, one can expect new ways of thinking about what is being done to emerge.

interpretation).

-

practice,

technologies

programming

RONALD

J.

GRELE

Further Reading Benmayor Rina and Andor Skotnes eds., Migration and Identity Oxford and New York : Oxford University Press 1994 Bertaux Daniel and Paul Thompson eds., Between Generations: Family Models, Myths, and Memories Oxford and New York : Oxford University Press 1993 Bios: Zeitschrift für Biographie Forschung und Oral History Leverkusen : Leske & Budrich 1988 Dunaway David K. and Willa K. Baum eds., Oral History: An ,

,

,

,

,

,

narrative,

,

,

,

,

,

-

,

,

,

,

Nashville : American Association for State and Local History , 1984 ; revised 1996 Frisch , Michael H. , A Shared Authority: Essays on the Craft and Meaning of Oral and Public History , Albany : State University of New York Press , 1990 Gluck , Sherna Berger, and Daphne Patai , eds., Women's Words: The Feminist Practice of Oral History , London and New York :

Interdisciplinary Anthology

Routledge

,

learn much about 12th-century monastic historiography from his work. Writing at the direction of successive abbots between about 1114 and 1141, he produced 13 books of lively incorporating eyewitness accounts of current events and invented speeches to illustrate character and purpose, his intent to edify and entertain apparent on every page. His Ecclesiastical History began as a history of his monastery of Saint-Evroult, but during the approximately ten years taken to write the first book, it expanded to become a discussion of "the chances and changes of English and Normans alike." Despite the avowedly ecclesiastical focus, Orderic wrote of and in feudal Europe, with much of his dealing with the period prior to the Gregorian reform. Since the temporal world and the church were deeply at all levels of society, Orderic discussed the politics and culture of the world in which he lived. Starting from the birth of Christ, he covered topics ranging from the foundation and growth of Saint-Evroult, with its various possessions, to the political history of the Anglo-Norman kings up to 1141. Along the way, he wrote on subjects such as the history of the Giroie, Grandmesnil, and Bellême families and their feudal the development of the new monastic orders, at court, the crusades, miracle stories and wonderful events such as fires and thunderstorms. Many vivid portraits of individuals from all social ranks enliven his narrative. Orderic, clearly a committed historian, based his history on extensive research, using more than 100 literary sources, monastic documents, and eyewitness accounts, taking notes and making extracts from borrowed books, for a time with the help of assistants. He took advantage of occasional travel to interview possible informants and to investigate other libraries. There are, nevertheless, some factual errors in his work. Conservative in his outlook as 12th-century monks frequently were, he had a firmly theocratic worldview (see Ray, 1974) and a belief in the Tightness of the feudal order of his day, which colored his writing. Aside from this bias, he has been accused of deliberately creating villains, usually members of the Bellême family, to allow other men, often anointed kings, to stand as heroes. Thompson (1994) has suggested that the accuracy of the Ecclesiastical History and Orderic's judgments be reassessed with this stricture in mind. Orderic had a vision of his role as a historian. Recounting the actions of famous men made their examples available to be followed, while lists of monastic donors and their gifts would remind monks of their own good fortune and of the recipients of their prayers. The present could be better understood with a knowledge of the past, the future faced similarly equipped, and all stories of human activity showed the working out of God's will on this earth. His vision of universal history appears to be derived from that of Bede. If miracles and examples of holiness had not been so rare in Orderic's lifetime, he would have preferred to concentrate on such edifying stories. "But we must write truthfully of the world as it is," and so he recounted the good with the bad, the heroic with the cowardly, the with the spiritual. He strove to back up his stories with evidence and to arrive at the truth as he saw it. To the modern historian, the Ecclesiastical History is infinitely rich in detail but infuriating: Orderic included few dates, pursued only an approximately chronological narrative, and seized many opportunities to digress, often at considerable length.

,

1991

" Grele , Ronald J. , ed., Subjectivity and Multiculturalism in Oral History," International journal of Oral History , 1990 [special issue] Grele , Ronald J. , Envelopes of Sound: The Art of Oral History , New York : Praeger, 1991 Historia y Fuente Oral , Barcelona : University of Barcelona , 1989 International Journal of Oral History , Westport, CT: Meckler, -

1980-89 Levenson-Estrada , Deborah , Trade Unionists Against Terror: Guatemala City, 1954-1985 , Chapel Hill : University of North Carolina Press , 1994 McMahan , Eva , Elite Oral History Discourse: A Study of Cooperation and Coherence , Tuscaloosa : University of Alabama Press , 1989 McMahan , Eva , and Kim Lacy Rogers , eds., Interactive Oral History Interviewing , Hillsdale, NJ : Erlbaum , 1994 Meihy, José Carlos Sebe Bom , (Re)introduzmdo historia oral no Brasil , São Paulo : USP, 1996 Oral History, British Oral History Society, Colchester : University of Essex Press , 1972 Oral History Association of Australia Journal , Neutral Bay, NSW: Association , 1978 Oral History Review , Fullerton, CA : Oral History Association , 1973 Passerini , Luisa , Torino operaia e fascismo: una storia orale, Rome: Laterza, 1984; in English as Fascism in Popular Memory: The Cultural Experience of the Turin Working Class , Cambridge and New York : Cambridge University Press , 1987 Passerini , Luisa , ed., Memory and Total Totalitarianism , Oxford : Oxford University Press , 1992 Portelli , Alessandro , The Death of Luigi Trastulli, and Other Stories: Form and Meaning in Oral History , Albany : State University of New York Press , 1991 Rogers , Kim Lacy, Righteous Lives: Narratives of the New Orleans Civil Rights Movement , New York : New York University Press , -

-

-

1993

Samuel , Raphael , Theatres of Memory , London and New York : Verso , 1994 Thompson , Paul , The Voice of the Past: Oral History , Oxford and New York : Oxford University Press , 1978 Vansina , Jan , Oral Tradition as History , Madison : University of Wisconsin Press , and London: Currey, 1985 Weber , Devra , Dark Sweat, White Gold: California Farm Workers, Cotton, and the New Deal , Berkeley : University of California Press , 1994

Orderic [Ordericus] Vitalis 1075–1 42/3 Anglo-Norman monastic historian Orderic Vitalis, best known for his Historia ecclesiastica (Ecclesiastical History), is one of our most valuable literary sources for the Anglo-Norman period. In addition, we can

narrative

intertwined

relationships, fashions

political reliable

Despite Orderic's hopes of an audience wider than the members of his own monastery, extending to readers and listeners of the Norman world and even further afield, the Ecclesiastical History was little known in the Middle Ages. Chibnall ascribed this neglect to its individuality and personal nature, and also to the sheer size of the work. Ironically more medieval copies survive of his earlier, and much less important, interpolations in William of Jumièges' Gesta Normannorum Ducum than of the Ecclesiastical History. However, it was widely circulated from the16th century, published by Duchesne a century later, and has been a basis for modern Anglo-Norman political, social, and cultural history. Marjorie Chibnall's English translation has increased the work's accessibility, as is demonstrated by increasingly frequent references to it. Thus, Orderic is now recognized, along with William of Malmesbury, as one of the foremost Anglo-Norman historians. KATHLEEN TROUP See also

Delisle;

Medieval

Chronicles;

Atcham,

Shrewsbury, England,

16

February

1075,

son

July 1142/3

.

Principal Writings Historia ecclesiastica , 13 vols., written 1114 41 ; in English as The Ecclesiastical History of Orderic Vitalis , edited by Marjorie Chibnall , 6 vols., 1969-80 -

Further Reading Chibnall Marjorie Orderic Vitalis and Robert of Torigni," in Millénaire monastique du Mont Saint-Michel Paris : Lethielleux "

,

,

,

,

1966 Chibnall , Marjorie , " General Introduction ," in Marjorie Chibnall , ed., The Ecclesiastical History of Orderic Vitalis , 6 vols., Oxford : Oxford University Press , 1969-80 Chibnall , Marjorie , " Feudal Society in Orderic Vitalis ," in R. Allen Brown , ed., Proceedings of the Battle Abbey Conference on Anglo-Norman Studies /, 1978 , Ipswich, Suffolk: Boydell, and Totowa, NJ : Rowman and Littlefield , 1979 Chibnall , Marjorie , The World of Orderic Vitalis , Oxford and New York : Oxford University Press , 1984 Chibnall , Marjorie , " Anglo-French Relations in the Work of Orderic Vitalis ," in J. S. Hamilton and Patricia J. Bradley, eds., Documenting the Past: Essays in Medieval History Presented to George Peddy Cuttino , Woodbridge, Suffolk : Boydell , 1989 Chibnall , Marjorie , " Orderic Vitalis on Castles ," in Christopher Harper-Bill , Christopher J. Holdsworth , and Janet L. Nelson , eds., Studies in Medieval History Presented to R. Allen Brown , Woodbridge, Suffolk : Boydell , 1989 Chibnall , Marjorie , " Women in Orderic Vitalis ," Haskins Society 2

,

-

"

,

,

,

,

-

"

,

,

,

,

,

,

,

"

,

,

-

,

,

,

of

Norman priest who had taken an English wife. Sent to become a monk at St. Evroult in Normandy in 1085 ; ordained priest, 1107. Occasionally traveled, but remained at St. Evroult to his death,

Journal

"

,

Orientalism near

a

13

,

,

Thietmar

Biography Born

Her Seventieth Birthday Cambridge and New York : Cambridge University Press 1985 Petry Ray C. Three Medieval Chroniclers: Monastic Historiography and Biblical Eschatology in Hugh of St. Victor, Otto of Freising, and Ordericus Vitalis ," Church History 34 ( 1965 ), 282 93 Ray Roger D. Orderic Vitalis and His Readers ," Studia monastica 14 ( 1972 ), 17 33 Ray Roger D. Orderic Vitalis on Henry I: Theocratic Ideology and Didactic Narrative ," in George H. Shriver ed., Contemporary Reflections on the Medieval Christian Tradition: Essays in Honor of Ray C. Petry Durham, NC : Duke University Press 1974 Smalley Beryl Historians in the Middle Ages London : Thames and Hudson and New York: Scribner, 1974 Thompson Kathleen Orderic Vitalis and Robert of Bellême ," Journal of Medieval History 20 ( 1994 ), 133 41 Wolter Hans Ordericus Vitalis: ein Beitrag zur kluniazensischen Geschichtsschreibung ( Orderic Vitalis: An Article on Cluniac Historical Writing), Wiesbaden : Steiner 1955

( 1990 ),

105

-

21

Delisle , Leopold, Notice sur Ordéric Vital ( Notice on Orderic Vitalis ), 1855 Gransden , Antonia , Historical Writing in England , vol. 1 : c.550 to c.1307, London: Routledge, and Ithaca, NY: Cornell University Press , 1974 "

Holdsworth , Christopher, Orderic, Traditional Monk and the New Monasticism ," in Diana Greenway, Christopher Holdsworth , and Jane Sayers , eds., Tradition and Change: Essays in Honour of Marjorie Chibnall Presented by Her Friends on the Occasion of

Orientalism has only recently become a contentious term: since the late18th century it has been shorthand for the various scholars and disciplines engaged in the study of the peoples and cultures of Asia. Scholars such as William Jones, Max Müller, and the savants who accompanied Napoleon to Egypt laid the foundations for the systematic inquiry into the religions, cultures, and philosophies of Asia by the mastery of local languages and the close scrutiny of indigenous and often sacred texts. They were spurred on by the Enlightenment's fascination with the wider world, and in some cases were individually driven by a sympathetic reading of Asian culture. Their methods and perspectives would influence many disciplines, including history, literature, anthropology, and sociology, and would also culminate in the founding of specialist institutes of Oriental study in London, Oxford, Cambridge, Leiden, Paris, Brussels, Heidelberg, and in many universities in the United States. Even with such growth and diversification, Orientalism remained anchored in philology and hermeneutics. However, since the publication of Edward Said's Orientalism (1978), the motives and consequences of Oriental scholarship have become hotly contested. Said insisted that scholars, historians, re-examine not only what they knew about the "Orient," and how they knew it, but why they knew it. He coupled together the anti-imperialism of Frantz Fanon, as well as Fanon's insights into the psychological trauma unleashed by colonial rule, with Michel Foucault's emphasis on discourse as the means through which knowledge is transformed into power. Said exposed Orientalism's complicity in Western domination by uncovering the processes and motives that underpinned European efforts to produce authoritative knowledge of the East. He demonstrated that it was not simply a case of bias and stereotypes in need of correction. Instead, the very act of was called into question, particularly as it was accompanied by Europe's growing political, economic, and domination over Asia, Africa, and the Middle East. Knowledge of the Orient became power over the Orient, for Orientalist discourses shaped not only our impressions of

literature, emphasizing

eventually

including

representation

cultural

nonwestern peoples, but also helped to forge the tools through which they were subjugated. Novels, travelogues, and works about the lands of the "other," and later censuses, district reports, and other forms of textual information were as important, if not more so, than the Gatling gun or the steamship in accounting for European domination. This command over information was to persist after the formal ending of empires, ensuring the conditions necessary for what has been termed

historical

neocolonialism.

The production of this authoritative discourse rested upon the application of European models, terminology, and theories. This allowed the distinction between the European self and the conquered other to be rigidly demarcated through binary masculine vs. feminine, progress vs. stagnation, vs. childhood, reason vs. superstition, and so on. Such oppositions bolstered colonial hierarchies and rationalized colonial rule. Said's powerful denunciation of the will to power implicit in Orientalism has inspired others to conduct detailed inquiries into other manifestations of Western knowledge about lands beyond Europe. Other scholars have begun to explore in more detail the manner in which Orientalism helped shape European culture, showing the extent to which many domestic ideologies and values were influenced by Orientalist knowledge. Said returned to this debate with Culture and Imperialism (1993), a work that ranges widely through Western literature, historical writings, and even music in such a way as to extend his earlier insights to the world beyond the Middle East. His conclusions in this work are breathtaking imperialism is it can be found in nearly every conceivable nook and cranny of Western culture over the past two centuries. Said's work has without doubt forced Western scholarship in general to reflect on its intellectual heritage, and prompted many scholars to re-examine the assumptions which had guided their work. However, postorientalism, a term which refers to work which takes Said's critique as its point of has not met with universal approval. Interest seems to vary somewhat by discipline, by region of study, and even by country. Literature and cultural studies have proven to be the

oppositions:

adulthood

-

everywhere,

hitherto

departure, most

receptive

to

postorientalism,

not

surprisingly given

posto-

rientalism's emphasis on the production of texts and discourses, and its affinities with other forms of critical theory, including poststructuralism and the new historicism. Scholars such as Homi Bhabha, Sara Suleri, Mary Louise Pratt, and Gayatri Spivak have opened up new perspectives on the manifestations and consequences of Orientalism. It can also be argued that enthusiasm seems stronger in the United States than in Britain. This can best be accounted for by the kinship that connects postorientalism with other manifestations of American radicalism, particularly feminist studies, Afro-American studies and multiculturalism. All these movements question our faith in objectivity and expose the linkages between elite domination and Western intellectual traditions. The responses by historians to the postoriental manifesto have generally been more muted, though there are important exceptions at both ends of the spectrum. While many now that imperialism was undeniably bolstered by Oriental scholarship, postorientalism's potential to deny the validity of any representation, on the grounds that representations are invariably the product of unequal power relationships, to subvert the foundations of many disciplines, including

intellectual

concede

threatens

accept that Orientalism is thoroughly implicated imperialism, then we must also consider whether there can be any form of knowledge about another society that does not depend on domination. Opposition to postorientalism also stems from the empirical tradition within Western historiography. Empirical approaches sit uneasily with the demands of theory. Scholars such as John M. MacKenzie, David Kopf, and Bernard Lewis insist that scholarship is far too selective in its choice of postorientalist examples, and that in order to make the evidence fit the theory, the wider context is often overly simplified. Critics have also pointed to what they see as an overly rigid distinction between colonizer and colonized in this production of knowledge. They Orientalist note for example that the production of this discourse was frequently dependent on local intermediaries and translators who were in a position to propound their own interpretations. Other historians, such as Rosalind O'Hanlon and David Washbrook, who emphasize materialist of history, have also been reluctant to subscribe to post orientalism, arguing that its emphasis on representation as the foundation of power neglects material reality. Objections have also been made to the conclusion that the self/ other dichotomy could only be worked out within an extra-European empire. Internal colonization, the conquest and subordination of Britain's Celtic fringes, was instrumental in defining what it meant to be British. And as Linda Colley has recently argued in Britons (1992), the "other" that was so crucial to forging the British character in the 18th and early 19th centuries tended to be European and Catholic, and not Indian and Hindu, or Arab and Muslim. There is also the awkward task of accounting for the great depths of Oriental scholarship undertaken in countries which had no obvious interest in building up an Asian empire. German Orientalism is perhaps the best example here. These criticisms notwithstanding, one can question MacKenzie's claim that neither Orientalism nor Culture and Imperialism have had the impact on historians that might have been otherwise assumed. A special issue of Annales in 1980 attests to the interest of French historians in this topic, not surprisingly given that Orientalism dwelled at length on French Orientalists. South Asian historiography has been especially influenced by such scholars as Ronald Inden, Gauri Viswanathan, Sara Suleri, Javed Majeed, and Gyan Prakash, as well as those associated with the most recent volumes of Subaltern Studies, who have illuminated how the British came to know India and the manner in which such representations contributed to the rise of the Raj. Postorientalism has also had an impact on the study of African, Chinese, Japanese, Southeast Asian, and Latin American scholarship. Writings by V.Y. Mudimbe, and the essays edited by Gyan Prakash in After Colonialism (1995) indicate the potential for much further work in this direction. Few would deny the importance of the controversies by Said's Orientalism. While not all historians are willing to subscribe completely to its agenda, the debates it has unleashed and its insistence that scholars reflect upon what we know of the world and how we have come to know it, have forced many to reconceptualize their historical scholarship.

history.

If

we

in the rise and consolidation of Western

explanations

triggered

DOUGLAS PEERS

See also Anderson, B.; Indigenous; Lewis, B.; Postcolonialism; Rodinson; Said; Southeast Asia; Women's History: Asia; Xenophon

Further Reading Ahmad Aijaz In Theory: Classes, Nations, Literatures London and ,

,

,

New York : Verso , 1992 "

Barkan , Elazar, Post-anti-colonial Histories: Representing the Other in Imperial Britain ," Journal of British Studies 33 ( 1994 ), 180 203 Bhabha , Homi Κ. , ed., Nation and Narration , London and New York : Routledge , 1990 Breckenridge , Carol Α. , and Peter van der Veer, eds., Orientalism and the Postcolonial Predicament: Perspectives on South Asia , Philadelphia : University of Pennsylvania Press , 1993 Inden , Ronald , Imagining India , Oxford and Cambridge, MA : Blackwell , 1990 " Kopf , David , Hermeneutics versus History," Journal of Asian Studies 39 (1980 ), 495 506 Lewis , Bernard , Islam and the West, Oxford and New York : Oxford -

-

University

Press , 1994

Lewis , Reina , Gendering Orientalism: Race, Femininity, and Representation , London and New York : Routledge , 1996 " MacKenzie , John M. , Edward Said and the Historians ," Nineteenth-Century Contexts 18 ( 1994 ), 9 25 MacKenzie , John M. , Orientalism: History, Theory and the Arts , Manchester : Manchester University Press , 1995 Majeed , Javed , Ungoverned Imaginings: James Mill's The History of British India and Orientalism , Oxford and New York : Oxford University Press , 1992 Melman , Billie , Women's Orients: English Women in the Middle East, 1718-1918: Sexuality, Religion and Work , London : Macmillan , 1990 ; Ann Arbor: University of Michigan Press, 1992 Mudimbe , V. Y. , The Idea of Africa , Bloomington: Indiana University Press , and London: Currey, 1994 " O'Hanlon , Rosalind , and David Washbrook , After Orientalism: and Politics in the Third World ," Comparative Culture, Criticism, Studies in Society and History 34 ( 1992 ), 141 67 Prakash , Gyan , ed., After Colonialism: Imperial Histories and Displacements , Princeton : Princeton University Press , 1995 Pratt , Mary Louise , Imperial Eyes: Travel Writing and Transculturation , London and New York : Routledge , 1992 Said , Edward W , Orientalism , New York: Pantheon, and London : -

-

Postcolonial Routledge 1978 ,

Said , Edward W , Culture and Imperialism, New York : Knopf , and London: Chatto and Windus, 1993 Schwab , Raymond , La Renaissance orientale , Paris : Payot , 1950 ; in English as The Oriental Renaissance: Europe's Rediscovery of India and the East, 1680-1880 , New York : Columbia University Press 1984 Spivak Gayatri ,

In Other Worlds: Essays in Cultural Politics , , London and New York : Metheun , 1987 Sprinker, Michael , ed., Edward Said: A Critical Reader , Oxford and Cambridge, MA : Blackwell , 1992 Suleri , Sara , The Rhetoric of English India , Chicago : University of Chicago Press , 1992 Viswanathan , Gauri , Masks of Conquest: Literary Study and British Rule in India , New York : Columbia University Press , 1989 Young , Robert , White Mythologies: Writing History and the West, London and New York : Routledge , 1990 ,

Ormsby, Margaret

A.

1909–19 6

Canadian historian The best known historian of British Columbia, Margaret Ormsby was a native of Canada's westernmost province. She was among the first generation to graduate from the University

of British Columbia and returned to teach at her alma mater after completing a PhD at Bryn Mawr College in Pennsylvania. Ormsby became the first woman to head a history department at a Canadian university when she stepped into the position at University of British Columbia. As a teacher and publishing historian for over half a century, Ormsby helped establish British Columbia history as a viable field of academic historical study.

Ormsby's most important work was British Columbia: A History (1958), published as part of the celebrations marking the establishment of British Columbia as a colony one hundred years earlier. The first provincial history written since World War I, British Columbia stood as the standard in the field for decades in many aspects, it still has not been surpassed. The -

the province's past through a series of oppositions that animated the narrative: the ongoing pull between maritime and continental forces; the opposition between a "closed," hierarchical model of society represented by the Hudson's Bay Company and colonial officials, and the "open," egalitarian vision of English and Canadian settlers; text gave structure to

and

tensions, between Vancouver Island and Vancouver and the hinterland interior. Throughout, Ormsby drew upon her own experiences growing up in British Columbia's interior to craft a distinct vision of the province's past and identity: the sharp juxtaposition of (community, intellectual life, etc.) and natural distinguished British Columbia, and it was in the hinterland that this juxtaposition was clearest. Indeed, Ormsby tackled an abiding issue in North American historiography, namely the perennial tension between a new environment, and the cultural baggage of people only recently claiming that as their own. While acutely aware of the power of British Columbia's forbidding topography and geographic isolation, Ormsby did not adopt Frederick Jackson Turner's frontier thesis; like other Canadian historians, she tended to see people rather than environment as determinative in the end. In British Columbia and in her other work, Ormsby contributed to an emerging tradition of provincial while introducing new themes that would be picked up later. As with other British Columbia historians, there was an underlying materialism to Ormsby's work, both in its concern for economic growth through the exploitation of British Columbia's rich natural resources, and through the impact of the province's topography and isolating geography. Meanwhile, influenced by American Progressive historians and their of "interests" and "class," Ormsby placed faction and conflict at the heart of provincial history. Finally, Ormsby pointed the way to the study of aspects of British Columbia's social history; but while she wrote of the province's "social life," mentioned the perspective and place of women within that, and departed from previous historians in welcoming cultural and racial pluralism, Ormsby did not anticipate the "bottom up" social history that emerged in the 1960s. Ormsby's writing was marked by its elegance and which helps explain the popularity of British Columbia among both general and academic readers. Praising the example of Donald Creighton, Ormsby stressed the importance of narrative and of the individual in history. She was interested in bringing out the uniqueness and diversity of characters in history, and her work made use of political leaders

regional

mainland, metropolitan civilization

wilderness environment

historiography

definitions

accessibility, particularly

as

representative figures.

general

As

such,

it

was

consistent with the

political biography in post-World historiography, but Ormsby rejected the to

move

Canadian

War II

latter's

centrist, "national" focus. Along with W.L. Morton (Manitoba: a History, 1957), Ormsby directed historians' eyes toward the more "limited identities" of Canada's regions. CHAD REIMER

See also Canada

elaboration

Biography Margaret Anchoretta Ormsby Born Quesnel, British Columbia, 7 June 1909 Received ΒΑ, University of British Columbia, 1929 MA 1931 ; PhD, Bryn Mawr College, 1937 Taught at Sarah Dix Hamlin School San Francisco 1937-40; McMaster University 1940-43 ; University of British Columbia (rising to professor), 1943-74 (emeritus). Died Coldstream, British Columbia, .

.

,

.

,

2

,

,

November 1996

Principal Writings "

The History of Agriculture in British Columbia ," Scientific

Agriculture

20

( 1939 ),

61

-

72

"

Prime Minister Mackenzie, the Liberal Party and the Bargain with British Columbia ," Canadian Historical Review 26 ( 1945 ), 148 73 British Columbia: A History , 1958 " Humanized History," Canadian Literature 3 (Summer 1961 ), 53 56 " T. Dufferin Patullo and the Little New Deal ," Canadian Historical -

-

Review 43 ( 1962), 277 97 A Horizontal View: Presidential Address ," Canadian Historical -

"

Association , Historical Papers ( 1966 ), 1 13 A Pioneer Gentlewoman in British Columbia: The Recollections of Susan Allison , 1976 -

Editor,

Further Reading Norris John Margaret Ormsby," BC Studies 32 ( Winter 1976-77), 11 27 Woodward Frances Margaret Anchoretta Ormsby: Publications ," BC Studies 32 ( Winter 1976-77) 163 66 "

,

,

-

"

,

,

-

,

Ortiz, Fernando Cuban

study, complete with charts, tables, and figures, to investigate social and cultural phenomenon; in fact, his work was highly narrative and interpretive, utilizing a broad array of sources from popular culture, mythology, and historical chronicles, as well as empirical data. He was able to situate Afro-Cuban culture in its original context, and therefore introduce a new perspective to the discussion of its current condition. Ortiz developed this theme throughout the rest of his long, varied, and remarkably productive career. From the earliest days, Ortiz was concerned with the of a Cuban national identity which incorporated all its diverse elements, but particularly the Hispanic and the African, into a unique society. His collection of constructively critical essays entitled Entre Cubanos: psicología tropical (Among Cubans: Tropical Psychology, 1913) revealed Ortiz's fundamental positivism, and suggested improvements in a

18 1–1969

historian, sociologist, anthropologist,

and

linguist studies, Fernando Ortiz began his law student at the University of Havana and in Barcelona, Spain before serving a short term as consular official in Italy in the early 1900s. His early contact with Europeans and European thought had a profound influence on the future direction of Ortiz's work; he studied sociology and penal science under Manuel Sales y Ferré who convinced him that crime was a socially-produced phenomenon, and also met the Italian social theorists Cesare Lombroso and Enrico Fermi. Using the scientific methodology and objective observation techniques he had absorbed while in Europe, Ortiz returned to Cuba to publish his first major book, Los negros brujos (The Black Warlocks, 1906), a study of primitive psychology and its effects on criminal behavior, in which the early stages of Ortiz's unique investigative style were already discernible. In Los negros brujos Ortiz adopted the form of a scientific The founder of Afro-Cuban

professional

life

as a

government and social administration that would help Cuba attain its full potential. The author even joined the Liberal

party and entered government as a reform candidate. By 1919 Ortiz was frustrated with the corruption and official lethargy, and as a response he published La crisis política cubana (The Cuban Political Crisis) in which he criticized Cubans' apathetic ill-preparedness for participatory democracy, the creoles' general pessimism and malaise, and foreign domination of his country's economy. He founded the Junta for Civic Renovation in the 1920s and urged immediate reforms, including protectionism, reciprocity in trade agreements, expanded health services, prison reform, an end to graft and corruption, a reorganized judiciary, and a reduction of US influence in Cuban society and its economy. He was exiled by the Machado government in 1931 and spent two years in the United States studying, researching, and publishing articles on Cuba. In his most famous and influential work, Contrapunteo cubano del tabaco y el azúcar (1940; Cuban Counterpoint: Tobacco and Sugar, 1947), Ortiz used an allegorical contrast between tobacco and sugar production to discuss the types of societies produced by each, and to reveal how these two distinct types of agricultural culture affected the development of Cuban national identity. Ortiz argued that "Tobacco and sugar are opposed to each other in the economic as in the social field" with "highly antithetical characteristics and effects." Where the sugar industry was seasonal, mechanized, capital-intensive, and required little human creativity, tobacco production was almost an artistic enterprise, requiring individual talent and skill, and nurture. Ortiz discussed the types of labor systems adopted by each, investment and capital strategies, immigration and family structures produced, and the literary or cultural mythology spawned. Not surprisingly, Ortiz condemned the harshness of the foreign-owned sugar mills, something that endeared him to Marxists and the future regime, while celebrating tobacco and cigar-smoking as "the most typical and autochthonous custom left to us." Cuban Counterpoint had broader significance than its analysis of Cuban society; it also introduced Ortiz's concept of "transculturation" into general usage to replace previously used terms such as cultural exchange, acculturation, diffusion, and migration of cultures, all of which were and implied that others had to adapt themselves to the dominant Western European culture. The anthropologist Bronĺslaw Malinowski, in his introduction to the English

industrial

assessment,

revolutionary

socioeconomic

ethnocentric

Ortiz's idea of transculturaof pleasure and profit to me." In Cuban Counterpoint, Ortiz discussed the transculturation of Cuban society, noting that the "result of every union of cultures is similar to that of the reproductive process between individuals: the offspring always contains something of both parents but is always different from each of them." His all-encompassing narrative touched on all aspects of Cuban folk society: ethics, morality, sexual behavior, artistic endeavors, language, the economy, and collective psychology. He made an eloquent plea for the recognition and preservation of a unique Cuban national identity in the face of encroaching foreign domination which, Ortiz pointed out, has been a facet of Cuban political existence since the arrival of Columbus Ortiz's discussion of transculturation and the incomplete migration of cultures to Cuba found great acceptance among Malinowski's followers, the school of social science known as functionalism. He continued his investigations into the language, and psychology of Afro-Cubans and brought that previously ignored element of Cuban society into the realm of legitimate subjects for study. He also founded several journals and cultural associations to promote his most notably Ultra (1936-47), Estudios afro-cubanos

edition, enthusiastically adopted tion

as

"a

source

religion,

religion,

important

investigations,

(Afro-Cuban Studies, 1937-40, 1945-46), Revista Bimestre Cubana (1910-60), the Hispano-Cuban Cultural Institute (1926), the Afro-Cuban Studies Society (1936), and the International Afro-American Studies Institute (1934). Always politically active, Ortiz directed the Cuban Alliance for a Free World Against Fascism, and wrote El engaño de las razas (The Hoax of Races, 1945) to counteract Aryan claims to racial superiority. In this forcefully argued book he maintained that races did not exist, that one could distinguish nations, cultures, and classes, but there was no commonly accepted division of people into races. Fernando Ortiz was a dominant intellectual figure in 20thcentury Cuban life. He singlehandedly raised Afro-Cuban culture to a national prominence and placed a new emphasis on scientific and rigorous investigation into social His argument that Cuban identity had been conditioned by the transculturation of various people, by slavery, abolition and racism, and foreign economic imperialism were embraced by reformists and revolutionaries alike and had a resonance beyond the shores of his island. Ortiz emphasized the between culture and politics and believed that would come only with a knowledge and acceptance of Cuban national identity.

phenomenon.

interrelationship salvation

KAREN RACINE

Los negros brujos ( The Black Warlocks ), 1906 Entre Cubanos: psicología tropical ( Among Cubans: Tropical

Psychology ),

1913

La crisis política cubana: sus causas y sus remedios ( The Cuban Political Crisis ), 1919 Contrapunteo cubano del tabaco y el azúcar , 1940 ; in English as Cuban Counterpoint: Tobacco and Sugar , 1947 El engaño de las razas ( The Hoax of Races ), 1945 La africanía de la música folklórica de Cuba (The Africanness of the Folkloric Music of Cuba ), 1950

Further Reading Argüelles Espinosa

"

Correspondencia mexicana de Fernando Ortiz (The Mexican Correspondence of Fernando Ortiz ), Revista de la Biblioteca Nacional "José Martí" 25 / 3 ( 1983 ), 97 109 " Argüelles Espinosa , Luís, "Significación política de Fernando Ortiz ( The Political Significance of Fernando Ortiz ), Universidad de La Habana 221 ( 1983 ), 40 50 " Barnett , Curtís Lincoln , Fernando Ortiz and the Literary Process," unpublished PhD dissertation, Columbia University, 1986 " Castells , Ricardo , Ficción y nacionalismo en el Contrapunteo " cubano de Fernando Ortiz ( Fiction and Nationalism in Cuban Counterpoint by Fernando Ortiz ), Journal of Interdisciplinary Literary Studies 4 ( 1992 ), 55 70 " Catzaras , Marina , Negrismo y transculturación en Cuba: El pensamiento de Ortiz y las obras tempranas de Carpentier y " Guillén ( Negrism and Transculturation in Cuba: The Thought of Ortiz and the Early Works of Carpentier and Guillën ), unpublished PhD "dissertation, University of Pittsburgh , 1990 Coronil , Fernando , Challenging Colonial Histories: Cuban Counterpoint, Ortiz's Counterfetishism ," in Steven Bell , ed., Critical Theory, Cultural Politics, and Latin American Narrative , Notre Dame, IN : University of Notre Dame Press , 1993 , 61 80 " Gárciga , Orestes , El archivo de Fernando Ortiz: acerca de su " estructuración metodológica y fin práctico (The Archive of Fernando Ortiz: On its Methodological Structure and Practical End ), Santiago 58 ( 1985 ), 63 83 " " Ibarro , Jorge , La herencia científica de Fernando Ortiz (The Scientific Heritage of Fernando Ortiz ), Revista Iberoamericana 56 ,

Luís ,

"

-

-

-

-

-

( 1991 ),

122

-

53 , 1339-51

"

Lamore , Jean , La obra antiracista de Fernando Ortiz: el caso de la " revista Ultra ( The Antiracist Work of Fernando Ortiz: The Case of the Review Ultra ), Santiago 58 (1985 ), 45 62 " Le Riverend , Julio , Ortiz y sus contrapunteos " ( Ortiz and his Counterpoints), Islas 70 ( 1981 ), 7 35 " Moore , Robin , Representation of Afro-Cuban Expressive Culture in the Writing of Fernando Ortiz ," Latin American Music Review -

-

15 ( 1994 ), 32 54 " Muller, Edward J. , Los negros brujos: A Re-examination of the " Text ( The Black Warlocks ), Cuban Studies 17 ( 1987 ), 111 29 " Nodal , Roberto , The Black Man in Cuban Society: From Colonial Times to the Revolution ," Journal of Black Studies 16 ( 1986 ), -

-

251 67 Serrano , Carlos , -

"

Fernando Ortiz y Miguel de Unamuno: un episodio de regeneracionismo tránslatlantico (Fernando Ortiz and Miguel de Unamuno: an Episode in Transatlantic Regeneration ), Revista de la Biblioteca Nacional "José Martí ( 1987 ), 7 22 Suret-Canale Jean En el homenaje a Fernando Ortiz: "

See also Cuba; Latin America: National

"

29

-

Biography

"

Fernando Ortiz Fernández Born Havana, 16 July 1881 Attended University of Havana ; then studied in Barcelona, Madrid, and Italy. Originally member of diplomatic corps, before joining University of Havana law faculty Married Esther Cabrera (1 daughter). Died .

.

.

Havana,

10

April 1969.

Principal Writings Hampa afro-cubana: los negros brujos (apuntes para un etnología criminal) (Afro-Cuban Criminality), 1906

estudio de

,

,

observaciones críticas en torno de los conceptos de la cultura " africana (In Homage to Fernando Ortiz: Critical Observations Around the Concepts of African Culture ), Revista de la Biblioteca Nacional "José Martí" 1 2 ( 1982 ), 97 104 " Toro González , Carlos del , Fernando Ortiz y el encuentro de dos " culturas ( Fernando Ortiz and the Encounter of Two Cultures ), Revista de la Biblioteca Nacional "José Martí," 1992 -

-

Osgood,

Herbert Levi

185 –1918

US historian of colonial America admirers as a historian's historian, Herbert Levi himself as a scientific scholar who pioneered the study of the political and institutional history of the American colonies within the framework of the British empire during their first 150 years, a period he considered as significant in the development as the momentous decades of the later18th century. Educated at Amherst, Yale, Berlin, and Columbia, he came under the influence of Germanic and German-educated scholars who had learnt from philologists how to authenticate and evaluate documentary sources. Based on extensive research in British archives and state and local depositories in the United States, and assisted by graduate students at Columbia University who perpetuated his influence long after his death, Osgood's multivolume histories of the American colonies in the 17th and 18th centuries were the first to place their development in an imperial context. However, unlike other imperial historians, his vantage point was colonial not metropolitan. As a professional historian, employed at one of America's leading universities, Osgood's career differed significantly from that of the which preceded his, dependent on the lecture circuit, and exemplified byJohn Fiske. Presaged by a series of articles which appeared in the Political Science Quarterly and the American Historical Review in the late 1890s, two volumes of the first of Osgood's key works, The American Colonies in the Seventeenth Century, were published in 1904; the third volume appearing in 1907. At his death in 1918 he had virtually completed his 4-volume study The American Colonies in the Eighteenth Century. Only the chapter on slavery was missing but, doubtful of the popular appeal of a work allegedly devoid of human interest and heroic deeds, his publishers did not so ahead with it until 1924. The principal theme of Osgood's first two volumes was the transition of the colonies from largely private hands, and Described

Osgood

by

saw

country's

generation

corporate or proprietary government, to royal government. In taking this approach he eschewed the geographical division of

the colonies adopted by some writers to focus on the degree of autonomy, relative or absolute, that the early settlers enjoyed. More importantly, in volume 3 he examined the centralizing and autocratic tendencies of the later Stuarts as they sought to transform the nature of colonial government through policies that were "in violent opposition to colonial and English traditions." When James II fell from power, former colonial boundaries and institutions were restored. Even so, the trend towards uniformity was irreversible. Osgood regarded the period from 1690 to 1763, during which the colonies gradually coalesced into one system under the control of the British government, itself part of a much larger system, as "the unknown period" of American history. No one, he claimed, had previously studied the internal of each of the continental colonies, their relationship with one another, and the institutions and processes by which they were joined to the government of Britain. In structuring the American Colonies in the Eighteenth Century Osgood gave priority to the succession of colonial wars with the French from which the British emerged triumphant. Through an analysis of the relationship between colonial assemblies, "the embodiment

development

of colonial self government," and royal appointees, Osgood examined royal government to reveal the encroachment of the former on the putative powers of the latter and the steady erosion of royal authority. This history became more American than British with each decade. Despite a substratum of British law, Americans had in fact created a distinct type of society and government. the

of

sophistication study Osgood brought colonial institutional relations posing the question from to

a new

an

the first of how the Atlantic perspective, bridged. He was

was

recognize the complexity of imperial structures, the experimental character of the empire, and the contradictions between theory and practice that gave rise, on both sides of the Atlantic, to inconsistencies and Yet despite the focus of his work, it was American factors rather than imperial influences that in his view shaped the development of the colonies. Osgood's work still has value American historian

to

misunderstandings.

for professional historians interested in the nature of the colonies' place in the early British empire, and their internal political development. Not all would subscribe to his view that colonial society and politics grew increasingly distinctive during the colonial period, or his implicit denial of human agency, while his concept of national stock and assumption of Indian savagery would find little echo among today's historians. In other respects, especially with regard to the central role of colonial assemblies in Virginia, New York, and South Carolina, and of the importance of demographic factors and non-British migration which he raised but did not pursue, Osgood the direction of much recent work.

anticipated

GWENDA MORGAN

See also United States: Colonial

Biography Born Canton Maine 9 April 1855 Educated at Wilton Academy Andover, Maine ; BA, Amherst College, 1877 MA 1880 ; postgraduate study, Yale University, 1881 ; University of Berlin, 1882-83 ; PhD, Columbia University, 1889 Taught (rising to professor) at Columbia University, 1891 1918 Married Caroline Augusta Symonds 1885 (2 sons, 1 daughter). Died 11 September 1918. ,

.

,

,

,

.

-

.

,

Principal Writings "

The Corporation: A Form of Colonial Government ," Political Science Quarterly 11 ( 1896 ), 259-77, 502-33, 694- 715 " The Proprietor Provinces as a Form of Colonial Government ," American Historical Review 2 ( 1897 ), 644 64 ; 3 ( 1898 ), 31-55, -

244-65 " The American Revolution ," Political Science 41 59 The American Colonies in the Seventeenth

Quarterly

13 { 1898 ),

-

Century

3

,

vols.,

1904--07

The American Colonies in the

Eighteenth Century

,

4

vols.,

1924-25

Further Reading Fox Dixon Ryan Herbert Levi Osgood: An American Scholar New York : Columbia University Press 1924 Kraus Michael and Davis D. Joyce The Writing of American History revised edition, Norman : University of Oklahoma Press 1985 Wish Harvey The American Historian: A Social-Intellectual History of the Writing of the American Past New York : Oxford University Press 1960 ,

,

,

,

,

,

,

,

,

,

,

,

,

Ostrogorsky, George Russian historian of Russian-born George

1902–1976

Byzantium

Ostrogorsky played

a

major role

in

the negative stigma that had attached Byzantine overcoming and received his to

studies secondary elementary prior the to

1920s. He

education in Russia before obtaining his university degrees at Heidelberg where the great German medievalist, Percy Schramm, encouraged him to pursue a career in Byzantine studies. After a brief stay in Paris, where he worked with all the important French Byzantine specialists, including the most outstanding, George Diehl, Ostrogorsky received a doctorate from the University of Heidelberg in 1925. In 1927 his Die ländliche Steunergemeinde des Byzantinisches Reiches im X. Jahrhundert (The Rural Tax Community of the Byzantine Empire in the Tenth Century), became the first of his more than 180 publications. His painstaking analysis of sources, both narrative and archival, which he employed to research his dissertation served him well throughout his career. One of his great strengths was the ability to deduce general aspects of Byzantine civilization from evidence relating to very specific cases. The conclusions he reached on the 7th century, and on what he called Byzantine feudalism, remain at the center of historical debate on Byzantine institutions. In addition to such important technical articles as his early investigation of Theophanes' chronology, Ostrogorsky focused his research on three main fields. The first, inaugurated by his dissertation, concerned economic, social, and institutional history, with special emphasis on the Byzantine peasantry. The second encompassed Byzantine theology and imperial ideology, while the third embraced Byzantine-Slavic relations, especially in the Balkans. The first topic included Ostrogorsky's most significant work for specialists. It derived from his thesis that the Byzantine empire had a dependent peasantry comparable to, yet different from, that found in western Europe. After establishing in his that peasant communes had existed in the Byzantine empire before the Slavs entered it at the end of the 6th century, he studied the difficulties peasants faced during the turbulent times of the 7th to the 10th centuries, and introduced new information concerning the effect of conflicts between the Byzantine imperial court and the bureaucracy on peasants living in the empire. The culmination of this line of research, and Ostrogorsky's most important contribution to Byzantine history, was his analysis of the pronoia, a type of military landholding that resembled the medieval western European fief. In two books, Pronija (Pronoia, 1951) and Pour l'histoire de la féodalité byzantine (On the History of Byzantine Feudalism, 1954), based on the Acts of Mount Athos and the inventories of he concluded that between the 10th and 12th centuries holders of pronoia had interposed themselves between the state and its peasant militia. Although his thesis has undergone revision, partly by Ostrogorsky himself, no one has offered a better alternative. Ostrogorsky's work on institutional history concentrated on the themes, which were Byzantine provincial administrative units through which the emperor's officials recruited troops, collected taxes, and enforced imperial laws. Based on his analysis of the sources, Ostrogorsky determined that the themes

dissertation,

primary

dissertation

peasants,

extensive

had existed earlier than historians had believed, probably as early as the reign of the emperor Heraclius (610-41). Not content with establishing the origins of the themes, he also traced their evolution through the 9th century. As regards and imperial intellectual history, he wrote on iconoclasm and the imperial coronation ceremony, although his major contribution to this field was his analysis of the medieval conception of the hierarchy of states. His work on ByzantineSlavic relations devoted attention to Byzantium's impact on Kievan Russia, but mostly concentrated on the links between Byzantium and the Serbs. A study of the Chronicle of the Serbian Princes in Constantine Porphyrogennetos, an article on the struggle against the Byzantine empire of Stephen Dušan and the Serbian nobility, and on the principality of Serres after Dusan's death, constitute his main contributions to this field.

religious

most influential work was his Geschichte des

Ostrogorsky's

byzantinischen 1956). 1963),

It

Staates

(1940; History of the Byzantine State,

reprinted in two German editions (1952. and English ones (1956 and 1969), and was translated

was

two

ten other languages. The book remains the best general survey of Byzantine political institutions in print, although it is now outdated in places. While it includes little on Byzantine society, and nothing on art, literature, religion, science, or philosophy, Ostrogorsky does provide some detail

into

on

some

economics. In addition to his

publications, Ostrogorsky's importance

from his role as an educator. He taught at Belgrade for forty years, founded the Institute of Byzantine Studies of the Serbian Academy in 1948, and served as its director until his death. He also edited the Institute's journal until 1975 and supervised its monograph series. Because of his efforts, the Institute became one of the world's leading centers of Byzantine studies, and provided Yugoslav historians with contacts in the world community of scholars. stems

ROBERT F. FORREST See also

Byzantium;

Middle East; Vasiliev

Biography Georgii Aleksandrovich Ostrogorskii Born St. Petersburg, 6 January [19 January] 1902 After early education in St. Petersburg, left with family during Russian Revolution Studied philosophy, sociology, and economics, University of Heidelberg 1921-24 PhD 1925 ; studied Byzantine history and art with Charles Diehl and Gabriel Millet Paris 1924-25 Taught at University of Wroclaw [Breslau], 1928-33 ; professor of Byzantine history University of Belgrade 1933-76 Founder/director, Institute of Byzantine Studies, Serbian Academy of Sciences and Arts, 1948 Married. Died Belgrade, 24 .

.

.

,

,

,

,

.

,

,

.

.

October 1976.

Principal Writings Die ländliche Steunergemeinde des Byzantinisches Reiches im X. Jahrhundert ( The Rural Tax Community of the Byzantine Empire in the Tenth Century), 1927 Geschichte des byzantinischen Staates , 1940 ; in English as History of the Byzantine State , 1956 , revised 1968 Pronija ( Pronoia ), 1951 Pour l'histoire de la féodalité byzantine (On the History of Byzantine Feudalism ), 1954 " The Byzantine Emperor and Hierarchical World Order," Slavonic and East European Review 35 ( 1956 ), 1 14 Quelques problèmes d'histoire de la paysannerie byzantine , 1956 -

in those countries and to suggest proper ways it. In the late 1970s he further turned to the of anomie in contemporary society caused by modern

Editor, Zur byzantinischen Geschichte: Ausgewählte kleine Schriften ( On Byzantine History: Selected Essays ), 1973

economic

Further Reading Ferluga J. Georg Ostrogorsky (1902-1976)," Jahrbuch für Geschichte Osteuropas new series 25 ( 1977 ), 632 36 Ševčenko Ihor Byzantium and the Slavs in Letters and Culture Cambridge, MA : Harvard Ukrainian Research Institute 1991

bureaucratic rationalization, and tried typology of human beings.

"

,

,

to

reality

change

question

,

own

DE-MIN TAO

-

,

,

his

to construct

,

,

Biography Born 3 May 1907 Attended school in Kyoto ; studied economics at Tokyo Imperial University, BA 1930 doctorate in economics 1949. Taught at Tokyo Imperial University 1930-33 ; Hosei University 1934-38 ; Tokyo University 1947-68 ; professor, International Christian University 1968-78 Died 9 July 1996. .

,

Otsuka Hisao

,

1907–19 6

,

,

Japanese

economic historian

A

economic

.

,

historian, Otsuka

Hisao is also

leading prominent non-church Christian who considerably influenced by a

was

the Bible class led by Uchimura Kanzō(1861-1930) and Yanaihara Tadao (1893-1961) in the early Showa period. Supported partly by his religious belief, Otsuka was tireless and fearless in dealing with important and serious social issues from his academic standpoint. He thought that the study of modern Western economic history was indispensable because it could provide an excellent contrast to contemporary Japanese economic society, which was a complex amalgamation of very advanced capitalism and a very old social system. He believed that it was possible to synthesize through proper translation and connection the concepts of Marxist economics and Max Weber's sociology in order to form an effective analytical methodology. Otsuka's first book Kabusbiki-gaisha hasset shiron (On the History of the Development of the Joint Stock Company, 1938), made a clear distinction between preindustrial capital and industrial capital. It was a case study of early English and Dutch joint stock companies and their transition from private companies to public ones with shareholders. Implicit in this study was his criticism of prewar Japanese financial combines. Meanwhile, he helped to translate Weber's "Die protestantische Ethik und der Geist des Kapitalismus" (1904-05, revised 1920; The Protestant Ethic and the Spirit of Capitalism, 1930, in order to search for the subjective force and ethos of modern European capitalism. The immediate postwar period saw a series of reforms in Japan including land reform and the dissolution of the combines, for which Otsuka had hoped. In order to construct a new Japan, he began to advocate modernization and democracy and published several influential books on this subject, including Kindaika no ningenteki kiso (The Human Foundations of Modernization, 1948) and Shūkyo kaikaku to kindai shakai (The Religious Reformation and Modern Society,

financial

1948). While continuing his writings and publications on Western economic history, Otsuka began to refine his framework and research methods. Kyōdōtai no kiso riron (Basic Theories on the Community, 1955) and Shakai kagaku no hōhō (Methodology of the Social Science, 1966) displayed his insights on universal law in the development of human societies and on scientific methods of analyzing social and phenomena. Otsuka was also concerned about countries, and edited Kōshin shihonsbugi no tenkai katei (The Developing Process of Backward Capitalism, 1973) in order to help establish a scientific understanding of the

theoretical

economic

underdeveloped

Principal Writings Kabushiki-gaisha hassei shiron ( On the History of the Development of the Joint Stock Company ), 1938 Kindai Oshū keizaishi josetsu ( An Introduction to Modern European Economic History ), 1944 Kindaika no ningenteki kiso ( The Human Foundations of Modernization ), 1948 Shūkyo kaikaku to kindai shakai ( The Religious Reformation and Modern Society ), 1948 Kyōdōtai no kiso riron ( Basic Theories on the Community ), 1955 Shakai kagaku no hōbō ( Methodology of the Social Science ), 1966 Otsuka Hisao cbosakushū( Complete Works of Otsuka Hisao ), 1969-76

Editor, Kōshin shihonshugi no tenkai katei ( The Developing Process of Backward Capitalism ), 1973 The Spirit of Capitalism: The Max Weber Thesis in an Economic Historical Perspective 1982 ,

Further Reading Iinuma Jiro Otsuka Hisao to sono jidai ( Otsuka Hisao and His Time ), in Shisō no kagaku ( The Science of Thought ), 36 1974 Ota Hidemichi Otsuka Hisao ," in Nagantora Keiji and Kano Masanao eds., Nihon no rekiskika ( The Historians of Japan ), Tokyo : Nihon hyōronsha 1976 Ueno Masaharu Otsuka Hisao chosaku nōto (A Chronology of Otsuka Hisao's Works ), Tokyo : Tosho shibunsha 1965 "

"

,

,

"

,

,

,

,

,

Otto of

Freising

c.

1 14–1 58

German chronicler

major histories, one partly for the instruction at the urging of his powerful and

Otto wrote two

and the other

partly

celebrated brought nephew, Paris, by study intellectual Europe, by 12th-century

to

both works center

a

emperor Frederick I Barbarossa. Otto in the mind trained both

northern

of

and

had first-hand lay and ecclesiastical experience in

governance. He Cistercian monastery in Burgundy, been

been abbot of a major elected bishop of Freising in Bavaria, and had accompanied emperor Conrad III on the unsuccessful Second Crusade before beginning his chronicles. The first history, the Chronicon, is customarily entitled De duabus civitatibus (c. 1146; The Two Cities, 1928). The portion that Otto wrote chronicled world in the year before the Second Crusade history to 1146 of wrote the first half ten Otto books. About years later, eight the Gesta Friderici imperatoris ( 1157; The Deeds of Frederick Barbarossa, 1953); Rahewin continued and completed it after -

-

Otto's death in 1158. In consequence of their

sharply varying implications for Frederick Barbarossa's rulership and for the meaning of history, these texts and, in particular, their relationship to each other have attracted the attention of those interested in the philosophy and theology of history. The Two Cities, as its title suggests, was inspired by St. Augustine's The City of God and, less visibly, Orosius' Seven Books against the Pagans and Boethius' On the Consolation of Philosophy. Otto's book, therefore, is a Heilsgeschichte a chronicle of world history in terms of its presumed

understanding -

-

-

congruence with divine

providence of the respective careers of Augustine's city and earthly city. In treating these careers, however, Otto blurred the fine distinctions that Augustine made between them. His purposes, after all, were not Augustine's. In the interest of the young emperor's education, Otto had three didactic aims. First, he wanted Frederick to see the long-term origins of current affairs. Second, he sought to increase Frederick's sophistication by engrossing him in past politics. Third, and theologically most interesting. Otto tried to show that the world's, or the worldly city's, time had nearly expired. In keeping with the Four Monarchies Theory, the Assyrian, Persian, and Greek monarchies had passed while the current age was still in the final, Roman monarchy. Now, however, rulership had moved to the west where, of course, the sun set. This was a symbol for what many events portended, the -

heavenly

imminent end of foreshadowed the of the work time. Otto

in the

beginning of his Prologue:

tenor

often and of vicissitudes changes temporal affairs and their varied and irregular issues, even as I hold that a wise man ought by no means to cleave to the things of time, so I find that it is by the faculty of reason alone that one must escape and find release from them." The Two Cities, therefore, can variously seem either a pessimistic or an optimistic history. It seems pessimistic because it portrays secular history as merely a sequence of vanities now drawing to a close. Conversely, it appears optimistic because it portended the final reckoning with the evil world and, with it, the long-awaited triumph of the heavenly city. This is characteristic of Augustinian historians, but it seems very remarkable in view of Otto's subsequent The Deeds of Frederick Barbarossa which celebrated the emperor's brilliance and success in a world that showed no sign of ending. Thus, Otto's works flatly contradicted each other with respect to the meaning of history. Commentators have suggested three possible solutions to this problem. First, Otto may have himself been confused by seemingly final portents followed by promising signs. Second, he may have believed both that the world was soon to end and that the worldly rule of his nephew was a short-lived, prosperous hiatus in a headlong rush to destruction. Third, he may just have changed his mind over ten years. Each hypothesis has something to recommend it and something to undercut it. Each interpretation implies an intimate relationship in Otto's mind between long-term and contemporary history. Otto's musings in the histories and his surviving correspondence with emperor Frederick rather intensify than remove the of interpretation. Otto, however, is important not solely as a specimen of Augustinian historiography. His careful narrations are indispensable as documents in medieval imperial history, and "In

pondering long and

in my heart upon the

for that reason were edited and published in 1868 by Julius Ficker in volume 20 of the Monumenta Germaniae Historica. His stylistic clarity, and keen interest in classical antiquity, are also strong evidence for a renaissance in the 12th century. ROBERT FAIRBAIRN SOUTHARD

Biography Born c. 1114, descended from the Holy Roman emperor Henry IV and half-brother of the Hohenstaufen king Conrad III. Studied in Paris and entered Cistercian order, 1133. Abbot of Morimund monastery, 1137; later bishop of Freising. Fought Guelphs with Conrad III ; went on Second Crusade , 1147; celebrated mass in Jerusalem , 1148; adviser to Frederick I, 1152-58 Died Morimund, .

22

September 1158.

Principal Writings Chronicon or De duabus civitatibus, c. 1143-46 ; in English as The Two Cities: A Chronicle of Universal History to the Year 1146 AD ,

1928

With Rahewin , Gesta Friderici I imperatoris, 1157-58 ; in The Deeds of Frederick Barbarossa , 1953

English

as

Further Reading Faussner, Hans Constanin , Die Königsurkundenfälschungen Ottos von Freising: aus rechtshistorischer Sicht ( Otto of Freising's Falsifications of Royal Documents in Legal Perspective ), Sigmaringen : Törbecke , 1993 Funkenstein , Amos , Heilplan und natürliche Entwicklung: Formen der Gegenwartsbestimmung im Geschichtsdenken des hohen Mittelalters ( Divine Plan and Natural Development: Forms of Certifying the Present in the High Middle Ages ), Munich :

Nymphenburger Verlanshandlung 1965 ,

Lammers , Walther, Weltgeschichte und Zeitgeschichte bei Otto von Freising ( World History and Contemporary History in Otto of Freising ), Wiesbaden : Steiner , 1977 Schürmann , Brigitte , Die Rezeption der Werke Ottos von Freising im 15. und frühen 16. Jahrhundert ( The Receiption of the Works of Otto of Freising in the 15th and 16th Centuries ), Stuttgart: Steiner , 1986

ambivalence

continual

difficulty

Ottoman

Empire

good portion of the historiography of the last quarter of the 20th century has been devoted to the problems and questions of the origins of the Ottoman empire, explanations of its expansion, its supposed zenith in the 16th century epitomized by the reign of Süleyman the Magnificent (Kanunî Süleyman), the commencement and periodization of its supposed decline, and its incorporation into the world capitalist economy before becoming a victim of European colonization. After decades of relative consensus, the study of the origins of the empire was rejuvenated by Rudi Lindner who argued in Nomads and Ottomans in Medieval Anatolia (1983) that tribes did play an important role in the success of the Ottoman emirate (princedom) as opposed to the dozen or so other emirates that existed in 13th-century northwestern Asia Minor. But Lindner's definition of a tribe is that of an inclusive nontribal organization which incorporated many non-Turks and non-Muslims. This view is contrary to that of Fuad Köprülü in Les Origines de l'Empire Ottoman (1935; The Origins of A

the Ottoman Empire, 1992) who stressed the tribal and ethnic Turkish origin of the empire, and of Paul Wittek, who assigned the dominant role to gkazis or warriors fighting for the causes of Islam. Lindner's work also took issue with Halil Inalcik who, while discounting Köprülü's emphasis on ethnicity, did accept Wittek's argument that the gazi element was significant. Inalcik's contribution regarding the origins of the empire is his stress on the role of demographic changes in the 13th-century eastern Mediterranean. In Between Two Worlds: The of the Ottoman State (1995), Cemal Kafadar the works on the origins of the empire over the past half century and concluded that the debate over the normative "Muslimness" of the ghazis obscured the historical realities of the distinctive heterogeneity of the culture and ethos of the march environment in which the empire developed. The historiography of the expansion of the Ottomans into the Balkans was also rejuvenated in the 1990s as a result of war in the former Yugoslavia. The starting point of all works dealing with the expansion of the Ottomans into the Balkans is Ömer Lûtfi Barkan's series of essays on deportations as a method of settlement and colonization in the Ottoman empire (1946-54) which documented the demographic changes accompanying the Turkification and Islamization of the Balkans. Two books written in the 1970s, Peter F. Sugar's Southeastern Europe under Ottoman Rule, 1354-1804 (1977) and Charles Jelavich and Barbara Jelavich's, The Establishment of the Balkan Nation States, 1804-1920 (1977), incorporated research done by Ottoman scholars of the Balkans, and are immeasurably better than prior works written primarily by Christian, anti-Ottoman scholars, many of whom originated from countries of Europe. Bistra Cvetkova and Nikolai Todorov each demonstrated the vitality of the cities and the non-Muslim to the development of urban life in the Ottoman Balkans. Both demonstrated the great contributions that Marxist historians have made to the historiography of the Balkans under Ottoman rule. But many Marxist paradigms collapsed along with the collapse of the Soviet Union and its satellite states. This is true regarding the controversies over the extent of and reasons for the Islamization of the Balkans. Three essay edited by Mark Pinson and by Daniel Panzac argued persuasively for the deep and profound influence of Islamic practices and forms on urban life in the Balkans. H.T. Norris' Islam in the Balkans (1993) took the revisionist trend a step further in demonstrating convincingly that Muslim culture among both the Slavs and the Turks was much fuller and richer than hitherto acknowledged in Western and Christiancentric Western historiography. A Bosnian Muslim scholar, Adem Handziç, affirmed Norris' conclusions. Machiel Kiel the innovative and original, but eclectic and diverse input, including Christian, of the constructs and structure of Islamic architecture in the Balkans. Three major syntheses of the Ottoman political economy, with emphases on the Balkans, appeared in the 1980s and 1990s. John Lampe and Marvin Jackson's Balkan Economic History, 1550-1950 (1982) stressed the interconnections between the peoples of the Habsburg and Ottoman empires, but they utilized almost no Ottoman sources. This lacuna was by the appearance of Bruce McGowan's Economic Life in Ottoman Europe (1981) which utilized Ottoman sources to

Construction synthesized

southeastern contributions

especially

collections

demonstrated

corrected

establish the crucial role of the growth of private commercial farming (çiftliks) which contributed to increased trade between the two empires. This increased privatization also contributed to the rise of nationalism. McGowan brought his research up to date in his contribution to Inalcik's An Economic and Social History of the Ottoman Empire, 1300-1914 (1944). One of the quests of Ottoman historians from the 1970s through the 1990s was the attempt to find common historical dimensions with the history of early modern Europe. These efforts were intended to break from the dominant view that the Ottoman polity was an entity sui generis, especially regarding the Ottoman land control practices as exemplified by the timar system, as being quite different from European feudalism. This view was held byÖmer Lûtfi Barkan and Halil Inalcik who squashed the thesis of Sencer Divitçioǧlu that the Asiatic Mode of Production had any relevance in explaining the economic and class system of the empire. Barkan and Inalcik's influence was successful in limiting the impact of Marxist and Marxian paradigms as instruments for analyzing the political economy of the empire, which discouraged young scholars from further comparisons of the Ottoman political economy with that of European societies. In New Approaches to State and Peasant in Ottoman History (1992) Halil Berktay went so far as to accuse Barkan of "document fetishism" and "state fetishism." Such characterizations imply that Barkan had no adequate explicative base for his work and that he was supportive of the authoritarian state. The monolithism of the "difference" construct between the Ottoman empire and Europe was contested steadily and in a remarkable series of books and articles in the 1980s and 1990s by Suraiya Faroqhi, who effectively demolished it. She demonstrated the many common dimensions of Ottoman and European socio-economic structures, while acknowledging that both experienced profound internal differences. Faroqhi argues that to discuss common dimensions the historian must not compare the 16th- and 17th-century Ottoman empire with the northern European countries, but rather with Spain, the Italian principalities, and the German states which, like the

brilliantly

Ottomans, experienced declining populations, economic and political dislocation.

involution,

Brummett argued in Ottoman Seapower and Diplomacy in the Age of Discovery (1994) that the Ottoman empire was a major player in the 16th-century world economy and that it was the challenge of the Ottomans as the "other" that compelled the Europeans to obstruct it as a and to eliminate it as a challenger for world hegemony. In The Forgotten Frontier: A History of the 16th-Century IberoAfrican Frontier (1978) Andrew Hess agreed with Faroqhi and Brummett on the existence of shared economic conjunctures between Europe and the Ottomans, but he insisted that their cultural, social, and technological history was "quite separate" Palmira

Levantine

competitor

and

comparable either in the 16th Faroqhi and her disciples, who

not

century

or

subsequently.

stressed the porosity of boundaries and rejected essentialization of contract, dominated the historiography of the 1980s and 1990s. Faroqhi and those she influenced also questioned the supposed "decline" paradigm that dominated Ottoman studies up to the 1970s. Cornell H. Fleischer attempted to elucidate the problem of decline whether it was the socioeconomic reality or bureaucratic imaginings of lost power through an But

-

-

in-depth study of a 16th-century high Ottoman official and intellectual. Fleischer concluded from his study that Mustafa Ali's work reflected real decline. Mustafa Ali's work is of an entire genre of literature known as nasihatname (advice) which has been used to support the decline paradigm by various Ottoman historians such as Bernard Lewis, I. Metin Kunt, and Madeline C. Zilfi. In Formation of the Modern State: The Ottoman Empire, Sixteenth to Eighteenth Centuries (1991), Rifa'at Abou-el-Haj argued vociferously against the utilization of the nasihatname literature to elucidate the true state of affairs, especially with regard to the political economy. He concluded that most of the nasihatname literature was selfserving and was a result of its authors' inability to understand the changes taking place. The empire was not declining, it was changing as more grandees (ayans, eşref, and pashas), both from the center and periphery clamored to be part of the action. Abou-el-Haj suggested that class and not nation-state models should be the vehicle to explain Ottoman history. Nation-state models stress that it was inevitable that the empire become more Western and evolve into a secular state. Based on a class model, Abou-el-Haj suggested that it is possible that a non-secular, Islamic state could have emerged in Turkey and in the Arab portions of the empire. Abou-el-Haj's objections that the Tanzimat period (1839-76) cannot be studied as an evolving western state was brilliantly vindicated by Butrus AbuManneh in "The Islamic Roots of the Gülhane Rescript" (1994), in which he argued that the rescript was declared not solely because of European pressure or a desire to institute a government based on the French Rights of Man as emphasized by Roderic H. Davison in Reform in the Ottoman Empire, 1856-1876 (1963). The rescript was issued rather as an attempt to reinvigorate the orthodox Sunni ideals as expressed through the Muslim brotherhood of the Naqsbandi-Mujaddi. Abu-Manneh's study profoundly revised the current history of the Tanzimat period and will influence all subsequent research on this period. Criticism and advocacy of the "decline" paradigm continued to focus research in the 1990s, Karen Barkey's Bandits and Bureaucrats (1994) portrayed the capabilities of the state in the 17th century to co-opt and to absorb the rebellious bandits, and the disgruntled high office holders in ways reminiscent of the British elite's success in warding off the charges of "old Corruption" in the first half of the 18th century. The traditional view as posited in 1914 by Ahmet Refik one that prevailed up to the 1990s was that women contributed to the decline of the empire; this was demolished by Leslie P. Peirce in The Imperial Harem (1993) which showed convincingly that imperial women made an essential contribution to strengthening the Sultanate from the late 16th through the 17th centuries. The Queen Mother became in effect the "glue which held the dynasty together." The power of the dynasty and the contribution of imperial women were strengthened further by the utilization of and ceremony to symbolize in form and manner the absolute sovereignty of the dynasty, as Gülrü Necipoǧlu's Architecture, Ceremonial, and Power (1991) vividly depicts. Another way in which the Ottoman elite maintained power up through the mid-19th century was through the of land and other state resources: a practice that spread rapidly throughout the 18th century. Ariel Salzmann posited

representative

peasants, -

-

imperial

architecture

"privatization"

that privatization and the long-term institutional of a previously highly centralized state was a strategy for the socio-organizational evolution of the empire that allowed the elite to maintain legitimacy. Rifa'at Abou-el-Haj in The 1703 Rebellion and the Structure of Ottoman Politics (1984) suggested that it was the relative weakness of the dynasty after its wars with the Habsburgs (1683-99) that allowed Ottoman elites (viziers and pashas) to play decisive roles in the coalitions that ruled the empire in the late 17th and 18th centuries. In addition to the debilitating effects of European wars, Robert W. Olson in The Siege of Mosul and Ottoman-Persian Relations, 1718-1743 (1975) was the first to argue that the Ottoman wars (1727-47) with the Safavid empire also played a major role in the necessity of the dynasty to renegotiate with the cultural and political elite. Such realignments of power led to the revolution that deposed Ahmet III (1703-30): brought to power by one coalition, he was deposed by another. These shifting currents of power finally resulted in a "peace policy" originating at the end of the wars with the Safavids, but reaching its peak after the Russo-Ottoman war of 1768-74. The results of the weakening of the empire, its pursuit of a peace policy and the development of a "Foreign Office" to carry out this policy is the subject of Virginia H. Aksan's An Ottoman Statesman in War and Peace (1995). Aksan's work suggested that is was only during the last quarter of the 18th century that the Ottoman elite resolved to pursue policies to stem their increasing weakness. But the internal renegotiation of political and economic power was not sufficient to stave off the economic and trade onslaught of the Europeans in the 19th century, as Roger Owen in The Middle East in the World Economy, 1800-1914 (1981) emphasized. He suggested that the dramatic impact on the redistribution of economic power was a result of the of the Middle East into the European-dominated world economy of the 19th century. While there was growth in some parts of the empire, it was due, argued Owen, to European demands. The colonial presence shifted economic power to the coast where non-Muslim minorities were able to take greater advantage of their European connections. This development also increased the differences and hostilities between the Muslims and non-Muslims, contributing to the development of nationalism. Donald Quataert acknowledged Owen's thesis of pervasive European dominance, but argued that small-scale manufacturing and technology transfer did take place. But Quataert failed to establish that such developments provided any means for an Ottoman economic take-off. Şevket Pamuk agreed with Owen that the

decentralization

relations

incorporation capitalist

subsequently

Ottoman

empire was dependent on the European capitalist using per capita indices of foreign trade and foreign investment, he concluded that the degree of integration of the empire into the world economy was still below that of mediumcore, but

sized countries of the Third World. This Pamuk attributed to the strength of the central bureaucracy vis-à-vis both the European powers and the internal interest groups such as merchants and landlords. Taking up where Owen, Quataert, and Pamuk left off, Reşat Kasaba acknowledged that the Ottoman empire was peripheralized in the world economy of the 19th century, but made the case that the non-Muslims were mainly intermediaries, brokers, and beneficiaries, and not, as is generally assumed, compradors: they opposed the hegemonic

power of the

capitalist world

economy, but, for their own for that of the state, and pre-empted the last possible opportunity for Ottoman capitalist development. The centralization of the Muslim-led bureaucracy in opposition to the non-Muslim policies also, argued Kasaba, impeded the growth of a civil society and democratized developments by the reign of Abdülhamid II (1876-1909). In a brilliant study, $ükrü Hanioǧlu showed just how the Tanzimat and Abdülhamid's reforms were. He demonstrated convincingly that materialism-positivism, with Turkish nationalism as the ideology created by the Young Turks during the last decade of the 19th century, was implemented during the Young Turk period (1908-18) in power, and persisted in influencing the ideology of the Turkish republic through most of the 20th century. Hanioǧlu contrary to previous histories, that the Young Turks were not "liberals" or "constitutionalists"; they were anti-parliament and never envisioned the participation of the masses in or administration. Prior to the appearance of Hanioǧlu's book, Erik J. Zürcher's The Unionist Factor (1984) had already argued for the continuity between the policies of the Committee of Union and Progress (CUP) and republican politics. A view thought heretical as late as the 1970s, it is now part of mainstream historiography. Zürcher is also the author of Turkey: A Modern History (1993) in which he integrated his ideas within the longue durée context of Ottoman and Turkish history. Another good essay emphasizing the impact of empire on republic is Feroz Ahmad's The Making of Modern Turkey (1993) which focused on the attempts of both the Young Turks and the republicans to create a Turkish bourgeoisie class to facilitate modernization policies. Both Zürcher's and Ahmad's work demonstrate conclusively the strong ideological, and political cultural continuity between the late Ottoman empire, the Young Turks, and the republic of Turkey.

benefit and

not

epitomized

unsuccessful combined

emphasized,

policymaking

economic,

ROBERT OLSON

See also Balkans; Barkan; Browne; Byzantium; Cahen; Crusades; Eastern Orthodoxy; Egypt: since the 7th Century; Germany: to 1450; Greece: Modern; Hourani; Inalcik; Issawi; Jelavich; Jewish; Kedourie; Köprülü; Lewis, B.; Middle East; Naima; Ranke;

Runciman; Spain: Imperial; Sugar; Zāydan

Karen , Bandits and Bureaucrats: The Ottoman Route to , State Centralization , Ithaca, NY: Cornell University Press , 1994 Berktay, Halil , and Suraiya Faroqhi, eds., New Approaches to State and Peasant in Ottoman History , London : Cass, 1992 Braude , Benjamin , and Bernard Lewis , eds., Christians and Jews in the Ottoman Empire: The Functioning of a Plural Society , New York : Holmes , 1982 Brummett , Palmira , Ottoman Seapower and Levantine Diplomacy in the Age of Discovery , Albany : State University of New York

Barkey

Press , 1994

Cvetkova [Tsvetkova] , Bistra , Vie économique des villes et ports balkaniques aux XVe et XVIe siècles (The Economic Life of Balkan Cities and Ports in the 15th and 16th Centuries ), Paris : Geuthner, 1971 " Dadian , Vahakn , The Armenian Genocide in Official Turkish Records ," Journal of Political and Military Sociology 22 ( 1994 ), 1

201

Davison , Roderic H. , Reform in the Ottoman Empire, 1856-1876 , Princeton : Princeton University Press , 1963 Divitçioǧlu , Sencer, Asya üretitn tarzi ve Osmanli toplumu ( Ottoman Society and the Asiatic Mode of Production ), Istanbul: Istanbul

History Faculty 1967 Faroqhi Suraiya Towns and Townsmen of Ottoman Anatolia: Trade, Crafts, and Food Production in an Urban Setting, 1520-1650 Cambridge and New York : Cambridge University Press 1984 Faroqhi Suraiya Men of Modest Substance: House Owners and House Property in Seventeenth-Century Ankara and Kayseri Cambridge : Cambridge University Press 1987 Faroqhi Suraiya Pilgrims and Sultans: The Hajj under the Ottomans, 1517-1683, London : Tauris and New York: St. Martin's Press, 1994 ,

,

,

,

,

,

,

,

,

,

,

,

Fleischer , Cornell , Bureaucrat and Intellectual in the Ottoman Empire: The Historian Mustafa Ali, 1541-1600 , Princeton : Princeton University Press , 1986 Gibb , H. A. R. , and Harold Bowen , eds., Islamic Society and the West: A Study of the Impact of Western Civilization on Moslem Culture in the Near East , 2 vols., London : Oxford University Press , 1950-57

Goffman , Daniel , Izmir and the Levantine World, 1550-1650 , Seattle : University of Washington Press , 1990 Goodwin , Jason , Lords of the Horizons: A History of the Ottoman Empire, London : Chatto and Windus , 1998 Handziç, Adem , Studije o Bosni: historijski prilozi iz OsmanskoTurskog peroda ( Studies on Bosnia: Historical Contributions of the Ottoman-Turkish Period ), Istanbul : Research Center for Islamic History, Art, and Culture , 1994 Hanioǧlu , $ükrü M. , The Young Turks in Opposition , Princeton : Princeton

Further Reading Abou-el-Haj Rifa'at Ali The

, , 1703 Rebellion and the Structure of Ottoman Politics , Leiden : Nederlands Historisch-Archeologisch Instituut te Istanbul , 1984 Abou-el-Haj , Rifa't Ali , Formation of the Modern State: The Ottoman Empire, Sixteenth to Eighteenth Centuries , Albany : State University of New York Press , 1991 Abu-Manneh , Butrus , The Islamic Roots of the Gülhane Rescript ," Die Welt des Islams 34 ( 1994 ), 173 203 Ahmad , Feroz , The Making of Modern Turkey, London and New York : Routledge , 1993 Aksan , Virginia H. , An Ottoman Statesman in War and Peace: Ahmed Resmi Efendi, 1700-1783 , Leiden : Brill , 1995 " Barkan , Ömer L\l=ufi , Osmanli imparatorlu g unda bir iskân ve " kolonizasyon metodu olarak sürgünler ( Deportations as a Method of Settlement and Colonization in the Ottoman Empire ), Iktisat Fac ltesi Mecmuasi 11 ( 1946-50 ), 524 69 ; 13 ( 1951-52 ), "

-

-

58

-

79 ; 15

( 1953-54 ),

Barkan , O mer L tfi , Gözlem , 1980

209 329

Toplu

-

eserler (Collected Works ), Istanbul :

University

Press , 1995

Hasluck , Frederick W. , Christianity and Islam under the Sultans , 2 vols., Oxford : Clarendon Press , 1929 Hess , Andrew, The Forgotten Frontier: A History of the 16thcentury Ibero-African Frontier, Chicago : University of Chicago Press ,

1978

Imber, Colin , The Ottoman Empire, 1300-1481 , Istanbul : Isis Press , 1990

Inalcik , Halil , The Ottoman Empire: The Classical Age, 1300-1600 , London : Weidenfeld and Nicolson, and New York: Praeger, 1973 Inalcik , Halil , with Donald Quataert, An Economic and Social History of the Ottoman Empire, 1300-1914 , Cambridge and New York : Cambridge University Press , 1994 Islamoǧlu-Inan , Huri , ed., The Ottoman Empire and the World Economy, Cambridge and New York : Cambridge University Press ,

1987

Issawi , Charles , ed., The Economic History of Turkey, 1800-1914 , Chicago : University of Chicago Press , 1980 Jelavich , Charles , and Barbara Jelavich , The Establishment of the Balkan Nation States, 1804-1920 , Seattle : University of Washington Press , 1977

Kafadar, Cemal , Between Two Worlds: The Construction of the Ottoman State , Berkeley : University of California Press , 1995 Kasaba , Reşat , The Ottoman Empire and the World Economy: The Nineteenth Century, Albany : State University of New York Press ,

1988 Kiel , Machiel , Studies on the Ottoman Architecture of the Balkans , Aldershot : Variorum, and Brookfield , VT: Gower, 1990 Köprülü , M. F. , Les Origines de l'Empire Ottoman , Paris : Boccard , 1935 ; in English as The Origins of the Ottoman Empire, Albany : State University of New York Press , 1992 Kunt , I. Metin , The Sultan's Servants: The Transformation of Ottoman Provincial Government, 1550-1650 , New York : Columbia University Press , 1983 Lampe , John R. , and Marvin R. Jackson , Balkan Economic History, 1550-1950: From imperial Borderlands to Developing Nations , Bloomington : Indiana University Press, 1982 Lewis , Bernard , The Emergence of Modern Turkey, London and New York : Oxford University Press , 1961 ; revised edition 1968 Lindner, Rudi P. , Nomads and Ottomans in Medieval Anatolia , Bloomington : Indiana University Press , 1983 McGowan , Bruce , Economic Life in Ottoman Europe: Taxation, Trade, and the Struggle for Land, 1600-1800 , Cambridge and New York : Cambridge University Press , 1981 Marcus , Abraham , The Middle East on the Eve of Modernity: Aleppo in the Eighteenth Century, New York : Columbia University Press , 1989 Masters , Bruce , The Origins of Western Economic Dominance in the Middle East: Mercantilism and the Islamic Economy in Aleppo, 1600-1750 , New York : New York University Press , 1988 Mutafchieva , Vera P., Agravnite otnosheniia ν Osmanskatu imperiia prez XV-XVI v. , Sofia : Bilgradska , 1962 ; in English as Agrarian Relations in the Ottoman Empire in the 15th and 16th Centuries , New York : Columbia University Press , 1988 Necipoǧlu, Gülrü , Architecture, Ceremonial, and Power: The Topkapt Palace in the Fifteenth and Sixteenth Centuries , Cambridge, MA : MIT Press , 1991 Norris , H. T. , Islam in the Balkans: Religion and Society Between Europe and the Arab World, London : Hurst , and Columbia: University of South Carolina Press, 1993 Olson , Robert W. , The Siege of Mosul and Ottoman-Persian Relations, 1718-1743: A Study of Rebellion in the Capital and War in the Provinces of the Ottoman Empire, Bloomington : Indiana University Press , 1975 Ortayli, liber, Imparatorluǧun en uzun yüzytl ( The Empire's Longest Century), Istanbul : Hil , 1983 Owen , Roger, The Middle East in the World Economy, 1800-1914 , London and New York : Methuen , 1981 Pamuk , Şevket , Oslmanlt ekonomisi ve dunya kapitalizmi (1820-1913) , Ankara : Yurt yayinevi, 1984 ; in English as The Ottoman-Empire and European Capitalism, 1820-1913: Trade, Investment, and Production , Cambridge and New York : Cambridge University Press , 1987 Panzac , Daniel , La Peste dans l'Empire Ottoman ( The Plague in the Ottoman Empire), Leuven : Peeters, 1985 Panzac , Daniel , ed., Les Villes dans l'Empire Ottoman: activités et sociétés ( Cities in the Ottoman Empire: Social and Cultural Structures ), 2 vols., Paris : Editions du Centre National de la Recherche Scientifique , 1991-94 Panzac , Daniel , ed., Les Balkans à l'époque ottomane ( The Balkans during the Ottoman Period ), La Calade, France : Edisud , 1993 Peirce , Leslie P. , The Imperial Harem: Women and Sovereignty in the Ottoman Empire, New York : Oxford University Press , 1993 Pinson , Mark , ed., The Muslims of Bosnia-Herzegovina: Their Historic Development from the Middle Ages to the Dissolution of Yugoslavia , Cambridge : Cambridge University Press , 1994 Quataert, Donald , Manufacturing and Technology Transfer in the Ottoman Empire, 1800-1914 , Istanbul : Isis , 1992 Refik [Altinay] , Ahmed , Kadinlar Sultanati ( The Sultanate of Women ), 4 vols., Istanbul : Hilmi , 1914-23

" Salzmann , Ariel , An Ancien Régime Revisited: Privatization and Political Economy in the Eighteenth Century Ottoman Empire," Politics and Society 21 ( 1993 ), 393 423 Sugar, Peter F. , Southeastern Europe under Ottoman Rule, 1354-1804 , Seattle : University of Washington Press , 1977 Thobie , Jacques , Intérêts et impérialisme français darts l'Empire Ottoman, 1895-1914 ( French Interests and Imperialism in the Ottoman Empire, 1895-1914 ), Paris : Sorbonne , 1987 Todorov, Nikolai , The Balkan City, 1400-1900 , Seattle : University of Washington Press , 1983 [Russian original] Toprak , Zafer, Türkiye'de "Milli Iktisat," 1908-1918 ( The "National Economy" in Turkey ), Ankara : Yurt , 1982 Wittek , Paul , The Rise of the Ottoman Empire, London : Royal Asiatic Society, 1938 Zilfi , Madeline C. , The Politics of Piety: The Ottoman Ulema in the Post-Classical Age, 1600-1800 , Minneapolis: Bibliotheca Islamica , 1988 Zürcher, Erik J. , The Unionist Factor: The Role of the Committee of Union and Progress in the Turkish Nationalist Movement , Leiden : Brill , 1984 Zürcher, Erik J. , Turkey: A Modern History , London and New York : Tauris , 1993 -

Ouellet, Fernand

1926–French

Canadian historian In the aftermath of World War II, Fernand Ouellet was one of a number of historians at the Université Laval in Quebec

City who developed a new way of looking at the French Canadian past. Along with Marcel Trudel and Jean Hamelin, Ouellet

largely

focused upon the factors that had been

for the economic inferiority of French-speakers since the responsible conquest of

Quebec by the English in the late18th century. historians, most of whom had been priests with little professional training, had largely concentrated upon such cultural issues as the survival of the French language and the well-being of the Catholic church. However, in the aftermath of World War II, as French-speakers' standard of living improved quite markedly, there was a growing interest in material advancement, and historians such as Ouellet reflected Previous

this

new

In

orientation by turning

to

economic issues.

making this shift, Ouellet and his Laval colleagues a point of view that differed from that of their at the other Canadian French-language university, the

developed contemporaries

Université de Montréal. While all of the postwar historians were united by the fact that they were laymen who had received professional training, they were divided when it came to attributing responsibility for the long-standing economic of French-speakers. While the+ Montreal historians such as Guy Frégault focused on the devastating impact of the conquest, the Laval historians emphasized the internal weaknesses of French Canadian society that had inhibited economic success. Ouellet, for his part, contributed to the Laval interpretation by looking at various aspects of the social and economic behavior of French-speakers in the late18th and early 19th centuries. Over the course of the 1950s, 1960s, and 1970s he wrote numerous articles and two highly influential books that showed how the arrival of British rule had provided an expanded market for the goods produced by French-speaking farmers, who made up the bulk of the population. By and large, Ouellet found that French-speakers had failed to respond

appropriate

weakness

the available

thus

him

the

opportunities, leading conclusion that they had been the agents of their misery. to

to

own

made this point

He

in his most

emphatically important work, économique et sociale du Québec (1966; Economic and Social History of Quebec, 1760-1851, 1980), in which he blamed French Canadian farmers for lavish spending instead of wise investment, and the French Canadian bourgeoisie for maintaining social structures that impeded economic instead of supporting projects that might have created most

Histoire

advancement

wealth. Along the way Ouellet was particularly critical of French Canadians' Catholic heritage which he viewed as an impediment to their economic success. While many of Ouellet's claims regarding the outdated mentalité of French-speakers were little more than assertions based upon relatively little evidence, there were other aspects of his work that were both innovative and based upon painstaking research. Ouellet first received the taste for historical research from an early encounter with the French historian Ernest Labrousse, and many of Ouellet's works were marked by Labrousse's concern for the use of serial data to understand change. Moreover, Ouellet made frequent use of the terms "structure" and "conjoncture," popularized by Labrousse, to distinguish the relatively permanent features of a given situation from ones of a shorter duration. In more terms, Ouellet used serial data to indicate that the major watershed in Quebec history came not with the conquest, as most previous historians had argued, but rather with a variety of economic changes in the early 19th century. From Ouellet's the great disaster for French Canadians came with their failure to take advantage of these structural changes, which might have offered them the means for economic gain. In this regard, he was particularly critical of the leaders of French Canadian society who took part in armed uprisings in 1837-38 instead of tending to the real economic problems at hand. Ouellet was in good company in the immediate postwar era in pointing to the self-inflicted problems faced by French Canadians. A number of Laval professors in other disciplines were arguing along much the same lines, as was Pierre Elliott Trudeau, a future prime minister of Canada, who wrote about French Canadian society in the 1950s and 1960s. Over the past thirty years, however, Ouellet has not been kindly treated by French-speaking historians who have not appreciated the suggestion that French Canadians had been the agents of their own difficulties. Ouellet's self-critical approach has been particularly resented since the 1970s as the economic and political power of French Canadians has been on the rise. In this context, recent French Canadian historians, instead of dwelling on economic problems, have stressed the deep roots of French Canadian modernity, a position that Ouellet has bitterly attacked in a number of historiographical essays. In one such essay, he insisted that Quebec history offers much "more support for the thesis of backwardness than for that of modernization" (Economy; Class and Nation in Quebec, 1991). Ouellet's isolation from most French Canadian historians stands in stark contrast with his kind treatment at the hands of English-Canadian colleagues, who have had little reason to be troubled by Ouellet's negative view of his own society.

economic

socioeconomic

concrete

perspective,

extensively

particularly

RONALD RUDIN See also Canada

Biography Born Lac-Bouchette, Quebec, 6 November 1926. Received BA Université Laval, 1948, L ès L 1950, D ès L, 1965 Assistant archivist, Quebec province, 1956-61 ; taught at Laval University, 1961-65 ; Carleton University, 1965-75 , University of Ottawa, 1975-85 , and York University, Downsview, Ontario , from 1986 (professor of history). Married Thérèse Roy, 1956 .

.

Principal Writings économique et sociale du Québec, 1760-1850 1966 ; in English as Economic and Social History of Quebec, 1760-1850

Histoire

,

,

1980 Eléments d'histoire sociale du Bas-Canada (Elements of Social History in Lower Canada ), 1972 Le Bas-Canada, 1791-1840: changements structuraux et crise , 1976 ; in English as Lower Canada, 1791-1840: Social Change and Nationalism , 1980 L'Etude des religions dans les écoles: l'expérience américaine, anglaise et canadienne ( The Study of Religion in Schools: The American, English and Canadian Experiences ), 1985 The Socialization of Quebec Historiography since 1960 , 1988 Economy, Class and Nation in Quebec: Interpretive Essays , 1991

Further Reading to Quebec's Quiet Revolution: Liberalism Neo-Nationalism, 1945-1960 Kingston, Ontario : McGillQueen's University Press 1985 Berger Carl The Writing of Canadian History 2nd edition, Toronto : University of Toronto Press 1986 Cook Ramsay Canada, Quebec and the Uses of Nationalism Toronto : McClelland and Stewart 1986 Dubuc Alfred The Influence of the Annales School in Quebec," Review 1 (1978 ), 123 46 Fournier Marcel L'Entrée dans la modernité ( Entering Modernity ),

Behiels , Michael , Prelude versus

,

,

,

,

,

,

,

,

,

,

"

,

,

-

,

,

Montreal : Editions St-Martin , 1986

Gagnon Serge Le Québec et ses historiens Quebec : Presses de l'Université Laval 1978 ; in English as Quebec and Its Historians, 1840-1920 Montreal : Harvest House 1982 and Quebec and Its Historians: The Twentieth Century Harvest House 1985 Lamarre Jean Le Devenir de la nation québécoise selon Maurice Séguin, Guy Frégault et Michel Brunei, 1944-1969 ( The Future of the Quebec Nation According to Maurice Séguin, Guy Frégault, and Michel Brunet, 1944-1969 ), Sillery, Quebec : Septentrion 1993 LeGoff T.J. A. The Agricultural Crisis in Lower Canada, 1802-12: A Review of a Controversy," Canadian Historical Review 55 ( 1974 ). 1 31 Rudin Ronald Revisionism and the Search for a Normal Society: A Critique of Recent Quebec Historical Writing," Canadian Historical Review 73 ( 1992 ), 30 61 Trudel Marcel Mémoires d'un autre siècle ( Memoirs of Another Century), Montreal : Boréal 1987 ,

,

,

,

,

,

,

,

,

,

,

,

"

,

,

-

"

,

,

-

,

,

,

Owsley,

Frank Lawrence

1890–1956

US historian Frank Owsley, born in Alabama to an old plantation family, spent his career in the American South and devoted it to a revisionist interpretation of the history of the South and the Civil War, an enterprise intended to rehabilitate the South's past, rescue its history from quasi-colonial status, instill a sense of Southern identity, and regain the respect of Americans from other sections for his native region. From 1920 to 1948 Owsley taught at Vanderbilt University, where he built up a graduate

developing

history, with a strong concentration upon the of the South. In 1949 he took an endowed chair at the University of Alabama at Tuscaloosa, and as he had done at Vanderbilt he again helped to found a new graduate program in history and directed many theses on southern history. In 1940 Owsley, undoubtedly the leading southern historian of his served as president of the Southern History Association; he was also offered many prestigious visiting appointments at leading institutions in the United States and abroad. His continued long after his death; his numerous students themselves constituted almost a school of southern historians, and many of them achieved prominent positions in the particularly in southern institutions. Owsley's first book, State Rights in the Confederacy (1925), suggested that the South lost the Civil War not so much through the North's military superiority but because the of southern states were unwilling to cooperate fully with Jefferson Davis' Confederate government in the common cause. His second work, King Cotton Diplomacy (1931), was a study of the attitude of Britain and France toward the Confederacy. It argued that, although the British government hoped for a southern victory, which would have permanently weakened a divided United States, at no time were its officials prepared to risk northern disfavor by siding openly with the South, an outlook that was understood by northern leaders but not by their southern counterparts. By 1930 Owsley was associated with a group of known as the Nashville Agrarians, many of them members of Vanderbilt's English department, who engaged in a strongly partisan defense of their region and its interests. In several of essays, notably I'll Take My Stand (1930), and Who Owns America? (1936), they argued that agrarian and interests were ignored by a centralized government by urban, business, and trade union interests. Owsley, who himself owned a farm for many years, reiterated these themes in many political essays, which also extolled the lifestyle as a democratic, Jeffersonian, and fundamentally virtuous enterprise, one that instilled in men respect both toward each other and for the limits of nature. These political interests almost certainly helped to impel Owsley to devote his mature academic career to the study of the rural middle class of the antebellum South, which resulted in his most influential work, Plain Folk of the Old South (1949). It suggested that the South's middle-class yeomanry, the majority of whites in that section, enjoyed a relationship of mutual respect with the gentry and planters of the region and a common commitment to the South's existing system which united all of them. Increasingly vitriolic abolitionist attacks on slavery by northerners during the 1850s threatened the South's identity and domestic independence, to the point that such "plain folk" felt that, in defending their section, they were defending the same liberties that the colonies had defended in 1776: a viewpoint with which Owsley clearly sympathized. Owsley's own work was by monographs on the yeomen freeholders of states undertaken by his students, and although critics have queried his interpretation of the politics of the period and the attitudes of the "plain folk," his finding that most whites in the South belonged to this class has not been challenged a tribute to the meticulous research underpinning it. program in

history

generation,

Although much of Owsley's work clearly had an underlying social and political objective, and he wrote extensively on current politics, he based his scholarly works on diligent and thorough research in primary sources. His career was notable not merely for his productivity but also for his role in restoring the serious study of the South's past to the agenda of the American historical profession. PRISCILLA M. ROBERTS

influence

profession,

governors

southerners

collections southern dominated

agrarian

socioeconomic

thirteen

supplemented individual

-

Biography Born Montgomery County, Alabama, 1890 Attended Fifth District Agricultural School Wetumpka, Alabama ; received BA, Alabama Polytechnic Institute (later Auburn University), 1911 MA 1912; PhD, University of Chicago 1924 Taught at Fifth District Agricultural School 1912-14 ; Alabama Polytechnic Institute 1914-15 ; Birmingham Southern University 1919-20 ; Vanderbilt University 1920-48 ; University of Alabama 1949-56 Served in World War I Married Harriet Fason Chappell, 1920 (1 son, 1 daughter). Died Winchester, England, 21 October 1956. .

,

,

,

.

,

,

,

,

.

,

.

Principal Writings State Rights in the Confederacy , 1925 Contributor, I'll Take My Stand: The South and the Agrarian Tradition , 1930 King Cotton Diplomacy: Foreign Relations of the Confederate States of America , 1931 Contributor, Who Owns America? A New Declaration of Independence , edited by Herbert Agar and Allen Tate , 1936 Plain Folk of the Old South , 1949 The South: Old and New Frontiers: Selected Essays of Frank Lawrence Owsley , edited by Harriet Chappell Owsley, 1969

Further Reading Binkley William C.

" Frank Lawrence Owsley, 1890-1956: A , , Memorial Foreword ," in Owsley's King Cotton Diplomacy, Chicago : University of Chicago Press 1959 Bradford , M. E. , " What We Can Know for Certain: Frank Owsley and the Recovery of Southern History," Sewanee Review 78 ( 1970 ), 664 69 Bradford , M. E. , " Frank L. Owsley," in Clyde N. Wilson , ed., Twentieth-Century American Historians , Detroit : Gale , 1983 [Dictionary of Literary Biography, vol. 17 ] " Cresap , Bernarr, Frank L. Owsley and King Cotton Diplomacy," Alabama Review 26 ( 1973 ), 235 51 Hyde, Samuel C. , Jr. , ed., Plain Folk of the South Revisited , Baton Rouge : Louisiana State University Press , 1997 Lytle , Andrew, Foreword," in Harriet Chappell Owsley, ed., The South: Old and New Frontiers: Selected Essays of Frank Lawrence Owsley , Athens : University of Georgia Press , 1969 O'Brien , Michael , The Idea of the American South, 1920-1941 , Baltimore : Johns Hopkins University Press , 1979 " Owsley, Frank L. , Jr. , Frank Lawrence Owsley," in John R Wunder, ed., Historians of the American Frontier: A BioBibliographical Sourcebook , New York : Greenwood Press , 1988 Owsley, Harriet Chappell , Frank Lawrence Owsley: Historian of the Old South: A Memoir , Nashville : Vanderbilt University Press , ,

.

-

-

"

.

1990

Shapiro

"

Edward , Frank L. Owsley and the Defense of the Southern Identity," Tennessee Historical Quarterly 36 ( 1977 ), 75

-

,

94

Ozouf,

the

Mona

from the most organized and staged the Festival of the Supreme Being to the most raucous provincial celebrations, where spontaneity and violence often lurked just below the surface. Ozouf focused on the common threads that tied all festivals together, showing that revolutionaries of widely varying political beliefs all tried to stage festivals in open fields unscarred by symbols of the or the church. They all paid close attention to the timing of festivals, making them a regular and customary part of seasonal rhythms. Similarly, they all saw festivals as an opportunity to teach French people about patriotism and republican loyalty. Ozouf's careful analysis of symbols, images, and other cultural representations in revolutionary festivals has had a profound influence on the historiography of the Revolution and on the field of cultural history more broadly. Ozouf followed her study of festivals with a number of other books and essays on the politics and culture of the Revolution, many of them collaborative projects with François Furet. Among these works, the Dictionnaire critique de la Révolution française (1988; A Critical Dictionary of the French Revolution, 1989) has evoked much interest and acclaim, though some historians have been disappointed by the degree to which the book ignored older social and economic historiography. The volume offered critical essays on the events, actors, institutions, ideas, and of the revolutionary period, and with 21 entries to her intellectual influence is felt throughout the book. Ozouf's credit, Other essays on politics, culture, and social expression in the French Revolution were presented in the collection L'Homme régénéré (Regenerated Man. 1989). More recently, Ozouf turned her attention to the history of women in Les Mots des femmes (Women's Words, 1995). Focusing on intellectual portraits of ten prominent women in French history including Madame de Staël, George Sand, and Simone de Beauvoir Ozouf explored the anxieties and passions of French women for 200 years. In a controversial concluding essay, Ozouf advanced an explanation for why French feminism has historically been less confrontational than its Anglo-Saxon

revolutionary period,

Parisian affairs

French social historian French historian Mona Ozouf began L'Ecole de la France (The School of France, 1984) by reminiscing about her childhood experiences as the daughter of a village schoolteacher in Brittany. She recalled the secret joys of being the teacher's child, sitting at her father's desk after school hours and dipping his pen into the mysterious red ink. We sense that out of these stolen hours in the classroom, Ozouf developed her love of learning and of scholarship. Ozouf also described how her childhood was divided between three worlds: the schoolhouse, where her and left-wing father spoke only French; her home, where her parents insisted the family speak Breton and filled their shelves with books celebrating regional identity; and the church, where her grandmother led her for Thursday catechism and Sunday mass. She depicted a childhood of "multiple codes" and eccentricity, which led her to dream of harmonious unity. "With how could one hope to make pieces from these three worlds a single fabric? How to build unity out of so much diversity?" These were the questions, Ozouf noted, that bound together the essays in L'Ecole de la France, but they are also the questions that underlie all of Mona Ozouf's scholarship. With her first book, L'Ecole, l'Eglise et la République, 1871-1914 (The School, the Church, and the Republic, 1963), Ozouf began a career-long exploration into the meaning and role of secular education in the Third Republic, an intellectual interest that she shares with her husband, historian Jacques Ozouf, author of the 1973 collective autobiography, Nous les maîtres d'école (We, the Schoolmasters). In numerous books and essays, together and separately, the Ozoufs have surveyed the social, cultural, and political role that teachers have played in French national life. In La Classe ininterrompue (The Uninterrupted Class, 1979), Mona Ozouf used memoirs from four generations of schoolteachers from a single family to the social history of teaching from the French Revolution to World War I. Similarly, the Ozoufs' most recent project, La République des instituteurs (The Republic of Schoolteachers, 1992), provided an in-depth look at the values, and beliefs of French schoolteachers of the early 20th century, based on some 4000 questionnaires that Jacques Ozouf collected from former teachers in the 1960s. Finally, in essays on education in L'Ecole de la France and elsewhere, Ozouf scrutinized the ideological values that animated the first generations of Third Republic schoolteachers: fervent and a certain idea of France that was deeply rooted in the revolutionary principles of liberty, equality, and fraternity. These principles, and the Revolution of 1789 that put them on the political map, have been, in fact, the second subject at the center of Ozouf's scholarship. Ozouf is best known as a scholar of the French Revolution. Along with François Furet, she helped to define a new interpretation of the revolutionary period. Reacting against Marxist historiography that focused on economic and social change, Ozouf and other revisionists have sought to privilege questions of culture and politics in their analysis. This is clear in Ozouf's seminal book, La Fête révolutionnaire, 1789-1799 (1976; Festivals and the French Revolution, 1988). In this book, Ozouf analyzed the flurry of festivals that marked

anticlerical

.

.

.

illustrate collaborative

experiences,

patriotism

revisionist

reorientation

-

such

as

-

monarchy

interpretations

-

-

counrcrnart.

Whether she has focused on educators, revolutionaries, or the question, "How to build unity out of so much diversity?" continues to haunt Ozoufs historiography. Her intellectual quest, which originated as a personal of sorts, has ultimately embraced the very essence of French culture and political life.

women,

self-exploration

MONA L. SIEGEL

See also Social; Theatre

Biography

Director of research, Centre Nationale de la Recherche Scientifique , Paris Married historian Jacques Ozouf. .

Principal Writings et la République, 1871-1914 (The School, the Church and the Republic ), 1963 La Fête révolutionnaire, 1789-1799 , 1976 ; in English as Festivals and the French Revolution , 1988 La Classe ininterrompue: cahiers de la famille Sandre, enseignants, 1780-1960 (The Uninterrupted Class: Notes on the Sandre

L'Ecole, l'Eglise

Family, Teachers, 1780-1960 ),

1979

L'Ecole de la France: essais sur la Révolution, l'utopie, et l'enseignement ( The School of France: Essays on the Revolution, Utopia and Teaching), 1984 " With Jacques Ozouf, Le Tour de la France par deux enfants (The Tour of France by Two Children )," in Pierre Nora , ed., Les Lieux de mémoire , 1984 , 1 : 291 321 Editor with François Furet , Dictionnaire critique de la Révolution française, 1988 ; in English as A Critical Dictionary of the French Revolution , 1989 L'Homme régénéré: essais sur la Révolution française (Regenerated Man: Essays on the French Revolution ), 1989 Editor with François Furet , Terminer la Révolution: Mounier et Barnave dans la Révolution française ( Ending the Revolution: -

Mounier and Barnave in the French Revolution ), 1990 Editor with François Furet , La Gironde et les Girondins ( The Gironde and the Girondins ), 1991 Editor with François Furet , The French Revolution and the Creation of Modern Political Culture, vol. 3; The Transformation of Political Culture, 1789-1848 , 1991 With Jacques Ozouf, La République des instituteurs ( The Republic of Schoolteachers ), 1992 Editor with François Furet , Le Siècle de l'avènement républicain ( The Century of Republican Accession ), 1993 Les Mots des femmes: essai sur la singularité française ( Women's Words: An Essay on French Singularity ), 1995

P Pacific/Oceanic History Pacific

the Pacific islands, sometimes including precolonial Zealand, but excluding Australia. As with so many other "area studies" programs during the 1960s, Pacific specialists wished to break with Eurocentric political and history in favor of a regional view and islanders' own To that end J.W. Davidson founded the Research School of Pacific Studies at Canberra, Australia, in 1954 and the journal of Pacific History in 1966. His team of historians and anthropologists pioneered interdisciplinary methods to uncover Pacific islanders' own accounts of their history. Elsewhere in the south Pacific, the founding of new universities in Papua New Guinea and Fiji in 1966 encouraged the growth of islandoriented research. Through the 1970s, fieldwork in the islands was the basis for publications that emphasized Pacific islanders' energetic and creative response to the problems posed by European explorers, missionaries, and traders. The later colonial period, shunned because of its association with British imperial history, remained largely unexamined: culture contact the agenda. One of the most innovative members of the Davidson school, Greg Dening, described the beach as a zone of interaction where islanders and Europeans negotiated the of culture contact in Islands and Beaches (1980). The first general history of the islands appeared in Howe's Where the Waves Fall (1984), reflecting the desire for a broader, comparative approach to Pacific history. The anthropological approach of Davidson and his colleagues was often narrow, focusing on the history of a single island or region; Howe has remarked in Lai's Pacific Islands History (1992) that "we were learning more and more about less and less." Other general histories followed Howe's, and the increasing involvement of American historians prompted a movement outward from familiar areas such as Fiji and French Polynesia to the neglected north and central Pacific. Douglas Oliver's The Pacific Islands (1951) urged attention to American involvement in the Pacific in the wake of World War II; Americans are so prominent in the field today that the anthropologists Sahlins and Obeyesekere dominate the current debate about Captain Cook's explorations and death in Hawaii. German and French activities in the Pacific began receiving greater attention in the 1980s, and the field began to re-engage issues of imperialism. Australian rule in Papua and New Guinea has been a particularly fruitful subject, as have studies of colonial resistance in various island groups. Interest in the decolonization process, and the continuing involvement of

history

covers

New

imperial perspectives.

dominated

complexities

former colonial or mandate powers in bodies such as the South Pacific Commission, is growing as well. The 1980s also saw the emergence of wide-ranging, studies such as Moore, Leckie, and Munro's Labour in the South Pacific (1990) or Jolly and Macintyre's Family and Gender in the Pacific (1989). These studies joined international debates about labor migration and gender relations, unlike earlier work which had often treated islanders in isolation. Corns' Passage, Port and Plantation (1973) focused on the labor trade, or "blackbirding" in islanders of the late 19th century; more recent studies include the migration of various groups such as indentured Indian laborers in Fiji. Likewise, Jolly and others relate the Pacific experience to widespread changes in family and gender relations under European Missionary records, once used almost exclusively to explore early contact issues, are now mined for information about the attempted acculturation of islanders and their and adaptation of European cultural forms. The 1987 Fijian coups provided a pointed reminder that the study of race relations could not be confined to interaction between Europeans and islanders, and debate about and isolationism in island-oriented Pacific history grew. Kelly's A Politics of Virtue (1991) lamented the neglect of subaltern studies, especially with regard to Fiji Indians, and called for a greater awareness of recent developments in South Asian and British imperial historiography. Studies of island governments began grappling with the issue of lingering European influence, and the "invention of tradition": the means by which colonial rule had reshaped many aspects of island culture. A greater interest in contemporary history has prompted the launch of new journals, notably The Contemporary Pacific and Pacific Affairs. Howe, Kiste, and Lal were invited to compile Tides of History: The Pacific an eye to Islands in the Twentieth Century (1994) with issues such as nationalism and regionalism. Meanwhile, postmodernism and deconstruction theory have invited a return to the European records, and a of the way Europeans imagined and interpreted the Pacific. Thomas' Colonialism's Culture (1994) adds a Pacific to the burgeoning literatures on European discourses about Africa or South Asia. New theories have also questioned assumptions in the field of anthropology, inviting less side-taking European v. island viewpoints and more interpretations of culture contact such as Neumann's Not the Way It Really Was (1992).

comparative

influence. appropriation

romanticism

postcolonial

international re-examination

perspective

traditional multivocal -

-

JANE

SAMSON

PACIFIC/OCEANIC HISTORY

See also Anthropology; Southeast Asia

Further

Beaglehole; Dening;

Indian

Ocean;

Reading

Aldrich , Robert , The French Presence in the South Pacific, 1842-1940 , Basingstoke : Macmillan , and Honolulu: University of Hawaii Press, 1990 Boyd , Mary , New Zealand and Decolonisation in the South Pacific , Wellington : New Zealand Institute of International Affairs , 1987 Corris , Peter, Passage, Port and Plantation: A History of Solomon Islands Labour Migration, 1870-1914 , Melbourne : Melbourne University Press, 1973 Davidson , J. W. , " Problems of Pacific History," Journal of Pacific History 1 ( 1966 ), 5 21 Daws , Gavan , A Dream of Islands: Voyages of Self-Discovery in the South Seas , New York : Norton , 1980 Dening , Greg, Islands and Beaches: Discourse on a Silent Land, Marquesas 1774-1880 , Carlton: Melbourne University Press, and Honolulu : University of Hawaii Press , 1980 Downs , Ian , The Australian Trusteeship: Papua New Guinea, 1945-75 , Canberra : Australian Government Publication Service , 1980 Fitzpatrick , Peter, Law and State in Papua New Guinea, 1945-75 , London and New York : Academic Press , 1980 Gunson , Niel , Messengers of Grace: Evangelical Missionaries in the South Seas, 1797-1860 , Melbourne and New York : Oxford University Press , 1978 Hempenstall Peter J., and Noel Rutherford , eds., Protest and Dissent in the South Pacific , Suva, Fiji : Institute of Pacific Studies of the University of the South Pacific , 1984 Howe , K. R. , Where the Waves Fall: A New South Sea Island History from First Settlement to Colonial Rule , Sydney and London : Allen and Unwin , and Honolulu: University of Hawaii

Sahlins , Marshall , How "Natives" Think: About Captain Cook, for Example , Chicago : University of Chicago Press , 1995 Scarr, Deryck, Fragments of Empire: A History of the Western Pacific High Commission, 1877-1914 , Canberra : Australian National University Press , 1967 Smith , Bernard , European Vision and the South Pacific 1768-1850, Oxford : Clarendon Press , 1960 Spate , O. K. H. , The Pacific since Magellan , 3 vols., London : Croom Helm , 1979-88 Thomas , Nicholas , Colonialism's Culture: Anthropology, Travel and Government , Cambridge : Polity Press , and Princeton: Princeton

University Press,

1994

-

,

Press, 1984 Howe , K. R. , Robert C. Kiste , and Brij V. Lai , eds., Tides of History: The Pacific Islands in the Twentieth Century, Honolulu : University of Hawaii Press , 1994 Jolly, Margaret, and Margaret Macintyre , eds., Family and Gender in the Pacific: Domestic Contradictions and the Colonial Impact , Cambridge and New York : Cambridge University Press , 1989 Kelly, John D. , A Politics of Virtue: Hinduism, Sexuality, and Countercolonial Discourse in Fiji , Chicago : University of Chicago Press , 1991 Lai , Brij V. , ed., Pacific Islands History: Journeys and Transformations, Canberra : Journal of Pacific History, 1992 Macdonald , Barrie , Cinderellas of the Empire: Towards a History of Kiribati and Tuvalu , Canberra : Australian National University Press , 1982 Maude , H. E. O. , Of Islands and Men: Studies in Pacific History , Melbourne and New York : Oxford University Press , 1968 Moore , Clive , Jacqueline Leckie , and Doug Munro , eds., Labour in the South Pacific , Townsville : James Cook University of Northern

Queensland 1990 Moses John Α. and Paul M. Kennedy eds., Germany in the Pacific and Far East, 1870-1914 St. Lucia : University of Queensland ,

,

,

,

,

Press , 1977 Neumann , Klaus , Not the Way It Really Was: Constructing the Tolai Past , Honolulu : University of Hawaii Press , 1992 Newbury , Colin Walter, Tahiti Nui: Change and Survival in French Polynesia, 1767-1945 , Honolulu : University of Hawaii Press , 1980 Obeyesekere, Gananath , The Apotheosis of Captain Cook: European Mythmaking in the Pacific, Princeton : Princeton University Press-Honolulu: Bishop Museum Press, 1992 Oliver, Douglas , The Pacific Islands , Honolulu : University of Hawaii Press, 1951 ; revised 1989 Peattie , Mark R. , Nan'yo: The Rise and Fall of the Japanese in Micronesia, 1885-1945 , Honolulu : University of Hawaii Press ,

1988

Pagels, Elaine US historian of

1943–

religion

Elaine Pagels is a professor of religion who studies early Christian texts. Her writings have informed scholarly debate while at the same time being accessible, indeed popular, with an audience of non-specialists. In spite of her interest in topics that seem at first obscure (Gnosticism or Pelagianism), her approach is not that of an antiquarian. Pagels places the texts under in their cultural contexts, and this historical approach allows her to ask unusual questions of texts familiar to scholars. Her fresh vision draws very old texts into contemporary debates where they shed light on modern problems. In the 1970s, Pagels worked on editing technical editions of the Coptic Gnostic Gospels, and published two scholarly monographs on these texts: The Johannine Gospel in Gnostic Exegesis (1973) and The Gnostic Paul (1975). The work that first brought Pagels broad-based acclaim was The Gnostic Gospels (1979). In this work she recreates the diversity of the early centuries of Christianity by an of some of the central themes in the Gnostic texts at Nag Hammadi. By looking at the contrast between the Gnostic and the orthodox positions on such things as bodily resurrection, gender, and martyrdom, the author illuminates not only the orthodox and heretical positions, but also the political and cultural implications of both. In Adam, Eve, and the Serpent (1988), Pagels looks closely at interpretations and implications of the biblical story of the Fall. Pagels argues that Christians saw in the Genesis account an affirmation of the intrinsic value of every person and of human moral freedom. Thus, many used this text as a for a revolutionary rejection of traditional pagan social values. The book concludes with an analysis of Augustine's views on the subject, and his repudiation of the freedom that some Christians had read into the verses. Pagels emphasizes the questions of free will that were implicit in Augustine's thought but were seldom analyzed in the context of his views on sexuality. Consistent with her pattern of making the obscure immediately relevant, Pagels includes a analysis of Pelagius, Augustine's opponent and perhaps the last Christian advocate for human free will. In The Ortgin of Satan (1995), Pagels explores the roots of western culture's tendency to demonize opponents, and she finds them in the Judeo-Christian texts that have been so to subsequent western thought. Pagels brings a number of fresh insights to the often-studied questions of evil and the

consideration

exploration discovered

justification

seemingly

sympathetic

influential

PAINTER

devil. Not only does she show that Judeo-Christian texts expressed the idea of an evil entity to embody opposition to God, but that in its origins this evil was perceived not primarily outside the Jewish and Christian communities, but within them. In looking for the enemy, Pagels discovers that it is an enemy" within each religious group that people most readily demonize. The early Jewish communities were plagued with division over issues of assimilation to Gentile culture or maintaining religious separation from it, and they attributed the power of Satan to their adversaries. The writers of the Gospels saw Satan less in the pagan world than in those Jews who did not accept their Messiah, and who sometimes their supporters. Early Christians saw Satan in the diverse opinions that threatened to split their communities. Pagels shows that we are harshest on those who are closest to us, and in that harshness we see not differences of opinion, but the devil. Some historians have disagreed with the conclusions that Pagels draws from her fresh readings of these texts, and some dispute the value of the questions she asks. However, there can be no doubt that her works have advanced the study of and have brought to the fore texts and ideas frequently forgotten. The impact of Pagels' work was recognized as early as 1981, when she was awarded a MacArthur fellowship, and her subsequent work has not disappointed.

"intimate

persecuted

religion JOYCE

E. SALISBURY

Biography

13 February 1943 Educated at Stanford 1965 ; Harvard University, PhD 1970 From 1970, taught at Barnard College (rising to professor), then Princeton University Married Heinz Pagels physicist, 1969 (died 1988 ; 1 daughter, 2 sons, 1 died 1986 ). Born Palo

Alto, California

University,

BA 1964 , MA

.

,

.

.

,

Principal Writings

The Johannine Gospel in Gnostic Exegesis , 1973 The Gnostic Paul: Gnostic Exegesis of the Pauline Letters , 1975 The Gnostic Gospels , 1979 Adam, Eve, and the Serpent , 1988 The Origin of Satan , 1995

Painter, Nell Irvin

Painter says that she has never felt

comfortable as a

entirely have anything do with historian. She did history not want to

US

to

student at Berkeley in the early 1960s: "I thought it was a pack of lies," said Painter, who was interested in and racial oppression, but found nothing in US history on those topics. However, by the early 1970s historical scholarship had changed enough to accommodate her version of US history. In her book, Painter agrees that many of the stories about Sojourner Truth are false, but that is what she finds interesting. Truth and others remade and why Her focus is on how Truth's image: "I'm as much interested in the symbol of Sojourner Truth as in her life," she says, "It tells you a lot about the way race functions in our society." For that, she has had to go beyond the written sources. One approach that she used was to draw on psychology. For example, in discussing theories about the impact of abuse on children, Painter the phrasing and structure of Truth's Narrative to argue that she was probably sexually abused. And, to flesh out Truth's interior life, Painter also looked at the cartes-de-visite that became popular in the United States in the 1860s small blackand-white photographs bought and sold like popular stories. Painter believes that although black women scholars have written critically of the work of other black men and women, for the most part they have embraced rather then censured their biological and intellectual foremothers. As a result of having flourished during the late 20th century, black women's studies is likely to find more grounds for hope. Linda Kerber noted that "For the last 20 to 30 years, a whole generation of historians has been at pains to stress the strengths and agency of black people, to see the strategies that they forged to survive the brutality of slavery. Then here comes Nell saying, that's good, but let's not gloss over the damage." As disparate as her works seem, for Painter they possess a common thread. "I think the thing I've always tried to do is deal with people as individuals, not as integers of race," she says. "Race does matter, but it's not all there is. I look carefully at other factors, including gender and class, but especially and family dynamics, for motivations." This approach, increasingly informed by feminist theory and criticism, has her from many of her colleagues. For Painter, on Truth's image has spurred an interest in cultural representation. She is now at work on how Americans produced concepts of beauty in the late 19th and early 20th centuries. when she

was a

segregation

-

-

psychological

interpreted -

psychology distinguished focusing

LAUREN COODLEY

1942–

US historian See also United States:

Nell Irvin Painter is one of the foremost American historians of the African American experience. Her work is part of the scholarship on African American history and culture that has flourished since the 1960s, a historiographical tradition that ranks as a major collective achievement of an entire generation of historians and critics. In Exodusters (1976), Painter the travails of thousands of black southerners who voted with their feet against the white supremacist governments that returned to power across the South little more than a decade after Appomattox. In her edition of The Narrative of Hosea Hudson (1979), she recovered the story of one black man's struggle against the oppressions of the 20th-century South. Her scholarly revisionist biography, Sojourner Truth (1996), has attracted widespread attention.

chronicled

19th Century;

United States: 20th Century

Biography Born Houston, 2 August 1941, daughter of a chemist and a officer Received BA, University of California, Berkeley, 1964 ; MA, University of California, Los Angeles , 1967 ; PhD, Harvard University, 1974 Taught at University of Pennsylvania , 1974-80 ; professor, University of North Carolina, Chapel Hill , 1980-88 ; Hunter College, City University of New York , 1985-91 ; and Princeton University, from 1991

personnel

.

.

.

Principal Writings Exodusters: Black Migration to Kansas after Reconstruction 1976 Editor, The Narrative of Hosea Hudson: His Life as a Negro ,

Communist in the South , 1979

at Armageddon: The United States, 1877-1919 , 1987 Soul Murder and Slavery: Toward a Fully-Loaded Cost Accounting," in Linda Kerber, Alice Kessler-Harris , and Kathryn Kish Sklar, eds., US History as Women's History: New Feminist Essays , Chapel Hill : University of North Carolina Press , 1995 Sojourner Truth: A Life, a Symbol, 1996

Standing "

equality had flourished due to the Slavs' democratic nature. Curiously, his romantic determination to polarize his topic between the good Czechs and the evil Germans and Roman Catholic church led him to accept two manuscripts discovered in 1817 and 1818 that Dobrovsky had exposed as forgeries. Furthermore, the romantic thesis of the peace-loving Slavs, accepted by many romantic Slavic nationalists, has subsequently been exposed as a myth. Habsburg critics of Palacký's interpretation of Bohemian history also devised a counterargument that Germans had colonized Bohemia before the Slavs arrived, which ignited a polemic between adherents of this theory and Czech defenders of Palacký's version that endured until the Habsburg empire disintegrated during World War I. On a more positive note, his view that the Hussite Revolution was the most important event in European history, while exaggerated, did correct the overemphasis on Luther as the principal cause of the Reformation. Palacky the nationalist politician contributed much less to the formation of Czech national consciousness than did Palacky the historian. His most important political argument, announced as early as 1848, was that the Habsburg empire was necessary, but needed to transform itself into a federation of peoples equal before the law in order for it to survive. He summarized this theory, which made him the spokesman of all the Habsburg's non-German and nonMagyar peoples, in an often quoted statement that "Truly if the Austrian empire had not already existed for a long time, the interests of Europe and the interests of humanity would demand its speedy creation." Not only could such a state enhance the lives of its citizens, but it would also provide the West with a bulwark against Russian expansionism. After the creation in 1867 of the Dual Monarchy of AustriaHungary, Palacky gave up all hope of ever realizing his dream of a federated Habsburg empire. His intellectual and moral legacy continued to influence the Czechs until the 1930s, while his historical writings remain important for the study of medieval Bohemia. ROBERT F. FORREST

democratic Palacký,

František

1798–1876

Czech historian František Palacký was an extremely influential Czech and historian. In the opinion of the distinguished Habsburg historian Robert Kann, Palacký was the finest in the entire Austrian empire during the 19th century. Josef Dobrovsky (1753-1829), a Czech devotee of the Enlightenment, introduced Czech intellectuals to high of textual criticism, which greatly influenced the self trained Palacky. Consequently much of his work consists of critical editions of historical texts and documents. Early in his career he edited the Stari letopisové cesti od r. 1527 (Old Bohemian Chronicles, 1829) and the Würdigung der alten böhmischen Geschichtsschreiber (Assessment of the Old Bohemian Chroniclers, 1830), and he concluded that without exception these primary sources for Czech history were badly flawed. Between 1840 and 1872, he also prepared a new 6volume edition of Czech documents on the Hussite period and the Reformation entitled Archiv cesky (The Bohemian Archiv). In 1848 he produced Popis královstvi ceského (Description of the Bohemian Kingdom), an important work on medieval Bohemian genealogy and topography. Finally, between 1857 and 1873, he contributed material on the Hussite period from foreign archives for publication in several large collections of documents. Rather than the Enlightenment's rationalism, Palacký's view of history owed more to the romanticism that he absorbed from his early 19th-century intellectual milieu. Many romantic historians focused on the ancient and medieval periods in which they used the increasingly popular concept of to explore the origins of nations. Palacký's deep was to Bohemia, where the Czechs, a branch of the West Slavs, resided, and writing a history of Bohemia became his main goal in life. He completed it only to 1526, which was the year when the Habsburg dynasty obtained Bohemia as a hereditary possession. As the best history of the Czechs written to that date, it had a powerful influence on the Czech national revival movement that ended successfully with the creation of Czechoslovakia in 1919. The work consists of five volumes published in German and Czech editions between 1836 and 1876. The first volume appeared in German as the Geschichte von Böhmen (History of Bohemia), but for political reasons in 1848 he switched to the Czech language and subtly changed the title to Dějiny tiárodu ceského v Cechách a v Morave (History of the Czech Nation in Bohemia and Moravia). The theme of Palacky's monumental history of Bohemia is the usurpation of the peaceful and democratic Czechs' homeland by an aggressive German ruling elite encouraged by the Roman Catholic hierarchy. German intervention in Bohemia also social and legal inequality into a Czech society where

nationalist

historian

standards

nationalism

multinational

See also Europe: Modern; Nationalism; Pekař

attachment

introduced

Biography Hodslavice, Northern Moravia, 14 June 1798, to a Bohemian Protestant family. Educated in Latin and German, Pressburg evangelical lyceum Tutor in Vienna , 1818-23 ; moved to Prague , 1823 ; appointed editor of the Czech museum journal, Casopis Ceského Muzea , 1827 , and historiographer of the Bohemian kingdom , 1831 ; archivist of the Sternberg family ; leader of the Czech national movement , from 1840 ; member, Austrian parliament upper house, 1861 Married daughter of a Prague lawyer and landowner Died Prague , 26 May 1876 Born

.

.

.

.

Principal Writings Editor, Stari letopisové cesti od r. 1527 ( Old Bohemian Chronicles ), 1829 Editor, Würdigung der alten böhmischen Geschichtsschreiber (Assessment of the Old Bohemian Chroniclers ), 1830 Geschichte von Böhmen ( History of Bohemia ), 5 vols., 1836-67 Editor, Archiv cesky (The Bohemian Archiv ), 6 vols., 1840-72 Dějiny národučeského v Čechách a v Morave ( History of the Czech Nation in Bohemia and Moravia ), 8 vols., 1848-76

Popis královstvičeského ( Description of the Bohemian Kingdom), 1848 Further Reading

greeting.

"

Hlavácek , Ivan , and Vladimír Kaiser, eds., Bibliografie tisteného " literarniho dila Frantiska Palackého po r. 1876 (A Bibliography of František Palacký's Published Literary Works up to 1876), Acta Universitatis Carolinae Philosophien et Historia 5 ( 1982 ), 119 50 Kann , Robert Α. , The Multinational Empire: Nationalism and National Reform in the Habsburg Monarchy, 1848-1918 , 2 vols., New York : Columbia University Press , 1950 Kann , Robert Α. , A History of the Habsburg Empire, 1526-1918 , Berkeley : University of California Press , 1974 Zacek , J.F. , Palacky: The Historian as Scholar and Nationalist , The -

Hague :

Mouton , 1970

Panofsky, US

Erwin

(German-born)

Born in

Germany,

art

Erwin

historian was

already

a

well-respected

scholar when he first came to the United States in 1931. Through his appointments at New York University and the Institute for Advanced Study in Princeton, and his many public lectures, he became a leader in the development of art thought in his adopted homeland as well; he is, in fact, widely acknowledged as the most influential art historian of

historical

the 20th century.

Panofsky's major contribution is his direct linkage of art history with cultural history. His philosophy served as a bridge between many disciplines, influencing not only art history but on many other fields as well. Even in his work as a specialist Renaissance art, Panofsky revealed this broader philosophy. When considering the art of Albrecht Dürer, for instance (the topic of his doctoral dissertation and a later monograph), he discussed contemporaneous aspects of philosophy, literature, and mathematics not only as influences on Dürer's art, but as same culture. This his led to development of a approach called he which "iconology," for which he approach is best known. He employed it in articles such as "Hercules am Scheidewege" (Hercules at the Crossroads, 1930) and "Jan van Eyck's Arnolfini Portrait" (1934); his masterly explanation of the theory appeared in the introduction of his Studies in

parallel

iconography,

normally associated with the

the study of subject

philosophy. character

1892–1968

Panofsky

It is this level that is

matter (as opposed to the study of form). The third level deals with Intrinsic Meaning or Content; this is the realm of iconology, a term that Panofsky described as "iconography turned interpretive." This third level, then, was significantly different than the other two: it involved synthesis rather than analysis. By using an iconological approach (which depends on accurate analysis on the first two levels) the art historian seeks to view the work of art as a part of a larger picture. Leonardo's Last Supper is understood as a document of Leonardo's personality, of a specific religious attitude, or of the civilization of the High Renaissance in Italy; the greeting presented by a man raising his hat is understood not only as a greeting but as part of his personality, which includes his nationality, his social and educational background, his Panofsky acknowledged that all of these aspects of cannot be discerned through a single painting or one man's action, but he argued that a man's personality would be reflected in his every single action, and that a piece of art would, in the same way, incorporate the personality of its maker and the historical/cultural situation that informed that artist. Each piece of art, therefore, can be treated as a product of that historical/cultural situation. Considered along with a large number of other objects and events similarly symptomatic of the same culture, a comprehensive view of the culture begins term

entities that reflected the

philosophical methodological to art

Iconology (1939). In iconology one can encounter a work of art (or any visual phenomenon) on three levels, all of which focus on subject matter. The first and most basic is that of Natural Subject Matter. This is the level of pre-iconographical description and entails the recognition of formal aspects (line, color, shape, etc.) as configurations that represent a specific object (i.e., human being, plant, house, etc.) or a specific event (i.e., man raising his hat in the street), concepts that are common to virtually all human beings. The level of Secondary or Conventional Subject Matter involves identification of an object or event in light of concepts common only to a specific culture, i.e., that a male figure with a knife represents St. Bartholomew, that a group of figures seated around a dinner table in a certain arrangement the Last Supper, that a man raising his hat represents

represents

a

to appear.

In developing this approach, Panofsky clearly acknowledged his borrowings from Ernst Cassirer's philosophy of symbols. He also built on ideas developed by Alois Reigl and Heinrich Wölfflin, pioneers in art historical theory. He followed the latter two in trying to seek out a recognizable system that addresses the relationship between art and history, and he adopted their establishment of alternating polar extremes to and from which art continually moves. Panofsky, however, was more concerned with the process by which art moved between those poles within a specific timeframe, and how an art bridges the gap between the work of art and the culture that produced it. His iconological method is an attempt to systematize that process. In that iconology is, by definition, tied to culture, it is not as abstract an art historical construct as the models of Reigl and Wölfflin's are. It is more subjective in nature, but it can still be applied to different contexts and periods throughout history, and, to that extent, has an abstract/objective aspect to it. Moreover, although Panofsky's system deals directly with matter whereas Reigl and Wölfflin deal directly with form, iconology does not exclude formalist issues; rather, it deals with them in the same way that it deals with issues of philosophy or literature as symbols of a culture that, taken together, give meaning to the visual arts. In Studies in Iconology Panofsky noted that many or the aspects of art are unconscious on the part of the artist, while in his Early Netherlandish Painting (1953) he that symbolic meaning was sometimes very consciously included as well. This conflict was not resolved in his work and gave rise to criticism; however, it shows that Panofsky was considering the role of the psychology of the artist. It was an issue ignored by his predecessors, but one that became central to many of those who followed him. In moving away from a

historian

subject -

symbolic

demonstrated

strictly formalist approach, Panofsky lent credence to art approaches such as the psychological approach (see Gombrich) that seek to explain or illuminate a work of art through outside sources and materials (as opposed to sources/ materials found within a work of art itself); and, in fact, a of such approaches flourished in the second half of the 20th century. His lasting legacy, however, may be his gift for combining approaches that look both inside and outside of the sphere created by an individual work of art. Indeed, Panofsky's art historical philosophy pulled together many seemingly elements and united them to present a more complete picture of both art and culture. JULIET GRAVER ISTRABADI

historical -

-

multitude

disparate Sec also Art; Burke; Gombrich; Schramm

Biography Born Hannover, Germany, 30 March 1892, to a wealthy family Attended Joachimsthalsches Gymnasium , Berlin ; University of Munich ; University of Berlin ; PhD, University of Freiburg (Baden), 1914 Lecturer, University of Hamburg , 1921 , full professor, 1926-33 when dismissed by Nazis; emigrated to US, 1934 (naturalized later) Visiting professor, New York University, 1931-34 and Princeton University, 1934-35 ; professor, Institute for Advanced Study, Princeton , 1935-62 ; Samuel F B. Morse professor, New York University, 1962-68 Married 1) Dora Mosse , 1916 (died 1965 ; 2 sons); 2) Gerda Sörgel , art historian, 1965 Died Princeton , 14 March 1968 .

.

.

.

.

.

.

Principal Writings "Idee": Ein Beitrag

Begriffsgescbichte der älteren Kunsttheorie , Idea: A Conception in Art History , 1968 Hercules am Scheidewege und andere antike Bildstoffe in der neueren Kunst ( Hercules at the Crossroads of Life and Other Ancient Themes in Contemporary Art ), 1930 Studies in Iconology: Humanistic Themes in the Art of the Renaissance , 1939 Albrecht Dürer , 1943 ; as The Life and Work of Albrecht Dürer , 1955 Editor, Abbot Suger on the Abbey Church of St-Denis and Its Art Treasures , 1946 Early Netherlandish Painting: Its Origins and Character, 2 vols., 1953 Meaning in the Visual Arts: Papers in and on Art History , 1955 With Dora Panofsky, Pandora's Box: The Changing Aspects of a 1914 ; in

English

zur

as

Mythical Symbol 1956 ,

Renaissance and Renascences in Western Art, 1960 Three Essays on Style , edited by Irving Lavin , 1995

Further Reading Holly Michael Ann Panofsky and the Foundations of Art History Ithaca, NY: Cornell University Press 1984 Oberer Hariolf and Egon Verheyer eds., Erwin Panofsky: Aufsätze zu Grundfragen der Kunstwissenschaft ( Erwin Panofsky: Essays on the Fundamental Questions of Art Theory), Berlin : Hessling 1974 [includes bibliography] ,

,

,

,

,

,

,

,

Paris, Matthew English

c.120 –c.1259

historical writer

Matthew Paris is one of the most famous and controversial of English medieval historians. A monk at the Benedictine abbey of St. Albans, Hertfordshire, he began his independent writing

career

between 1235 and 1240 when he took

over

the role of

abbey chronicler following the death of Roger of Wendover. From then until his death in 1259 his output

was

prolific,

comprising three major histories and numerous shorter works such as a history of his own abbey, in addition to a variety of illustrated saints' lives written for noble He has been admired for his outspoken criticism of authority, his powers of observation and description, and his enthusiasm in collecting information from every available

historical laypersons. his

value

modern

perhaps greatest historians lies the number of contemporary documents he source.

However, in

to

vast

included in his work and in the insight he gives to his own fears, opinions, and prejudices. His greatest historical work was the Chronica majora (Greater Chronicle) which began with the Creation and came down to his own day. From 1250 Matthew was recording events almost as they happened, writing more as a commentator on carrent events than as a historian. He gave a lively and generally well-informed account of the uneasy relations between Henry III and his magnates, which were to culminate after Matthew's death in the revolt of Simon de Montfort. For the period C.1228-59 the chronicle is also an important source for the of the European territories in Palestine and Syria, and for the wars between the emperor Frederick II and the papacy in Europe. Matthew also described the Mongols and their of the Middle East and Eastern Europe. Certain themes run through this vast and rambling collection: Matthew's opposition to any form of authority, especially the king and pope; and his dislike of taxation, foreigners, and innovative religious orders such as the military orders and the friars. To make his vast history more accessible, Matthew produced selective summaries known as the Flores historiarum (Flowers of History), the Historia anglorum (History of the English) and then the Abbreviatio, a summary of the Historia. It was not his great chronicle but its summary in the Flores that won Matthew most fame in his own century. Copies circulated to many other monasteries, where they were added to as the years passed. For this reason, the identity of the author, "Matthew," became obscured, and not until the work of V.H. Galbraith in Roger of Wendover and Matthew Paris (1944) was Matthew Paris shown conclusively to have been the first author. Matthew's bitter criticism of the papacy of his own day was an important factor in the survival of his reputation after the dissolution of the monasteries. In the wake of the break with Rome, his work received praise from John Bale in Scriptorum illustrium majoris Britanniae (Illustrious Writers of Great Britain, 1557) for its description and condemnation of the and worst deeds of certain Roman "avarice, frauds, lies pontiffs." For the same reason, archbishop Matthew Parker relied heavily upon Matthew's account of the years 1206-59 in his De antiquitate Britanniae ecclesiae (The Antiquity of the Church in Britain, 1605). Parker published Matthew's works; his edition was reprinted by William Wats in 1640. By the 19th century improving standards of critical found this edition inadequate, and Matthew's historical works were re-edited. Matthew's 19th-century editors admired his patriotism and saw in his fearless outspokenness against incompetent authority the foreshadowing of the constitutional, democratic citizen concerned for the well-being of his nation. Matthew was clearly a mouthpiece of general informed

history invasions

.

.

.

scholarship

opinion: "The 13th-century editor of the Times," Jessopp called him (Studies by a Recluse, 1893).

as

Augustus

was known faith. Historians' increasing use of documentary and other forms of historical evidence to supplement Latin chronicles has made possible a reassessment of Matthew's picture of 13th-century Europe and the Middle East. In Matthew Paris (1958), Richard Vaughan showed that Matthew was far from being a truthseeking, critical historian. He added to his material, he invented material, he reported rumor as truth, and his account was heavily distorted by his own well-entrenched prejudices. His patriotism was simply a hatred of foreigners. His hostility to the king was not "constitutional" but based on his innate dislike of authority. Although he claimed to represent general opinion, in fact he spoke only for himself. From being "editor of the Times," such modern reassessments have reduced Matthew to the level of a gutter-press gossip columnist. Yet today historians remain divided over Matthew. The debate continues as to how far his personal piety affected his work, and how far he spoke for the "man in the street." In any case his work is still of immense value, even if it is regarded more as a window into the mind of one well-informed 13thcentury man than as a critical analysis of events. In recent years he has received increasing acclaim as an artist, and his saints' lives and shorter histories are being re-evaluated as historical records in their own right; again, not as a factual record but as a guide to the values and attitudes of Matthew and the audience for which he wrote. A new edition of his works is currently in progress, with a modern translation into

that he made errors, but he

wrote in

good

valuable English. HELEN See also Britain: 1066-1485; Roger; William of

J.

"

Hahn , C. ,

Proper behaviour for Knights and Kings: The Hagiography of Matthew Paris, Monk of St. Albans ," Haskins Society Journal 2 ( 1990 ), 237 46 Holt J. C. The St. Albans Chroniclers and Magna Carta ," Transactions of the Royal Historical Society 5th series, 14 (1964 ), 67 88 Keynes Simon A Lost Cartulary of St. Alban's Abbey," AngloSaxon England 22 ( 1993 ), 253 79 Legge Mary Dominica Anglo-Norman in the Cloisters: The Influence of the Orders upon Anglo-Norman Literature Edinburgh: Edinburgh University Press 1950 ; St. Clair Shores, MI: Scholarly Press, 1971 Lewis Suzanne The Art of Matthew Paris in the Chronica Majora London: Scolar Press, and Berkeley : University of California Press 1987 Saints Alban and Amphibalus in the work of McCulloch Frances Matthew Paris ," Speculum 56 ( 1981 ), 761 85 Menache Sophie Rewriting the History of the Templars According to Matthew Paris ," in Michael Goodich Sophie Menache and S. Schein eds., Cultural Convergences in the Crusader Period: Essays Presented to Aryeh Grabois New York : Lang 1995 Nicholson Helen J. Steamy Syrian Scandals: Matthew Paris on the Templars and Hospitallers ," Medieval History 2 ( 1992 ), 68 85 Matthew Paris and the Mongols," in T. A. Sandquist Saunders J.J. and Michael R. Powicke eds., Essays in Medieval History Presented to Bertie Wilkinson Toronto : University of Toronto Press 1969 The Image of the Mendicants in the Chronicles of Thomson W. R. Matthew Paris ," Archívum Franciscanum Historicum 70 ( 1977 ), -

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3 34

Vaughan Richard Matthew Paris Cambridge : Cambridge University Press 1958 Vaughan Richard The Chronicles of Matthew Paris: Monastic Life in the Thirteenth Century London : Sutton and New York: St. Martin's Press, 1984 ,

,

,

,

,

,

,

,

Tyre

Parker, Geoffrey Entered St. Albans Benedictine abbey as monk , 1217 ; visited Westminster Abbey, 1247; sent by pope Innocent III to St. Benet Holm abbey, Nidarholm, Norway, 1248 Died St. Albans, Hertfordshire , c. 1259

British historian of

1943–

early

modern

Europe

.

.

.

Principal Writings Chronica majora (Greater Chronicle; revision and continuation of Roger of Wendover's Flores historiarum ), written from c. 1235 ; edited by Henry R. Luard , 7 vols., 1872-84, reprinted 1964 ; partially translated as Matthew Paris's English History, from the Year 1Z35 to 1273 , 3 vols., 1852-54 , reprinted 1968 Historia anglorum (History of the English ), edited by F.H. Madden , 3

,

,

"

,

,

NICHOLSON

Biography

Born c. 1200

,

,

,

vols., 1866-69

Further Reading Bulst-Thiele , Mary Luise ,

" Zur Geschichte der Ritterorden und des im Königreichs Jerusalem 13. Jahrhundert bis zur Schlacht bei La " Forbie am 17. Oktober 1244 ( On the History of the Order of the Knights and Kingdom of Jerusalem in the 13th Century, until the Battle of La Forbie, 17 October 1144 ), Deutsches Archiv für Erforschung des Mittelalters 22 ( 1966 ), 197 226 Galbraith , Vivian Hunter, Roger of Wendover and Matthew Paris , -

Glasgow Jackson :

,

1944

Gransden , Antonia , Historical Writing in England, vol. 1: c.550 to c.1307 , London: Routledge, and Ithaca, NY: Cornell University Press , 1974

Although Geoffrey Parker holds the Robert A. Lovett chair of military and naval history at Yale University, the breadth of his scholarship suggests that his title is not restrictive. Parker's work addresses Europe's transition from the chaotic early modern period to the establishment of European (1500-1800). Few historians have been able to come to grips with the dynamics of early modern Europe and identify patterns of change as effectively and eloquently as Parker. He is both a skilled researcher and a great thinker, a rare that explains his success as a historian. Whether it is his famous critique of Michael Roberts' theory of the military revolution or his insight into the trials and tribulations of the Habsburg empire, Parker's scholarship is provocative,

hegemony

combination

reflective. comprehensive, and

began his intellectual journey at Cambridge the direction of John Elliott. His dissertation under University was the basis of his first book, The Army of Flanders and the Spanish Road, 1567-1659 (1971). Here the historian a remarkable mastery of the Spanish archives and answers to the question of how the Spanish army managed to wage a lengthy war in the Netherlands given the enormous logistical problems that faced early modern armies. Michael Roberts was an external examiner of Parker's Parker

demonstrated

provided

dissertation, in which Parker first challenged Roberts' theory of the military revolution. The military revolution centers on the idea that tactical changes between 1560 and 1660 necessitated an increase in the size of armies. Larger armies meant more ambitious strategies and ambitious strategies required state to finance military expansion. Roberts regarded the military revolution as the impetus for Europe's transformation into competitive nation-states. Parker, while not discounting the military revolution, cited such events as the Battle of Nordlingen (1634) in which a conservative Spanish army routed a tactically innovative Swedish army and proved that Roberts' theory was not flawless. Parker also noted that expansion stretched early modern governments to the breaking point, because they were ill-equipped to support large armies. Roberts urged Parker to develop his critique further,

centralization

supposedly

military

marking the beginning of Parker's enduring interest in the military revolution. The setting of the military revolution, the pervasive conflict between Spain and the Netherlands that eventually spilled over into the Thirty Years' War, continued to occupy Parker's

attention during the 1970s and 1980s. Parker's 1978 biography of Philip II remains the definitive work because of its reliance on personal letters and diaries that give insight into the of one of early modern Europe's most important figures. With the assistance of nine other historians, Parker published the extensive volume The Thirty Years' War (1984). Within this work above all others one discerns Parker's depth as a scholar. Parker unraveled the complex political maneuvering before, during, and after the war, dividing the war into phases

personality

and

providing a sense of historical order to one of history's most confusing periods. The most compelling chapter is the final one which dealt with the conduct and legacy of the war. Parker described the fate of the soldier, the peasant, and the systematic destruction of the Germanies topics inadequately covered by most Thirty Years' War scholarship. The military revolution has been the focal point of Parker's delineation of early modern European history, and in 1988 he revised not only Roberts' interpretation, but expanded upon his own by postulating that the military revolution fueled European imperialism. The Military Revolution (1988) a "gunpowder revolution," proposing the notion that technological change was responsible for instigating state centralization. For Parker, innovations in fortress construction and artillery increased the significance of siege warfare and required larger armies. Parker's insistence on placing at the forefront of the military revolution provoked extensive debate among military historians, historians of and other early modern Europeanists. Parker extended the military revolution from land armies to naval warfare. Technological innovation in ship construction and artillery meant that the impasse on land forced states to seek a decision at sea. The naval dimension of Parker's military revolution is fully examined in The Spanish Armada (1988). After analyzing the military revolution in Europe, Parker suggested that Europe achieved global hegemony by unleashing the fruits of its military revolution on the rest of the world. Parker once worked with Fernand Braudel, the distinguished historian from the Annales school, with hopes of writing a quantitative "total history" of the Habsburg empire. Parker quickly realized the limitations of Annales methods, however, -

outlined

technology

are applied to early modern Europe. The sources simply too few and problematic, but Parker comes close writing "total history" by treating each subject

when they are

to

have criticized the "technological comprehensively. Historians

determinism" central Parker's interpretation of the military to

revolution, and like

most historians writing about war, he devotes insufficient attention to women. Nevertheless, Parker poses compelling questions and develops innovative theories which he supports with exhaustive research and an impressive writing style. He is currently (1998) completing a book on the grand strategy of Philip II, continuing a career already filled with definitive works on numerous aspects of early modern

Europe. BRIAN CRIM See also Crime;

European Expansion; Germany: 1450-1800;

Military

Biography Noel Geoffrey Parker Born 25 December 1943 Attended Nottingham High School ; received BA, Cambridge University, 1965, MA, PhD 1968 Fellow, Christ's College, Cambridge 1968-72 ; taught at Cambridge University 1972-78; and University of St. Andrews 1982-86 ; professor, University of Illinois, Urbana, 1986-93 and Yale University from 1993 Married 1) Angela Maureen Chapman (1 son, 1 daughter); 2) Jane Helen Ohlmeyer (1 son). .

.

.

,

,

,

.

Principal Works The Army of Flanders and the Spanish Road, 1567-1659: The Logistics of the Spanish Victory and Defeat in the Low Countries' Wars , 1972 The Dutch Revolt, 1977 Philip II , 1978 ; 3rd edition 1995

Europe in Crisis, 1598-1648 1979 Spam and the Netherlands, 1559-1659: Ten Studies ,

,

1979

Editor with V. A.C. Gatrell and Bruce Lenman , Crime and the Law: The Social History of Crime in Western Europe since 1500 , 1980 Editor, The Thirty Years' War , 1984 ; revised 1997 The Military Revolution: Military Innovation and the Rise of the

West, 1500-1800 1988 ,

With Colin Martin , The Spanish Armada , 1988 Editor, The Cambridge Illustrated History of Warfare: The Triumph of the West, 1995 Editor with Richard L. Kagan , Spain, Europe, and the Atlantic World: Essays in Honour of John. H. Elliott , 1995 Editor with Robert Cowley, The Reader's Companion to Military History , Boston : Houghton Mifflin , 1996

technology,

Parkman,

Francis

1823–1893

US historian of the frontier One of America's greatest narrative historians, Francis Parkman overcame poor health and failing vision to build a brilliant career over a half century as an independent historian of the British and French contest for control of the North American frontier. In 1846 Parkman spent six months on the Great Plains researching his classic The Oregon Trail (1849), first published in 1847 as a magazine series. Travelling on the frontier with

his cousin Quincy Adams Shaw and a French Canadian guide, Parkman lived with hunters, trappers, voyageurs, soldiers, and a Sioux tribe, using this experience to inform his later work, most clearly in The Conspiracy of Pontiac and the Indian War after the Conquest of Canada (1851). Parkman's magnum opus was France and England in North America (1865-92), seven separate studies of French and British exploration, empire and conflict in North America, which concluded with an epic account of the French and Indian War (1754-63). Parkinan was the first American to combine the new methods of German scholarship with the narrative art of romantic writing, winning a place as the foremost North American historian of his era.

Despite recognition by Herman Melville, Henry Adams, Henry James, Theodore Roosevelt, William Dean Howells, and Frederick Jackson Turner, in the 20th century Parkman was often overlooked, or consigned to literary and surveys. This may be due to his image as a conservative

historiographical "dilettante" and Beacon Hill aristocrat, and

to his

fluid

narrative method, well his penchant for martial subjects, heroic as

as

bias. such However, by the David Howard Levin, Eliot as Samuel Morison, Doughty, William R. Taylor, and Mason Wade had redressed this neglect. Far from limiting or prejudicing his work, Parkman's privileged

noblemen, and epic

pronounced rationalist 1950s, sympathetic studies by scholars sagas, and

a

origins invigorated his scholarship. Spurning a gentleman's career, as a boy Parkman hunted and fished in pockets of forest near Boston, and later explored northern New England, his woodcraft and a taste for personal experience in the

developing

wilderness. While he was still an undergraduate, his love of the frontier and passion for history converged on a lifelong the history of French and British explorers in North theme America. Like those other genteel Bostonians, William H. Prescott and John Lothrop Motley, Parkman found in history a manly profession, active life, patriotic impulses, and recognition as an author. Parkman's example would influence other Harvard College aristocrats who studied the frontier, Owen Wister and Theodore Roosevelt. After his Oregon Trail expedition, Parkman's health and eyesight failed, but private resources permitted him to continue his work and to travel in North America and Europe, employing researchers in libraries and archives. Extensive and critical reliance on documentation was a hallmark of his work, together with broad research, deep understanding of human nature, an interest in the new science of ethnology, and a lucid literary style, all of which made Parkman America's foremost historian in the 19th century. Parkman's productivity was remarkable. When Paris archives became available, due in part to a $10,000 Parkman obtained from Congress, he published a of Discovery of the Great West (1869) entitled La Salle and the Discovery of the Great West (1879). Before his books were published in new editions, Parkman often revised and rewrote, seeking always the highest standards of accuracy and literary skill. During his lifetime, Parkman was hailed as the American Herodotus or another Thucydides, extravagant praise perhaps, but an indication of his high standing in the emerging At a time when history was still a literary endeavor, Parkman was a scientific scholar collecting manuscript -

appropriation revision

discipline.

materials and visiting historic locations. He made repeated research trips to Canada from 1843 to 1886, as he wrote, to "imbue himself with the life and spirit of the time." He relied less on books than on personal experience identifying him with his subjects. His journals were published in 1947, and his letters in 1960. Parkman's work remains a valid, vivid and authentic and his position as a founding father of American

contribution, is

history

secure.

PETER E. HOLLORAN

See also Eccles; Morison; Schama;

Trigger

Biography

Born Boston, 16 September 1823 , to a wealthy family. Educated at Harvard College, BA 1844, and Harvard Law School, LLB 1846 Traveled from St. Louis along the Oregon Trail, 1846. Professor of horticulture, Harvard University, 1871 ; president of the Massachusetts Horticultural Society ; a founder of the Archaeological Institute of America, 1879 Married Catherine Scollay Bigelow, 1850 (2 daughters, 1 son) Died Boston , 8 November 1893 .

.

.

.

Principal Writings

The California and Oregon Trail , 1849 ; revised as The Oregon Trail , 1872 The Conspiracy of Pontiac and the Indian War after the Conquest of Canada , 1851 ; published in Britain as History of the Conspiracy of Pontiac, and the War of the North American Tribes against the English Colonies after the Conquest of Canada ,

1851 England in North America , 9 vols., 1865-92 The Journals of Francis Parkman , edited by Mason Wade , 1947 The Letters of Francis Parkman , edited by Wilbur R. Jacobs , i960

France and

.

Further Reading Doughty Howard M. Francis Parkman New York : Macmillan 1962 ; reprinted Cambridge, MA: Harvard University Press, 1983 Farnham Charles Haight A Life of Francis Parkman Boston : Little ,

,

,

,

,

,

,

Brown , 1900 Gale , Robert L. , Francis Parkman , New York :

Twayne 1973 Parkman, Historian as Fiero: The Formative Years Austin : University of Texas Press 1991 Levin David History as Romantic Art: Bancroft, Prescott, Motley, and Parkman Stanford, CA : Stanford University Press 1959 Morison Samuel Eliot ed., The Parkman Reader Boston : Little ,

R. , Francis

Jacobs Wilbur ,

,

,

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,

,

,

,

,

,

Brown , 1955 Pease , Otis Α. , Parkman's

History: The Historian as Literary Artist, New Haven : Yale University Press , 1953 Schama , Simon , Dead Certainties: Unwarranted Speculations , New York : Knopf , and London: Granta, 1991 Schramm , Wilbur J. , ed., Francis Parkman: Representative Selections , New York : American Book Company, 1938 Wade , Mason , Francis Parkman, Heroic Historian , New York :

Viking

,

1941

Parrington,

Vernon Louis

1871–1929

US intellectual historian Vernon Louis

Parrington is remembered for

volumes

uncompleted at his death of Main Currents Thought (1927-30). An important work in the

-

the last

in American

one -

book, the three

already well-established tradition of Progressive history of the United States, whose most notable exponents included Frederick Jackson Turner, Charles A. Beard, Carl Becker, and James Harvey Robinson, Partington's magnum opus also gave new credibility to the then poorly regarded field of American literature. As the first attempt at any comprehensive synthesis of the subject, it broke new ground, and even in the 1950s a survey of one hundred historians still cited Parrington's study as the single work of American history they

interpretive "most

preferred." Partington spent his career in relative obscurity, teaching literature at, successively, the College of Emporia, Kansas, the University of Oklahoma, and the University of Washington in Seattle, where he spent most of his career. Unhappy during his undergraduate years at Harvard, he gravitated toward dissent and radicalism, and in 1897, led a delegation to a Kansas Populist convention. Something of a romantic, throughout his life Parrington remained an admirer of the social thought of John Ruskin and William Morris,

midwestern

drawn by both the latter's cult of craftsmanship and his particularly

criticism of the materialism of century he

the

big business.

In the

early 20th

much influenced

by the radical scholarship of Progressive period, particularly that of his Washington was

colleague, the political

James Allen Smith, who like Beard considered the American Constitution a "reactionary" document designed to maintain the status quo and subvert majority rule. Although Parrington began work on Main Currents in 1913, he could not find a publisher until 1927, when the appearance scientist

of the first two volumes created an immediate sensation. In a fine and polished style that greatly enhanced the book's appeal, Parrington analyzed American literary and political writing from the perspective of the intellectual, social, and economic ideas which it represented, largely ignoring any artistic content. He portrayed the entire history of the United States as a battle between the values of Jeffersonian democratic idealism and Hamiltonian conservatism, making it clear that he strongly favored the Jeffersonian tradition and its exponents. Following the approach taken in Beard's historical writings, Parrington depicted political ideas, especially those he found as the product of the environment in which their lived rather than of any universal principle. Of purely literary work, representing no strong political viewpoint, such as the writings of Edgar Allan Poe and Henry James, Parrington clearly disapproved. Parrington's work was characterized by numerous striking individual studies of particular writers and political figures, which added to his survey's popularity. Immediately hailed as a masterpiece, during the 1930s, when the Depression discredited big business and capitalism, Parrington's work became the standard account of its subject. In later years, however, his treatment of numerous aspects of United States history, in particular his interpretation of Puritan figures and the colonial period, would be subjected to heavy criticism as being inaccurate and distorted to fit into his overriding thesis that the entire history of the United States was the story of the contest between democratic and conservative values. Today, Parrington is little read and regarded largely as a historical curiosity. Even so, Main Currents was one of the first and most ambitious

unsympathetic,

and as such may be American studies.

regarded

of the

as one

founding

texts

of

PRISCILLA M. ROBERTS See also Curti; Hofstadter; LaFeber; Morgan; United States: Century; United States: Historical Writing, 20th Century

19th

Biography Born Aurora, Illinois, 3 August 1871 , son of a judge. Studied at College of Emporia, Kansas ; Harvard University, BA 1893 Taught English and French at College of Emporia , 1893-97 ; English and modern languages (rising to professor), University of Oklahoma , 1897-1908 ; and English at University of Washington, 1908-Z9 Married Julia Rochester Williams , 1901 (2 sons, 1 daughter). Died .

.

Winchcomb, Gloucester, England

,

16

June

1929

.

Principal Writings Main Currents in American Thought: An Interpretation of American Literature from the Beginnings to 1920 , 3 vols., 1927-30

Further Reading Colwell James L. The Populist Image of Vernon Louis Parrington," Mississippi Valley Historical Review 49 ( 1962 ), 52 66 Ekirch Arthur Α. Jr. Parrington and the Decline of American Liberalism ," American Quarterly 4 ( 1951 ), 295 308 Gabriel Ralph H. Vernon Louis Parrington," in Marcus Cunliffe and Robin Winks eds., Pastmasters: Some Essays on American Historians New York : Harper 1969 Harrison Joseph B. Vernon Louis Parrington: American Scholar Seattle : University of Washington Book Store 1929 Hofstadter Richard The Progressive Historians: Turner, Beard, Parrington New York : Knopf 1968 ; London: Cape, 1969 O'Brien Michael Vernon L. Parrington," in Clyde N. Wilson ed., Twentieth-Century American Historians Detroit : Gale 1983 [Dictionary of Literary Biography, vol. 17 ] Peterson Merrill D. Parrington and American Liberalism ," Virginia Quarterly Review 30 ( 1954 ), 35 49 "

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Skotheim , Robert Allen , and Kermit Vanderbilt , " Vernon Louis Parrington: The Mind and Art of a Historian of Ideas ," Pacific Northwest Quarterly 53 ( 1962 ), 100 13 " Utter, William T. , Vernon Louis Parrington," in William T. Hutchinson , ed., The Marcus W. Jernegan Essays in American Historiography , Chicago : University of Chicago Press , 1937 -

proponents

to provide an interdisciplinary perspective melding together history, literature, economics, politics, and geography,

attempts

Pekař,

Josef

1870–1937

Czech historian Pekar was perhaps the most influential Czech historian after František Palacký, and was the leading member of the Goll school in Czech historiography that set out to revise Palacký's romantic nationalistic historiography through rigorous criticism of historical sources. Trained by Jaroslav Goll in Prague and abroad in historical seminars in Erlangen and Berlin, Pekař went beyond historical positivism to achieve mastery in combining political and economic themes through the medium of his cultivated prose. He soon became involved in major academic controversies dominating Czech intellectual life, especially with T.G. Masaryk, the future founder of the Czechoslovak Republic. Pekař's tastes were distinctly molded by agrarian Catholicism; he detested growing proletarianization and feared revolutionary socialism.

Josef

conservative,

Pekař's

baptism

of fire

was

in connection with his critical

analysis of the so-called Manuscript Forgeries "discovered" in 1817 and 1818. Even the great Palacký did not dare to touch upon their dubious authenticity. The next two generations, including Goll, Masaryk, and the young Pekař, willing to risk becoming outcasts in the polarized Czech society, did dare. Pekarř's next significant public controversy was his rebuttal of the

however,

renowned German historian Theodor Mommsen for the latter's vilification of the Czechs as "apostles of barbarism" (Neue Freie Presse, 31 October 1897). Mommsen, "without knowing our history," Pekař complained, had decided to throw in his name behind the Bohemian Germans in their fight for the maintenance of language privileges. In Nejstarší kronika česká {The Oldest Czech Chronicle, 1903), and in Die Wenzel- und LudmilaLegenden und die Echtheit Christians (The Wenceslas and Ludmila Legends and their Authenticity as Christians, 1906), Pekař challenged many established views on the earliest Czech legends and chronicles. In 1909 his finest book, Kniha o Kosti (The Book of Kost) came out. Here Pekař captured the complex relationship between man and land in his native region of Bohemia during and after the Thirty Years' War. Pekař's continuous immersion in social and agrarian history resulted in the publication ofČeské katastry, 1654-1789 (Bohemian Land Registers, 1913), in which he proved that the Czech lands had carried the major burden of taxation for the Habsburg during the Turkish Wars. In 1912. Pekař published the article "Masarykovačeská filosofie" (Masaryk's Czech Philosophy), considered his finest

northwestern

monarchy polemic, convincingly destroying

as

teleological mystification

of the Czech past the views of his professorial colleague, T.G. Masaryk, on the pseudohistorical connection between Hussitism and the Czech Reformation. During World War I, Pekař, always a staunch defender of the historical Czech Constitution (Böhmisches Staatsrecht), hoped that loyalty to the Habsburg dynasty would be rewarded by an increase in Czech autonomy against the forces of Pan-Germanism. He could never conceive the emergence of a sovereign and Czech State with Slovakia. Thus, the three most Czech historians, Pekař himself, his teacher Jaroslav Coll, and fellow-historian Josef Šusta, refused to sign the 1917 Declaration of Czech Writers demanding self-determination. However, when the creation of the Czechoslovak Republic became irreversible, Pekař performed a mental somersault and in his December 1918 address greeted the independent Czechoslovak state "with the most jubilant cry," explicitly saying that the new state was the fruit of the systematic work of Czech historians over generations and not the product of

independent prominent

-

Masaryk's

recent

foreign

action.

of the Battle of the White Mountain and the cult of Bohemian saints such as St. Wenceslas and St. John of Nepomuk. The polemics with Jan Slavík and other historians over Žiška and Hussitism overlapped with the renewed debate on "the meaning of Czech history" and its periodization. In a lecture in 1918 Pekař reminded his audience that he, alone among the Goll school of empirical historians, had actually written a book with a philosophy of Czech history. He meant his textbook for Czechoslovak high schools, originally published under the ancien régime in 1914 as Dějiny nasiříše (History of Our Empire, 1914) in which he emphasized the decisive influence of Europe via Germany as the central factor in Czech history just as Western Europe had been decisively influenced by the Orient and antiquity during earlier centuries. In 1935, on President Masaryk's 85th birthday, Pekař appeared for the last time as the grand interpreter of Czech destiny, graciously Masaryk his past methodical mistakes. Though by many as the only plausible rival of Masaryk, Pekař never showed ambition to become the presidential candidate of the Catholic right during the 1935 campaign. In his endeavor to improve Czech-German relations, Pekař underrated the brutal nature of Hitler's dictatorship. He thus fell an easy prey to unscrupulous manipulators such as Josef Pfitzner, a history professor from the German University of Prague and a Sudeten German activist. Pekař did not live to witness the tragic year of 1938, but during the German his name was misused by Nazi propaganda to foster collaboration with the Reich and to outweigh the legacy of Palacký and Masaryk. After the war communist propagandists condemned Pekař as the leading ideologue of Since the "Prague Spring" of 1968, however, Pekař's work has enjoyed a remarkable recovery among the Czech public, partly because of the official anathema that lasted until the end of 1989, but mostly because of the extraordinary range and quality of his historical analysis, combined with a rare gift for a balanced synthesis, both of which make his work fresh and insightful in the present crisis of statehood and national identity in Eastern Europe.

significance

-

-

forgiving considered

occupation

counterrevolution.

unusually

MILAN HAUNER

Biography

at Czech University, Prague ; of Erlangen and University of Berlin ; Habilitation, 1895. Taught at Czech University, Prague, 1897-1937: professor of Austrian history, 1905-18, then professor of Czech history, 1918-37. Elected rector of Charles University, Prague, 1931. Editor,Český časopis historický ( Czech Historical Journal ), 1897-1937 Died 23 January 1937

Born

12

April 1870 Educated .

postgraduate study, University

.

.

Pekař's political conservatism became pronounced, he criticized the new land reform in Czechoslovakia, which divided large aristocratic estates for the benefit of smallholders. In press articles he blamed the Bolsheviks and Jews alike for the collapse of the old order. He was opposed to the one-sided cult of Hussitism, which now received official support from the His favorite era was the Baroque, stigmatized by the Catholic Counter-Reformation in the language of Czech patriots as the "Epoch of Darkness," but seen by Pekař as the birthplace of modern Czech nation. Hence Pekař's last major work, on the Hussite period,Žižka a jeho doba (Žiska and His Era, 1927-33), and numerous smaller monographs dealt with the more

and

government.

Principal Writings

Dějiny Valdštejnského spiknutí 1630-1634 ( History of the Wallenstein Conspiracy ), 1895 ; second edition 1934 ; in German as Wallenstein: Tragödie einer Verschwörung 1936 Nejstarši kronika česká (The Oldest Czech Chronicle ), 1903 ,

Die Wenzels- und

Ludmila-Legenden

und die Echtheit Christians

( The Wenceslas and Ludmila Legends and Their Authenticity as Christians ), 1906 Kniha o Kosti ( The Book of Kost ), 2 vols., 1909-11 Masarykova česká filosofie ( Masaryk's Czech Philosophy ), Český casopis historický ( Czech Historical Journal ) 18 ( 1912 ); special issue Prague 1927 "

"

České katastry, 1654-1789 (Bohemian Land Registers ), 1913 Dějiny naší říše ( History of Our Empire ), 1914 Bílá Hora ( The White Mountain ), 1921 Dějiny československé (Czechoslovak History ), 1921 ; in German as Tschechoslowakische Geschichte 1988 Tri kapitoly z boje o svatého Jana Nepomuckého (Three Chapters from the Struggle of St. John of Nepomuk), 1921 Žižka a jeho doba (Žiška and His Era ), 4 vols., 1927-33 Svatý Václav ( St. Wenceslas ), 1929 1932 O smyslu českých dějin (On the Meaning of Czech History ), 1977 ,

,

Further

Reading

-

Friendship ), Prague

,

1941

Kucera , Martin , Pekař proti Masarykovi ( Pekař

study of the

Pelliot's proven skills as book collector and experience of travel in China made him, despite his relative youth, the obvious leader for a three-man mission, sent in 1906 under the aegis of the Academic Française to try to obtain books and manuscripts in China, and in particular in Chinese Turkestan, following the recent great success of the British expedition led by Aurel Stein. Pelliot's extraordinary linguistic gifts he had a capacious memory and would become fluent in 13 languages gave him considerable diplomatic advantages, and at Tunhuang enabled him to select the printed books and manuscripts, which were in Tibetan, Uighur, Tokharian, Sogdian, and Sanskrit, as well as Chinese, with particular skill, despite the secretive and pressured nature of the conditions under which he had to work. On his return to Paris in 1909 he brought with him more than 30,000 books and between 4000 and 5000 manuscripts. Subsequent personal attacks on his integrity and on the account that he gave of his activities were dispelled, not least by Stein's endorsement and the account that he gave of the difficulties he too had faced when working at Tun-huang. Pelliot in turn inspected Stein's more substantial if less discriminatingly selected haul of manuscripts in London, with a view to cataloguing them. This, like many of his other projects, was to prove abortive. The second phase of Pelliot's career began in 1911 with his appointment, in recognition of his achievements in China, to a specially created chair in the Collège de France. Here, apart from a brief period of diplomatic service during World War I, he would remain teaching up to his death. Additional honors that he received included election to the Academie des Inscriptions et Belles Lettres in 1921 and to the presidency of the Société Asiatique in 1936. He was long recognized as France's foremost sinologist and East Asian specialist, and taught most of the leading scholars in these fields of the next generation. His own work was particularly concerned with the western border provinces and with the neighbors of China rather than with the heartlands of the empire. As a scholar Pelliot was particularly noted for his insistence upon the of full and detailed source references in his work, that had previously not been taken so seriously. While he continued to publish numerous articles on a wide range of literary, and linguistic topics, notably in the Journal Asiatique, the Bulletin de l'Ecole française d'Extrême Orient, and T'oung-pao (of which he became joint editor in 1920 and sole editor in 1925), he completed very few larger-scale While eight volumes of catalogues of the materials that he brought back from his 1906-09 mission to China were between 1914 and 1918, he himself failed to produce any substantial text to accompany the four books of photographs of the expedition that appeared as Les Grottes de Touenhouang (The Grottoes of Dunhuang, 1920-24). Likewise, although he agreed in 1926 to produce a revised and expanded edition of the book on the early history of printing in China by the American sinologist Thomas Francis Carter, this was eventually reprinted with only a short introduction by Pelliot. He had, however, devoted a course at the Collège de France to the subject and begun work on a book of his own. This, like the materials for ten other books, was found unfinished at his death. It has been suggested that the requirement for -

Prague : Masaryka

,

-

contra

Masaryk),

-

1995

Kutnar, FrantiSek , ed., Josef Pekař: Postavy a problémy českých dêjin ( Personalities and Problems of Czech History ), Prague : ,

1903

-

Hanzal , Josef, ed., Josef Pekař: na cestě k samostatnosti (Josef Pekař: On the Road to Independence ), Prague : Mlada Fronta , 1993 Hauner, Milan , " The Meaning of Czech History: Masaryk versus Pekař ," in Harry Hanak , ed., T.G. Masaryk: Statesman and Cultural Force , 3 vols., London: Macmillan, 1987 ; New York : St. Martin's Press, 1989-90 Hauner, Milan , " Josef Pekař: Interpreter of Czech History," Czechoslovak and Central European journal 10 ( 1991 ), 13 35 Kanturková , Eva , ed., Pekařovské Studie ( Essays on Peka\l=r%v\), 2 vols., Prague : Academia , 1995 Klik , Josef, ed., Listy úcty a přátelství ( Letters of Reverence and

Vyšehrad

Among the earliest of these was his Cambodian kingdom of Fu-nan.

1970

Kutnar, František , Prěhledné dějinyčeského a slovenského písemnictví ( Historical Survey of Czech and Slovak Historiography ), vol. 2 , Prague : SPN , 1978 Masaryk , Tomáš , The Meaning of Czech History , edited by René Wellek , Chapel Hill : University of North Carolina Press , 1974 Pachta , Jan , J. Pekař: ideolog kontrarevoluce (J. Pekař: The Ideologue of Counterrevolution ), Prague , 1948 Pachta , Jan , Pekař a pekařovština v ćeském dějepisectvi (Pekar and His Pseudo-Science in Czech Historiography ), Brno : Rovnost , 1950

Plaschka , Richard G. , Von Palacký bis Pekař: Geschichtswissenschaft und Nationalbewusstsein bei den Tschechen ( From Palacký to Pekař: Czech Historiography and National Consciousness ), Wiener Archiv für Geschichte des Slawentums und Osteuropas, vol. 1 , Graz : Böhlaus , 1955 Slavík , Jan , Pekař contra Masaryk ( Pekar Against Masaryk), Prague : Ein , 1929

inclusion

something

historical,

Pelliot, Paul

1878–1945

French historian of China Paul Pelliot's career and his scholarly activities fall more or less neatly into two parts. Born in Paris in 1878, he in Sanskrit and Chinese at the Sorbonne, where he studied under Sylvain Lévi, the leading French sinologist of the period, before joining the Mission archéologique d'Indochine in Hanoi in 1899. This institution was in the process of changing its title to the Ecole française d'Extrême Orient and expanding the geographical range of its activities accordingly. It needed to enhance the size and increase the range of its library, and Pelliot made annual journeys into China from 1900 to 1902 to acquire books for it. He also started publishing the body of articles on a wide range of Chinese and Southeast Asian topics that would mark the whole of his scholarly career.

graduated

substantial

projects.

published

at the Collège de France to produce an entirely new of lectures each year explains the large number of such books that he was writing and his failure to publish them. To this should be added the very wide range of the subjects that he was working on, apparently simultaneously. These included editions of the Mongol Secret History of c.1240, of a 14th-century Arab-Mongol dictionary, and of a Cambodian descriptive text. The first of these was to be accompanied by a translation, and he was also working on a French version of the first part of the history of the Mongols of Rashid al-Din. There were also monographs in preparation on the Kalmuks, on T'ang dynasty sources relating to the history of Tibet, on the history of the Golden Horde, and on the famous Nestorian inscription at Si-ngan-fu. In his own lifetime Pelliot had produced a wellregarded historical survey, Haute Asie (Inner Asia, 1931), but much of his major scholarly work would be published only posthumously. This began almost immediately after his death, under the auspices of the Academie des Inscriptions. Not all of the manuscripts were far enough advanced for publication and the process faltered after the fourth volume of his posthumous works appeared in 1953. One or two more, notably the Notes critiques d'bistoire kalmouke (Critical Notes on Kalmuk History,1960) and the Recherches sur les Chrétiens d'Asie Centrale et d'Extrême-Orient (Researches on the Christians of Central Asia and the Far East, 1973) followed later.

professors

course

ROGER COLLINS

Maspero; Mongol

See also

Biography

Born Paris, 28 May 1878. Studied Sanskrit and Chinese at the Sorbonne Member, Mission archéologique d'Indochine (later the Ecole française d'Extrême Orient) , Hanoi , 1899-1909 ; traveled extensively in China buying books and manuscripts , 1900-09 ; chair in Chinese history, Collège de France, 1911-45 Served in World War I in military and as a diplomat Died Paris , 26 October 1945 .

.

.

.

Principal Writings Les Grottes de

Touen-houang ( The Grottoes of Dunhuang ),

6

vols.,

1920-24

Haute Asie ( Inner Asia ), 1931 Editor and translator, Histoire secrète des Mongols (Secret History of the Mongols), 1949 Translator with Louis Hambis , Histoire des campagnes de Genghis Khan , vol. 1 , 1951 Editor and translator, Mémoires sur les coutumes du Cambodge , by Chou Ta-kuan , revised edition, 1951 ; abridged in English as Notes on the Customs of Cambodia , 1967 Notes on Marco Polo , 3 vols., 1959-73 Notes critiques d'histoire kalmouke ( Critical Notes on Kalmük

History ), i960 Histoire ancienne du Tibet , 1961 Recherches sur les Chrétiens d'Asie Centrale et d'Extrême-Orient ( Researches on the Christians of Central Asia and the Far East ), 1973

Pérez,

Louis A.,

Jr.

1943–

US historian of Latin America Louis A. Pérez, Jr. is the leading contemporary historian of Cuba writing in the English language. Since the 1976 of his first major work, Army Politics in Cuba, 1898-1958, Pérez has continued to produce solid scholarly works dealing with Cuban politics and society since 1875. In this regard, he has successfully led the movement, particularly in the United States, of reviving an interest in Cuban historical issues outside the 1959 Castro Revolution. Pérez has incorporated into his writings various groups who have traditionally been minimized in the histories of Latin America, especially blacks and women. In addition, his writings tend to share a common theme: Cuban history has been a history of revolution, and that revolutionary impulse has been shaped and determined by the actions of others notably Spain and the United States. While this statement surely seems to fit most of the islands of the Caribbean, what Pérez and the Cuban historians have argued is that the actions by the United States stifled a modern nationalist revolution in Cuba toward the end of the 19th century. Pérez's works have complemented, and eclipsed, Hugh Thomas' monumental Cuba: The Pursuit of Freedom (1971), which set the standard for authoritative English-language of the Caribbean island and its people. Historiographically, Pérez has provided the English-speaking world with both monographs and bibliographic collections, thus enriching the field of Cuban history. Pérez's works on Cuba have focused primarily on the late colonial to pre-1959 Revolution period of Cuban history, an area that is generally neglected by historians. Cuban historians, especially since the Revolution, have tended to write overtly nationalist and Marxist interpretations of Cuban history after independence, while North American scholars have tended to focus on either social or diplomatic history. In this regard, Pérez has produced materials in both social and diplomatic history, having published works on banditry, education, Cuban exiles at the beginning of the century, and Protestant missionaries on the island. In general, Pérez's works are objective in that they provide a balanced analysis and interpretation of the facts. His works are well researched, utilizing archival materials both inside and outside of Cuba.

publication

-

"revisionist"

histories international

H. MICHEAL TARVER

See also Cuba; Latin American: National

Biography

Born New York City, 5 June 1943 Received BA, Pace University, 1965 ; MA, University of Arizona , 1966 ; PhD, University of New Mexico , 1970 Taught (rising to professor), University of South Florida ; and University of North Carolina Married 1965 (2 .

.

.

children). Further Reading Hopkirk Peter Foreign Devils on the Silk Road: The Search for Lost Cities and Treasures of Chinese Central Asia London : Murray 1980 ,

,

,

,

Principal Writings Army Politics in Cuba, 1898-1958 1976 Intervention, Revolution, and Politics in Cuba, 1913-7921 1978 Cuba Between Empires, 1878-1902 1983 Cuba under the Piatt Amendment, 1902-1934 1986 ,

,

,

,

Cuba: Between Reform and Revolution , 1988 Lords of the Mountain: Social Banditry and Peasant Protest in

Cuba, 1878-1918 1989 ,

Cuba and the United States: Ties of Singular Intimacy , 1990 A Guide to Cuban Collections in the United States , 1991 Essays on Cuban History: Historiography and Research , 1995

Pessen, Edward

1920–19 2

US social historian Edward Pessen belonged to a generation of historians who redefined American social history, challenging accepted verities concerning the United States and relying heavily upon the use of quantitative data. A native of New York City, where except for a two-year period at Fisk University during the 1950s and occasional years abroad later, he spent his entire life, he was educated at Columbia University in the late 1940s and early 1950s. Pessen was much influenced by and a product of the "Columbia group" of anticommunist New York liberal centering around Lionel Trilling, Daniel Bell, Richard Hofstadter, and the journals Partisan Review and Commentary. In many ways he represented the group's left-wing, critical aspects rather than its endorsement, however qualified, of the status quo, an outlook which meant that he bridged the often yawning chasm between the New York intellectuals on the one hand and the New Left and proponents of the "new" social history on the other. Unlike many of the latter, however, he not only demanded meticulous accuracy of himself, but also followed his mentors in laying great stress upon style and literacy. In his Who's Who in America entry, Pessen wrote: "I have made trans-Atlantic calls to check the accuracy of a As author, I love writing sentences that communicate my thoughts clearly and interestingly. Since good writing, like good pitching, requires a change of pace, I try to vary the rhythm, mood, and length of my sentences. As an iconoclastic I feel a special obligation to say what I have to say lucidly and attractively in order to gain a sympathetic hearing for what I have been told are my provocative ideas." Because of heavy teaching commitments, Pessen began to publish extensively relatively late in his career, when he reached his late forties. Initially, he concentrated upon the Jacksonian period, publishing articles and a well-received book, Most Uncommon Jacksonians (1967), on radical labor leaders of the time, whom he characterized as "atypical men whose of society testified more to their radical state of mind than to the actual state of things in America." Several edited collections of readings and essays and the synthesis Jacksonian America (1969), a volume described by a reviewer as "an updated codification of the Columbia School," were marked by their readiness to regard politics as an expression of the broader society, rather than the reverse. Pessen suggested that Jacksonian America was relatively inegalitarian and pronounced differences in income, themes that he explored further in Riches, Class and Power before the Civil War (1973). In this book Pessen employed a wealth of statistical analysis to challenge the hallowed Tocquevillian assumptions that the United States was characterized by high social mobility and relatively limited income differentials.

intellectuals

footnote.

historian,

denunciations .

.

.

exhibited

Pessen then proceeded to turn a skeptical floodlight upon another hallowed American belief, the idea that presidents generally enjoyed fairly humble origins and that a background was a positive asset in attaining the The Log Cabin Myth (1984) scrutinized the antecedents of all occupants of that office from George Washington to Ronald Reagan, discovering that, although aspirants to the presidency often claimed modest origins, in reality most came from relatively well-to-do and many from wealthy families. In his later years Pessen wrote many short pieces on sports, particularly baseball, an abiding passion, but his somewhat selfconsciously iconoclastic outlook remained. His final work, Losing Our Souls (1993), published posthumously, was highly critical of American tactics in the Cold War, condemning what he saw as inflated US rhetoric, exaggerations of the Soviet threat, the undermining of democratic freedoms at home and abroad, the growth of an expensive and economically unsound military-industrial complex, and thousands of unnecessary deaths in Third World countries. He argued that, although Soviet behavior was often "deplorable" and unpleasant, this had not constituted a threat to United States security sufficient to justify the military buildup and excessively antagonistic that his country displayed during the Cold War. By the end of his life Pessen, though trained in the Columbia school, had essentially accepted the New Left outlook. Challenging US triumphalism at the ending of the Cold War, he remained a dissenter to the last. PRISCILLA M. ROBERTS

disadvantaged presidency.

attitudes

See also Prucha; United States:

19th Century

Biography Born New York City, 31 December 1920 Worked as a welder before serving in the US Army infantry, 1944-45. Received ΒA, Columbia University, 1947, MA 1948, PhD 1954 Taught at City College of New York , 1948-54 ; Fisk University, 1954-56 ; Staten Island Community College , 1956-70 ; and Baruch College and City University Graduate Center, 1970-92 Married Adele Barlin , 1940 (3 daughters, 2 sons). Died Miami, 22 December 1992 .

.

.

.

Principal Writings Most Uncommon Jacksonians:

The Radical Leaders of the Early Labor Movement, 1967 Jacksontan America: Society, Personality, and Politics , 1969 ; revised 1978 Riches, Class, and Power before the Civil War , 1973 Editor, Three Centuries of Social Mobility in America , 1974 The Log Cabin Myth: The Social Backgrounds of the Presidents, 1984 Losing Our Souls: The American Experience in the Cold War , 1993

Further

Reading

Hamerow, Theodore S. ,

Reflections on History and Historians , Madison : University of Wisconsin Press , 1987 Jacoby, Russell , The Last Intellectuals , New York : Basic Books , 1987 Jumonville Neil Critical Crossings: The New York Intellectuals in Postwar America Berkeley : University of California Press 1991 Kraus Michael and Davis D. Joyce The Writing of American History revised edition, Norman : University of Oklahoma Press 1985 Novick Peter That Noble Dream: The "Objectivity Question" and the American Historical Profession Cambridge and New York : Cambridge University Press 1988 ,

,

,

,

,

,

,

,

,

,

,

,

,

Thelen , David P. , Jonathan M. Wiener, John D'Emilio , Herbert Carl , John Higham, Aptheker, Gerda Lerner, Christopher Lasch " N. Degler, and David Levering Lewis , A Round Table: What Has Changed and Not Changed in American Historical Practice ?" Journal of American" History 76 (1989 ), 393 478 Veysey, Laurence R. , The 'New' Social History in the Context of American Historical Writing ," Reviews in American History 7 ( March 1979 ), 1 12 -

-

Pevsner, Nikolaus British

(German-born)

architecture. contribution

1902–1983

architectural historian

Nikolaus Pevsner was one of the century's most well-known historians of art and architecture. One of the first to turn a critical eye on contemporary creations, he was particularly influential in helping a modern audience comprehend the historical background of his subject. Educated in Leipzig, Pevsner settled in England in 1935. He was the editor of the Pelican History of Art series from its inception in 1953, and of the 46 volumes of The Buildings of England, of which he wrote 38. His Pioneers of the Modern Movement from William Morris to Walter Gropius (1936) constructed a lineage of the Modern movement that was rooted in the English Arts and Crafts movement, included Art Nouveau and architects such as Frank Lloyd Wright, Tony Gamier, Adolf Loos, and Peter Behrens, and culminated in the Bauhaus. He viewed modernism as the style that expressed the essence of the 20th century and considered the triumph of rationalism, functionalism, and streamlined design as inevitable. His emphasis on the social role of design also led him to An Enquiry into Industrial Art in England (1937), an empirical study partly based on Pevsner toned down his rigorous In the of modernism and announced that the "style of the straight line and the annihilated ornament is not the whole modern style of design." Indeed, in The Englishness of English Art (1955) he declared picturesque informality as the essence of British culture. Architectural Review, of which Pevsner, along with J.M. Richards, was the most active editor, also supported such "new humanism." Pevsner popularized art history. An Outline of European Architecture (1942) was aimed at a broad public as was the The Buildings of England (1951-74), which covered all the English counties. This was based on the German Dehio guide and was of methodical thoroughness based on countless histories, local guides, and Pevsner's firsthand visual survey. Architectural history provided a foundation of fact and theory for the English conservation movement that swelled in the 1960s, and Pevsner supported the cause by becoming the chairman of the Victorian Society in 1963. The sudden surge of interest in Victorian architecture, however, took him aback as did the popularity of Neo Art Nouveau. Pesvner the interest in imitating criticized the return of historicism considered outmoded. which he However, he also past styles recognized his neglect of certain Art Nouveau architects by featuring Antoni Gaudí and Antonio Sant'Elia in the new edition of Pioneers of the Modern Movement. With the publication of David Watkin's Morality and Architecture (1977) a bitter controversy erupted, Watkin argued that the ideological base of Pioneers was the Hegelian

interviews. 1950s advocation

monumental

somewhat -

-

Geistesgeschichte, an interpretation of history as the unfolding of the will of the spirit. Such historicism considered artistic expression as one manifestation of the "spirit of the age," or Zeitgeist. Watkin's critique coincided with the development of postmodernism. Some criticized the destructive effect of modernism on many cities and towns. Others noticed how Pevsner's political stance caused him to ignore important aspects of architectural history, such as the role of patronage and the relationship between interior decoration and Almost everyone agrees however on the immense of Pevsner not only in making Britain a center of art history, but also in greatly popularizing the field. H. HAZEL HAHN

See also

Design

Biography Nikolaus Bernhard Leon Pevsner Born Leipzig, Germany, 30 January 1902, son of a fur trader Educated at St. Thomas's School , Leipzig ; attended universities of Leipzig, Munich, Berlin, and Frankfurt; received PhD in history of an and architecture, University of Frankfurt, 1924 Assistant keeper, Dresden Gallery, 1924-28 ; lecturer in history of art and architecture, Gottingen , 1929-33 ; left Germany, 1933 ; settled in England (naturalized 1946); taught history of art, Birkbeck College, London , 1942-69 ; Slade professor of fine art, Cambridge University, 1949-55 ; fellow, St. John's College, Cambridge , 1950-55 ; Slade professor of fine art, Oxford University, 1968-69 Married Karola Kurlbaum 1923 (died 1963 ; 2 sons, 1 daughter). Knighted 1969 Died London , 18 August 1983 .

.

.

.

,

.

.

Principal Writings

Barockmalerei in den romanischen Ländern ( Baroque Art in the Latin Countries ), 1928 Pioneers of the Modern Movement from William Morris to Walter Gropius, 1936 ; reprinted as Pioneers of Modern Design from William Morris to Walter Gropius, 1949 An Enquiry into Industrial Art in England, 1937 Academies of Art, Past and Present , 1940 An Outline of European Architecture , 1942 ; 7th edition, 1968 High Victorian Design: A Study of the Exhibits of 1851 , 1951 General Editor, The Buildings of England, 46 vols., 1951-74 General Editor, The Pelican History of Art , 1953 Tbe Englishness of English Art , 1955 With Jean Cassou and Emile Langui, The Sources of Modern Art , -

1962 With John Fleming and Hugh Honour, The Penguin Dictionary of Architecture , 1966 The Sources of Modern Architecture and Design , 1968 The History of Building Types , 1976

Further Reading Banham , Reyner, Theory and Design in the First Machine Age , London : Architectural Press , and New York: Praeger, 1960 " Harbison , Robert , With Pevsner in England ," Architectural Review 176 ( 1984 ), 1052 ed., Nikolaus Pevsner: la trama della storia (Nikolaus Pevsner: The Thread of a Story), Milan : Guerinie , 1992 " Madge , Pauline , An Enquiry into Pevsner's Enquiry," Journal of Design History 1 / 2 ( 1988 ), 113 26 " Muthesius , Stefan , Nikolaus Pevsner," in Heinrich Dilly, ed., Altmeister moderner Kunstgeschichte , Berlin : Reimer, 1990 Porphyrios , Demetri , ed., On the Methodology of Architectural History , London: Architectural Design Profile, and New York : St. Martin's Press , 1981 Irace , Fulvio ,

-

Phillips, Ulrich

Bonnell

-

US historian of the American South Over the first half of the 20th century Ulrich Bonnell Phillips reigned as the premier historian of the antebellum American

South and black

Influenced

his

family's Georgia slavery. by plantation background, and his graduate training under Frederick Turner and William A. Dunning, Phillips wrote about his native region with affection, and interpreted slavery as a

Jackson

paternalistic, though economically flawed, institution. Phillips' Georgia and State Rights (1902) analyzed his state's antebellum political system by mapping changing political over time. This study won the American Historical Association's Justin Winsor prize. Over the next seven years Phillips dug deeply into the South's primary sources and census records, diaries, newspapers, and government documents. He utilized these rich sources effectively, publishing the path-breaking A History of Transportation in the Eastern Cotton Belt to 1860 (1908) and 15 articles in the leading historical and economic journals of his day. Phillips' pioneer scholarship dealt with previously unexplored economic themes capitalization of the region's railroads, plantation operations, the unprofitability of black slave labor, and slavery's long-term

allegiances -

plantation

-

ill effects on the South's economy. In these years Phillips also labored in the cause of Progressivism, publishing widely in popular magazines and newspapers in favor of southern reform. Always enamored of primary sources, in Plantation and Frontier (1909) Phillips amassed a vast documentary of excerpts gleaned from planters' diaries, travelers' and merchants' account books. He also edited The Correspondence of Robert Toombs, Alexander H. Stephens, and Howell Cobb (1911) and published his only biography, The Life of Robert Toombs (1913). During his career Phillips contributed many important articles on comparative systems of slavery, slave economics, and slave crime. His most and controversial essay, "The Central Theme of Southern History," appeared in 1928. According to Phillips, one theme the desire to keep their region "a white man's country" solidified white southerners throughout their history. Despite his many writings, Phillips' reputation rests on his two bestknown works, American Negro Slavery (1918) and Life and Labor in the Old South (1929). American Negro Slavery was the first systematic analysis of slavery in the entire South. It surpassed in focus and content previous books on North American slavery, and has influenced virtually all subsequent books on the subject. His chapters on West African culture, the slave trade, Caribbean slavery, and slavery in the North actually added little to previous but Phillips' use of the comparative method to examine slavery in the West Indies offered a fresh perspective to American historians. Phillips also made penetrating regarding the mechanics of plantation agriculture, the South's piain folk, and overseers. He focused predominantly, however, on the masters and their slaves. He identified a sense of fellowship between the two, a characterized by "propriety, proportion and cooperation." Through years of living together, Phillips maintained, blacks and whites developed a rapport not between equals, but

agricultural

collection

journals, significant

-

dependent unequals. Under slavery the two racial became interdependent the blacks "always with the groups social mind and conscience of the whites, as the whites in turn were within the minds and conscience of the blacks." Though masters controlled the privileges that the slaves enjoyed, Phillips considered blacks "by no means devoid of influence." Phillips thus interpreted slavery as a labor system "shaped by mutual requirements, concessions and understandings, producing reciprocal codes of conventional morality" and between

187 –1934

responsibility. to

Life and Labor in the Old South added little that was new his interpretation of slavery. Again he described slavery as

economic cancer but a vital mode of racial control. These themes can be traced back to his earliest writings. In this book Phillips modified neither his view that blacks were inherently inferior nor his belief that they retained few of their African cultural traits after enslavement. "The bulk of the black an

personnel," Phillips explained, "was notoriously primitive, uncouth, improvident and inconstant, merely because they were Negroes of the time." Less detailed and presented in a more attractive literary style than American Negro Slavery, Phillips's Life and Labor in the Old South was a general synthesis rather than a monograph. He devoted considerable space to the different groups that lived in the South, including "Redskins and Latins," "The Plain People," and "The Gentry." In his last years, he began what he often called his "big job" a 3-volume history of the South. The first volume, Life and Labor in the Old South, was so well received by reviewers that it was awarded a large cash prize from the publishers -

Little Brown. The volume's

also earned Phillips the in 19x9-30 he used it to observe blacks and other laborers in tropical climates worldwide. Phillips never lived to complete his trilogy on the South and his research on the region's political history went unpublished. Scholars remember him for his original use of plantation and other manuscript sources, for his interpretation of slavery as a benign yet unprofitable institution, and for his condescending and patronizing descriptions of blacks as childlike inferiors. success

year-long Albert Kahn traveling fellowship:

JOHN

-

scholarship, observations

relation

See also African American; Stampp; United States: 19th

DAVID SMITH

Fogel; Genovese; Slavery: Modern; Century

Biography Born La Grange, Georgia, 1877 Received BA, University of Georgia , 1897 , MA 1899 ; PhD, Columbia University, 1901 Taught at University of Wisconsin , 1902—08 ; Tulane University, 1908-11 ; University of Michigan , 1911-29 ; and Yale University, 1929-34 Married Lucie Mayo-Smith, 1911 (2 sons and 1 daughter survived childhood). Died New Haven, Connecticut , 21 January 1934 .

.

.

.

Principal Writings Georgia and State Rights: A Study of the Political History of Georgia from the Revolution to the Civil War, with Particular Regard to Federal Relations 1902 A History of Transportation in the Eastern Cotton Belt to 1860 1908 Plantation and Frontier 2 vols., 1909 Editor, The Correspondence of Robert Toombs, Alexander H. Stephens, and Howell Cobb 1911 ,

,

,

,

The Life of Robert Toombs , 1913 American Negro Slavery: A Survey of the Supply, Employment, and Control of Negro Labor as Determined by the Plantation

Regime 1918 ,

The Central Theme of Southern History," American Historical Review 24 ( 1928 ), 30 43 Life and Labor in the Old South , 1929 The Course of the South to Secession, edited by E. Merton Coulter, "

-

1939

The Slave Economy of the Old South: Selected Essays in Economic and Social History , edited by Eugene D. Genovese , 1968 [includes

bibliography] Further Reading "

"

History 8 ( 1934 ), 196 218 Roper John Herbert U.B. Phillips: A Southern Mind Macon, GA : Mercer University Press 1984 Smith John David An Old Creed for the New South: Proslavery Ideology and Historiography, 1865-1918 Westport, CT: Greenwood Press 1985 Smith John David The Historian as Archival Advocate: Ulrich Bonnell Phillips and the Records of Georgia and the South ," American Archivist 52 (1989), 320 31 Smith John David and John C. Inscoe eds., Ulrich Bonnell Phillips: A Southern Historian and His Critics Westport, CT : -

,

,

,

,

,

,

,

"

,

,

-

,

theoretical

grounded theologically history narrative.

Dillon , Merton , Ulrich Bonnell Phillips: Historian of the Old South , Baton Rouge : Louisiana State University Press , 1985 Gray, Wood , Ulrich Bonnell Phillips," in William T. Hutchinson , ed., The Marcus W. Jernegan Essays in American Historiography , Chicago : University of Chicago Press , 1937 Landon , Fred , and Everett E. Edwards , A Bibliography of the Writings of Professor Ulrich Bonnell Phillips," Agricultural

,

The term "philosophy of history" was invented by Voltaire, who in 1765 published La Philosophie de l'histoire (The Philosophy of History, 1766). Although Voltaire invented the term he did not invent the thing, for he had no conception of history as a coherent, rational process: instead, he saw it as largely a story of human crimes and follies. A precondition for philosophy of history is the view that history is a rational process and not just a collection of contingencies, for only then can one describe and explain history in the universal terms of philosophy. Additionally, there needed to be some distance from the view that history is ordained by God, for such a view favored not a philosophy of history but a

,

,

,

Greenwood Press , 1990 " Smith , John David , Ulrich Bonnell Phillips' Plantation and Frontier: The Historian as Documentary Editor," Georgia Historical

), 123 43 Quarterly 77 ( 1993 " Smith , John David , U.B. Phillips's World Tour and the Study of Comparative Plantation Societies ," Yale University Library Gazette 68 ( 1994 ), 157 68 -

-

Philosophy

of

History

The word "history" has two meanings what historians write or speak, and what historians write or speak about (in German the meanings are marked, although imperfectly, by two words, Historie and Geschichte). Correspondingly, the term "philosophy of history" means an attempt to give a general, theoretical account either of history itself (Geschichte) or of historical thinking and writing (Historie). The first project is sometimes referred to as synthetic or speculative philosophy of history and the second as analytic or critical philosophy of history. Because Geschichte becomes known to us only by the intellectual processes that generate Historie, the distinction between the two projects is not as sharp as it seems initially. But it nonetheless remains an essential starting point for thinking about "philosophy of history," because historically two different projects have gone under that name, and because the question of the relation between the two is itself a issue of some significance. The present article surveys the project of offering a theory of history itself. Philosophy of history understood as an attempt to address historical thinking and writing is surveyed separately in the article Historiology. -

separate

theoretical

as understood here is associated above Philosophy of all with 19th-century European thought, although there are earlier foreshadowings of it, as in the La scienza nuova (1730; The New Science, 1948) of the Neapolitan philosopher Giambattista Vico. Shaken by the upheavals of the French Revolution and of the Napoleonic period, 19th-century were deeply interested in history, and especially in historical change. Their interest need not have led to of history, for the two fields of inquiry had traditionally

intellectuals

philosophy

been distant from each other. Aristotle himself had held that philosophy deals with universale, whereas history deals only with particulars. In the 19th century, however, the distance was lessened by the widespread conviction that history is indeed a rational process. Nineteenth-century philosophy of history usually involved the belief that progressive tendencies are embedded in history a view that we can call "embedded progress." As Maurice Mandelbaum pointed out, belief in an inherently progressive tendency in history had precursors in 18th-century thought. First, the belief was rooted in a late 18th-century organicism that viewed the world on the model of a living being, over time. When combined with another late 18th- and early 19th-century view, namely, that the world is a unified whole, the notion that history has a single overall tendency was an obvious conclusion. An influential figure along this line was the philosopher and critic Johann Gottfried von Herder. Already in his Auch eine Philosophie der Geschichte zur Bildung der Menschheit (1774; Yet Another Philosophy of History for the Education of Humanity, 1968), responding to Voltaire, Herder treated individual ages and nations as organic unities whose diversity is to be respected; later, in his Ideen zur Philosophie der Geschichte der Menschheit (1785-91; Reflections on the Philosophy of the History of Mankind, 1968), he portrayed human history as advancing by a kind of natural evolution, in which different nations pass through different processes of development while nonetheless contributing to the realization of a common humanity. G.W.F. Hegel, most famously in his Vorlesungen über die Philosophie der Geschichte (1837; Lectures on the Philosophy of World History, 1975), a view of history akin in its holism to the organicist view, with the state passing through stages in which, successively, one man is free, some are free, and finally all are free. Belief in embedded progress was also rooted in mainstream Enlightenment social theory. Eighteenth-century Enlightenment thinkers had, at best, a tenuous belief in progress, Voltaire being a typical case. Even the marquis de Condorcet (1743-94), in his classic Esquisse d'un tableau historique des progrès de

-

developing

articulated

l'esprit humain (1795; Sketch for a Historical Picture of the Progress of the Human Mind, 1955), did not argue that anything embedded in history guarantees progress. But early in the 19th century the idea of progress came to be linked to the idea of social science. Some Enlightenment social theorists believed that one ought to be able to discover social laws

can answer. Finally, even the project of reflecting the failure of the search for the "general causes" of history comes close to articulating a philosophy of history in its

Geschichte)

on

own

right. ALLAN MEGILL

analogous

See also Comte;

Enlightenment thinkers, beginning

Engels; Hegel; Herder; Historiology; Marx; Spengler; Toynbee; Universal; Vico; Voltaire; White, H.

development,

Further Reading

the laws of

number of influential post with the comte de Saint-Simon (1760-1825), looked for laws of social not just for laws of social order. The result was a notion of embedded progress. One important proponent of the idea was Auguste Comte, the founder of the positivist school, in his Cours de philosophie positive (1830-42; The Positive Philosophy, 1853); another was Herbert Spencer, the British positivist. Especially after the publication of Charles Darwin's Origin of Species (1859), which was widely (and wrongly) read as articulating a notion of biological progress, the idea that history has an inherently progressive character was widespread, to

even

nature. A

pervasive.

The French La Grande Encyclopédie (1894) defined of history" as "the search for general causes applied to the development of human societies"; it rightly concluded that philosophy of history "still hardly exists as a science." So conceived, philosophy of history was and remained an abject failure. Historians (most notably Leopold von Ranke and Jacob Burckhardt) were deeply hostile to it. Historians rightly saw that a completed philosophy of history would be antithetical to professional historiography, for if one knows the general causes of history one would have little need for the kind of detailed research into particular facts that do. In its aims, philosophy of history is closer to social science than to history, but in the 20th century, social science gave up the attempt to explain society and history generally, and focused instead on specific problems and "middle-range" theories. As for professional philosophers, some addressed issues of historical understanding and which are matters having to do with Historie, but few attended to history itself (Geschichte) and one of the most original philosophical minds of the century, Martin Heidegger (1889-1976), went beyond both to a concern with

"philosophy ...

.

.

.

historians professionalized

explanation,

"historicity" (Geschichtlichkeit). To be sure, some 20th-century thinkers among them, Pitirim Sorokin, Oswald Spengler, and Arnold Toynbee kept -

-

up the quest for

general

causes, but

by the

1990s their efforts

had been passé for decades. The most resilient of the 19thcentury philosophies of history, the historical materialism of Karl Marx and Friedrich Engels, continued to be seriously defended as late as the 1980s, but communism's collapse and much skeptical and corrosive thinking on the part of meant that by the mid-1990s its prestige as a general view of history was very low. Yet philosophy of history still persists as a ghostly presence behind other projects. As Hayden White showed in Metabistory (1973), works of history presuppose philosophies of history, even though historians characteristically refuse to articulate them. Similarly, the philosopher Haskell Fain (1970) pointed out that analytic philosophy of history (concerned with thinking and writing with Historie) poses questions of meaning and interpretation that only speculative philosophy of history (concerned with the historical process itself with

intellectuals

historical -

-

Barnard , Frederick M. , ed., J.G. Herder on Society and Political Culture , Cambridge : Cambridge University Press , 1969 Barnard , Frederick M. , Natural Growth and Purposive Development: Vico and Herder," History and Theory 18 ( 1979 ), 16 36 Comte , Auguste Cours de philosophie positive, 6 vols., Paris : Bachelier, 1830-42; in English as The Positive Philosophy of Auguste Comte , London : Chapman , 1853 Condorcet , Marie Jean Antoine Nicolas de Caritat , marquis de, Esquisse d'un tableau historique des progrès de l'esprit humain , Paris : Agasse , 1795 ; in English as Sketch for a Historical Picture of the Progress of the Human Mind, New York : Noonday, and London: Weidenfeld and Nicolson, 1955 Fain , Haskell , Between Philosophy and History: The Resurrection of Speculative Philosophy of History within the Analytic Tradition , Princeton : Princeton University Press , 1970 Hegel , G. W. F. , Vorlesungen über die Philosophie der Geschichte , Berlin : Humblot , 1837 ; in English as Lectures on the Philosophy of World History: Introduction: Reason in History , Cambridge and New York : Cambridge University Press , 1975 Herder, J. G. , Ideen zur Philosophie der Geschichte der Menschheit , 4 vols., 1785-91 ; in English as Outlines of a Philosophy of the History of Man , London : Hansard , 1800 ; abridged as Reflections on the Philosophy of the History of Mankind , Chicago : University of Chicago Press , 1968 Mandelbaum , Maurice , History, Man, and Reason: A Study in Nineteenth-Century Thought, Baltimore : Johns Hopkins "

-

,

University

Press , 1971

Marx , Karl , and Friedrich Engels , " Die deutsche Ideologie ," written 1845-46 ; published in Historisch-kritische Gesamtausgabe: Werke, Schriften, Briefe, vol. 5 , edited by David Rjazanov and V. V. Adoratskij , Frankfurt : Marx-Engels-Archiv, 1932 ; in English as The German Ideology, Moscow: Progress , 1964 , London : Lawrence and Wishart , 1970 , and in Marx and Engels , Collected Works , New York : International Publishers , 1975 -, vol. 5 : 19 539 Meyerhoff , Hans , ed., The Philosophy of History in Our Time: An Anthology , Garden" City, NY: Doubleday, 1959 Mortet , Ch and V. , Histoire ," La Grande Encyclopédie ( Paris , 1886 -), vol. 20 ( 1894 ): 121 50 Vico , Giambattista , La scienza nuova , 1725 , revised 1730 ; in English as The New Science, Ithaca, NY: Cornell University Press , 1948 Voltaire , La Philosophie de l'histoire , 1765 ; in English as The Philosophy of History , London : Allcock , 1766 ; reprinted 1965 Walsh , W. H. , An Introduction to Philosophy of History , London : Hutchinson , 1951 ; revised 1967 White , Hayden V. , Metahistory: The Historical Imagination in Nineteenth-Century Europe , Baltimore : Johns Hopkins University Press , 1973 -

.

-

Pieri, Piero Italian

military

Piero Pieri

1893–1974

historian

came to

the fore

as a

military historian after the

publication in 1934 of his volume on the reasons for the defeat of the Italian states in the wars that commenced in 1494; a

version appeared in 1952. Initially his determined by the exigencies of an academic career with but a slight emphasis on war; his breadth of vision tempered his eventual concentration on military matters. A disciple of Gaetano Salvemini, Pieri was to collaborate in editing his master's writings on the Risorgimento. His first publication in 1922 had been on the restoration of the grandduke of Tuscany in 1814 and its aftermath, which was followed in 1927 by a study of the Arte della Seta of Florence. The former was instrumental in his appointment, originally as professor of 19th-century history, at the University of Naples. There his archival researches produced significant monographs on the defeat of the Neapolitan fleet on 8 January 1799, on the vicissitudes of the government of the kingdom of Naples from July 1799 to March 1808, on the inception of British control of Malta, 1798-1803, on the part played by secret societies in the disturbances of 1820 and 1830, and on the Piedmontese army's campaign of 1849. His history of Messina as a commune (1939) was the outcome of his chair in that

ineptitude of the Italian states, first in the face of a united French nation under a king and, subsequently, when opposed by Ferdinand, king of Aragon, and then by Charles V. His examination of several significant battles showed, he believed, that what determined victory was not Italian military or cowardice. This view was in conflict with that of Machiavelli who indicated that mercenaries doomed the Italian states to foreign domination. Pieri neglected the fact that Italian commanders fought by "Italian" rules of war, based on Christian morality and supposedly justified by classical models, whereas for the Ultramontanes war was to be won by any means, including surprise attack, giving no quarter (even to the wounded), terrorism, and violence against civilians. It is evident, also, that Pieri underestimated the technological advantages of the French in 1494, in particular the superiority of their mobile cannons.

city's university.

Sondrio, 20 August 1893 Studied with Gaetano Salvemini, Scuola Normale Superiore di Pisa, 1912-15. Commissioned in the Alpini, wounded, and twice decorated for valor during World War I Taught at University of Naples , 1922-35 ; University of Messina 1936-39; and University of Turin, 1939-74 Arrested by Salò regime , 1945 Married Maria Isotta Bortolotti , 1942 Died Turin,

second much

publications

amplified

were

incompetence

CECIL H. CLOUGH

Biography Born

University of Turin, Pieri military historian, focusing on the Renaissance,

From 1939, when he moved to the

claimed to be a the 19th century and World War I. However, his Guerra e politica negli scrittori italiani (Italian Writers' Views on War and Politics, 1955) spanned the five centuries from Machiavelli to Marselli. He had edited the former's Arte della guerra (Art of War) in 1938, and also the correspondence relating to the 1706 Italian campaign of Prince Eugène of Savoy (1936). Pietro Badoglio's rise to general in World War I was the theme of Pieri's last major work in 1974. Previously in 1947 he had published a study on World War I, examining problems inherent in writing its military history, while his Storia militare del Risorgimento (A Military History of the Risorgimento, 1961) remains essential reading in its field. His 1938 of the Battle of Garigliano of 1503 is a model of its and his excellent Intorno alla politica estera di Venezia kind, al principio del Cinquecento (A Study of Venetian Foreign Policy in the Early 16th Century, 1934) serves as testimony that diplomacy can be judged as integral to war studies.

reconstruction

It is Pieri's work

on

Renaissance that is most

the military crisis of the Italian

stimulating, original, and influential, documented.

although untypically somewhat inadequately Pieri, like several predecessors, sought to explain why, despite the exceptional economic and artistic flowering of the Italian states in the 15th century, these rapidly passed through conquest to foreign domination itself the prelude to the

peninsula's rapid -

decline. Charles VIII's invasion in 1494 was by a series of Italian military reverses, usually viewed as the consequence of Italian military inferiority. Pieri deemed that war should not be studied in isolation, or merely in terms of military campaigns. For him war had political ends and was conducted by a state as a last resort, economic and diplomatic endeavors having failed. Accordingly for Pieri war was to be related to the civilization of the states involved, notably their economic, political, and social developments. In practice a historian could but make a selective analysis, which was what Pieri attempted in 1934. There his conclusion was that the Italian crisis occurred essentially because in 1494 and the Italian powers lacked the political will to survive. Pieri sought to demonstrate this by revealing the political

punctuated

thereafter

.

.

.

.

.

. 1974

Principal Writings

(1814-1821) (The Restoration of the Grand Duchy of Tuscany, 1814-1821), 1922 Intorno alla storia dell' arte della seta in Firenze (Aspects of the History of the Silk Guild of Florence ), 1927 Le società segrete ed i moti degli anni 1820-21 e 1830-31 (Secret Societies and the Riots of 1820-21 and 1830-31 ), 1931 La crisi militare italiana nel rinascimento nelle sue relazioni con la crisi politica ed economica (The Italian Military Crisis in Relation to Those Political and Economic Crises in the Renaissance ), 1934 ; revised as II rinasciemento e la crisi militare italiana ( The Renaissance and the Italian Military Crises ), 1952 Intorno alla politica estera di Venezia al principio del Cinquecento (A Study of Venetian Foreign Policy in the Early 16th Century), 1934 L'Italia nella prima guerra mondiale (1915-1918) (Italy in World

La restaurazione in Toscana

War I ), 1947

politica negli scrittori italiani (Italian Writers' Views on War and Politics ), 1955 Editor with Carlo Pischedda , Scritti sul Risorgimento ( Writings on the Risorgimento), by Gaetano Salvemini , 1962 Storia militare del Risorgimento: guerre e insurrezioni ( A Military History of the Risorgimento: The Wars and Insurrections ), 1962 With Giorgio Rochat , Pietro Badoglio, 1974 Guerra e

Further

Reading

" Cecil H. , The Romagna Campaign of 1494 ," in David Abulafia , ed., The French Descent into Renaissance Italy, 1494-95: Antecedents and Effects , Aldershot : Variorum , 1995

Clough

,

Pieroni

Bortolotti,

Franca

Italian historian of the women's polit cal

1925–1985

movement

With her pioneer work Alle origini del movimento femminile in Italia, 1848-1892 (The Origins of the Women's Movement

Italy, 1963), Franca Pieroni Bortolotti initiated studies on Italian feminism, rediscovering events and personalities that had been ignored both as political subjects and as objects of historical inquiry, despite the numerical strength and diffusion of the suffragist and feminist associations that sprang up in late 19th- and early 20th-century Italy. Many things account for this: the crisis into which feminist had fallen from World War I onward contributed to the process, as later did the fascist regime which dissolved the

in

widespread

organizations

suffragist organizations or attempted to fascistizzare (fascistize) those few that survived. However, the main factor contributing to

the oblivion into which the women's

movement

was

consigned was the view, expressed both by Right and Left, that it was politically and socially irrelevant. In her research Pieroni Bortolotti revealed that, to the contrary, the women's movement was central to any critical reappraisal of the political and social processes that during the Risorgimento and the early years of this century had led to the formation of what has been called the "imperfect of the contemporary Italian political system. In so doing, she brought a radical innovation to Italian historiography: in seeing events, personalities, and political movements in terms of the place occupied therein by women or hypotheses posited about the role of women in society, Pieroni Bortolotti not only contributed to a deepening of knowledge but brought about a qualitative change in the overall picture of concepts and events. This in turn encouraged a rethinking of analyses, hierarchies of problems, evaluations, and even information pure and simple, regarding the processes through which the identity of post-unitary Italy came to be defined bringing to light a web of connections and ruptures that had hitherto gone unnoticed by even the most alert historiography. The value of her work, however, went beyond the domain of historical research, extending to the present-day political debate, since it provided the contemporary women's movement and feminist with roots and, thus, historical legitimacy. The approach adopted by Pieroni Bortolotti, who as a very young woman had participated in the Resistance and was an active member of the Communist party, derived from Togliatti's definition, dating from 1944, of the relationship between women's emancipation and the development of democracy. In addition to this, Pieroni Bortolotti inquired into the profound nature of the process through which, after the "second Risorgimento" the Resistance as after the first, Italian women had found themselves pushed to the margins of political life. Her interest in 19th-century democracy also found support in the

democracy"

—

historiography

-

post-World

War II

-

historiographical climate, with

its revival of

interest in the Risorgimento on the part of many scholars, based on Gramsci's analysis of the formation of the Italian national state. Pieroni Bortolotti's approach followed the teachings of Carlo Morandi, Gaetano Salvemini, and Delio Cantimori. The influence of these masters had found fertile terrain in their pupil, already oriented in two directions that she considered the development of an authentic democracy, namely socialism, and the development of a new relationship between the sexes which were in her view the twin hallmarks of the "profound meaning of anti-Fascism." Despite its foundational value, Alle origine del movimento femminile went almost unnoticed at the time of its publication. Italian culture and society in the 1960s projected a future of

interdependent -

progress in which it was claimed that women too would come into their own. They were reluctant to pay too much attention

the limitations and contradictions in the development of what after all, a fragile politico-economic system. Pieroni Bortolotti's work was rediscovered more than a decade later, following the appearance of the second of her books devoted to the history of feminism, Socialismo e questione femminile in Italia (Socialism and the Woman Question in Italy, 1974) and after the publication of La liberazione della donna (The Liberation of Women, 1975), her selection from the writings of the most important exponent of 19th-century feminism, Anna Maria Mozzoni. Those works appeared at the height of the new feminist wave, and thus intersected several questions that Italian women were asking themselves about their history. However, Pieroni Bortolotti's relationship with new feminism was no easy one. To her, the initiator of an important line of research, "the history of women" as a field of inquiry seemed "a nonsense," because "one cannot have a history of one undifferentiated half of the earth's population." It was in these terms that she against a social history of women severed from the history of society, ideas, economics, and so forth. Once again, this went against the stream of the growing, Anglophone inspired, appreciation accorded to the historiography of women, and contributed to the further isolation of Pieroni Bortolotti, viewed by Italian feminists as an academic diehard. The academic establishment, for its part, paid scant attention to her studies, considering women irrelevant as a subject of inquiry, so that her career was studded with rejections, despite her many years of teaching at the University of Siena. In actual fact, her position regarding the history of women was not very distant from what Joan Kelly Gadol or Natalie Zemon Davis were writing at the time about the history of women as a history of sexual roles and of the relationship between the sexes. What Pieroni Bortolotti was proposing was, in fact, a history of women as not only a topic of study, but a perspective from which starting from the historical of women and their condition she surveyed the entire social, political, and cultural process. Following her studies of pacifist communist figures and of aspects of the history of the international workers' movement, she developed in the early 1980s a new rapport with the younger generation of feminists. It was to her reading of Sheila Rowbotham's early essays that Pieroni Bortolotti attributed her renewed interest in the comparative investigation of pacifist feminism and workers' internationalism a theme to which she dedicated her last book, La donna, la pace, l'Europa (Women, Peace, Europe), published a week after her death

to

was,

polemicized position

historical

-

experience -

-

in

1985. Recognition, albeit tardy, came to Bartolotti, both from academe and from feminist historians, with the relatively diffusion of her writings, now used as university set

widespread texts, and with the

inquiry

to

development of research in sectors of which she had pointed the way in her works. ANNARITA BUTTAFUOCO

-

Biography Born Florence, 1925 Received PhD, University of Florence, 1950. Professor of history, University of Siena Died Florence , 1985 .

.

.

Principal Writings Alle origini del movimento femminile in Italia, 1848-1892 (The Origins of the Women's Movement in Italy, 1848-1892), 1963 Francesco Misiano: vita di un internazionalista ( Francesco Misiano: Life of an Internationalist ), 1972 Socialismo e questione femminile in Italia, 1892-1922 ( Socialism and the Woman Question in Italy, 1892-1922), 1974 Editor, La liberazione della donna ( The Liberation of Women ) by Anna Maria Mozzoni , 1975 With Nicola Badaloni , Movimento operaio e lotta politica a Livorno ( Working-Class Movement and Political Struggle in Livorno ), 1977 Le donne della Resistenza antifascista e la questione femminile in Emilia Romagna, 1943-1945 ( Women in the Antifascist Resistance and the Woman Question in the Emilia Romagna, 1978 ), 1943-1945

Femminismo e partiti politici in Italia, 1919-1926 ( Feminism and Party Politics in Italy, 1919-1926), 1978 La donna, la pace, l'Europa ( Women, Peace, Europe ), 1985 Sul movimento politico delle donne: scritti inediti ( On the Women's Political Movement: Unpublished Essays ), edited by Annarita Buttafuoco , 1987

"optimistic" side in the debate over the impact of the Industrial Revolution. She effectively established the intricate relationship between women's domestic labor and the waged economy. Her analysis of household budgets presented as evidence not only the monetary value of women's contribution to the household economy, but also the growing reliance on wages over household production. Pinchbeck produced an impressive amount of information concerning the nature of women's work culled from sources, copious government reports, and contemporary literature, supplemented by a wide range of secondary However, the dearth of statistical information available for the late18th and early 19th century resulted in an inability to establish a reliable quantitative database for the study of the impact of the Industrial Revolution upon women workers. Instead, there was a reliance on contemporary literature, such as the 18th-century writings of Daniel Defoe and Arthur Young, whose rambles about the countryside documented how a woman's waged and domestic economies were integrally linked. These accounts were set against the 19th-century

demonstrated

manuscript

readings.

testimonies government-sponsored garnered through numerous

Pinchbeck, Ivy

British economic historian of First

working women and In addition, conditions. and social the Poor Laws, children, from the midand dating newspapers periodical publications 18th century furnished contemporary accounts of women's commissions

1898–1982 women

in 1930, and reprinted in 1969, Pinchbeck's study, Women Workers and the Industrial

published

pioneering 1750-1850, focused

changes wrought by Revolution,

the on the Industrial Revolution on the working lives of British women. This study represented the first serious exploration of the work undertaken by women during a period that witnessed rapid agricultural and manufacturing innovation. The importance of this work to the study of British women working within the wage economy cannot be overstated, and as such provided a solid foundation for subsequent scholarship in this challenging and contentious area. Pinchbeck's 2-volume Children in English Society (1969-73), co-authored with Margaret Hewitt, detailed the conditions of primarily poor and orphaned from the 16th to 20th centuries and offered a context for understanding the evolution of legislative and voluntary responses throughout the period. Pinchbeck was a student of Lilian Knowles (author of The Industrial and Commercial Revolutions in Great Britain during the Nineteenth Century, 1921) and Eileen Power, and a younger contemporary of Alice Clark at the L.ondon School of Economics, and her work was at the forefront of the emerging academic discipline of economic history. In Women "Workers, Pinchbeck arrived at the conclusion that women, overall, gained more than they lost from the Industrial Revolution. By contrasting the unsanitary, dangerous, and harsh working conditions of the pre-industrial domestic economy with the factory system and the subsequent protective legislation it engendered, Pinchbeck saw progress in the material condition of women's work. This conclusion was supported by her belief that married women's labor within the home came to be regarded as a sufficient contribution to the family economy, and recognized through the payment of a "family wage" to the male breadwinner. For single women, employment outside the home supplied economic and social independence, and contributed toward the push for greater educational access and female suffrage. Pinchbeck, therefore, falls squarely on the

children

investigating

the status of

throughout the period. Subsequent scholars who have turned their attention to the study of working women have utilized Pinchbeck's impressive collection of facts while not necessarily agreeing with her conclusions. In "Women and the British Economy since 1700," published in History in 1974, Eric Richards credited Pinchbeck work

the "best source" for her account of the harsh physical conditions of women's work in the pre-industrial period. However, Richards argued that employment opportunities for women contracted during the Victorian period and continued to do so well into the first half of the 20th century. More recently, Deborah Valenze in The First Industrial Woman (1995) has contributed to the debate by analyzing the gendered ideology surrounding women's productivity and the rhetoric employed by contemporary commentators to illustrate the process by which women's work, and working women, came to be devalued throughout this period, thereby challenging Pinchbeck's optimistic conclusion. The impact of the Industrial Revolution on women has come to the fore of academic scholarship only within the last 25 years. Informed by strands in women's and social history, have turned their attention to the exploration of the nature of women's work and its changes over time. Pinchbeck was the first to supply a systematic exploration of the economic lives of women during a crucial period in British history. Her work reflects the movement toward the historical contextualization of the socio-economic condition of British women underway in the 1920s and 1930s. By exploring the evidence provided by government commissions such as those the Poor Laws and factory abuses, Pinchbeck was able to paint a compelling picture of female employment in the fields, farms, and workshops of Great Britain. as

historians

investigating

MARGARET SHKIMBA See also Childhood; Clark; Social

Biography Born 9 April 1898

.

.

May 1982

10

was the correct one and that the president's determined confrontation of the Soviet Union was responsible for ending the Cold War. Pipes has been called a warmonger by many; his earliest works demonstrated his conservatism and passionate anticommunism during an era of historical

expansionist"

Studied at University College, Nottingham, BA 1920 ; London School of Economics, MA 1927, PhD 1930 Taught history, Queen Mary's High School, Walsall , 1921-25 ; lecturer, Workers' Educational Association, London branch , 1929-30 ; taught (rising to reader) in Department of Sociology, Social Studies and Economics, Bedford College, University of London, 1929-61 Died .

revisionism.

Pipes' version of totalitarianism, or "patrimonialism" as he it, differs from that of other orthodox historians. According to Pipes, Russian history has been a more-or-less

.

calls

Principal Writings Women Workers and the Industrial Revolution, 1750-1850 , 1930 With Margaret Hewitt , Children in English Society , 2 vols.,

1969-73

Pipes, Richard US The

(Polish-born)

1923–

historian of the Soviet Union

two

-

-

distinctions between Bolshevism and Stalinism." In the 1940s Western historians adopted a totalitarian model that viewed the Revolution as a Bolshevik coup that destroyed the growing constitutional democratic movement and created an "evil empire." According to that Cold War model, Lenin's dictatorship led directly to Stalin's excesses. Both were in nature and the logical result of communism's dark beginnings. During the 1960s a modernization model became popular among Western historians. Russia was not an evil empire, for the Revolution was popularly based and the Bolsheviks unorganized and democratic in nature. was a temporary measure implemented in order to and to educate the masses. Russia would someday become "democratic," revisionists claimed, if the Cold War would only end and allow the Soviet Union to develop

meaningful

totalitarian

Totalitarianism industrialize

peacefully. Despite changing trends in the historiography of the Revolution, historian Richard Pipes has consistently promoted a modified totalitarian model of Russian history which has received increasing attention in the light of the recent collapse of the Soviet Union. Born in Poland in 1923, Pipes became a US citizen in 1943. Among his many activities Pipes has served the executive committee of the Committee

on

were sown much farther back than the October Revolution. Pipes claims that historians must go all the way back to Muscovy to understand Soviet politics. Because of its geography and climate, Russia was backward and developed as a patrimonial (traditional domination) state devoid of Western feudalism. The Revolution occurred, according to Pipes, when Russia left its traditional practices in society, culture, and economics, in order to and compete with Europe, yet retained patrimonial In the beginning the intelligentsia hoped for a democratic constitution, but were forced to resort to revolution when they could not rally the peasants to their banner. In response to this "unfortunate" radicalism, the autocracy created a police state and the stage was set for a coup. Other conservative historians argue that the Revolution was preventable because Stolypin's reforms promised a better and more judicial Russia. Historian Peter Kenez claims, however, that Pipes took a Dostoevskian point of view and saw little value in Stolypin's reforms, for "it is wrong to rebel whoever the regime and however little hope there is for improvement. Presumably all that a human being can do under the is to cultivate his own soul." Pipes loathes the fanaticism of the intelligentsia and blames them for the Revolution and for not planning a viable to replace autocracy. He gives little credit to the workers and the soldiers in the movement and ignores completely the concept of a larger social revolution accompanying the coup. To Pipes socialism meant "all power to the and little if any to the people. Pipes blames Bolshevism on the Enlightenment idea that "man is merely a material compound, devoid of either soul or innate ideas, and as such a passive product of an infinitely malleable social environment." If so, then the American must be examined, for it too tried to rationalize politics and cultures. Pipes implied that all revolution is bad when he claimed that "the tragic and sordid history of the Russian Revolution teaches that political authority must never be employed for ideological ends. It is best to let people be."

westernize

major historiographical questions regarding the Russian Revolution the legitimacy of the Revolution itself and whether or not there was continuity between Lenin and Stalin have divided Sovietologists along partisan lines. According to Russian historian Stephen F. Cohen in Rethinking the Soviet Experience: Politics and History since 1917 (1985), "the less empathy a [Western] historian has felt for the Revolution and original Bolshevism, the less he or she has seen

on

continuous process, and the seeds of Stalin

politics.

circumstances

government

political intellectuals" experiment .

.

.

LORI LYN BOGLE

Present

Danger (1977-92) and was president Reagan's director of East European and Soviet Affairs for the National Security Council (1981-82). Pipes also holds membership on the Council on Foreign Relations (a semiofficial advisory and negotiating committee closely related to the State Department) and was a a policy Pipes claims was leading opponent of detente indolence, based on ignorance intellectual [and] "inspired by of one's antagonist and therefore inherently inept." Pipes is a hard-line cold warrior who agreed that the Reagan -

administration's view of the Soviet Union as "a totalitarian state driven by a militant ideology and hence intrinsically

See also Russia: Modern; Russia: Russian Revolution

Biography Richard Edgar Pipes Born Cieszyn, Poland, 11 July 1913 Emigrated to the US, 1940 ; naturalized 1943 Studied Muskingum College , Ohio ; received BA, Cornell University, 1945 ; MA, Harvard University, 1947 , PhD 1950 Taught (rising to professor), Harvard University, from 1950 (emeritus). Member, National Security Council, 1981-82 Married Irene Eugenia Roth , 1946 .

.

.

.

.

(2 sons).

Principal Writings

Pirenne's work is

The Formation of the Soviet Union: Communism and Nationalism, 1917-1923 , 1954 ; revised 1964 The Russian Intelligentsia, 1961 Social Democracy and the St. Petersburg Labor Movement,

1885-97 1963 2 vols., 1970-80 Russia under the Old Regime

1974

Further Reading " Kenez , Peter, The Prosecution of Soviet History: A Critique of Richard Pipes' The Russian Revolution ," Russian Review 50 —

Malia , Martin Edward ,

The Hunt for the True October,"

Commentary 92 ( 1991 ), 21 28 Riddles, Mysteries, and Enigmas: Unanswered Questions of Communism's Collapse," Policy Review 70 ( 1994 ), 84 88 Stent Angela E. review of US Soviet Relations in the Era of Detente Russian Review 41 ( 1982 ), 91 92 Szeftel Marc Two Negative Appraisals of Russian PreRevolutionary Development," Canadian-American Slavic Studies 1980 74 87 -

Somin , Ilya ,

"

-

,

,

-

,

"

,

,

,

-

,

Pirenne, Henri Belgian

1862–1935

medievalist

reputation as one of the most significant western European historians of his time is based on the breadth of his thinking about historical problems and on his two greatest achievement: the "Pirenne thesis" on the importance of international trade in the formation of medieval Europe; and his Histoire de Belgique (The History of Belgium, 1899-1932) in seven volumes. Pirenne, a French-speaking Belgian, was for most of his career professor of medieval history at the University of Ghent. In the 1880s he studied in Germany at Leipzig and Berlin and had close links throughout his career with the University of Paris. He maintained a vast correspondence with scholars from Henri Pirenne's

many countries and served as president of various international committees. Both his work and his network of

scholarly contacts

made him

one

Nationalism

was

to cause

problems for Europe's historians,

among whom there was a widespread exchange of ideas before World War J. Pirenne published in German and enjoyed

of the

most

Karl

However, after his experiences in the war, he became hostile to Germany. He despised the uncritical support for the war emperor's policies among German intellectuals. One of sons died on active service in 1914 and he himself interned for refusing to work in the German-controlled University of Ghent when the city was under occupation. Pirenne's writings during internment considered broader themes in history as a way of transcending national From 1921 to his death in 1935 he guided the young historians Lucien Febvre and Marc Bloch in the foundation of the celebrated journal Annales d'histoire économique et sociale. Unfortunately, continuing suspicion of the German academy made this a predominantly French publication. The Vierteljahrschrift für Sozial und Wirtschaftsgeschichte, with which Pirenne had been associated before the war, resumed of German research on these themes. In the 1920s and 1930s Pirenne published his mature works, which incorporated the ideas that made up the "Pirenne He sought to explain the shift of the center of European economic and cultural life from the Mediterranean basin to the plains of northern Europe, a shift that marked the transition from antiquity to the Middle Ages. Medieval Cities (1925) explored the idea that the growth of towns in early medieval Europe was stimulated by long-distance trade. Pirenne put the related hypothesis that Roman civilization in the western empire did not collapse in the 5th century with the Germanic invasions, as Edward Gibbon had proposed: instead it continued to be significant until the Arabs under the of Islam came to dominate the Mediterranean in the 8th and 9th centuries, thus isolating northwest Europe. Mahomet et Charlemagne (1937; Mohammed and Charlemagne, 1939), published posthumously after extensive editing, developed this

Pirenne's

was

limitations.

351 "

of the

to serve

with many German

,

US-Soviet Relations in the Era of Detente , 1981 Survival Is Not Enough: Soviet Realities and America's Future , 1984 The Russian Revolution , 1990 ; concise version , 1995 Russia under the Bolshevik Regime , 1993

345

an

friendships colleagues, notably Lamprecht.

,

Struve ,

( 1991 ),

of the

example appropriation histories of past cultures subsequent nationalistic ends.

influential historians of his

generation. In the 1890s Pirenne was appointed by the ambitious monarch Leopold II to write a history of the recently formed Belgian state, created after the 1830 revolution. Pirenne forged a national historical identity from the histories of the territories that make up this border region between French and Germanic language groups. Frequently a war zone, these lands were always under the overlordship of foreign lastly the Dutch. Into this story, Pirenne incorporated the history of the county of Flanders. Its cities were the greatest centers of trade and manufacturing in medieval northern Europe, dominated by powerful guilds. Flanders' wealth financed the glittering court of Burgundy and many cultural achievements of what has been termed the northern renaissance.

fragmented

powers,

publication

thesis."

forward former influence idea

most

fully.

been debated, but not have come from economic experts on the circulation of coinage. However Pirenne's ideas injected new life into early medieval studies, stimulating research that is a tribute to the scope of his historical vision. He was one of the greatest urban and economic of the 20th century, and he inspired historians such as those of the Annales school with a broader view of history. The "Pirenne thesis" has

long discredited. historians, notably Challenges

extensive

historians

VIRGINIA Κ. BAINBRIDGE

Bloch; Cipolla; Duby; Ennen; Geyl; Lopez; Power; Rörig; Urban

See also

France:

1000;

to

Ganshof;

Biography Pirenne Born Verviers, Belgium, industrialist Studied with Godefroid Kurth (Gottfried Kurth) at University of Liège, PhD 1883 ; with Gustav Schmoller in Leipzig and Berlin , 1883-84; and with Arthur Giry, Ecole des Chartes and Ecole Pratique des Hautes Etudes , Paris, 1884-85 Professor, University of Ghent, 1885-1935 Elected to Royal Commission of History, Royal Academy of Belgium , 1891 :

Jean Henri Otto Lucien Marie 23 December 1862, son of

.

an

.

.

.

secretary, 1907-35 Interned by the Germans, 1916-18 Married Jenny-Laure Vanderhaegen , 1887 (4 sons). Died Uccle, near Brussels , 24 October 1935 .

.

.

Principal Writings Histoire de Belgique ( History of Belgium ), 7 vols., 1899-1932 Les Anciennes démocraties des Pays-Bas , 1910 ; in English as Belgian Democracy: Its Early History , 1915 , and Early Democracies in the Low Countries , 1963 Medieval Cities: Their Origins and the Revival of Trade , 1925 ; French version as Les Villes du Moyen-Age: essai d'histoire économique et sociale , 1927 Histoire de l'Europe des invasions au XlVe siècle , 1936 ; in English as A History of Europe from the Invasions to the XVI Century , 1939 Mahomet- et Charlemagne , 1937 ; in English as Mohammed and

Charlemagne

,

1939

Further Reading Havighurst Alfred F. ed., The Pirenne Thesis: Analysis, Criticism and Revision Boston : Heath 1958 ; revised 1969 Lopez Robert S. Mohammed and Charlemagne: A Revision ," Speculum 18 ( 1943 ), 14 38 Lyon Bryce Henri Pirenne: A Biographical and Intellectual Study Ghent : Story-Scientia 1974 Lyon Bryce and Mary Lyon The Birth of Annales History: The ,

,

,

,

"

,

,

-

,

,

,

,

,

Letters

,

,

of

Lucien Febvre and Marc Bloch to Henri Pirenne 1921-1935 , Brussels : Academie Royale de Belgique , 1991

Platonov,

S.F.

1860–193

Russian social historian S.F. Platonov was one of the most prominent representatives of the St. Petersburg historical school at the end of 19th and the beginning of the 20th century; his field of study was mainly 16th- and 17th-century Russian history. This era, generally known as the "Time of Troubles," was remarkable for its social upheaval and political collapses, changes of ruling dynasty, usurpers to the throne, and a foreign invasion. Platonov's first extended piece of work, which also served as his master's thesis, was a critical historigraphical survey of this period. Drevnerusskie skazaniia i povesti o smutnom vremeni (Ancient Russian Legends and Tales about the Time of Troubles, 1888) surveyed the major historical documents available. In addition to his analysis of the documents, Platonov examined them to determine their authenticity. Scholars still use the biographical studies he made of the documents' authors. Platonov's second monograph Ocherki po istorii smuty v moskovskom gosudarstve XVI-XVII vekov (Essays on the Time of Troubles, 1899) won him his doctorate and presented his basic interpretation of the significance of the period. Platonov's analysis was similar to that of V.O. Kliuchevskii and other liberal historians. Abandoning older literary he dedicated himself to archival research, and concluded that Russian history needed to be grounded in a precise analysis of its political, social, and economic realities. He was also motivated by a desire to see the Russian state but within a context of gradualist reform and the of the monarchy. Next Piatonov turned to the social and political conflicts of different classes under the 16th- and 17th-century Muscovite

traditions, historical

modernized, retention

The origins of Russia's failure to develop a modern state rooted, in Platonov's mind, in the tyranny of Ivan the Terrible and the regime of political terror established by him. The oprichnina itself was the tsar's domain; he both expelled the hereditary aristocracy from it, and used the land to reward newly-elevated noblemen who were giving him military support. The word oprichnina (administrative elite, and the territory assigned to this elite) came to stand for the tyranny State. were

associated with it. Platonov argued that the oprichnina was instituted as a response to the political tensions between the hereditary boyar (nobleman) aristocracy and tsarist autocracy. The necessity for the constant expansion of the army resulted in a major redistribution of land among new soldiers, causing tension in society. Furthermore, it reinforced the growing discontent of the peasants, who recognized themselves as pawns. In their eyes, peasant labor was the source of the nation's prosperity, which was under threat due to the civil war which the oprichnina precipitated. Platonov viewed the Time of Troubles as a period when all the contradictions that lay deeply hidden in Russian societyerupted, causing an upheaval at every level of society. In his analysis, the only things that prevented the collapse of the nation were the authority of the church and the firm action taken by the conservative section of society, both within the traditional nobility, but also the growing urban merchant class. Dedicated to the idea of a strong central state, they organized a people's army which placed a new dynasty on the throne. Platonov's interpretation, which essentially saw the Time of Troubles as an aberration, was deemed conservative and under the Soviet state. From his professorship at the University of St. Petersburg, Platonov published several basic textbooks which helped to focus thinking about Russian history. His Lektsii po russkoi istorii (1899; History of Russia, 1925) and Uchebnik russkoi istorii dlia srednei shkoly (Textbook on Russian History for Secondary Schools, 1900) are the most distinguished of these. After the October Revolution Platonov initially concentrated on administrative work at the various Soviet scientific and archival institutes and universities with which he was and formalized his historical theories in a series of books on Boris Godunov, Ivan the Terrible, and Peter the Great. However, in 1929 he was accused of anti-Soviet activities, and eventually transported to Samara where he died in 1933.

antimaterialist

associated,

DMITRY A. GOUTNOV

See also Russia: Medieval; Russia:

Early

Modern

Biography Sergei Fedorovich Platonov Born Chernigov, 16 June 1860 Received secondary education, St. Petersburg 1870-79 ; studied with .

.

,

K. N. Bestuzhev-Riumin , V.G. Vasilevskii , and A. D. Gradovskii ,

Department of History and Philology, University of St. Petersburg Taught history at a St. Petersburg secondary school 1882-89 ; University of St. Petersburg 1888-1917 (dean of history and philology, 1900-05 ); director, Women's Teacher Training College, 1905-16 After the October Revolution, appointed director, Archaeological Institute 1918-23 ; chairman, Archaeographical Commission at the Academy of Sciences of USSR 1918-29 ; director, Petrograd Central Record Office 1918-23 ; director, Pushkin House ; director, Library of the Academy of Sciences, 1925 .

,

,

.

,

,

,

Accused without evidence of anti-Soviet activities , 1929 ; held until

.

1931 when transported to Samara where he died, Posthumously pardoned by USSR Supreme Court

10 20

,

January 1933 July 1967

.

.

Principal Writings Drevnerusskie skazaniia i povesti o smutnom vremeni XVII veka (Ancient Russian Legends and Tales about the Time of Troubles ), 1888

Lektsii po russkoi istorii , 3 vols, in

of Russia

,

1899 ; in English

1,

as

History

1925

Ocberki po istorii smuty ν moskovskom gosudarstve XVI-XVII vekov ( Essays on the Time of Troubles and the Muscovite State in the 16th and 17th Centuries ), 1899 Uchebnik russkoi istorii dlia srednei shkoly: kurs sistematicheskii ( Textbook on Russian History for Secondary Schools ), 1900 Stat'i po russkoi istorii (1883-1902) ( Articles on Russian History ), 1903 ; revised and expanded 1912 Boris Godunov , 1921 ; in English as Boris Godunov, Tsar of Russia , 1973

Ivan Groznyï, 1923 ; in English as Ivan the Terrible , 1974 Smutnoe uremia , 1923 ; in English as The Time of Troubles: A Historical Study of the internal Crises and Social Struggle in Sixteenth- and Seventeenth-Century Muscovy , 1970 Moskva i zapad , 1926 ; in English as Moscow and the West , 1972 Petr Velikii: lichnost' i deiatelnost (Peter the Great ), 1926 "Avtobiografiia akademika Platonova, napisannaia dlia Ogon'ka ( An Autobiography of the Academic Platonov Written for Ogonek '

Magazine )," Ogonek Further

35

( 1927 ),

10

-

27

Reading

" " Brachev , V.S. , 'Delo akademika S.F. Platonova ( The Case of Academician S.F. Platonov ), Voprosy Istorii 5 (1989 ), 117 29 " " Ivanov, la. Α. , O formirovanii vzgliadov S.F. Platonova ( On the Formation of the Ideas of S.F. Platonov ), Vestnik LGU 20 ( 1983 ), -

92 94 -

Kolobkov, V. I. , ed., Arkhiv akademika Platonova v Otdele Rukopisei Rossiiskoi Natsional'noi Biblioteki, Katalog ( Catalog of Platonov's Archive ), St. Petersburg : Izd-vo Rossiiskoi natsional'noi biblioteki , 1994 Sbornik statei po russkoi istorii, posviashcbennykh S.F.Platonovu (Articles on Russian History devoted to S.F. Platonov ), Petrograd :

Ogni 1922 ; reprinted Würzburg: Jal, 1978 Sergeiu Fedorovichu Platonovu, ucheniki, druz'ia i pochitateli, sbornik statei ( To S.F. Platonov from Students and Admirers ), St. Petersburg, 1911 ; reprinted Dusseldorf: Brucken 1970 ,

,

Plucknett, T.F.T. British

legal

1897–1965

historian

major legal historians of the first half of the 20th T.F.T. Plucknett was a precocious scholar. Known early in his student days as a constitutional historian, he was a fellow of Emmanuel College, Cambridge, where he wrote a thesis on statutes in the early 14th century for his LLB in 192.0, which was soon published {1922). His law degree took him to Harvard University, where he worked with Roscoe Pound, becoming a historian of private law and writing his most lasting work, A Concise History of the Common Law (1929). The reputation of this book brought his appointment to the first chair of legal in England at the London School of Economics in 1931. Professionally, Plucknett was the literary director of the Selden Society (1937-63), elected fellow of the British Academy in 1946, president of the Royal Historical Society (1948-52) One of the

century,

history

and of the Society of Public Teachers of Law (1953-54), and received several honorary doctorates. He was elusive both professionally and personally. A formal, solitary man, he had only a few close friends, who were all historians. He was also aloof as a teacher, with a few dedicated students who his detailed, analytical approach to the sources as the grist of the historian's mill. Plucknett was not a prolific writer. Most of his books were published lectures: his Ford lectures at Oxford became Legislation of Edward I (1949), his Creighton lecture The Medieval Bailiff (1954), his Maitland lecture Early English Legal Literature (1958), and his Wiles lectures Edward I and the Criminal Law (1960). Other works were introductory texts for law students, such as the Readings on the History and System of the Common Law (1927) and The English Trial and Comparative Law (1952). The core of his academic career was at the Selden Society, which he almost single-handedly kept alive in the 1940s and 1950s when there was little demand for legal history. His dedication to the field led him to complete volumes that others had started and left unfinished, to add notes and explanations to other editions, and in general to maintain a flow of commissioned works by encouraging his editors. As a scholar of legal history, Plucknett was not perhaps of the first tier himself. Lacking extensive legal and historical training, and eschewing assistance from others, he became (as was his idol F.W. Maitland) primarily his own critic. His most famous work, A Concise History, underwent five editions by 1956. Written as 745 pages of one-page subject-item it was more a dictionary than a history. On the other hand, his more obscure introduction to Thomas Pitt TaswellLangmead's English Constitutional History from the Teutonic Conquest to the Present Day had ten editions by 1946. Plucknett's goal was to make legal history relate to real of real people, but his writings did not always succeed in this regard. He came closest in his studies of the reigns of Edward I (1272-1307) and Edward II (1307-27). Plucknett prided himself in the belief that the legal history of the past should be taught and written as the study of law in the present: as "a school of living law." In his work on the early literature of the law, he makes the medieval law school come alive with teachers putting questions and students answering them, dissecting the didactic legal literature of the era. In his work on the early statutes, he wrote persuasively that Edward I should be remembered not for his wars, battles, and politics, but as a man who had a vocation as a legislator, one who saw "the law as a mass of technicalities which might be ingeniously combined to secure his ends." The highly research to which Plucknett committed himself, trying to piece together the early history of lawyers and legislators, remains valuable. His early history of parliamentary in particular, is still part of the foundation for the study of the origins and early history of statute law.

appreciated

descriptions, problems

technical

legislation,

LOUIS A. KNAFLA See also

Holdsworth;

Milsom

Biography Theodore Frank Thomas Plucknett Born Bristol, 2 January 1897 Educated at Alderman Newton's School, Leicester ; Bacup and Tawtenstall School, New Church, Lancashire (University of London .

.

external degree in history, 1915 ); University College, London, MA 1918 ; research fellow, Emmanuel College, Cambridge, LLB 1920 ; Choate fellow, Harvard Law School, 1921-21 Taught at Radcliffe College, 1923-24 ; and Harvard Law School , 1923-31 ; professor of legal history, London School of Economics, University of London, 1931-63: dean, faculty of law, 1954-58 Married Marie Guibert , 1923 (1 son). Died Wimbledon , 14 February 1965 .

.

.

Principal Writings Statutes and Their Interpretation in the First Half

of

the Fourteenth

Century

1922 Editor with Roscoe Pound , ,

Readings on the History and System of the Common Law , 3rd edition, 1927 A Concise History of the Common Law , 1929 ; 5th edition, 1956 Editor, English Constitutional History from the Teutonic Conquest to the Present Time , by Thomas Pitt Taswell-Langmead , 10th edition, 1946 Legislation of Edward I 1949 With Charles John Hamson The English Trial and Comparative ,

,

Law: Five Broadcast Talks , 1952

The Medieval Bailiff, 1954 Early English Legal Literature , 1958 Edward I and the Criminal Law , 1960 Studies in English Legal History , 1983

Further

Reading

Milsom , S.F.C. Theodore Frank Thomas Plucknett, 1897-1965 , Oxford : Oxford University Press , 1965 ,

Plumb's study of the rise of political stability, originally the Ford lectures at Oxford, was important in its discussion of political structures and shifts, a world away from the minutiae of political maneuvers, but he underrated Jacobitism and the post-1715 Tory party, and his decision to concentrate on England rather than the British Isles provided a misleading perspective, not least because developments in Ireland and Scotland were crucial to the situation in England, After the lectures were published in 1967, Plumb did not make any more important contributions to scholarship on the period. His published lecture on the commercialization of leisure in 18th-century England was interesting, but he failed to follow it up. Instead, as with his work on Walpole, there was a curiously unfinished feel to his career. He was an active lecturer in America, a frequent reviewer, and general editor of a number of important series, but his own work diminished. In contrast, for example, with John Ehrman who in retirement wrote the third of his major 3-volume biography of Pitt the Younger, or Plumb's Cambridge rival, Sir Geoffrey Elton, who continued publishing books in his retirement, Plumb made little impact after retirement. As with Elton, Plumb's influence rested in large part on the fact that he was powerful in Cambridge at a time when the profession was expanding, and he was therefore in a position to help the careers of protégés. Many leading scholars of the period were trained or influenced by him, including John Brewer, David Cannadine, and Linda Colley. Plumb, however, would not have wished to be seen as Walpole was by his critics as a master of patronage but rather would have preferred his own portrayal of Walpole, one that is in fact more accurate, as a statesman who had ideas as well as interests, and supported policies as well as patronage. -

Plumb, J.H. British

political

One of the

1911–

historian

influential British historians of the 1950s, 1960s and 1970s, J.H. Plumb was a major figure in the Cambridge History Faculty who influenced the work of a large number of younger protégés and sought to break free from the conventional mold of 18th century British political history. From an affluent background in Leicester, Plumb was educated at the University College there and then at Christ's College, Cambridge. Beginning research on the social structure of the House of Commons in the reign of William III, Plumb worked in British Intelligence during World War II, before returning to Cambridge where he was appointed to a post and to a college fellowship at Christ's. Thereafter, he rose through the Cambridge system becoming eventually a professor and master of Christ's College. By 1950 he had decided to work on the transition of English political life from the violence and civil strife of the 17th century to the more settled world of the 18th, a period bridged by the life of Sir Robert Walpole, and to focus on the question of the rise of political stability and oligarchy. In 1949 Plumb decided to work on a life of Walpole and also on the growth of stability. The Walpole biography brought Plumb fame but was never finished, and remains curiously emblematic of Plumb's entire career. The two volumes that appeared were popular works and attracted much attention, but their long-term impact has been minimal. Plumb's other biographical work, his treatment of William Pitt the Elder, ist Earl of Chatham, displayed a similar acuteness in the distinction of character but was a shorter and lesser work.

-

JEREMY

BLACK

more

university

See also Britain:

1485-1750; Consumerism; Jordan; Schama;

Social; Trevelyan

Biography John Harold Plumb Born 20 August 1911 Attended Alderman Newton's School, Leicester ; studied at University College, Leicester, receiving external BA degree from London University 1933 ; research student, Cambridge University, 1934-36, PhD 1936. War service in British Intelligence, 1940-45. Taught at Cambridge University (rising to professor), 1939-82 Fellow, later master, Christ's College, Cambridge 1946-82 Knighted 1982. ,

.

,

.

.

,

Principal Writings England in the Eighteenth Century

,

1950

G.M. Trevelyan , 1951

Chatham,

1953

The First Four Georges , 1956 Sir Robert Walpole , 2. vols., 1956-60 Metí and Places, 1963 , in US as Men and Centuries , 1963 The Growth of Political Stability in England, 1675-1725, 1967 ; in US as The Origins of Political Stability: England, 1675-1725 , 1967 The Death of the Past , 1969 In the Eight of History , 1972 The Commercialisation of Leisure in Eighteenth-Century England, .

1973

Royal Heritage: The Story of Britain's Royal Builders and Collectors 1977 ; in US as Royal Heritage: The Treasures of the ,

British Crown , 1977

Georgian Delights 1980 ,

Royal Heritage: The Reign of Elizabeth II , 1981 With Neil McKendrick and John Brewer, The Birth of a Consumer Society: The Commercialization of Eighteenth-Century England , 1982 The American Experience , 1988 The Collected Essays of J.H. Plumb , The Making of an Historian , 1989

Further

Reading

Kammen , Michael G. ,

"

2

vols., 1988

On Predicting the Past: Potter and Plumb ,"

Journal of Interdisciplinary History ( 1974 ),

109 18 -

McKendrick , Neil , ed., Historical Perspectives: Studies in English Thought and Society in Honour of J.H. Plumb , London : Europa , 1974 " Roberts , Clayton , The Growth of Political Stability Reconsidered ," Albion 25 ( 1993 ), 237 77 -

formal comparison. Plutarch was the heir of the Greek biographical tradition that went back to the 4th century BCE and was a product of both rhetoric and philosophy. Great men were treated as paradigms and held up for praise or criticism. Plutarch added to the tradition the notion of pairing a Greek with a Roman counterpart: Theseus with Romulus, both founding heroes, Nicias with Crassus, both generals whose careers ended in disaster, Lycurgus with Numa, both lawgivers, a

and

so

on.

The Lives

survived. Plutarch's

popularity

Byzantine world, and

Plutarch

120CE before 50–after Greek essayist and historian

Plutarch, son of Aristobulus of Chaeronea, was a prolific essayist and biographer whose influence on the literature of western Europe has been enormous. The "Lamprias supposedly compiled by a son of Plutarch, but dating to late antiquity, lists 227 titles, some spurious. He

catalogue,"

probably philosophy

in Athens where he must have attended studied lectures by the famous sophists of the time though he mentions only one, the Egyptian Platonist, Ammonius, and in his youth he traveled widely, visiting Alexandria and journeying to Rome at least twice. But he spent most of his life quietly at Chaeronea where he resided and kept a private school, and at Delphi where he held a priesthood, and where he probably died. Plutarch had a wide circle of friends, including both Greek notables and Roman imperial administrators, and he himself acquired Roman citizenship, which brought him influential friends, equestrian rank, and eventually the ornamenta consularia and the post of imperial procurator in Achaea. Proud though he was of the Greek past, he accepted Greece's subject status in the Roman empire and was happy to with Greece's conquerors. His corpus of more than seventy miscellaneous essays is usually called the Moralia, a title used in the medieval period for a group of essays dealing with practical ethics. Their subjects range from the education of children and the intelligence of animals to a collection of Spartan apophthegms, advice on marriage, and an essay on the myth of the Egyptian gods Isis and Osiris, which was a major source for our knowledge of Egyptian religion until Egyptian hieroglyphs were deciphered. A small group deal with philosophy: Plutarch was a Platonist and averse to Stoicism. His interest in Delphi is reflected in three treatises, The Decline of Oracles, The Delphic "E," and The Pythia's Prophecies, and one essay, On the Malignity of Herodotus, is important evidence for Herodotus' reputation for mendacity which he acquired in the ancient world. Plutarch himself considered his major work the Parallel Lives, which was dedicated to Quintus Sosius Senecio, twice consul in the reign of the emperor Trajan. This work paired biographies of great public figures, one Greek, the other Roman, and all but four of the extant pairs concluded with

collaborate

are

based

on

wide and

not

uncritical

reading, but historical exactitude was not Plutarch's major goal; rather, he was selective and used personal details only as indicators of character. The same technique colored Plutarch's Lives of the Caesars, a series stretching from the emperor Augustus to Vitellius, of which only the Galba and Otho have continued in late antiquity and the 15th century, the Lives rapidly

in the

found readers in western Europe. Jacques Amyot (1513-93) French translation of both the Lives and the a in turn were translated into English, the Lives which Moralia, by Thomas North and the Moralia by Philemon Holland. Plutarch in North's translation was one of Shakespeare's sources of inspiration: Julius Caesar, Coriolanus, Antony and Cleopatra, and Timon of Athens all come from the Lives. In France, Michel de Montaigne (1533-92.) drew on Plutarch's Moralia as a model for his essays and quoted him 398 times. But it was in the 18th-century Enlightenment that the portraits drawn in the Lives had their greatest influence. Jean-Jacques Rousseau (1712-78) knew Amyot's translation by heart by the age of eight; he identified with Plutarch's heroes and particularly admired Plutarch's description of the early Roman republic and the virtues and laws of Sparta. Plutarch's essay On Superstition was quoted by Pierre Bayle and through him passed into the mainstream of Enlightenment thought, and with the French Revolution, the creative influence of Plutarch as a political philosopher reached its height. Before Charlotte Corday's assassination of Marat, she spent the day reading

produced

idealized

Plutarch. In the 19th century, historians put Plutarch's research methods under scrutiny and found them wanting. Plutarch quoted no fewer than 150 historians, including 40 who wrote in Latin, but the suspicion developed, particularly among German historians, that he got most of his information at second hand: Eduard Meyer even took the extreme view that he did not use Herodotus, Thucydides, and Xenophon directly. This hypothesis has now been overturned by A.W. Gomme. But the doubts were founded on valid grounds: how could Plutarch find all the works he quoted in a small place like Chaeronea? The answer seems to be that he quoted a great deal from memory, or from notes from books he had read. He has little claim to originality, though he drew his portraits skillfully, and his value to the historian depends partly on the amount of other source material available. Thus his life of Alexander the Great is carefully studied; his Julius Caesar is not. But he continues to attract a great deal of in modern classical scholarship.

previously attention J.A.S.

See

also

Religion;

EVANS

Christianity; Egypt: Ancient; Herodotus; Kasravi; Roman

Biography Chaeronea, Boeotia, near Thebes, before 50 CE. Traveled extensively in Egypt and Italy, but remained mainly in Chaeronea, where he taught. Served as priest at Delphi for 30 years and helped to revive the shrine there Married Timoxena (at least 4 sons, 1 daughter). Died after 120. Born

.

Plutarch's Lives (Loeb edition), translated by Bernadotte Perrin ,

vols., 1914-26

Moralia (Loeb edition), translated by F.G. Babbitt 1927-69

Further

embellishments

transformed.

Principal Writings 11

the basis for some of the ideological proposals submitted during that period. Throughout his career Pocock pursued this theme, isolating the basic ideas and proposals from the ideological added by later political theorists, and by isolating the of the idea to illustrate how it was transmitted and germ In his varied studies and examinations of James Harrington (a 17th-century British political theorist) and those who later adopted Harrington's political theories, the so-called Neo-Harringtons, Pocock demonstrated how the latter's should be distinguished from the former's, how what they believed Harrington stated was not always what he actually wrote or intended to imply. In pointing out this distinction, Pocock illustrated the division that must exist between one time and another, and joined with other historians in arguing against applying contemporary beliefs, opinions, or standards to the events, thoughts, or actions of the past. After all, as Pocock ably demonstrated in his study of Machiavellian theory, what Machiavelli proposed had little in common with what later political writers would have thought of as purely Machiavellian. Pocock is a notable historian of political theory, but in some ways he has been something much more important: an of clear-headed research, who has shown all who read his writing how to apply some of the tenets of historical research. While his work in the history of British political theory has been very important for that field and should not be it is essential to remember that this was only one of the factors that have added to the lustre of his reputation as a necessary figure in the development of historical writing; Pocock has been an important and persuasive instrument in illustrating how failure to recognize our own prejudices can warp our view of the past; by so doing he helped to establish a template by which other historical developments may be observed and better understood. His body of work will ensure that his legacy in this area is not forgotten, but it is an area of historical thought that must be constantly reinforced and re-emphasized. One hopes that Pocock's research and writing will continue to demonstrate this fact, not only within his own discipline, but to all others who essay to study the past.

et

al.,

15

vols.,

Reading

Aalders , Gerhard Jean Daniël , Plutarch's Political Thought, Amsterdam and New York : North-Holland , 1982 Barrow, Reginald Haynes , Plutarch and His Times , London : Chatto and Windus , and Bloomington: Indiana University Press, 1967 Gomme , Arnold Wycombe , A Historical Commentary on Thucydides 1 , Oxford : Clarendon Press , 1945 Jones , Christopher Prestige , Plutarch and Rome , Oxford : Clarendon Press , 1971 Russell , Donald Andrew, Plutarch, London: Duckworth , 1972 ; New York : Scribner, 1973 Scardigli , Barbara , ed., Essays on Plutarch's Lives , Oxford and New York : Oxford University Press , 1995 Städter, Philip Α. , ed., Plutarch and the Historical Tradition , London and New York : Routledge , 1992

opinions

political exemplar

overlooked,

Pocock, J.G.A.

1924–

British historian a proponent of studying the ideas of the past in the context of their own period, J.G.A. Pocock has been one of the primary figures involved in a bringing a clear historical examination to the intellectual tradition of civic humanism. Through the changes and alterations that must be taken into account when following the development of such a tradition, he has enabled researchers to extend the precepts of this approach to their own field of study, and has facilitated the advancement of historical research into the formation of concepts of political theory during the political and ferment of 17th-century Britain. Pocock taught in universities in Britain and New Zealand prior to moving to the United States in 1966, where he obtained a post at Johns Hopkins University. Along the way he undertook a comparative study of the political in these nations which would no doubt have its own effect upon his understanding of political change. But long before he arrived in America, he had already published, in 1957, what may be one of his greatest works, The Ancient Constitution, a study of the notion of an ancient, unwritten English constitution dating back to the pre-migration tribes of Germany. In The Ancient Constitution, Pocock used what has come to be his trademark, a clear-visioned insight into what this notion meant for those who expressed it in this case the parliamentary politicians of early 17th-century Britain rather than an attempt to define the mythical constitution in modern terms or through a modern filter. This study opened new areas for research and examination, and forced a re-examination of

As

demonstrating

DANIEL M. GERMAN

intellectual

eventually structures

-

See also Baron, H.; Intellectual; Italy: Renaissance; Political; Quinn; United States: American Revolution

Biography John Greville Agard Pocock Born London, 7 March 1924 Received BA, Canterbury University, New Zealand 1945 MA 1946 ; PhD, Cambridge University, 1952 Taught at Canterbury University 1946-48; and University of Otago 1953-55 ; research fellow, Cambridge University 1956-58 ; rose to professor of political science, Canterbury University 1959-65 ; professor of history and political science, Washington University 1966-74 ; professor of history, Johns Hopkins University, 1974-94 (emeritus) Married Felicity Willis-Fleming 1958 (2 sons). .

.

,

,

.

,

,

,

,

,

.

,

-

Principal Writings The Ancient Constitution and the Feudal Law: A Study of English Historical Thought in the Seventeenth Century, 1957 ; revised 1987

Politics, Language, and History 1971

Time:

Essays

on

Political Thought and

,

The Machiavellian Moment: Florentine Political Thought and the Atlantic Republican Tradition , 1975 Virtue, Commerce, and History: Essays on Political Thought and History, Chiefly in the Eighteenth Century , 1985

Further Reading Geerken John H. ,

Explanation ( 1979 ),

" Pocock and Machiavelli: Structuralist , in History," Journal of the History of Philosophy 17

309 18 -

" Goodale , J. R. , J.G.A. Pocock's Neo-Harringtons: A Reconsideration ," History of Political Thought 1 ( 1980 ), 237 59 " Janssen , Peter L. , Political Thought as a Traditionary Action: The Critical Response to Skinner and Pocock ," History and Theory -

24

( 1985 ),

115 46 -

"

Landau , Norma , Eighteenth Century England: Tales Historians Tell ," Eighteenth-Century Studies 22 ( 1988-1989 ), 2.08 18 " Lockyer, Andrew, Pocock's Harrington ," Political Studies 28 .

-

( 1980 ), 458 64 -

between the 1850s and 1914. The planned initial step was several volumes of extensive registers of the entire diplomatic evidence with the apparatus and critique lacking in the older editions, pending a full set of re-editions; of which only the first, concerning 12th-century sources, appeared before 1939 (Kozlowska-Budkowa, 1938). Despite the destruction of much of the actual documentation during World War II, these plans were implemented briskly after 1945. As a result, source is a distinctive feature of postwar Polish scholarship, with its main venue the StudiaŹródloznawcze (Studies in Source Criticism, 1957-), a journal of interdisciplinary history as well as source studies. Although the comprehensive register of the interwar period (Kozlowska-Budkowa, 1938) has been two guides to published and manuscript sources have appeared (Plaza, 1974, 1980), as well as a series of studies and a textbook in diplomatics and codicology (Maleczynski, 1971; Maleczynski, Bielinska, and Gqsiorowski, 1971), and in the remaining auxiliary disciplines (Szymanski, 1972, 1993)· The interest of the pioneering generation of Polish in the pathology and demise of Polish statecraft affected several specific areas of inquiry. The first was a search for a theory of origins of the Polish state and society that might explain the fate of both. In the 19th century, such "theories" were usually anchored in contemporary ethnography and comparative social evolution. One early theory attributed the origins of kinship and social stratification in Poland to the conquest of the Slavic population by Scandinavians in the 9th and 10th centuries; another explained the origins of kinship, lordship, property, and other elements of the social order in terms of the Slavic extended family, and viewed "kinship" as a vague counterpart to Western "feudalism." Although the "Norman" (or "conquest") and "kinship" theories have been either rejected or revised beyond recognition, both served to focus attention on what was viewed as the base of the royal (or seigneurial) power, namely the village, peasantry, and the rural estate. The pioneer of this new social and economic history, and its relationship to ducal (or royal) power, was Stanislaw Smolka followed by Franciszek Bujak. The interwar period witnessed the first, brief but very fruitful, burst of reconstructions of the history of the rural economy and society to be conceptually and methodologically removed from issues of statecraft. In addition to continued output by Bujak, the contributions to the social and economic history of medieval and early modern Poland (and, since the 15th century, Poland-Lithuania) consisted of the early works by Roman Grodecki, Kazimierz Tymieniecki, HenrykŁowmiański; and above all in the mature works of Jan Rutkowski, which included several detailed studies on the of the medieval and early modern Polish agrarian estate and directly contributed to Witold Kula's theory of "feudal system" later. Rutkowski was also a founding editor of the Roczniki Historii Spotecznej i Gospodarczej (Annals of Social and Economic History), a journal founded in Warsaw in close association with, and nearly at the same time as, the Annales d'Histoire Sociale et Economique in Paris. During the postwar period, these contributions were by ideological factors. In its focus on the peasantry and other laboring groups, its basic paradigm of the medieval and early modern "state" (and lordship) as essentially exploitative, and its close contact with the first Annales generation, the

criticism

discontinued, historians

Poland:

to

the

18th

Century

The academic discipline of medieval and early modern history in Poland dates back to about the mid-19th century. Ever since its beginnings, the historiography has been affected by three features of the contemporary general political and intellectual scene: the absence of an independent Polish state, especially during the Partition period (1791-1918) and World War II and its aftermath (1939-89); the generational disruptions of both world wars, especially the Second; and religious and ethnic diversity that had characterized the Polish territories until 1945, and situated Poland as a frontier region within Europe. These three features have shaped the basic questions posed by Polish historians, affected the quality and survival of the archival evidence and institutions of higher learning, and made periodic recovery of knowledge, sources, and syntheses the central project of several generations of historians over the past century. Polish medieval and early modern historiography has specialized in three broad directions: 1) source criticism and editions (and other auxiliary disciplines of history); 2) focus on statecraft, and the relationship of the medieval and early modern "state" to social groups and the economy, as the central conceptual issue; and 3) several other areas of inquiry that had originally been related to that relationship but have emerged as interesting and important on their own terms. The 19th century was the heroic age of the source edition and criticism in the territories of partitioned Poland. The source editions that originated between the middle of the century and 1914, and continued thereafter, fall into three categories: 1) a comprehensive edition of diplomatic evidence from each of the major regions of historical Poland (Great Poland, Little Poland, Masovia, Cuiavia, Silesia, and parts of Pomerania); 2) an authoritatively edited miscellany of narrative sources, modeled directly or indirectly on the Monumenta Germaniae Historica; 3) an authoritatively edited miscellany of legal sources; and 4) occasional publications of various kinds of sources, including facsimiles. The first years of the 20th century and the interwar period were a time of preparation for a new of source editions of the entire corpus of sources edited

available

generation

relations

'

structure

-

complicated

interwar Polish school of social and economic

history had been situated within one of the mainstreams of the European left, with close affinities to Marxist analysis though of course free of claims to "scientific" accuracy or dogma that characterized orthodox (especially Leninist) Marxism. Like their Russian authors of the left-leaning generation that matured in the 1930s found it extremely difficult to continue to publish without espousing the conceptual tools of Marxism-Leninism that became mandatory in the later 1950s. The result was a silencing of the output of this group in particular and of the innovative brand of social and economic history it had until the later 1950s; qualified, however, by a number of important developments. The first was continued activity in research and teaching of a handful of senior- or intermediate-level scholars who continued to train skilled medievalists and early modernists, edited the primary sources whose re-edition had long been planned, and channelled their areas of specialization in new directions that were favored by the new regime with a light requirement of the otherwise obligatory ideological straitjacket imposed after 1950. The published results were scarce and uneven between 1953 and 1957, but thereafter reflected several interesting and, again politically less directions of specialization. Thus, the first postwar work by Henryk Łowmiański (1953) is an early example of a careful study of the "economic base" and above all of the Piast kingdom and principalities between the 10th and 13th centuries. In 1956 Jerzy Kłoczowski revived the heretofore barred subject of church history with a superb study of the Dominicans of the Polish province in Silesia in the 13th and 14th centuries; Tadeusz Ładogórski provided a major contribution to the demographic history of 14th-century Poland with a very careful and innovative methodology; Karol Maleczyński embarked on a series of articles on source analysis, criticism, and editions; while Tadeusz Manteuffel and Aleksander Gieysztor each launched publications on a wide range of subjects concerning medieval and early modern Poland in a comparative context, as well as other regions and issues of medieval Europe. In contrast to what happened in most other communist countries, this generation preserved the interwar tradition of moderately left-wing, pioneering social and economic history from oblivion; and enabled its development in directions that, while compatible with Marxist analysis, retained their excitement and freedom from dogma. Against odds, these scholars created a dynamic intellectual environment for other colleagues interested in all aspects of early Piast history, notably including Gerard Labuda, Witold Hensel, Wacław Korta, Karol Buczek, and their own students, and ultimately trained the first generation of students to reach scholarly maturity in the 1970s and 1980s. This unexpectedly continuous lineage of scholarship, and the high standards of historical craft and intellectual rigor it reproduced, ushered in a remarkable effervescence of Polish medieval and early modern historiography when the research students produced a corpus of work, and re-established very strong patterns of international contacts, especially once again with the editors and contributors to the Annales. The historiographic output produced in Poland since the 1960s, especially during the 1970s and 1980s, spanned a wide

predecessors, -

pioneered -

relatively -

encumbered -

-

-

demography

intellectual

enormous

-

-

range of

that,

earlier, tied

in with the

specializations interests of Polish historiography 19th-century beginnings, as

since its

above all the relationship of economy, society, and royal (or ducal) power. This subject has provided occasion for the most significant single dispute among Polish medievalists since the war, between Karol Buczek, active between the late 1950s and his death in 1983, and a younger scholar Karol Modzelewski, who produced most of his output between 1964 and 1987. Although the core of the controversy concerned the rather abstruse issue of whether the rulers of the Piast kingdom between the 10th and the 12th centuries maintained themselves from a network of "castellanies" (Modzelewski) or of "estates" (Buczek), their polemics raised fundamental issues about the structure of Polish society and economy, the nature of royal and seigneurial power within both, and the place of Polish society, economy, and lordship in a broader European context between the 10th and 13 th centuries. Social and economic history, broadly conceived, has remained the core specialization of Polish medievalists and early modernists. A very large number of scholars perhaps best typified by Benedykt Zientara, active between the 1970s and his death in 1983 have produced a series of works contributing to social, political, cultural, and economic history, as well as the history of ethnic relations especially the thorny issues of Slavs and Germans, and Slavs and Jews during the period of transition from what Modzelewski considered the exceptionally strong first Polish state of the 10th century, to the Piast duchies of the later 12th, 13th, and early 14th centuries. Unlike Modzelewski, Zientara and others avoid historical explanation in terms of any supposedly unusual model or paradigm, and instead portray the Polish duchies as part of a broader European story of settlement and economic expansion, proliferation of types of peasants and of lordship, and integration of peripheral regions into a common framework of cultural, economic, and demographic contact and exchange. The Polish noble estate has continued to attract attention. Building on Jan Rutkowski's work of the interwar period, Witold Kula has constructed an economic model of the noble agrarian estate in medieval and early modern Poland, Marian Małowist has contrasted Poland and Western Europe in the early modern period in terms of the economic and social of the noble estate with special focus on the issue of "second serfdom," while Andrzej Wyrobisz has examined the noble estate as a unit of entrepreneurship and specialized production. Kula and Małowist have been important sources for Immanuel Wallerstein's world-system model, and for his debate with Robert Brenner; and a useful sample of the school of agrarian, social, and economic history that traces its descent to Rutkowski was subsequently published in English (Mqczak, Samsonowicz, and Burke, 1985). Urban history is especially informed by archaeology and the study of material culture. In 1926 Karol Maleczyński, and in 1964 Karol Buczek each reconsidered early towns in terms of urbanizing processes, above all the emergence and function of marketplaces, and by the 1970s systematic archaeological excavations enabled Polish historians such as Leciejewicz to reconstruct a general history of the Polish urban space, its and settlement patterns, and social stratification the "sociotopography" of Polish towns throughout the medieval -

-

-

historiographically -

particular,

significance -

functions -

and early modern periods and to integrate these findings with in the legal status of towns expressed in charters of franchise, usually modelled on German law. Recent syntheses of this subject include a general survey by Bogucka and Samsonowicz of Polish urban history between its 10th-century origins and the Partitions; a collection of essays by Wyrobisz and others concerning urban conceptions of space and time; several histories of specific towns, most recently of Kraków by Wyrozumski; and several works in the western languages on Kraków, and on Polish urban historiography by Ludwig, Knoll, and Carter. Interdisciplinary study of material culture and its historical and social significance has been facilitated by a specialized journal, Kwartalnik Historii Kultury Materialnej (Quarterly of the History of Material Culture), which after 1954 rapidly evolved toward a broad focus ranging from the technical through social, economic, political, and cultural analysis (of which urban "sociotopography" is an example). The interest in archaeology and material culture is especially well reflected by numismatics, which has emerged as perhaps the most and internationally the most visible, of the specialized (or auxiliary) disciplines of medieval and early modern Polish historiography. Here the focal forum has also been a journal, Wiadomości Numizmatyezne (Numismatic News), another technical and interdisciplinary publication, and the work of two scholars, Stanisław Suchodolski and Ryszard Kiersnowski. Despite Adamus' blistering critique of the old "kinship theory," historians have remained interested in the history of family groups especially the "knightly" and noble family -

changes

important, specialized

-

-

essential, vaguely unique important, though of social cohesion. Family history has proceeded in two prosopographic reconstruction over long periods; and intensive study of particular types of familial groups, above all the conjugal and the stem family. Polish prosopography was pioneered between the late 19th century and the interwar period by Władysław Semkowicz, in monographs on the genealogical origins of the Polish nobility, and has been continued above all by Janusz Bieniak and Marek Cetwiński, Interest in smaller familial groups largely concerns their functions; Juliusz Bardach and others have sought to reconstruct the breadth of familial groups that possessed rights of ownership, including issues of "divided" and "undivided" estates, incidence and significance of "individual" versus "undivided" landholding, and familial practices of alienation. Maria Koczerska has applied life-cycle analysis to marriage, (Koczerska, 1975), which has been the main context for the study of women's history in medieval and early modern Poland (Lesiński, 1956), although more recently Andrzej Karpiński has situated women's history in the very different context of urban social and economic history (Karpiński, 1990). Gender history has been virtually unexplored. Legal and ecclesiastical history were pioneered during the 19th century and the interwar period, but have remained rather distinct fields, until relatively recently uninformed by the approaches that have long distinguished political, and economic social, history. With a few exceptions, emphasis in Polish legal history has been formalist and norm-centered, largely divorced from social history and practice. There have been a very large number of works (for example by Julius as an

not

or

source

directions:

proprietary

interdisciplinary

Bardach) on the substance and procedure of Polish "private" law, as well as analysis of the written evidence of Polish law, and several historical legal textbooks. This careful work has made possible the ultimate integration of legal history into a broader social and interdisciplinary inquiry by the current generation, especially by Hanna Zaremska. Although medievalists and early modernists from all inevitably touch on all aspects of religious history, the center of inquiry into ecclesiastical history and its gradual integration into social, economic, and political history has since 1945 been the Catholic University of Lublin, under continuous leadership of Jerzy Kłoczowski. Since his early

universities -

-

work

Polish Dominicans, Kłoczowski has been

on

at

the

of beliefs, the total of the study of religion forefront in

-

sense

practices, and institutions, and as an aspect of social, economic, and cultural history. In addition to continued focus on the mendicants (and older orders), he is general editor of the major 3-volume history of the Polish church, author of two major syntheses integrating the Polish duchies with other areas of "Latin" Europe in terms of education, cultural change, and religious institutions and practices, general editor of a atlas of religious history in East Central Europe, and colleague and teacher of a large number of specialists in several areas of ecclesiastical history informed by anthropology, geography, and other interdisciplinary perspectives. The intersection of material culture, social and religious history, and source analysis, has since the 1970s led to a specialization in the history of mentalities, that as in other European historiographies transcends the historical fields to

forthcoming

historical -

-

which it is related. This field reflects close postwar bilateral contacts between Polish medievalists and the Annales school,

involving Jacques Le Goff, Aron Gurevich, Bronisław Geremek, Aleksander Gieysztor, Jerzy Kłoczowski, and, more recently, Henryk Samsonowicz, Jacek Banaszkiewicz, Stanisław Bylina, Hanna Zaremska, Roman Michałowski, and a large number of other scholars. Their interests include: 1) basic ontological categories, such as conceptions of time and space, the group and the self, the sacred and the profane; 2) the psychological dimensions of social divisions, including social marginality and deviance; 3) social specificity of religious, cultural, and economic experience; 4) sacral dimensions of royal power; and 5) constructions of the past and collective identities which, though expressed in Polish as a history of "national are quite similar to those studies of collective memory that have now emerged as an exciting subject in English-

consciousness," language scholarship.

PIOTR GÓRECKI

See also Davies, N.; East Central Europe;

Gurevich;

Kula

Further Reading Abramsky Chimen Maciej Jachimczyk and Antony Polonsky eds., The Jews in Poland Oxford and New York : Blackwell 1986 Adamus Jan Polska teoria rodowa ( Polish Kinship Theory), Łódź : Ossolińskich 1958 Aubin Hermann Medieval Agrarian Society in Its Prime: The Lands East of the Elbe and German Colonisation Eastwards ," in M. M. Postan and H. J. Habakkuk eds., The Cambridge Economic History of Europe 2nd edition, vol. 1 Cambridge : Cambridge University Press 1966 ,

,

,

,

,

,

,

,

,

"

,

,

,

,

,

,

Banaszkiewicz , Jacek , Kronika Dzierzwy: XIV-wieczne kompendium historii ojczystej ( Dzierzwa's Chronicle: A 14th-century Compendium of Native History ), Wrocław : Ossolińskich , 1979 Banaszkiewicz , Jacek , Podanie o Piaście i Popielu: Studium porównawcze nad wczesnośredniowiecznymi tradycjami dynastycznymi (The Tale of Piast and Popiel: A Comparative Study of Early Medieval Dynastic Traditions ), Warsaw : Państwowe Wydawnictwo Naukowe , 1986 Bardach , Juliusz , Historia państwa i prawa Polski ( History of the State and Law in Poland ), vol. 1 , Warsaw : Państwowe Wydawnictwo Naukowe , 1964 Bardach , Juliusz , Bogusław Leśnodorski , and Michał Pietrzak , Historia państwa i prawa polskiego (History of the Polish State and Law ), Warsaw : Państwowe Wydawnictwo Naukowe , 1976 Bardach , Juliusz , " L'Indivision familiale dans les pays du Centre-Est " européen ( The Familial Undivided Estate in the Countries of East-Central Europe), in Georges Duby and Jacques Le Goff , eds., Famille et parenté dans l'Occident médiéval ( Family and Kinship in the Medieval West ), Rome : Ecole française de Rome , 1977 Bieniak , Janusz , " Clans de chevalerie en Pologne du XIIIe au XVe " siècle (Knightly Clans in Poland, from the 13th to the 15th Centuries ), in Georges Duby and Jacques Le Goff, eds., Famille et parenté dans l'Occident médiéval (Family and Kinship in the Medieval West ), Rome : Ecole française de Rome , 1977 Bieniak , Janusz , " Knight Clans in Medieval Poland," in Antoni Gąsiorowski , ed., The Polish Nobility itt the Middle Ages , Wrocław : Ossolińskich , 1984 Bogucka , Maria , and Henryk Samsonowicz , Dzieje miast i mieszczañstwa w Polsce przedrozbiorowej ( History of the Towns and the Bourgeoisie in Pre-Partition Poland ), Wrocław : Ossolińskich , 1986 Buczek , Karol , Targi i miasta na prawie polsktm (Okres wczesnośredniowieczny) (Markets and Towns Established According to Polish Law [The Early Medieval Period]), Wrocław : Ossolńskich , 1964 Buczek , Karol , " Gospodarcze funkeje organizacji grodowej w Polsce " wczesnofeudalnej (wiek X-XIII) ( The Economic Functions of the Castle Organization in Early Feudal Poland between the 10th and 13th Centuries ), Kwartalnik Historyczny 86 ( 1979 ), 364 84 Bujak, Franciszek , Wybór pism ( Selected Writings ), Warsaw : Panstwowe Wydawnictwo Naukowe , 1976 Burke , Peter, Antoni Mączak , and Henryk Samsonowicz , eds., EastCentral Europe in Transition: From the Fourteenth to the Seventeenth Century, Cambridge and New York : Cambridge -

University Press 1985 Bylina Stanislaw Człowiek i zaswiaty (Man and the Supernatural ), Warsaw : Upowszechnianie Nauki-Oswiata 199z Carter F.W. Trade and Urban Development in Poland: An Economic Geography of Cracow, from Its Origins to 1793 Cambridge and New York : Cambridge University Press 1994 Cetwiński Marek Rycerstwo śląskie do końca XIII wieku: Pochodzenie, gospodarka, polityka (Silesian Knighthood Through the End of the 13th Century: Origins, Economy, Politics ), Wrocław : Ossolinskich 1980 Cetwiński Marek Rycerstwo śląskie do konca XIII wieku: ąiogramy i rodowody (Silesian Knighthood Through the End of the 13th Century: Biograms and Genealogies ), Wrocław : Ossolinskich 1982 ,

,

,

,

,

,

,

,

,

,

,

,

,

,

Christiansen , Eric , The Northern Crusades: The Baltic and Catholic Frontier, 1100-1523 , Minneapolis: University of Minnesota Press , and London: Macmillan, 1980 Davies , Norman , God's Playground: A History of Poland , 2 vols., Oxford : Oxford University Press , and New York: Columbia

University Press, 1982 and Jacques Le Goff eds., Famille et parenté dans l'Occident médiéval ( Family and Kinship in the Medieval West ), Rome : Ecole française de Rome 1977 Fryde M. M. The Population of Medieval Poland ," in Josiah Cox Russell ed., Late Ancient and Medieval Population Philadelphia :

Duby Georges ,

,

,

,

"

,

,

,

,

American Philosophical Society 1958 Gąsiorowski Antoni Rex ambulans ," Quaestiones Medii Aevi 1 ( 1977 ), 139 62 Gąsiorowski Antoni ed., The Polish Nobility in the Middle Ages Wrocław : Ossolińskich 1984 Geremek Bronisław Les Marginaux Parisiens aux XIVe et XVe siècles ( Parisians on the Margins in the 14th and 15th Centuries ), Paris : Flammarion 1976 Geremek Bronisław ed., Kultura elitarna a kultura masowa w Polsce późnego średniowiecza ( Elite Culture and Mass Culture in Medieval Poland ), Wrocław : Ossolińskich 1978 Geremek Bronisław Litść i szubienica: dzieje nędzy i miłosierdzia Warsaw : Czytelnik 1989 ; in English as Poverty: A History Oxford and Cambridge, MA : Blackwell 1994 Gieysztor Aleksander Les Origines de la ville slave ( The Origins of the Slavic Town ), Settimane di studio del Centro italiano di Studi sull'Alto Medoevo 6 ( 1959 ), 279 315 Gieysztor Aleksander En Pologne médiévale: problèmes du régime politique et de l'organisation administrative du Xe au XIIIe ,

"

,

,

-

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

"

,

,

,

,

"

-

"

"

siècles ( Medieval Poland: Problems of Political and Administrative Organization from the 10th to 13th Centuries ), Annali della fondazione Italiana per la storia amministrativa 1 ( 1964 ), 135 56 " Gieysztor, Aleksander, Le Lignage et la famille nobiliaire en " au XIIe et XIIIe siècles (The Noble Lineage and XIe, Pologne Family in Poland in the nth, 12th and 13th Centuries ), in Georges Duby and Jacques Le Goff , eds., Famille et parenté dans l'Occident médiéval ( Family and Kinship in the Medieval West ), Rome : Ecole française de Rome , 1977 Gieysztor, Aleksander, ed., History of Poland , Warsaw : Państwowe Wydawnictwo Naukowe , 1979 Gieysztorowa , Irena , Research into the Demographic History of Poland: A Provisional Summing-up," Acta Poloniae Historica 18 -

"

( 1968 ),

5 17 -

Górecki , Piotr, Economy, Society, and Lordship in Medieval Poland, 1100-1250 , New York : Holmes and Meier, 1992 Górecki , Piotr, Parishes, Tithes, and Society in Earlier Medieval Poland, c.1100-1250 , Philadelphia : American Philosophical

Society

,

1993

Górski , Karol , L'Ordine Teutonico alle origini dello stato prussiano ( The Teutonic Order until the Origins of the Prussian State ), Turin : Einaudi , 1971 Grodecki , Roman , " Książęca włość trzebnicka na tie organizacji majątków książęch w Polsce w XII w." ( The Ducal Estate at Trzebnica in the Context of Ducal Estates in Poland in the 12th Century), Kwartalnik Historyczny 26 ( 1912 ), 433 75 and 27 ( 1913 ), 1-66 Grodecki , Roman , Polska Piastowska ( Piast Poland ), Warsaw : Państwowe Wydawnictwo Naukowe , 1969 Grüger, Heinrich , Heinrichau: Geschichte eines schlesischen Zisterzienserklosters, 1227-1977 ( Henryków: A History of a Silesian Cistercian Monastery, 1227-1977 ), Cologne and Vienna : Böhlau , 1978 Heck , Roman , ed., Dawnaświadomość historyczna w Polsce, Czechach i Stowacji ( Former Historical Consciousness in Poland, Bohemia, and Slovakia ), Wrocław : Ossolińskich , 1978 " Heck , Roman , The Main Lines of Development of Silesian Medieval Historiography," Quaestiones Medii Aevi 2 ( 1981 ), 63 87 Hensel , Witold , U źródeł Polski średniowiecznej ( At the Roots of Medieval Poland ), Wrocław : Ossolińskich , 1974 Hoffmann , Richard C. , Land, Liberties, and Lordship in a Late Medieval Countryside: Agrarian Structures and Change in the Duchy of Wrocław, Philadelphia : University of Pennsylvania Press , 1989 " Karpiński , Andrzej, Przekupki, kramarki, straganiarki: zakres feminizacji drobnego" handlu w miastach polskich w drugiej połowie XVI i w XVII wieku ( Huckstresses, Sellers, Street-Vendors: The Scale of Feminization of Petty Trade in Polish Towns in the Second Half of the 16th and the 17th Century), Kwartalnik Historii Kultury -

-

Materialnej 38 ( 1990 ), 81

-

91

,

English summary

Kiersnowski , Ryszard , Pieniądz kruszcowy w Polsce wczesnośredniowiecznej ( The Coin in Early Medieval Poland ), Warsaw : Państwowe Wydawnictwo Naukowe , 1960 Kiersnowski , Ryszard , Wstęp do numizmatyki polskiej wieków średnich ( Introduction to Polish Numismatics of the Middle Ages ), Warsaw : Państwowe Wydawnictwo Naukowe , 1964 Kiersnowski , Ryszard , Moneta w kulturze wiekówśrednich ( Coin in Medieval Culture ), Warsaw : Państwowe Wydawnictwo Naukowe ,

1988

,

-

Kłoczowski , Jerzy, Dominikanie polscy na Śląsku w XIII-XIV wieku ( Polish Dominicans in Silesia in the 13th and 14th Centuries ), Lublin : Towarzystwo Naukowe Katolickiego Uniwersytetu

Lubelskiego 1956 ,

Kłoczowski , Jerzy, ed., Kościół w Polsce ( The Church in Poland ), 3 vols., Kraków : Znak , 1966 " Kłoczowski , Jerzy, Les Cisterciens en Pologne, du XIIe au XIIIe " siècle ( The Cistercians in Poland from the 12th to the 13th Centuries ), Citeaux 28 ( 1977 ), 111 34 " Kłoczowski , Jerzy, Le Développement de la civilisation en Europe " Centrale et Orientale au XIVe et XVe siècles ( The Development Eastern of Civilization in Central and Europe in the 14th and 15th Centuries ), Quaestiones Medii Aevi 1 ( 1977 ), 111 38 Kłoczowski , Jerzy, ed., The Christian Community of Medieval Poland , Wrocław : Ossolińskich , 1981 Kłoczowski , Jerzy, Europa słowiańska w XIV-XV wieku ( Slavic Europe in the 14th- 15th Centuries ), Warsaw : Państwowy Instytut -

-

Wydawniczy 1984 Kłoczowski Jerzy Dzieje chrześcijaństwa polskiego ( History of Polish Christianity ), vol. 1 Paris : Editions du Dialogue 1987 Kłoczowski Jerzy ed., Uniwersalizm i swoistość kultury polskieij ( Universality and Distinctiveness of the Polish Culture ), 2 vols., Lublin : Wydawnictwo Katolickiego Uniwersytetu Lubelskiego 1989 Kłoczowski Jerzy La Pologne dans l'Église médiévale ( Poland in the Medieval Church ), Aldershot : Variorium 1993 Knoll Paul The Rise of the Polish Monarchy: Piast Poland in East Central Europe, 1320-1380 Chicago : University of Chicago ,

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Press , 1972 " Knoll , Paul , The Urban Development of Medieval Poland, with Particular Reference to Kraków," in Bariša Kreki\l=c'\, ed., Urban Society of Eastern Europe in Premodern Times , Berkeley : University of California Press , 1987 Koczerska , Maria , Rodzina szlachecka w Polsce późnego średniowiecza ( The Noble Family in Poland in the Later Middle Ages ), Warsaw : Państwowe Wydawnictwo Naukowe , 1975 Korta , Wacław, Rozwj wielkiej wlasnosci feudalnej na Slasku do polowy XIII wieku (The Development of the Great Feudal Properties in Silesia through the mid-13th Century), Wrocław, 1964 Kossmann , Oskar, Polen im Mittelalter ( Poland in the Middle Ages ), 2 vols., Marburg : Herder Institute , 1971-85 Kozlowska-Budkowa , Zofia , Repertorium polskich dokumentw doby piastowskiej, vol. 1: Do konca wieku XII (Inventory of Polish Documents of the Piast Period, vol. 1: Through the End of the 12th Century ), Kraków, 1938 Kula , Witold , Teoria ekonomiczna ustroju feudalnego , Warsaw : Książka i Wiedza , 1962 , revised 1983 ; in English as An Economic Theory of the Feudal System: Towards a Model of the Polish Economy, 1500-1800 , London : NLB , 1976 Kula , Witold , Miary i ludzie , Warsaw : Państwowe Wydawnictwo Naukowe , 1970 ; in English as Measures and Men , Princeton : Princeton University Press , 1986 Kürbis , Brygida , Dziejopisarstwo wielkopolskie XIII i XIV wieku ( Great Polish Historical Writing of the 13th and 14th Centuries ), Warsaw : Państwowe Wydawnictwo Naukowe , 1959 Kutrzeba , Stanisław, Historja źródeł dawnego prawa polskiego ( History of the Sources of Old Polish law ), 2 vols., Lwów and Kraków : Ossolińskich , 1925-26 " " Labuda , Gerard , Miasta na prawie polskim (Towns Established According to Polish Law ), in Aleksander Gieysztor, ed., Studia historica: w 35-lecie pracy naukowej Henry ka Łowmiańskiego ,

Mickiewicza 1983 Ludwig Michael Tendenzen und Erträge der modernen polnischen Spätmittelalterforschung unter besonderer Berücksichtigung der Stadtgeschichte ( Tendencies and Results of the Modern Polish Late Medieval Scholarship, with Particular Consideration of Urban History ), Berlin : Duncker Sc Humblot 1983 Ludwig Michael Besteuerung und Verpfändung königlicher Städte im spätmittelalterlichen Polen (Taxation and Pawning of Royal Towns in Late Medieval Poland ), Berlin : Duncker & Humblot 1984 Maleczyński Karol Najstarsze targi w Polsce i stosunek ich do miast przed kolonizacją na prawie niemieckim ( The Oldest Marketplaces in Poland and Their Relationship to Towns before Colonization According to German Law ), Lwów : Nakiadem Towarzystwa Naukowego 1926 Maleczyński Karol Maria Bielińska and Antoni Gąsiorowski Dyplomatyka wiekówśrednich (Diplomatics of the Middle Ages ), Warsaw : Państwowe Wydawnictwo Naukowe 1971 Maleczyński Karol Studia nad dokumentem polskim ( Studies on the Polish Document ), Wrocław : Ossolińskich 1971 Małowist Marian Croissance et régression en Europe, XIVe-XVIIe siècles ( Growth and Regression in Europe, the 14th-17th Centuries ), Paris : Colin 1972 Polska w okresie prawa ksiązęcego, Manteuffel Tadeusz 963-1194 ," in his Historyk wobec historii: rozprawy nieznane, pisma drobne, wspomienia Warsaw : Panstwowe Wydawnictwo Naukowe 1976 ; in English as The Formation of the Polish State: Thé Period of Ducal Rule, 963-1194 Detroit : Wayne State University Press 1982 Matuszewski Józef Najstarsze polskie zdanie prozaiczne i jego tło historyczne ( The Oldest Polish Sentence in Prose and Its Historical Background ), Wrocław : Ossolinskich 1981 .: Poszukiwanie alternatywnej Matuszewski Jacek Vicinia id est .; A Search for a koncepcji staropolskiego opola ( Vicinia id est New Conception of the Old Polish "Neighborhood "), Lódz : Wydawnictwo UniwerystetuŁódzkiego 1991 Michalowski Roman Princeps fundator: Studium z dziejów kultury politycznej tv Polsce X-XIII wieku ( Princeps fundator: A Study in the History of Political Culture in Poland from the 10th to the 13th Century), Warsaw : Arx Regia 1993 La Division autarchique du travail à l'échelle Modzelewski Karol d'un état: l'organisation 'ministériale' en Pologne médiévale ( The Autarchic Division of Labor in the Hierarchy of a State: The "Ministerial" Organization in Medieval Poland ), Annales: ESC 19 ( 1964 ), 1125 38 ,

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1987 Mularczyk Jerzy Władza ksiązęca naŚlqsku w XIII wieku ( Ducal Power in Silesia in the 13th Century), Wrocław : Wydawnictwo Uniwersytetu Wrocławskiego 1984 Myśliwski Grzegorz "Powstanie i rozwój granicy liniowej na Mazowszu (XII-poł. XVI w.)" ( The Origins and Development of the Linear Boundary in Masovia Between the 12th and mid-16th Centuries ), Kwartalntk Historyczny 101 ( 1994 ), 3 24 Plaza Stanisław Źródła drukowane do dziejów wsi w dawnej Polsce: Studium bibliograficzno-źródłoznawcze (Printed Sources for the History of the Village in Old Poland: A Bibliographic and Source Study), Warsaw and Kraków : Nakładem Uniwersytetu ,

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Jagiellońskiego

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1974

Plaza , Stanisław, Warsztat naukowy historyka wsi Polski feudalnej ( The Research Workshop of the Rural Historian of Feudal Poland ), Warsaw : Państwowe Wydawnictwo Naukowe , 1980 Polonsky, Antony, Jakub Basista , and Andrzej Link-Lenczowski , The Jews in Old Poland, 1000-1795 , New York : Tauris , and Oxford: Institute for Polish-Jewish Studies, 1993 Postan , M. M. , and H. J. Habakkuk , eds., The Cambridge Economic History of Europe, 2nd edition, vol. I ., Cambridge and New York : Cambridge University Press , 1966 Rabęcka , Irena , " The Early Medieval Tavern in Poland ," Ergon 3 ( 1962 ), 372 75 Roman , Stanisław, Geneza statutów Kazimierza Wielkiego: Studium źródioznawcze (Genesis of the Statutes of Casimir the Great: A Source-Critical Study ), Kraków : Nakładem Uniwersytetu -

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Rutkowski , Jan , " Medieval Agrarian Society in Its Prime: Poland, Lithuania, and Hungary," in M. M. Postan and H. J. Habakkuk , eds., The Cambridge Economic History of Europe, 2nd edition, vol. 1 ., Cambridge : Cambridge University Press , 1966 Rutkowski , Jan , Wokół teorii ustroju feudalnego: Prace historyczne ( Toward a Theory of the Feudal System: Historical Essays ), edited by Jerzy Topolski, Warsaw : Państwowy Instytut Wydawniczy, 1982 Sedlar, Jean W. , East Central Europe in the Middle Ages, 1000—1500 , Seattle : University of Washington Press , 1994 Semkowicz , Władysław, " Ród Pałuków " ( The Pałuka Clan ), Rozprawy Akademii Umiejętności: Wydział HistorycznoFilozoficzny 2nd series, 24 ( 1907 ), 151 268 Semkowicz , Władysław, Ród Awdańców w wiekachśrednich (The Awdaniec Clan in the Middle Ages ), Poznań , 1920 Smolka , Stanisław, Mieszko Stary i jego wiek ( Mieszko the Old and His Age ), Warsaw : Nakł Gebethnera i Wolffa , 1881 ; reprinted Warsaw: Państwowe Wydawnictwo Naukowe, 1959 Spufford , Peter, Money and Its Use in Medieval Europe , Cambridge and New York : Cambridge University Press , 1988 Suchodolski , Stanisław, Renovatto monetae in Poland in the Twelfth Century," Wiadomości Numizmatyczne 10 ( 1961 ), 57 75 Szymański , Józef, Nauki pomocnicze historii (Auxiliary Sciences of History ), Warsaw : Państwowe Wydawnictwo Naukowe , 1983 -

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131

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46

Poland: since the

Century

18th

In the late 18th and

early 19th centuries, at a time when the historical sciences were in their infancy, the Polish state ceased to exist. The partitions of Poland had a profound impact on the development of Polish historiography, and the study of history took on new meaning for society at large. After 1795, when the nation existed only "in spirit," historical writing in Poland had an effect on the nation's social and political consciousness that was exceeded in few other nations. The central question of how the Polish-Lithuanian Commonwealth, which had once thoroughly dominated Eastern Europe, fell into ruin

was

played

out

against

a

historiographic backdrop

that emphasized the rise, development, and fall of nations. Many Polish thinkers sought to reconcile their country's past with prevailing historical theories and to provide hope that the nation

might regain

its

independence.

Both the Enlightenment and Romanticism had a vital impact on Polish historiography. The short-lived Polish Enlightenment

of the late18th century that succeeded, however briefly, in restructuring the Polish state, also brought forth the first analyses of Poland's past. Nevertheless, Romanticism had the most profound effect on the writing of Polish history. Poland's 19th century was marked by two major revolts against Russian rule {1830-31 and 1863) and by the development of a messianic nationalism. Led by Romantic writers such Adam Mickiewicz, this nationalism, in its most extreme form, portrayed Poland as "the Christ among nations," suffering for the sins of the world. Following the failure of the 1863

critical

uprising, however, Positivist

Romanticism

was

eclipsed by

a

strong

movement.

The true father of modern Polish history was Joachim Lelewel (1796-1861) who reperiodized the Polish past. Instead of an emphasis on the reigns of kings as put forward by earlier chroniclers, Lelewel divided Polish history into four parts: 1) a pre-Christian period in which Slavic tribes lived in a kind of democratic state of grace; 2) a medieval period by the corruption of the church and magnate rule; 3) a golden period of noble democracy; and 4) a corruption of these democratic ideals fostered by the country's rulers which led to Poland's demise. Lelewel rehabilitated Poland's republican past, portraying it as a wellspring of future strength for the nation. His view of the past had obvious similarities to the views of Russia's Slavophiles. From this intellectual milieu developed two basic schools of Polish historical thought: the Kraków school and the Warsaw school. Both were affected by positivism and by German but adopted different views of Poland's past. The Kraków school, which arose in the relatively free Austrian partition of Poland, put forward an important critique of Lelewel's history. Michal Bobrzynski's Dzieje Polski w Zarysie (Outline of Polish History), published in 1880, saw Poland's decline as a consequence of the failure to develop a centralized monarchy. The nobles' republic had not provided a basis for lasting freedoms, and the partitions were largely the result of Poland's inherent weakness, not the machinations of outsiders. This "pessimistic" view of the Polish past, in which Poland's development was seen in contrast to that of the rest of Europe, set off fierce debates among literate Poles of all classes. The Warsaw school, led by Szymon Askenazy (1866-1935) and others, questioned the uniqueness of Poland's experience. In contrast to the Kraków historians, the Warsaw school tried to see Poland in its European context and put forward the view that Poland was neither the "Christ" nor the "Devil" of Europe. This school also argued that it was unrealistic to place all the blame for Poland's fall on the Poles themselves. The re-emergence of an independent Polish state in 1918 brought major changes to the historiographic landscape. No longer could historians simply debate the reasons for Poland's collapse at the end of the 18th century without reference to its rebirth at the beginning of the 20th century. Historians emphasized the continuity of Polish traditions and the strength of the nation. This view was also reflected in works by non-Polish writers such William J. Rose and Robert

characterized

ultimately

historiography,

underlying

Machray. At the

time, independence provoked a debate over the Poland that reflected deeply divergent views of the past. On one hand there were those who wished for a nature

same

of the

new

smaller,

more

ethnically homogeneous

state

that would

harken back the supposedly kingdoms of the early Middle of this tended that to

Piast

vision

Ages. Proponents

to see

golden age; they also tended to be politically more conservative. On the

state a

in

more

ancient

anti-German

other hand, many the old multi-ethnic Proponents of this vision looked to the Polish Lithuanian Commonwealth for inspiration, and tended to be politically more liberal and more anti-Bolshevik that is, antiRussian. The former view was more closely aligned with the Kraków school, while the latter more closely reflected the Warsaw school. In the end, the interwar Polish state fulfilled neither of these visions. The 1920s and 1930s saw a flowering and maturing of the Polish historical sciences. Higher education was freed from the repressive policies of the partitioning powers and scholarship was placed on a more rational basis, while there was an increase and improvement in basic education and literacy. There were important, but as yet imperfectly studied, influences from the French Annales school on Polish history writing. New students emerged in the fields of political and military history (Oskar and Poles wished for

a

return to

Commonwealth. -

Halecki, Marian Kukiel, Władysław Konopczynski, to name a few), economics (such as Franciszek Bujak), culture (Stefan Czarnowski), law (Stanisław Kutrzeba), and religion and culture (Stanisław Kot). Many of these scholars, combined with from the West, wrote chapters for Reddaway et al.'s The Cambridge History of Poland (which did not appear in complete form until after World War II), the first attempt at a compendium of writings on Polish history in English. The German and Soviet occupations of Poland during and after World War II had a devastating impact on Polish academe,

contributors comprehensive

many scholars were executed or forced into exile. Communist rule proved equally deleterious for historiography, as doctrinaire Marxism was strongly enforced through the early years of the Polish People's Republic. New works of merit emerged from Poland in the 1970s and 1980s, although topics such as PolishSoviet relations were strictly circumscribed. Following the collapse of communism and the installation of a democratic government, the historical sciences were freed from ideological constraints. Reflecting the importance history had played in refuting the falsehoods of totalitarianism and in keeping alive the "national spirit," historians played key leadership roles in some of Poland's post-1989 governments. Outside of Poland, Western and Polish émigré historians produced a steady stream of noteworthy works in the postwar period. These include important syntheses in English by Oskar as

and, most recently, Piotr Wandycz. early modem period, important scholarship has appeared from Maria Bogucka on towns, and cultural history; from Janusz Tazbir on religion; Jerzy Topolski on economics; and Andrzej Wyczanski on politics, to mention just a few of the notable names. Jerzy Lukowski has argued that the Polish Halecki,

Norman Davies,

For the

Enlightenment

restored the foundation for

a

vibrant national

culture, while Barttomiej Szyndler has produced new works on Tadeusz Kosciuszko and his 1794 uprising. For the partition era, Piotr Wandycz's Lands of Partitioned Poland (1975) stands out as a superior work. Andrzej Walicki's political-intellectual histories have also proven noteworthy. Works on the20th century include Antony Polonsky's Politics in Independent Poland (1972), and Jan Karski's The

Great Powers and Poland (1985), as well as a number of biographies of Józef Pilsudski. Military and political affairs have been well represented for the interwar Polish state, which continues to be the subject of a debate reminiscent of the debate

the Polish-Lithuanian Commonwealth. Works on Poland's ethnic minorities are not as numerous, although there is new interest in Poland's Jewish legacy. Earlier work on Polish Jewry include Aleksander Hertz's classic Żydzi w kulturze polskte/ (1961; The Jews in Polish Culture, 1988). A tremendous volume of literature has been produced on Poland in World War II, ranging from military histories of Polish forces in exile, and works on the Warsaw Uprising and the underground movement, to studies of Polish society under German rule and Polish responses to the German extermination of the Jews. During the Cold War, a wide range of works appeared in the West on communist Poland, some quite good but many rather superficial. The post-1989 period has seen attempts to fill in the "blank spots" of Polish history including the taboo subjects of Polish-Soviet relations, anti-regime demonstrations and actions, and the deportation of Rusyn communities during Poland's undeclared civil war in 1946-56. Since the 1970s there has also been important work on Polish immigrant communities around the world, led by the Institute for the Study of Poles Abroad in Kraków and the Polish American Historical Association in the US. Among the notable works on this topic are English-language syntheses by Andrzej Brozek (1985), John Bukowczyk (1988}, and James S. Pula (1995). Also important in this area have been the works of Ewa Morawska (1985) and Adam Walaszek (1988). Polish history has always been influenced by, and been a part of the mainstream of European historiography. The period 1939-89 proved something of an exception to that, albeit an artificially created one. Recent trends seem to indicate that Polish history writing is rejoining that mainstream, which, as Piotr Wandycz has pointed out, it never really left. over

previously

JOHN

RADZILOWSKI

Brock , Peter, Polish Revolutionary Populism: A Study in Agrarian Socialist Thought from the 1830s to the 1850s , Toronto : University of Toronto Press , 1977 Bromke , Adam , The Meaning and Uses of Polish History , Boulder, CO : East European Monographs , 1987 Brozek , Andrzej , Polonia amerykańska, 1854-1939, Warsaw : Interpress , 1977 ; in English as Polish Americans, 1854-1939 , Warsaw : Interpress , 1985 Buell , Raymond Leslie , Poland: Key to Europe , New York : Knopf , 1939 Bukowczyk , John J. , And My Children Did Not Know Me: A History of the Polish-Americans , Bloomington : Indiana University Press , 1987 Burke , Peter, Antoni Mączak and Henryk Samsonowicz , eds., EastCentral Europe in Transition: Prom the Fourteenth to the Seventeenth Century, Cambridge and New York : Cambridge University Press , 1985 Ciechanowski , Jan M. , Powstanie Warszawskie: Zarys podłoża politycznego i dyplomatycznego , London : Odnova , 1971 ; in English as The Warsaw Rising of 1944 , Cambridge and New York : Cambridge University Press , 1974 Czarnowski , Stefan , Kultura (Culture ), Warsaw : Ksixaz , 1946 Davies , Norman , White Eagle, Red Star: The Polish-Soviet War, 1919-20 , London: Macdonald, and New York : St. Martin's Press , ,

1972

Davies , Norman , God's Playground: A History of Poland , 2 vols., Oxford : Oxford University Press , 1981 ; New York: Columbia

University Press, 1982 Davies , Norman , Heart of Europe: A Short History of Poland Oxford and New York : Oxford University Press , 1984 Davies , Norman , " Sobieski's Legacy: Polish History 1683-1983 ," London : Orbis , 1985 Engel , David , Facing a Holocaust: The Polish Government in Exile and the Jews, 1943-1945 , Chapel Hill : University of North Carolina Press , 1993 Fedorowicz , J. K. , ed., A Republic of Nobles: Studies in Polish History to 1864 , Cambridge and New York : Cambridge University Press , 1982 Gierowski , Józef Andrzej , W Cieniu Ligi Północnej ( In the Shadow of the Northern League ), Wrocław : Ossolińskich , 1971 Gross , Jan Tomasz , Polish Society under German Occupation: The Generalgouvernement, 1939-1944 , Princeton : Princeton University Press , 1979 Gross , Jan Tomasz Revolution from Abroad: The Soviet Conquest of Poland's Western Ukraine and Western Belorussia , Princeton : Princeton University Press , 1988 Gutman , Israel et al. , eds., The Jews of Poland Between the Two World Wars , Hanover, NH : University Presses of New England , ,

,

See also Conze; Davies, N.; East Central Europe; Holocaust; Nationalism

Further

Halecki;

Reading

Barnett , Clifford R. , Poland: Its People, Its Society, Its Culture , New York : Grove Press , 1958 Beauvois , Daniel , he Noble, le serf et le revizor: la noblesse polonaise entre le tsarisme et les masses ukrainiennes, 1831-1863 , Paris : Edition des Archives Contemporaines , 1985 ; in English as The Noble, the Serf, and the Revizor: The Polish Nobility Between Tsarist Imperialism and the Ukrainian Masses (1831-1863) , New York : Harwood , 1991 Blobaum , Robert , Rewolucja: Russian Poland, 1904-1907 , Ithaca, NY: Cornell University Press , 1995 Bobrzyński , Michał , Dzieje Polski w Zarysie (Outline of Polish

History), 1880 Bogucka Maria Dzieje Kultury Polskiej do 1918 roku ( History of Polish Culture to 1918 ), Wroclaw : Ossoliskich 1987 Bogucka Maria Gesture, Ritual, and Social Order in Sixteenth- to Eighteenth-Century Poland ," in Jan Bremmer and Herman Roodenburg eds., A Cultural History of Gesture from Antiquity to the Present Day Cambridge: Polity Press, 1991 ; Ithaca, NY: Cornell University Press 1991 Braun Jerzy ed., Poland in Christian Civilization London : Veritas 1985 ,

,

,

"

,

,

,

.

,

,

,

,

,

1989 Hagen William W Germans, Poles, and Jews: The Nationality Conflict in the Prussian East, 1772-1914, Chicago : University of Chicago Press 1980 Halecki Oskar La Pologne de 963 à 1914: essai de synthèse historique Paris : Alcan 1933 ; in English as A History of Poland: An Essay in Historical Synthesis New York: Roy, and London: Dent, 1942 9th edition, New York : McKay 1976 London: Routledge, 1978 Hertz Aleksander Żydzi w kulturze polskiej Paris : Instytut Literacki 1961 ; in English as The Jews in Polish Culture Evanston, IL : Northwestern University Press 1988 Kapiszewski Andrzej Hugh Gibson and a Controversy over PolishJewish Relations after World War I: A Documentary History Kraków : Jagiellonian University 1991 Karski Jan The Great Powers and Poland, 1919-1945: From Versailles to Yalta Lanham, MD : University Press of America 1985 Kieniewicz Stefan The Emancipation of the Polish Peasantry Chicago : University of Chicago Press 1969 Kieniewicz Stefan Historia Polski, 1795-1864 Warsaw : Państwowe Zakłady Wydawn 1956 ; in English as History of Poland ,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

Warsaw : PWN , 1979

,

Klimaszewski , Bolesław, ed., Outline History of Polish Culture , Warsaw : Interpress , 1984 Konopczybnski , Władysław, A Brief Outline of Polish History , Geneva : Atar, 1919

Korbonski , Stefan , Wimieniu Rzeczypospolitej , Paris : Instytut Literacki , 1954 ; in English as Fighting Warsaw: The Story of the Polish Underground State, 1939-1945 , New York: Macmillan, and London : Allen and Unwin , 1956 Korbonski , Stefan , Miedzy młotem a kowedłem , London : Gryf , 1969 ; in English as Between the Hammer and the Anvil , New York : Hippocrene , 1981 Korbonski , Stefan , Polskié państwo podziemne: przewodnik po Podziemiu z lat, 1939-1945 , Paris : Instytut Literacki , 1975 ; in English as The Polish Underground State, 1939-1945: A Guide to the Underground , Boulder, CO : East European Monographs ,

Pula , James S. , and Mieczyslaw Β. Biskupski , eds., Polish Democratic Thought from the Renaissance to the Great Emigration: Essays and Documents , Boulder, CO : East European

Monographs

Knopf, 1966 J. The

Rose , William

1978 Kuchowicz , Zbigniew, Obyczaje i postacie Polski szlacheckiej XVI-XVIII wieku ( The Customs and Character of the Polish Szlachta in the 16th through 18th Centuries ), Warsaw : Wydawnictwo Polonia , 1993 Kukiel , Marian , Czartoryski and European Unity, 1770-1861 , Princeton : Princeton University Press , 1955 Lelewel , Joachim , Polska, dzieje i rzeczy jej (Poland, Her History and Everything about Her ), 13 vols., Pozna : Zupanskiego ,

1853-64 Leslie , R. F. , Polish Politics and the Revolution of November 1830 , London : Athlone Press , 1956 Leslie , R. F. ,, Reform and Insurrection in Russian Poland, 1856-1865 , London : Athlone Press , 1963 Levine , Hillel , The Economic Origins of Anti-Semitism: Poland and Its Jews in the Early Modern Period , New Haven : Yale University Press , 1991 " Lewis , Richard D. , Revolution in the Countryside: Russian Poland, 1905-1906," The Carl Beck Papers in Russian and East European Studies , no. 506 , University of Pittsburgh , 1986 Łojek , Jerzy, Geneza i Obalenie Konstytucji 3 Maja: Polityka Zagraniczna Rzeczypospolitej, 1787-1792 ( The Origins and Overthrow of the Constitution of the 3rd of May: The Political Limits of the Polish Republic, 1787-1792 ), Lublin : Wydawnictwo Lubelskie , 1986 Lukas , Richard C. , Forgotten Holocaust: The Poles under German Occupation, 1939-1944 , Lexington : University Press of Kentucky,

1986 Lukas , Richard C. , ed., Out of the Inferno: Poles Remember the Holocaust , Lexington: University Press of Kentucky, 1989 Lukas , Richard C. , Did the Children Cry? Hitler's War Against Jewish and Polish Children, 1939-1945 , New York : Hippocrene , 1994

Lukowski , Jerzy, Liberty's Folly: The Polish-Lithuanian Commonwealth in the Eighteenth Century, 1697-1795, London and New York : Routledge , 1991 Machray, Robert , Poland, 1914-1931 , New York : Dutton , 1932 Morawska , Ewa , For Bread with Butter: The Life Worlds of East Central Europeans in Johnstown, Pennsylvania, 1890-1940 , Cambridge and New York : Cambridge University Press , 1985 Okęcki , Stanisław, Witold Biegański , and Mieczysław Juchniewicz , ed., Polacy w ruchu oporu narodów Europy, 1939-1945 , Warsaw : PWN , 1977 ; in English as Polish Resistance Movement in Poland and Abroad, 1939-1945 , Warsaw : PWN , 1987 Olszer, Krystyna M. , ed., For Your Freedom and Ours: The Polish Progressive Spirit from the Fourteenth Century to the Present , revised edition, New York : Ungar, 1981 Opalski, Magdalena , and Israel Bartal , Poles and Jews: A Failed Brotherhood , Hanover, NH : University Presses of New England , 1992

1990

,

Pula , James S. , The Polish Americans: An Ethnic Community , New York: Twayne, and London : Prentice Hall , 1995 Reddaway, William , J. H. Penson , Oskar Halecki , and Roman Dybaski, eds., The Cambridge History of Poland , 2 vols., Cambridge : Cambridge University Press , 1950-51 Roos , Hans , Geschichte der polnischen Nation, 1916-1960: von der Staatsgründung im Ersten Weltkrieg bis zur Gegenwart , Stuttgart: Kohlhammer, 1961 ; in English as A History of Modern Poland: From the Foundation of the State in the First World War to the Present Day , London : Eyre and Spottiswoode , and New York: ,

,

,

Politics in Independent Poland, 1921-1939 ,

Oxford : Oxford University Press , 1972 Polonsky, Antony , ed., "My Brother's Keeper?" Recent Polish Debates on the Holocaust , London and New York : Routledge , 1990

of Polish Democracy London : Bell ,

,

Rutkowski , Jan , Histoire économique de la Pologne avant les partages (An Economic History of Poland before Its Division ), Paris : Champion, 1927 Shelton , Anita Krystyna, The Democratic ¡dea in Polish History and Historiography: Franciszek Bujak (1875-1953), Boulder, CO : East

European Monographs 1989 ,

" Skurnowicz , Joan S. , Joachim Lelewel and the Partitions of Poland: A Two Hundred Year Perspective," Polish Review 40 ( 1995 ),

433-42

Suchodolski , Bogdan , A History of Polish Culture , Warsaw : Interpress , 1986 Sukiennicki , Wiktor, East Central Europe during World War I: From Foreign Domination to National Independence , 2 vols., Boulder, CO : East European Monographs , 1984 Swiecicka , Maria A. J. , ed. and trans., The Memoirs of Jan Chryzostom z Gosławic Pasek , New York : Kosciuszko Foundation , 1987 Szyndler, Bartlomiej, Powstanie Kościuszkoivskie, 1794 ( Kościuszko's Uprising, 1794 ), Warsaw : Ancher, 1994 Tazbir, Janusz , Państwo bez stosów: szkice z dziejów tolerancji w Polsce XVI i XVII w Warsaw : Państwowy Instytut Wydawniczy, 1967 ; in English as A State Without Stakes: Polish Religious Toleration in the Sixteenth and Seventeenth Centuries , New York : Kosciusko Foundation , 1973 Topolski , Jerzy, Zarys dziejow Polski , Warsaw : Interpress , 1982 ; in English as An Outline History of Poland , 1986 Wagner, Wenceslas J. , ed., Polish Law Throughout the Ages: 1,000 Years of Legal Thought in Poland , Stanford, CA : Hoover Institution Press , 1970 Walaszek , Adam , Polscy Robotnicy, Praca, i Związki Zawodowe w Stanach Zjednoczonych Ameryki, 1880-1922 ( Polish Workers, Labor, and Trade Unions in the US, 1880-1922 ), Wroclaw : Ossoliskich , 1988 Walicki , Andrzej , Philosophy and Romantic Nationalism: The Case of Poland , Oxford and New York : Oxford University Press , 1982 " Walicki , Andrzej , National Messianism and the Historical Controversies in the Polish Thought of 1831-1848," in Roland Sussex and J. C. Eade , eds., Culture and Nationalism in NineteenthCentury Eastern Europe , Columbus, OH : Slavica , 1983 Wandycz , Piotr S. , Lands of Partitioned Poland, 1795-1918 , Seattle : University of Washington Press , 1975 " Wandycz , Piotr S. , Historiography of the Countries of Eastern Poland ," American Historical Review 97 ( 1992 ), Europe: .

1011

-

25

Wandycz Piotr S. The Price of Freedom: A History of East Central Europe from the Middle Ages to the Present London and New ,

,

,

York :

Routledge

,

1992

Wynot Edward D. Polish Politics in Transition: The Camp of National Unity and the Struggle for Power, 1935-1939 Athens : University of Georgia Press 1974 Wyrozumski Jerzy Józef Andrzej Gierowski and Józef Buszko Historia Polski ( History of Poland ), Warsaw : PWN 1978 ,

Polonsky Antony

Rise

1944

,

,

,

,

,

,

,

,

Zaloga Steven and Victor Madej The Polish Campaign of 1939 New York : Hippocrene 1985 Zawadzki W. H. A Man of Honour: Adam Czartoryski as a Statesman of Russia and Poland, 1795-1831 Oxford and New York : Oxford University Press 1993 Zawodny Janusz Kazimierz Nothing but Honor: The Story of the Warsaw Uprising, 1944 Stanford, CA : Hoover Institution Press and London: Macmillan, 1978 Zebrowski Rafal and Zofia Borzyminska Po-Lin: Kultura Zydów Polskich w XX wieku (Po-Lin: Polish-Jewish Culture in the 20th Century), Warsaw : Amarant 1993 ,

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Polanyi,

Karl

Hungarian political

economist and economic historian

sociology

background

-

-

transformation

culturally specific

to

modern

industrial

and

market

economies. His purpose was to provide an understanding of the place of the economy in society that avoided the ethnocentric "economistic

fallacy"

of perceiving all economies, past and

crude variants present, precursors of the advanced market as

behavior, which involved and was

the "economic sphere," as conventionally understood, even though it was fundamental to the livelihood of man. Substantive economics included relationships and institutions based upon kinship, religion, family, and community, which organized production and distribution in non-market ways, through reciprocity, redistribution, and bouseholding, which were governed by notions of provisioning and sufficiency rather than scarcity. Polanyi showed that trade and money had very different functions in non-market and in market contexts. The value of his insights for the study of economic and social lies in the emphasis he placed upon the need to understand the functioning of past economies on their own terms and as systems of both market and non-market transactional modes embedded in and inseparable from specific cultural and environments. Polanyi rejected the deductive and approach that saw man as a creature of limitless wants, preferring an empirical and cultural approach that did not start with an unchanging and intrinsic view of human nature. His ideas in relation to modern economic life have, however, been criticized for neglecting the extent and the degree of non-market behavior and the cultural and institutional embeddedness of advanced western economies themselves. Polanyi's work has had a marked though diffuse and frequently uncited influence upon approaches to economic history, particularly those that stress the very different nature of markets, money, and trade in early societies from today, the fragility of market society, and the cultural catastrophe of the Industrial Revolution. Fernand Braudel, Moses Finley, Paul Veyne, Eric Hobsbawm, and Immanuel Wallerstein are among those who cite his influence, but many others appear to have absorbed his ideas or to have misinterpreted them and treated them with condescension. Economic and historical sociology and cultural geography have also been affected by Polanyi: the notion of the economy as an instituted or embedded process has been particularly influential, as has his insistence that behavior is not spontaneous but instituted through and state policy. The main impact of Polanyi's work has been upon economic anthropology, especially in the United States, where the development of a substantivist school formed an important break with economic determinism.

economic

particularly history

18 6–1964

Karl Polanyi's writings have one central preoccupation: to demonstrate the destructive social and cultural implications of the emergence of a modern "disembedded" market economy and the associated triumph of free market ideology. He saw the Industrial Revolution (the great transformation) as setting in motion the operation of an autonomous free market system and the need for society to regain control of economic forces to avoid the political extremes (of both communism and fascism) that could result from a market society out of control. He was influenced by the interwar period's interest in the of knowledge and by the contemporaneous debate on planning and freedom. The breakdown of international trading and financial mechanisms in the interwar period was the to Polanyi's search for a degree of state intervention that was compatible with basic human freedoms. He attempted to distinguish between the economic realm, which required planning and control, and the cultural and social spheres, where freedom was important. In search of a holistic understanding of economic life both in the present and in the past, Polanyi's historical work was concerned with the material existence of earlier including ancient and primitive civilizations, and with the of the West in the18th and 19th centuries. His method was cross-temporal and cross-cultural. Influenced by social anthropology, German historicism, Aristotelian ideas, and Marxism, and by the work of Hegel, Maine, Tönnies, Durkheim, Weber, and Malinowski, Polanyi explored the logic of material life and culture in contexts far removed from Western capitalist societies of the 20th century. In so doing he highlights those features of economic life that are temporally and

nomics was the rest of human

influenced the material world but which largely excluded from

or

form. Polanyi challenged the assumption that calculative gainoriented economic behavior was prevalent and intrinsic to all human societies, and showed that the pursuit of gain through exchange is an institutionally-enforced pattern of behavior. The key to his analysis is the distinction between formal and substantive economics. Formal economics denoted the interplay of free market forces in advanced capitalism, driven by economizing behavior and understood within a paradigm emphasizing scarcity, rationality, and choice. Substantive eco-

calculative

institutional

psychological

calculative acculturation

PAT HUDSON See also Economic; Rostovtzeff

Biography Vienna, 25 October 1886 ; grew up in Budapest. Studied at Budapest Gymnasium ; University of Budapest ; University of Kolosvar, Romania, received law degree 1909. Called to the Bar, 1912. Served in the Hungarian Army during World War I . Staff member, Der österreichische Volkswirt, Vienna 1924-33 ; moved to England to escape rise of fascism, and taught for the Workers' Educational Association, Oxford 1937-40 ; moved to US 1940; taught at Bennington College 1940-43 ; and Columbia University, 1947-60 Married Ilona Duczynska 1923 (1 daughter). Died Pickering, Ontario 23 April 1964 Born

,

,

,

,

.

,

,

Principal Writings The Great Transformation: The Political and Economic Origins Our Time , 1944 ; in UK as Origins of Our Time: The Great

Transformation

,

1945

of

.

"

On Belief in Economic Determinism ," Sociological Review 39

(1947 ),

95

-

101

"Marketless Trading in Hammurabi's Time"; "Aristotle Discovers the Economy"; and "The Economy as Instituted Process," in Karl Polanyi , Conrad M. Arensberg , and Harry W. Pearson , eds., Trade and Market in the Early Empires: Economies in History and Theory, 1957 " Ports of Trade in Early Societies ," Journal of Economic History 23

( 1963 ), 30 45 Sortings and 'Ounce Trade' in the West African Slave Trade ," Journal of African History 5 ( 1964 ), 381 94 Dahomey and the Slave Trade: An Analysis of an Archaic Economy 1966 Primitive, Archaic, and Modern Economies: Essays of Karl Polanyi edited by George Dalton 1968 The Livelihood of Man edited by Harry W. Pearson 1977 -

"

-

,

,

,

,

,

" Block , F. , and M, Sommers , Beyond the Economistic Fallacy: The " Holistic Social Science of Karl Polanyi in Theda Skocpol , ed., Vision and Method in Historical Sociology , Cambridge and New York : Cambridge University Press , 1994 " Dalton , George , Primitive, Archaic, and Modern Economies: Karl to Economic Anthropology and Contribution Polanyi's Comparative Economy," in June Helm , ed., Essays in Economic Anthropology, Dedicated to the Memory of Karl Polanyi , Seattle : American Ethnological Society, 1965 " Humphreys , S. C. , History, Economics and Anthropology: The Work of Karl Polanyi," History and Theory 8 ( 1969 ), 165 212 Mendell , Marguerite, and Daniel Salée , eds., The Legacy of Karl Polanyi: Market, State and Society at the End of the Twentieth Century , Basingstoke: Macmillan, and New York : St. Martin's Press , 1991 Polanyi-Levitt, Kari , ed., The Life and Works of Karl Polanyi, New York : Black Rose , 1990 Stanfield , J. Ron , The Economic Thought of Karl Polanyi, Basingstoke : Macmillan , 1986 -

Léon

1910–19 7

Russian-French historian of anti-Semitism Léon Poliakov

was a

Jewry. Poliakov's

Enlightenment

assimilation,

Further Reading

Poliakov,

His work spanned large periods attempting a "total history" of attitudes toward European Jewry, but it remained outside purely religious systems. "The history of antisemitisrn," he was to repeat, "is not only Jewish history." While his works ranged widely chronologically, seeking to demystify the intertwining of race, country, and nation that underlay the failure of Jewish assimilation in Europe, they returned to the perpetuation of the image of Jew as "other" to understand the resurgence of antiSemitism in the Holocaust. Poliakov returned to the Holocaust as a touchstone through his life, grasping the extermination of Jews as a human drama in terms of the new tenor of antiSemitism, which in the 20th century led to Nazi genocide. The ties between anti-Semitism and modernization are an implicit riddle in Poliakov's many works. At a time when the could no longer be understood as a basis for Jewish Enlightenment principles provided a position from which to confront the position of Jews in postwar Europe. The question of how man can turn against man, rather than the social marginalization of Jews, animated Poliakov's multivolume Histoire de l'antisémitisme (1955-77; The History of Anti-Semitism 1965-85). Expressing Poliakov's commitment to the moral, ethical, and historical importance of a secular history, these volumes traced the marginalization of Jews in European society up to the 20th century. He saw the project as recuperating the memory of an insidious strand that itself lacked any comprehensive account. Indeed, his work was colored by a strong sense of human drama and belief in the of tracing the myths, charges, and persecutions that Jews faced as they remained on the margins of European society. Poliakov's contact with Fernand Braudel and other members of the Annales school encouraged him to cross traditional divisions in academic works, often traversing boundaries to synthesize social, economic, and intellectual history in order to provide a more satisfying record of his subject. Frequently, it pushed him into new camps, and new ranges of documentation, as in his exploration of the archives of Rome's Jewish ghetto. The History was planned at an important time in postwar France, where his work at the CDJC sought to repair divisions between French and Jews. Indeed, his work's broad scope a need to trace a strand of history that extended from the Dreyfus affair to Vichy France. After his contemporary Jules Isaac had pointed to the responsibility of Christianity for European anti-Semitism, Poliakov provided a social and narrative of the long-standing secular roots of these attitudes. In questioning the place of religion in his narrative, Poliakov's interpretation contrasted with the recent work of Fadiey Lovsky, which argued that anti-Semitism was a of moments of crisis in Christianity and other religions, and the resurgence at those moments of hostility toward a that refused to worship or tolerate other gods. If Isaac and Lovsky emphasized the presence of religion at the basis of antiSemitic accusations, Poliakov directed attention to the mythic qualities of anti-Semitic discourse. Rather than seeing the blooddefinition of Jews as animating modern anti-Semitism, he argued that it was woven to fit the myths of its makers. The History traced a documentary record of anti-Semitism from the time of Christ, but it resisted easy generalization or simple historical conclusions. Poliakov wrote a "detailed history of hostility to the Jews" not from a position of moral judgment, but as a basis for understanding how the "anti-Semitic problem

pioneering

interest in the

postwar historian of European history of anti-Semitism came

at a time when the field of Jewish history had little place in academic history, and he had little training as a historian. While Poliakov was raised in a secular Jewish family, his interest in tracing the roots of anti-Semitism stemmed from his in the founding in 1944 of the Centre de Documentation

involvement

Juive Contemporaine (CDJC, organized by Isaac Schneersohn). It gained impetus during Poliakov's later preparation of at Nuremberg on the basis of Gestapo archives left in Paris. Poliakov had trained in law in Paris after emigrating with his family from Russia; his work was informed by Enlightenment values, but was driven by a strong moral commitment to understanding, documenting, and tracing European anti-Semitism through its intensification in the early 20th century. His work as a journalist for an anti-Nazi through 1939 was a political education. In the course of preparing and presenting evidence for the Nuremberg trials, he gained a clearer sense of the nature, immensity, and atrocity of the "final solution," and found the moral commitment that

testimony

newspaper informed his work.

groundbreaking

benefit

fulfilled

psychological

manifestation

religion

our entire Western civilization" was not "an aberrant phenomenon" but "came to lie at the center of the 1939-45 catastrophe." In 1951, he prefaced a small history of the policies of the Nazi state toward the Jews and the decision to proceed with their extermination as offering the opportunity that "with this record in hand, the reader may judge for and draw his own conclusions" about the war crimes. Such hopes for objectivity and the search for the objective reader are reflected in his repeated urging that the problem of antiSemitism, while directed in his account toward the Jews, needed to be studied from the point of view and in the interest of all mankind. The animus for the destruction of Jews was a "beast" that inhabited Germany, that must be historicized in order to be understood. Whereas many earlier studies of attitudes toward the Jews were written in terms of their exclusion from nations, Poliakov focused in later work on the construction of social and cultural myths about the Jews in order to historicize antiSemitism's animus, and the basis for the exclusion of the Jew from the social body. His work was not only engaged in a broader desire to European anti-Semitism after the war. In part, Poliakov saw the value of his research as revealing the biases that anti-Semitic accusations. In doing so, it recovered the humanity of its victims, but also the biases that underlay the relations ofJews and Christian society in Europe from the classical to early modern periods. Classical historians such as Arnaldo Momigliano or S.D. Goitein had pointed to the of religions in the late classical period, while Poliakov's work focused on their points of tension and interruption. The groundwork he laid provided an empirical and theoretical basis for much work on the history of Jews in the Middle Ages and modern period, from Shlomo Simonsohn on the relation of Jews to the Apostolic See, to Gavin Langmuir's work on the persecution of Jews in the Middle Ages, from relations of antiSemitism to fears of heresy, to a range of more specialized studies of the Inquisition. In trying to trace a broad narrative of anti-Semitism's specific manifestations, his surveys and specific studies emphasized the relevance of examining it through its particular manifestations. Through Vatican briefs on the status of Jewish bankers, he analyzed the image of the Jew and lives of Jews at the intersection of social and economic history and of theology. By joining the Christian image of the Jews and attitudes toward the Jew as a legal actor, he approached the notion of a "total history" of the place of Jews on the margins of society in earlier cultures. While commitment to documenting and describing the of anti-Semitism characterized most of his work, Poliakov grew dissatisfied toward the end of his life with a frame of interpretation of anti-Semitism, and his work gained a broader philosophical nature. He began to work on the possibilities of a history of anti-Semitism within a history of persecution, taking bearings from psychology and to understand the irrational origins of social demoniza tion. He transformed his studies of anti-Semitism into a history of persecution, and the irrational basis of the thought of the persecutor and anti-Semitic belief, influenced by Leszek Kolakowski's notion of "cultural regression" as a tool to the psychology of the persecutor and character of His z-volume study, La Causalité diabolique (Diabolical Causality, T980-85), examined the irrational basis of charges

that is intrinsic to

himself .

.

.

understand motivated

coexistence

development

rational

anthropology understand

persecution.

directed toward Jews. Poliakov's emphasis on the irrational character of social demonization in history reframed the relation of modernity to anti-Semitism's resurgence in Russia during the revolution, tracing it through projections since the 13th century of conspiracies and social dangers onto Jews. The book's range suggested a retreat from combating anti-Semitism with rational arguments or objective research, and an of the analytic interrogation of sources. Poliakov had indeed always applied new analytic models as his work required and his interests changed; in focusing on the irrational, he the hope for a purely logical explanation or account of anti-Semitic beliefs. Drawing heavily on earlier and other printed work, Poliakov responded to this through a new of the irrational processes of thought and the that undergirded social marginalization. In spite of the range of his research and his changing methodological approach, Poliakov saw his work both as a documentation of persecution and a clarification of historical memory. His influence on the history both of Judaism and of persecution was considerable in France and the United States, and the decades over which he published marked a period of renewed interest in and expansion of engagement with Jewish history in the academy and among professional historians. Poliakov was an important point of reference among French intellectuals, and was himself involved with a range of scholars of political thought and historical theorists such as Raymond Aron and François Furet. His moral importance to postwar French historiography was illustrated by the open response he wrote in 1979 to the revisionist Robert Faurisson, co-signed by Pierre Vidal-Naquet and other historians, affirming the historical undeniability of the Nazi death camps. DANIEL BROWNSTEIN

expansion

abandoned

historiography

accusations

See also

Hilberg;

Holocaust

Biography Born St. Petersburg, Russia, 25 November 1910 to a secular Jewish family Left Russia with his family, 1917 ; settled in Paris, 1920 Studied at Goetheschule, Berlin, 1921-24, Lycée Janson-de-Sailly, Paris, and in the law faculty, University of Paris ; awarded doctorate in history, 1965 A fter university, wrote for family-owned newspaper, the anti-Nazi Pariser Tageblatt, to 1939 when it folded. Served in French Army: captured and escaped imprisonment; served in the Resistance from 1941: member, Association de Israélites pratiquants resistance unit; founding member, 1944, and director of research, Centre de Documentation Juive Contemporaine; from Nazi archives in Paris assembled documents for use at Nuremberg trials. Research fellow, Centre Nationale du Recherche Scientifique ; director of studies and teacher, Ecole des Hautes Etudes, University of Paris, 1954-79 Married 1) Nathalie Poliakov [no relation] (marriage dissolved 1937 ); 2) 1941 (3 children); 3) Germaine Rousso , 1952 (1 son). Died Paris , 6 December 1997 .

.

.

.

.

Principal Writings La Condition des Juifs en France sous l'occupation italienne , 1946 ; in English as Jews under the Italian Occupation, 1955 L'Etoile jaune (The Yellow Star ), 1949 Bréviaire de la haine: le lile Reich et les Juifs, 1951 ; in English as Harvest of Hate: The Nazi Program for the Destruction of the

Jews of Europe

,

1954

Histoire de l'antisémitisme , 4 vols., 1955-77 ; in English History of Anti-Semitism , 4 vols., 1965-85

as

The

Les

Banquiers Juifs et le Saint-Siège du XII au XVII siècles 1965 ; as Jewish Bankers and the Holy See from the to the Seventeenth Century 1977 ,

in English Thirteenth Le

,

aryen: essai sur les sources du racisme et des nationalismes , 1971 , expanded and revised 1987 ; in English

Mythe

as

The Aryan Myth: Essay on the Sources of Racism and Nationalisms , 1974 Le Causalité diabolique ( Diabolical Causality ), 2 vols., 1980-85 L'Auberge des musiciens: mémoires ( The Musicians' Inn: Memoirs ),

1981 With Jean-Pierre Cabestan , Les totalitarismes du XXe siècle (Totalitarianisms of the 20th Century), 1987 Editor, Histoire de l'antisémitisme 1945-199 ) ( History of AntiSemitism ), 1994 ,

Political and Constitutional History Political history may be understood as the history of public life and institutions as well as the study of the operation of power at all levels of society. It is particularly concerned with the way in which society acquires structure. Political history therefore includes within it administrative history and has links to diplomatic, legal, and military history, as well as to the study of political thought. Its influence is such that many of the forms of periodization that historians employ are derived from it. Slightly unfashionable in the immediate post-1945 period, the subject has come to enjoy a renaissance. The Victorian historian John Seeley wrote: "History is past politics and politics is present history." Given that most history until recently was political history, it is not altogether surprising that political historians have been extremely reticent about discussing the specifics of their methodology or craft. Political history has often been solidly empirical, lending itself to a narrative form. It therefore privileges events and individuals rather than deeper social processes. It frequently tends to be the kind of history that is written first, partly because it from the abundance of sources. Social history usually requires a certain amount of distance from the period under review so that historical patterns can be discerned. The first wave of political history includes memoirs by participants and journalists' accounts of recent events. The release of all public records (the British Public Record Office operates a 30-year rule, for example) allows for more considered historical with a fuller range of source material. From the time of Ranke onwards, political history has been characterized by the meticulous scrutiny of public and private archives. Perhaps the dominant form of political history has been constitutional history. This was to some extent coterminous with the rise of the nation-state. Historians allocated the task of explaining how nations came about and the distinctiveness of their political order. For example, the great historians of Victorian Britain {Macaulay, Stubbs, Maitland) documented the emergence of its constitution. While his famous third chapter has some claims to launching social history, Macaulay saw his task as explaining Britain's tolerant and liberal regime in terms of the emergence of the modern constitution (following the Glorious Revolution of 1688), part of what came to be known as the "Whig interpretation of

benefits

interpretations themselves

history." His great nephew, George Macaulay Trevelyan, retained in his writings on the later Stuarts the classic Whig

struggle for religious freedom and progress. study of Trevelyan, this kind of history was intended to promote the values of good citizenship. stories of the

As David Cannadine observed in his

In the United States, the Constitution of 1787 received treatment. It was not until Charles Beard's An

similarly adulatory

(1913) that a more Beard held that the founding fathers of the American Constitution were not patriots so much Economic

Interpretation of the

skeptical interpretation

Constitution

set in.

self-serving plutocrats. Historians inspired by Progressivism, as Beard, tended to interpret politics in terms of social After the end of the Progressive era in the United States, the most influential book in the Progressive tradition was Arthur M. Schlesinger, Jr.'s The Age of Jackson (1945), which viewed Jacksonian Democracy as an example of lower-class mobilization against the business community. In the 1950s, there was a shift away from examining conflict in American political history and back toward focusing on consensus, as

such

conflict.

Political Tradition Richard Hofstadter's The evident in

American

(1948) and The Age of Reform (1955), and Louis Hartz's The Liberal Tradition in America (1955), all works concerned with the contribution of ideology to politics. The importance of constitutional history partly explains why political history has always been seen as a valuable training for future politicians and other public officials. Many historians have had political careers themselves. Macaulay was a Whig MP in the British House of Commons and an advocate of reform during the debates over the passing of the 1832 Reform Act. Schlesinger was close to the Kennedy while the best examples of politicians who took the role of historian seriously are François Guizot, Winston Churchill, and Theodore Roosevelt. Political history has given historians a public role in interpreting the developments of their times. One of the most influential of 20th-century political was Lewis Namier, who rejected the notion that ideas played a part in 18th-century British politics and instead devoted The Structure of Politics at the Accession of George III (1929) to a dissection of the interplay between interest groups in Hanoverian politics. Namier abandoned the Whig theory of history; his version of 18th-century politics had little time for ideology or the idea of politicians as bearers of

parliamentary administration,

historians

progress. Instead, politicians careerists. Namier had a deep

were

portrayed

as

essentially

the history of high impact politics, particularly in Britain where he is associated with the structural analysis of politics and the collective biography (prosopography) of political elites. His influence can be detected in the work of British historians of later periods such as Norman Gash and John Vincent. Namier also initiated the History of Parliament project which is assembling data on every member of the British House of Commons. Paradoxically, Namier's methodology, investigating the of MPs, amounts to an elaborate form of social history. A popular form of political history has been the biography (including the official biography where a historian is granted privileged access to a subject's papers). Most great figures of state receive biographical treatment, of which good examples would be John Morley's Gladstone, Robert Blake's Disraeli, Ben Pimlott's Harold Wilson and Schlesingers Robert Kennedy. Politics has provided historians with an easy form of chronology, with dates derived from the tenure of power by on

biographical

background

heads of state. In 1948, Thomas C. Cochran complained about the American version of this, the presidential synthesis, which neatly divided history into four-year sections. Instead, he called for a political history that would be wider in orientation, deriving its methodology from the social sciences. This with the rise of the systematic study of voter behavior, particularly at Columbia University in New York. The discipline nurtured political science, which was originally taught as part of history. In the 1950s, the relationship between political scientists and historians was extremely close, at Columbia University and at Nuffield College, Oxford, where David Butler pioneered the study of elections (psephology). Many political scientists (such as Robert McKenzie and V.O. Key) made what were in effect distinguished contributions to political history. Lee Benson's The Concept of Jacksonian Democracy (1961) epitomized a new political history that derived from the methodology of political science, characterized by quantification and the study of electoral behavior as well as the inclusion of cultural factors such as religion. The shift toward quantification was particularly evident among historians such as William O. Aydelotte, who examined patterns in the Victorian House of Commons. In Britain and America, this school of electoral sociology viewed popular as the product of deeper social trends that found their expression in political parties. H.J. Hanharn's Elections and Party Management (1959) described the construction of the political machine in Britain following the introduction of mass democracy in the 1870s and 1880s. Peter Clarke's Lancashire and the New Liberalism (1971) examined the consequences for the Edwardian Liberal party of the rise of class voting. The role of sociology was evident in much of this work. For example, John Vincent's Pollbooks (1967) drew on Ralf Dahrendorfs Soziale Klassen und Klassenkonflikt in der industriellen Gesellschaft (1957; Class and Class Conflict in Industrial Society, 1959). In the United States, Richard Hofstadter's work was distinguished by its borrowing from the social sciences, the idea of status anxiety, in order to understand the mentality of reform movements. Thus it is quite erroneous to suggest that political history has lacked ideas. However, in the 1960s, political history fell out of favor as social history increasingly gained its ascendancy. The Annales school had been notoriously dismissive of the narratives of events associated with political history. The disenchantment of the 1960s New Left with the political system generated the idea that politicians did not make much difference to everyday life and were therefore unimportant. The field was considered antiquated, narrow, elitist, and dry as dust. It was criticized for its top-down focus and concern with a small circle of policymakers which denied the subaltern classes any kind of agency. For Marxists, politics was merely an example of society's superstructure. Political history appeared to lack any reference to profound historical forces. The field did have its defenders, the most prominent of whom, G.R. Elton, it the only kind of history worth writing: "historians who can muster no interest for the active political lives of past societies have no sense of history at all." Another British was Maurice Cowling, whose work on high politics emphasized its autonomy and militantly rejected the kind of determinist approaches common in social history. Moreover, political history continued to be heavily taught in schools.

coincided

particularly

politics

particularly

considered

exponent

Sellar and Yeatman's wonderful parody of school history, 1066 and All That (1930), and its many imitators are largely concerned with the kind of stories told to illustrate political

history. recently the subject has begun to acquire a new It has focused increasingly on the psychology of elites and considered the role of politics in society. Alongside More

respectability.

this there have been debates over the revival of the narrative art that was so integral to political history, signalled by the success of Simon Schema's chronicle of the French Revolution, Citizens {1989). François Furet's Penser la Révolution française (1978; Interpreting the French Revolution, 1981) suggested that the Revolution could not be understood outside of its purely political meaning. Profound economic causes for events were rejected by historians in favor of explanations that stressed political factors, an example of which would be the revisionist arguments about the English revolution initiated by Conrad Russell in the 1970s. The concern with problems of state formation and the growth of the public sphere rendered politics problematic and therefore important. William Leuchtenburg argued that, in the 20th century, few people have been isolated from the state, making political history a subject. Following the 1960s' insight that "the personal is political," everything became political. Ideas began to matter once more, reflecting the influence of the new intellectual history associated with J.G.A. Pocock and Quentin Skinner. Eric Foner's masterly study of the ideology of the American Republican party in the 1850s, Free Soil, Free Labor, Free Men (1970) represented a new sense that ideology had to be taken seriously. Historians of the right and the left attacked social history for ignoring politics. Curiously, their arguments could be very similar. Tony Judt, Geoff Eley and Keith Nield, and Eugene Genovese and Elizabeth Fox-Genovese (on the left) and Gertrude Himmelfarb (on the right) all noted that its bias against political history rendered social history incapable of dealing fully with important questions of power. Himmelfarb echoed G.R. Elton's defence of political history by calling for the "restoration of reason to history," that is: "the reason embodied in the polity, in the constitutions and laws that permit men to order their affairs in a rational manner or, on occasion, in an irrational manner, which other men perceive as such and rationally, often heroically struggle against." For Himmelfarb, politics for ordinary people is "what elevated them above the ordinary," something that social historians chose to ignore. Perhaps the finest criticism of the of social history in ignoring politics was produced on the left by Gareth Stedman Jones in his article "Rethinking Chartism." This argued that the Chartist movement in early Victorian Britain could not be understood simply with to social and economic forces. Instead, a close reading of its political ideology suggested that it was rooted not in a new class consciousness but in a traditional radical critique of "Old Corruption." This meant that its diagnosis of the state was inadequate at a time when the state was becoming more liberal, explaining Chartism's ultimate failure. Jones therefore restored the political dimension to Chartism. Politics required attention because of the way in which it made sense of the social structure. Historical actors, it was understood after Furet, became political in a framework derived from politics. The revisionist literature on the French

pertinent

-

restrictiveness

reference

Revolution downgraded economic and social causes in favor of examining the way in which politics provided a language and ideology that permitted the Revolution to take place. Following the work of the philosopher Louis Althusser, it became common for historians to talk about the "relative autonomy of the political," focusing on the essential of the political process and the way in which it social phenomena. It is now understood that the political context is indispensable for both social and economic history (see Adrian Wilson, ed., Rethinking Social History, 1993). At the same time, political scientists have increasingly turned to history in the construction of their arguments about state formation, evident in Theda Skocpol's States and Social Revolutions (1979) and in Richard Bensel's Yankee Leviathan (1990). Politics is no longer seen as merely the expression of broader social trends. Revisionists such as those in Jon Lawrence and Miles Taylor's collection, Party, State, and Society (1997), have focused on the way in which politicians create rather than reflect their own constituency. The associated with the political process have been restored as an important factor. Political history has therefore as an important discipline with an armory of ideas that can explain change.

strangeness transformed

contingencies reemerged

ROHAN MCWILLIAM

Foner, E.; Furet; Genovese; Guizot; Hartz; Hofstadter; Jones, G.; Leuchtenburg; Macaulay; Maitland; Pocock; Schama; Schlesinger; Seeley; Skinner; State; Stubbs; Trevelyan See also Althusser; Beard; Elton;

Foner, Eric , Free Soil, Free Labor, Free Men: The Ideology of the Republican Party before the Civil War , Oxford and New York : Oxford University Press , 1970 Fox-Genovese , Elizabeth , and Eugene D. Genovese , " The Political Crisis of Social History: A Marxian Perspective," Journal of Social History 10 ( 1976 ), 105 20 Furet, François, Penser la Révolution française, Paris: Gallimard, 1978, revised 1983; in English as Interpreting the French Revolution , Cambridge and New York : Cambridge University Press , 1981 Gash , Norman , Politics in the Age of Peel: A Study in the Technique of Parliamentary Representation, 1830-1850 , London and New York : Longman , 1953 Hanham , H. J. , Elections and Party Management: Politics in the Time of Disraeli and Gladstone , London: Longman, 1959 ; Hamden, CT: Archon , 1978 Hartz , Louis , The Liberal Tradition in America: An Interpretation of American Political Thought since the Revolution , New York : Harcourt Brace , 1955 " Hays , Samuel P., Politics and Social History: Towards a New in James B Gardner and George Rollie Adams, eds., Synthesis ," Ordinary People and Everyday Life: Perspectives on the New Social History , Nashville : American Association for State and Local History , 1983 " " Himmelfarb , Gertrude , History with the Politics Left Out in her The New History and the Old , Cambridge, MA : Harvard -

.

University

Press ,

1987

Hofstadter, Richard , The American Political Tradition and the Men Who Made It , New York: Knopf, 1948 ; London : Cape , 1962 Hofstadter, Richard , The Age of Reform: From Bryan to FDR , New York: Knopf, 1955 ; London : Cape , 1962 " " Jones , Gareth Stedman , Rethinking Chartism in his Languages of Class: Studies in English Working-Class History, 1832-1982 , Cambridge and New York : Cambridge University Press , 1983 , 90 178 Judt Tony -

Further Reading Aydelotte William O. Voting Patterns in the British House of Commons in the 1840s," Comparative Studies in Society and History 5 ( 1963 ), 134 63 Beard Charles An Economic Interpretation of the Constitution of "

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the United States, New York : Macmillan , 1913 Bensel, Richard , Yankee Leviathan: The Origins of Central State Authority in America, 1859-1877, Cambridge : Cambridge Press , 1990

University

Concept of Jacksonian Democracy: New York as Test Case , Princeton : Princeton University Press , 1961 Blake , Robert , Disraeli, London: Eyre and Spottiswoode , 1966 ; New York : St. Martin's Press , 1967 " Bogue , Allan G. , The New Political History in the 1970s ," in Michael G Kammen , ed., The Past Before Us: Contemporary Historical Writing in the United States , Ithaca, NY: Cornell Benson , Lee, The a

.

University

Press ,

1980

Cannadine , David , G.M Trevelyan: A Life in History , London : HarperCollins , 1992 ; New York: Norton, 1993 Clarke , Peter F., Lancashire and the New Liberalism , Cambridge :

Cambridge University

Press , 1971

"

The 'Presidential Synthesis' in American History," American Historical Review 53 ( 1948 ), 748 59 Cowling , Maurice , 1867: Disraeli, Gladstone and Revolution: The Passing of the Second Reform Bill, Cambridge : Cambridge University Press , 1967 Dahrendorf , Ralf, Soziale Klassen und Klassenkonflikt in der industriellen Gesellschaft , Stuttgart: Enke , 1957 ; in English as Class and Class Conflict in Industrial Society , London: Routledge, and Stanford, CA : Stanford University Press , 1959 " Eley, Geoff, and Keith Nield , Why Does Social History Ignore Politics ?," Social History 5 ( 1980 ), 249 71 Elton , G. R. , Political History: Principles and Practice , London: Allen Lane, and New York : Basic Books , 1970 Cochran , Thomas C. ,

-

-

" A Clown in Regal Purple: Social History and the , Historians ," History Workshop Journal 7 ( 1979 ), 66 94 " Katznelson , Ira , The State to the Rescue? Political Science and History Reconnect ," Social Research 59 ( 1992 ), 719 37 Key, Valdimer Orlando , Jr. , Southern Politics in State and Nation , New York : Knopf , 1949 Lawrence , Jon, and Miles Taylor, eds., Party, State, and Society: Electoral Behavior in Britain since 1820 , Aldershot : Scolar Press , and Brookfield, VT: Ashgate, 1997 " Leuchtenburg , William , The Pertinence of Political History: Reflections on the Significance of the State in America ," Journal ,

-

-

of American History 73 (1986 ), 585 600 Macaulay Thomas Babington The History of England from the Accession of James II London : Longman 5 vols., 1849-61 McKenzie Robert British Political Parties: The Distribution of -

,

,

,

,

,

,

Power within the Conservative and Labour Parties , London : Heinemann , 1955 McWilliam , Rohan , Popular Politics in Nineteenth-Century England , London and New York : Routledge , 1998 Morley , John , The Life of William Ewart Gladstone , London and New York : Macmillan , 1903 Namier, Lewis , The Structure of Politics at the Accession of George III , London: Macmillan, 1929 ; New York : St. Martin's Press , 1957 Namier, Lewis , and John Brooke , The House of Commons, 1754-1790 , 3 vols., London : HMSO , 1964 Pimlott , Ben , Harold Wilson , London : HarperCollins , 1992 Pocock , J. G. A. , The Ancient Constitution and the Feudal Law: A Study of English Historical Thought in the Seventeenth Century, University Press , 1957 ; revised 1987 Cambridge : Cambridge " Pocock , J. G. A. , Political History in the 1980s," in Theodore K. Rabb and Robert I. Rotberg, eds., The New History: The 1980s and Beyond , Princeton : Princeton University Press , 1982 Russell , Conrad , Parliaments and English Politics, 1621-1629 , Oxford and New York : Oxford University Press , 1979

Schama , Simon , Citizens: A Chronicle of the French Revolution , New York : Knopf, and London: Viking, 1989 Schlesinger, Arthur M. , Jr. , The Age of Jackson , Boston : Little Brown , 1945 ; London: Eyre and Spottiswoode, 1946 Schlesinger, Arthur M. , Jr. , Robert Kennedy and His Times , Boston : Houghton Mifflin , and London: Deutsch, 1978 Sellar , Walter Carruthers , and Robert Julian Yeatman , 1066 and All That: A Memorable History of England, London: Methuen, 1930 ; New York : Dutton , 1931 Skinner, Quentin , The Foundations of Modern Political Thought, 2 vols., Cambridge and New York : Cambridge University Press ,

1978 Skocpol Theda States and Social Revolutions: A Comparative Analysis of France, Russia and China Cambridge and New York : Cambridge University Press 1979 Trevelyan G. M. England under Queen Anne 3 vols., London and New York : Longman 1930-34 Vandermeer Philip R. The New Political History: Progress and Prospects," in Georg G. Iggers and Harold T. Parker eds., International Handbook of Historical Studies London : Methuen and Westport, CT: Greenwood Press, 1979 Vincent J.R. Pollbooks: How the Victorians Voted Cambridge : Cambridge University Press 1967 Wilson Adrian ed., Rethinking Social History: English Society 1570-1920 and Its Interpretation Manchester : Manchester University Press 1993 ,

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Polybius

Megalopolis in Arcadia, Polybius was the son of prominent leader of the Achaean league and so lived the Born in

a

life of Greek received education privileged well and a

young

aristocrat. He

181-82 he

an

considered a strong candidate for domestic and international leadership. That Greece was, in his day, dominated by the emerging power of Rome became evident in a purge of the Greek leadership after the weak Achaean support of the Romans against Macedonia in 168. In this upheaval the skills, nobility, and military office of Polybius worked against him, causing the Romans to be He was taken, among a thousand Achaean noblemen, to Rome for safekeeping and examination. These factors would all serve to mould his historiography. Of his literary accomplishments only the Histories survives. This work of 40 books (of which only five books and some fragments are known) was designed to be a "universal" history, covering the entire "inhabited world." In this account Polybius as

military training

by

was

suspicious.

previous historians whom he found too emotional, sensational, or rhetorical. Rather, his history was to be "pragmatic," focusing mainly on political and military was

critical

particularly

historiography philosophical historical

ambiguity

c.20 –c.1 8BCE

Greek historian of Rome

as

succeeded in less than 53 years in bringing under their rule almost the whole inhabited world." This promise is fulfilled in book 6 of the Histories wherein he described the mixed constitution of kingship, aristocracy, and democracy that informed the Roman rise to power. This he compared to the flawed constitutions of other states such as Athens, Thebes, Crete, Sparta, and Carthage; all but one being Greek. Polybius saw further evidence of Rome's success in the merits and piety of its people as compared to the decadence and, therefore, failure of the Greeks. On occasion he was quite petty in his description of other Greeks who were hostile to the Achaeans. This causal approach to history has often been viewed by modern historians as rather enlightened. However, in the of Polybius there was also a further agenda designed to impart more than political lessons. Though his skills were questionable, in the undercurrent of his Histories was his description of the various reactions by figures to the shifting of fortune. His expression of Tycbe (fortune), was, at times, orderly and providential. On other occasions it served as an expression of simple chance, while elsewhere it was completely rejected. Such ambiguity was common in the Hellenistic literary expressions of the day, but for Polybius this ambiguity played a more significant role. His "universal" Histories was also designed as an account of fortune's "greatest achievement," that is, its ability to unite the whole world under Roman hegemony. Therefore, the of fortune in Polybius reflected a general Greek anxiety regarding the new Roman world order. In the historiography of Polybius the manifestations of fortune must be regarded as primary causations. In addition, his comparison of various governments with Rome's mixed constitution also included an alternate, cyclical view of history wherein kingship, tyranny, aristocracy, oligarchy, democracy, mob-rule, monarchy, and, again, kingship succeeded one another. These elements, and his boast of writing a universal history, all strongly suggest that Polybius was providing a work that had a greater message, a universal model, beyond the simple study of material causation. His Histories, describing the rise of Rome, was not a wholehearted acceptance of Roman hegemony, but a subtly reactionary account that affirmed the nonmaterial causation that might possibly provide a future demise of Rome in the movement of history. While in Rome, Polybius was employed as a tutor to the young aristocrat Scipio Aemelianus who, with Polybius and others, constituted a "circle" of Roman intellectuals. This with Scipio later provided Polybius with to travel and aided him in the writing of his Histories. It probably also brought him into contact with the Stoic Panaetios who wrote about duty and the movement of providential forces. Polybius wrote his Histories partly as an expression of Roman political ideology but also as an of Greek hopes. That he wrote in koine (common) Greek suggests that his work was accessible to Greek readers as well as Roman aristocrats who could appreciate this less elegant style. On at least one occasion, Polybius found himself acting as mediator between the Romans and his fellow Achaeans, Therefore, his work, aimed at both groups, was at once a subtle affirmation of both Roman triumphalism and Greek

of

material. Polybius sought to provide statesmen, military leaders, and his general readers the moral training and lessons of history. According to his account, the historian should be one who has a passion for truth, should gather firsthand of political life as well as of the countries being described and, finally, the historian should seek eyewitness accounts of the events in question. Above all, Polybius asserted that the historian should explain the causes of events, particularly in the rise and fall of nations. Polybius stated that his work was meant to relate "by what means and under what system of government the Romans

knowledge

relationship opportunities

philosopher

expression

angst. KENNETH Κ. CALVERT

Diodorus; Dionysius;

See also Roman

Greece:

Ancient; Guicciardini;

Biography Born Megalopolis

in Arcadia, southern Greece, c.200 BCE ; son of a nobleman, Lycortas. Received education and military training Appointed Hipparch (military commander) of the Achaean League 169 ; one of the thousand prominent Achaeans deported to Rome: held there 168 150 ; accompanied Scipio Aemilianus in the siege of Carthage 147 146 ; on voyages in the Atlantic 146 Died c. 118 .

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Principal Writings The Histories ( Loeb edition ), translated by W. R. Paton , 6 vols., 1922-17

Further Reading Dörrie , Heinrich ,

"

Polybius über Pietas, Religio und Fides ( Polybius on Piety, Religion and Belief ), in Mélanges de philosophie, de littérature et d'histoire ancienne offerts à Pierre Boyancé Rome : Ecole Française de Rome 1974 Fowler William Warde Polybius' Conception of Tyche," Classical Review 17 ( 1903 ), 445 49 Pédech Paul La Méthode historique de Polybe ( The Historical Method of Polybius ), Paris : Belles Lettres 1964 Walbank Frank W. A Historical Commentary on Polybius 3 vols., Oxford : Oxford University Press 1957-79 Walbank Frank W. Polybius Berkeley : University of California "

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Press , 1971

Popper,

Karl

1902–19 4

British (Austrian-born) theorist

philosopher

and historical

As one of the most important philosophers of the 20th century, Karl Popper's name is recognized worldwide. He is, however, less well known in his role as a historical theorist. Popper's notoriety in the field of history is based almost entirely upon his book The Poverty of Historicism (1957), the central thesis of which arose out of his disagreement with a 1944 seminar lecture given by F.A. von Hayek at the London School of Economics. In this lecture, Hayek had argued that laws of historical development exist which the great powers used to legitimize their claims to power. Popper disagreed with the theory that history is governed by laws similar to those in the physical sciences and resisted Hayek's deterministic approach. This became important for him not only in his conception of natural philosophy but also in shaping his views on individual psychology. As Popper began to write down the reasons for his with Hayek, he ended up with two different The Poverty of Historicism and The Open Society and Its Enemies. The Poverty of Historicism appeared in three parts in the periodical Economica in 1944 and then in book form in 1957. In this work, Popper's most important contribution was his recognition of the inability of historians to explain events by means of logic. In Popper's eyes, Hayek's steadfast, but untenable, assertion that there were logical historical laws that could be used to explain historical events, needed to be and he took it upon himself to set the record straight. Popper advocated an interdisciplinary approach to offer a

developing disagreement manuscripts:

corrected,

broader perspective. His unusual understanding of history based on philosophy enabled him to show that historians who claimed to identify historical laws were misleading the public and themselves. For Popper, the beauty of history lay in man's inability to explain all of its facets. His recognition of the flaws of historical research has become an integral part of modern historiography and through his arguments, historians have been forced to be more honest with themselves and their readers. In his second book, The Open Society and Its Enemies (1945), Popper argued, on the basis of Plato, Marx, and Hegel, his idea of an "open society" in the spirit of the Enlightenment which is directed against every form of totalitarianism. This second book established Popper's reputation as a social philosopher and, as a result, he was invited to teach at the London School of Economics and Political Science in 1945, where he remained until his retirement. Popper's social philosophy was greatly influenced by the rise of totalitarianism in Europe. The hunger and suffering by large portions of the Vienna population following World War I interested him in socialism. However, he quickly realized that there was a huge gap between the promises of the socialists and communists to better the lot of the downtrodden, and their actions. Popper himself experienced the divergence between doctrine and practice when he decided to become a manual laborer in order to resolve his intellectual dilemma. After a short time, Popper realized that he was not up to the physical demands of this type of work, and he enrolled full time at the University of Vienna as an education major with certification in math and physics, completing his degree in 1924. During this time, Popper had contact with Heinrich Gomperz, a well known student of Greek philosophy, and Karl Bühler, a developmental and Gestalt psychologist. It was under Bühler's direction that Popper completed his dissertation Zur Methodenfrage der Denkpsychologie (On the Methods Question in the Psychology of Thought, 1928). In 1930, Popper first met Herbert Feigl, a member of the Wiener Kreis (Vienna Circle), who convinced him to write down his ideas about scientific theory. The result was Popper's "Die beiden Grundprobleme der Erkenntnistheorie" (The Two Basic Problems of Epistemology) which long remained unpublished because of its complexity and length. After several friends had read the manuscript, Popper decided to shorten it. This version was published in 1934 as Logik der Forschung (The Logic of Scientific Discovery, 1959). In The Logic of Scientific Discovery, Popper outlined his theory of in the philosophy of science. Here, Popper contended that scientific theories are never more than provisionally adopted and remain acceptable only as long as scientists devise new experiments to test (falsify) them. The Logic of Scientific Discovery took an emphatic counterposition to the philosophy of logical empiricism, thus assuring it major influence in circles. The success of The Logic of Scientific Discovery brought Popper invitations to visit London and Brussels in 1935 and 1936. This led to his professorship at the University of Christchurch in New Zealand in 1937, one year before Hitler seized power in Austria. Although The Poverty of Historicism was important for Popper's development as a philosopher, the arguments expressed in The Logic of Scientific Discovery remained the basis of his philosophy. In 1961 Popper, in conjunction with

experienced

manuscript

falsification

philosophical

Theodor Adorno, made a speech "On the Logic of the Social Sciences." This began a controversy that appeared in book form under the title Der Positivismusstreit in der deutschen Soziologie (The Positivism Debate in German Sociology, 1969), This debate occupied the German academic community for many years afterwards. In a number of treatises, Popper developed his philosophical positions still further. These were collected as Conjectures and Refutations (1963). A further collection of essays, Objective Knowledge (1972), directed itself against subjectivism in which resulted in a "Theory of the Objective Spirit." On the subject of the "body-soul problem," Popper developed ideas about the interaction between consciousness and processes in the human neural system in conjunction with the neuropsychologist John C. Eccles which led to the publication of The Self and Its

epistemology Brain

(1977). be

can

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from these works, Popper steered away from historical arguments in later years and spent his time scientific and psychological questions. Despite this shift, his Poverty of Historicism still holds an important place as a work of historical theory. GREGORY WEEKS As

"

Fahny-Eid Nadia Histoire, objectivité et scientificité: jalons pour une reprise du débat épistémologique ( History, Objectivity, and Being Scientific: Foundations for a Resumption of the Epistemological Debate ), Social History [Canada] 24 ( 1991 ), 9 34 Levinson Paul In Pursuit of Truth: Essays on the Philosophy of Karl Popper on the Occasion of His 80th Birthday Brighton: Harvester Press and Atlantic Highlands, NJ : Humanities Press 1982 Salamun Kurt ed., Schriftenreihe zur Philosophie Karl R. Poppers und des kritischen Rationalismus ( Publication Series about Karl R. Popper's Philosophy and Critical Rationalism ), 7 vols., Amsterdam : Rodopi 1991 Schäfer Lothar Karl R. Popper Munich : Beck 1992 Skagestad Peter Making Sense of History: The Philosophies of Popper and Collingwood Oslo : Universitetsforlatget 1975 Triki Fathi Popper et la philosophie de l'histoire ( Popper and the Philosophy of History ), Cahiers de Tunisie 28 ( 1980), 221 35 Wilkins Burleigh Taylor Has History any Meaning? A Critique of Popper's Philosophy of History Ithaca, NY: Cornell University Press 1978

seen

,

investigating See also

Popular History Popular history undoubtedly exists, but since there are so many it, it is difficult to define. Its existence points out, moreover, the fact that the opposite must also exist not, one hopes, "unpopular" history, but the kind of history that is written for a specialist rather than a wide audience, the kind of writing often called "academic" history. From the earliest times until close to the end of the 19th varieties of

Gombrich; Metahistory

-

Biography Karl Raimund Popper Born Vienna, 18 July 1902 Received PhD, University of Vienna 1928. Emigrated to New Zealand, 1937 Senior lecturer in philosophy, Canterbury University College, Christchurch , 1937-45 ; reader in logic and scientific method, London School of Economics, 1945-49, professor, 1949-69 Married Josefine Anna Henninger, 1930 (died 1985 ). Knighted 1965 Died Croydon, London , 17 September 1994 .

.

.

.

Carlyle

Principal Writings Methodenfrage der Denkpsychologie ( On the Methods Question Psychology of Thought ), 1928 Logik der Forschung 1934; in English as The Logic of Scientific Discovery 1959 ; revised 1980 The Open Society and Its Enemies 2 vols., 1945 ; revised 1950 The Poverty of Historicism 1957 Conjectures and Refutations: The Growth of Scientific Knowledge 1963 Der Positivismusstreit in der deutschen Soziologie ( The Positivism Debate in German Sociology ), 1969 Objective Knowledge: An Evolutionary Approach 1972 Philosophy and Physics: Essays in Defence of the Objectivity of Physical Science 1974 The Philosophy of Karl Popper edited by Paul Arthur Schilpp 2 vols., 1974 ; portion reprinted as The Unended Quest: An Intellectual Autobiography 1976 With John C. Eccles The Self and Its Brain 1977 Die beiden Grundprobleme der Erkenntnistheorie ( The Two Basic Problems of Epistemology ), 1979 [written 1930-33 ] Postscript to The Logic of Scientific Discovery edited by W. W. Bartley 3 vols., 1982-83 Zur

in the

,

,

,

,

,

,

,

,

,

,

,

,

,

Further Reading Alt Jürgen August Karl R. Popper Frankfurt and New York : Campus 1992 Döring Eberhard Karl R. Popper: Einführung in Leben und Werk (Karl R. Popper: Introduction to his Life and Work ), Hamburg : Hoffmann & Campe 1987 ,

,

,

,

,

,

,

-

-

historian

.

,

from Herodotus through Gibbon to Macaulay and the distinction between popular and academic did not exist: all historians were popular, in the sense that they all wrote for a general literate public rather than for other historians. Gibbon, Macaulay, and Carlyle wrote in an era when the audience for serious writing in the English-speaking world was numbered only in the tens of thousands, yet their books sold well, were widely discussed, and had considerable influence on public thinking. Their audience was the privileged classes, the beneficiaries of a classical education, who the Latin tags that every reader was expected to They wrote from particular perspectives, of course: Gibbon's Decline and Fall of the Roman Empire (1776-88) was written under the influence of the Enlightenment and was markedly anticlerical; Gibbon's famous judgment was that the fall was "the triumph of barbarism and Christianity." Carlyle and Macaulay also had their axes to grind. Popular history is mostly a creation of the late 19th and 20th centuries, tied to the professionalization of historical writing that began when history became a subject taught in universities. When possession of a doctorate supplanted book sales as the goal of some historians, the craft was split into two factions: one that wished to please the public, and one that wished to please peer review boards and promotion committees. Only a very few managed to please both. Perhaps the most common variety of popular history is that which deliberately sets out to reach as wide an audience as possible, and to illustrate a historical period or episode through good narrative writing and compelling characterization. The writer usually seeks to accomplish this goal by concentrating on the anecdotal and colorful aspects of the topic. "Bringing century

.

recognized

understand.

the past to life" and "telling a good story" are emphasized, and there is usually a total absence of analysis. The result can often be almost indistinguishable from historical fiction. One of the most famous practitioners of this latter craft was James A. Michener, whose many works, notably Hawaii (1959), Chesapeake (1978), and Alaska (1988), sold millions of copies, and gave a sense of the history of the regions about which he wrote to readers unlikely to read academic history. In the hands of a writer such as Michener, who put much effort into getting his facts right and had the skill to write compelling prose, popular history is at once engaging and convincing. When practiced by one who is less talented or less concerned about authenticity, popular history can descend to the level of purple prose and fabricated conversations. At the worst it becomes the sort of romantic fiction, sometimes called a "bodice ripper," in which history is merely a stage setting for softcore pornography. At best it becomes the kind of fiction that gives a real sense of place and time, as well as telling a gripping tale; the Horatio Hornblower series of C.S. Forester is a fine example. At a more "literary" level still it is by the works of the poet and novelist Robert Graves, notably I, Claudius (1934), and of Gore Vidal, author of Burr (1973) and Julian (1964). Both writers give a sense of time and place that most academics cannot match, and have a strong effect on shaping the general understanding of the past. Another kind of popular history might be termed "panoramic." Here the writer attempts to paint on a very wide canvas, often with the goal of explaining all of history to a popular audience. Sometimes this is attempted in a single volume, as for example by H.W. Van Loon in The Story of Mankind (1921), and by H.G. Wells in The Outline of History (1920). At other times the history of humanity requires many volumes, most spectacularly in the work of Will and Ariel Durant, whose The Story of Civilization, begun in 1935, ran eventually to eleven volumes written over many decades, of which only the first, Our Oriental Heritage, dealt with

exemplified

anything beyond

western

Europe.

like the famous "five-foot shelf" of of great books; to be read by ordinary people who wanted to know the roots of their civilization. As such, it was often bought in sets, and individual volumes were sold throughout the years by the Book of the Month Club in the United States to people in self-improvement. It is difficult to believe that many read all or even very much of it. Such was not the case with Winston Churchill, whose 4volume A History of the English-Speaking Peoples (1956-58) profited by the fame and prose style of its author, which reminded readers of his sonorous and orotund speaking style. To read the work, with its appeal to the unity of the old British empire and America, was to hear his wartime speeches once more; it spoke to its time, and was popular history at its best. A category that probably has more titles in print than all the others combined is local history. These histories are of events or biographies of people who were important to their region or locality: pioneers, ranchers, doctors, miners, schoolteachers, "colorful characters," and others. Sometimes they are histories of small towns or municipalities, and include a brief sketch of every citizen, past and present; sometimes they are histories of mines, railroads, hospitals, or schools. The Durants' work it

was

was

meant to serve as a work

self-education,

interested

narratives

are often compiled by amateur historians with a strong dedication to the personalities and artifacts of the past. Popular history at the end of the 20th century is alive and flourishing, both outside the universities and to some extent within them. Lamentably, however, the gulf between popular and academic history seems to be widening with each decade. In the past fifty years the number of historians working in universities has increased tremendously, and so has their output, most of which does not fall into the popular category. In many countries, subsidized university presses produce hundreds of works of history every year, flooding the libraries (whose budgets shrink as the flood increases). Freed from the imperatives of the marketplace, academic historical writing is now often produced with less attention to the audience than to professional or methodological and doctrinal considerations. Because book sales are of secondary importance, historians

They

conceptual frameworks, some old (Marxist), (feminist, postmodernist), on new historical (quantitative history, prosopography), and on carefully nuanced historical debates. In contrast, the works of popular historians must stand on their own in this regard. With the expansion of numbers in the historical profession, buttressed by new or expanded universities, the development of new can

concentrate on

some newer

methods

special language, subdisciplines, proliferation university some

of

with their

own

and the

presses, there was sufficient interest to make it possible to spend one's career

inside the academy writing only for other historians. The result has been the of popular and academic scholarship into two distinctive, only occasionally overlapping streams of historical writing. Only a few university-based intellectuals, such Henry Reynolds of Australia, author of The Other Side of the Frontier: Aboriginal Resistance to the European Invasion of Australia (1981) and Keith Sinclair of New Zealand, author of A Destiny Apart: New Zealand's Search for National Identity (1986), have made a conscious effort to write history for a general audience. (Here the colon, the invariable mark of an academic title, is a warning signal of a book with academic roots.) In the previous generation, the American Samuel Eliot Morison was a fine scholar, giving due care to detail and evidence, who could at the same time interest a wide public audience by his brilliant evocation of time and place, and his lucid prose style. His many works, the last of which was his 2.-volume The European Discovery of America (1971-74), are good as popular and academic history. Works of historians such as these draw on years of They pay careful attention to the rules of historical evidence, thus ensuring that their books will withstand assessment, while at the same time their spirited prose and powerful sense of nationalism, historical grievance, or their focus may be attract popular interest. Some of these writers have deliberately set out to bridge the gap between popular and academic history, demonstrating that solid works of historical scholarship can, if well written, argumentative, and focused, serve both Clio and the bookseller. In effect, they maintain the tradition of Gibbon and the rest as both figures of literary renown and important historical analysts. Academic historians sometimes disparage popular historians, even the good ones, such as Barbara Tuchman, whose books The Guns of August (1962), A Distant Mirror: The Calamitous Fourteenth Century (1978), and The March of Folly: From Troy

division

scholarship.

historical whatever

to Vietnam (1984) are, despite the suspicious colons in the titles, excellent popular histories, have sold widely, and have been well-reviewed in the press. By the methodological and standards employed by many in university history however, the emphasis by Tuchman and writers like her on individuals in history (the much-disparaged "great man" approach) and on the forces of contingency seem like quaint affectations of an earlier age. The very fact of their popularity has been sufficient to earn the enmity of some academics, and because they usually have a wide focus, they invariably contain specific errors that are gleefully seized upon by those whose expertise is much deeper, though much more narrow. In fairness to the critics of popular history, some of its writers are more interested in popularity than in history, and sometimes substitute illustrations for text, anecdote for evidence, generalization for interpretation, and secondary research for archival study. The result is well-exemplified in a long-standing dispute around Peter C. Newman, a Canadian journalist and historian, whose history of the Hudson's Bay Company infuriated the historical profession, and set off a shouting match in which the scholars were accused of and envy, and Newman derided for distorting and sensationalizing the past. Happily such quarrels are the exception. The list of and careful writers who flourish outside the universities is a long and distinguished one. In the United States Shelby Foote's books on the Civil War are authoritative as well as popular, and Daniel Boorstin's 3- volume work The Americans {1958-73) is an excellent attempt to explain the republic to its citizens. In an earlier generation, the journalist Frederick L. Allen's history of the 1920s, The Big Change, published just after the decade ended, is so perceptive and engaging that it is still required reading in undergraduate university classes, surely one of the toughest audiences for popular history. William Manchester's biography of General MacArthur, American Caesar (1978), illustrates the strength and worth of the popular history genre, though his excessively detailed Death of a President (1967) illustrates some of its weaknesses. In Britain the list of excellent popular historians is even longer, for that country, for whatever reason a greater sense of its own past, higher standards in its education system has produced many excellent writers of popular history, Lytton Strachey was perhaps more polemicist than historian, but his Eminent Victorians (1918) was both widely read and perceptions of the Victorian age. The 20th century has produced so many good British popular historians that it would be impossible to name even a fraction of them. A good is Antonia Fraser, whose specialty is biography; she has tackled such disparate subjects as Boadicea, Charles II, Mary Queen of Scots, and the wives of Henry VIII, as well as writing books on the Gunpowder Plot and the role of women in the 17th century, all with style, grace, and accuracy. Fraser's career is an example of the fact that popular have in the past generation or two largely taken over the field of biography, a field that many academics have partly because the "great man/woman" approach to history is no longer academically fashionable, and partly because biography does not fit well into new trends in thinking. Much popular history has always centered on the lives of kings and queens, politicians, soldiers, and captains

theoretical

departments,

nitpicking

thoughtful

-

-

influenced

representative

historians

abandoned,

academic

of industry, for there is fascination with the lives of those in high places, even if, like Edward VIII, they were weak or as people. Both Frances Donaldson and Philip Ziegler, among others, wrote sensitive biographies of this unlucky monarch, proof of the continuing appeal of the genre. One of the best examples of a popular historian is perhaps the Australian Robert Hughes. As well as many works of and criticism, he has written an important study of the origins of Australia. The Fatal Shore (1987) is a compelling work, serious, thorough, and highly interpretive. It is based on a careful reading of both primary and secondary materials, and yet is so well written that it has become a bestseller in several countries. With the advent of television and motion pictures, the of history has spread further afield. Though it is difficult to think of a historical movie that does not invite some television has combined new technology with decent scholarship. In Britain, Peter Watkins' treatment of the 17th-century battle of Culloden won professional as well as popular acclaim. In the United States, Ken Burns has produced excellent documentary series on the Civil War, the American West, and the history of baseball for the public television network. The highly popular television serialization of Graves' I, Claudius undoubtedly was the definitive word on Rome for thousands of viewers. At present, popular history and academic historical writing seem destined to continue to move in different directions. The fascination on the part of many academic historians with new theories, and the difficult jargon associated with postmodernism and deconstruction, have strengthened a new public perception of academic history as aloof, confusing, and irrelevant. It has also created tensions in the historical profession between the practitioners of the new art and those who consider it Television has created a proliferation of competing versions of the past. In the United States, the History Channel mingles fairly serious historical documentaries with dubious motion and endless rubbish about the "mysteries" of the past: were the pyramids built by gods from outer space? where is the lost continent of Atlantis? what is the magical power of the Bermuda Triangle? and so on. The danger is that Gresham's law will prevail, and that bad history will drive out good. But the very popularity of popular history is a hopeful sign, for it would not be good for the discipline to have it confined to university campuses. From the earliest days of human literacy, people have been intensely interested in historical writing. Historical works, whether judged good or bad by the professionals, have always appeared on bestseller lists, and have been fodder for Hollywood. Popular historians know that there is a good market for their work, and if the academic historians have retreated to the university presses and the journals, it is their loss and the profession's. KEN COATES AND WILLIAM MORRISON

unattractive

journalism

popularization

criticism,

gibberish.

pictures

academic See also

Boorstin; Carlyle; Gibbon; Morison; Sinclair; Stone; Universal

Further

Herodotus;

Macaulay;

Reading

Allen , Frederick Lewis , The Big Change: America Transforms Itself, 1900-1950 , New York: Harper, and London : Hamish Hamilton , 1952

Boorstin , Daniel J. , The Americans , 3 vols., New York : Random House , 1958-73 ; London: Cardinal, 1988 Carlyle, Thomas , A Carlyle Reader: Selections from the Writings of Thomas Carlyle, edited by G. B. Tennyson , New York : Modern

Library 1969 ; Cambridge: Cambridge University Press, 1984 Churchill Winston A History of the English-Speaking Peoples 4 vols., London : Cassell and New York: Dodd Mead, 1956-58 ,

,

,

,

Donaldson , Frances , Edward VIII , London : Weidenfeld and Nicolson , and Philadelphia: Lippincott, 1974 Durant , Will , and Ariel Durant , The Story of Civilization , 11 vols., New York : Simon and Schuster , 1935-75 ; abridged edition, London: Benn, 1947 Foote , Shelby, The Civil War , 3 vols., New York: Random House, 1958-74 ; London : Bodley Head , 1991 Forester, Cecil Scott , The Happy Return , London : Joseph , 1937 ; as Beat to Quarters, Boston : Little Brown , 1937 [and 10 further Horatio Hornblower novels, 1938-67] Fraser, Antonia , Mary Queen of Scots , London: Weidenfeld and Nicolson, and New York : Delacorte Press , 1969 Fraser, Antonia , King Charles II , London : Weidenfeld and Nicolson , 1979 ; as Royal Charles: Charles II and the Restoration , New York : Random House , 1979 Fraser, Antonia , The Weaker Vessel: Woman's Lot in Seventeenth Century England , London: Weidenfeld and Nicolson, and New York : Knopf, 1984 Fraser, Antonia , Boadicea's Chariot: The Warrior Queens , London : Weidenfeld and Nicolson , 1988 ; as The Warrior Queens , New York : Knopf , 1989 Fraser, Antonia , The Six Wives of Henry VIII , London: Weidenfeld and Nicolson, and New York : Knopf , 1992 Fraser, Antonia , The Gunpowder Plot: Terror and Faith in 1605 , London : Weidenfeld and Nicolson , 1996 Frisch , Michael H. , A Shared Authority: Essays on the Craft and Meaning of Oral and Public History , Albany : State University of New York Press , 1990 Füredi , Frank , Mythical Past, Elusive Future: History and Society in an Anxious Age , London : Pluto Press , 1992 Gibbon , Edward , The History of the Decline and Fall of the Roman Empire, 6 vols., London : Strahan and Cadell , 1776-88 Graves , Robert , I, Claudius , London : Barker, and New York: Smith and Haas, 1934 Hughes , Robert , The Fatal Shore: A History of the Transportation of Convicts to Australia, 1787-1868 , New York : Knopf , and London: Collins, 1987 Leffler, Phyllis K. , Public and Academic History: A Philosophy and

Paradigm Malabar, FL : Krieger 1990 Macaulay Thomas Babington The History of England from the Accession of James II 5 vols., London : Longman 1849-61 Manchester William The Death of a President New York : Harper and London: Joseph, 1967 Manchester William American Caesar: Douglas MacArthur, 1880-1964 Boston : Little Brown 1978 ; London: Hutchinson, 1979 Michener James Α. Hawaii New York: Random House, 1959 ; London : Seeker and Warburg i960 Michener James Α. Chesapeake New York : Random House and London: Seeker and Warburg, 1978 Michener James Α. Alaska New York : Random House and ,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

London: Seeker and

,

Warburg,

1988

Morison , Samuel Eliot , The

European Discovery of America 2 vols., Oxford and New York : Oxford University Press 1971-74 Newman Peter C. Company of Adventurers 3 vols., New York and London : Viking 1985-91 Reynolds Henry The Other Side of the Frontier: Aboriginal Resistance to the European Invasion of Australia Ringwood and Harmondsworth : Penguin 1981 Sinclair Keith A Destiny Apart: New Zealand's Search for National Identity Wellington and London : Allen and Unwin 1986 ,

,

,

,

,

,

,

,

,

,

,

,

,

,

Stone , Lawrence , The Past and the Present Revisited , London :

Routledge 1987 ,

,

,

,

,

,

,

,

,

,

,

,

Strachey Lytton Eminent Victorians: Cardinal Manning, Florence Nightingale, Dr. Arnold, General Gordon London : Chatto and Windus and New York: Putnam, 1918 Tuchman Barbara The Guns of August New York : Macmillan 1962 ; as August 1914 London: Constable, 1962 Tuchman , Barbara , A Distant Mirror: The Calamitous Fourteenth Century, New York : Knopf, and London: Macmillan, 1978 Tuchman , Barbara , The March of Folly: From Troy to Vietnam , New York : Knopf , and London: Michael Joseph, 1984 Van Loon , Hendrik Willem , The Story of Mankind , New York: Boni and Liveright, 1921 ; London : Harrap , 1922 Vidal , Gore , Julian , Boston : Little Brown , and London: Heinemann, 1964 Vidal , Gore , Burr , New York : Random House , 1973 ; London:

Heinemann,

1974

Wells , Herbert George , The Outline of History , 2 vols., London : Newnes , and New York: Macmillan, 1920 [and later revisions] Ziegler, Philip , King Edward VIII: The Official Biography, London : Collins , 1990 ; New York: Knopf, 1991

Portelli, Alessandro

1942–

Italian oral historian

Although Alessandro Portelli is not a historian by training, Italian historiography owes him a great deal because of his original and innovative research, especially in the field of oral history where his contribution has been outstanding. In the

degree

in

began

a

early 1960s, while studying for a law degree, then a foreign languages at the University of Rome, Portelli productive collaboration with Gianni Bosio and the

Istituto Ernesto de Martino in Milan. Each

was concerned with and publishing songs of the class struggle from the preceding two centuries. Portelli joined in the enterprise and began publishing on the subject in the journal I giorni cantati, which he also edited from 1972 to 1995. This drew him deeper into questions about popular memory, which he began to exploit in his formal writings. Portelli's most important contribution to historical research, and a landmark in Italian oral historiography, is without doubt Biografia di urta città (Biography of a City, 1985), which emerged in a period when oral history was achieving as an academic discipline. Portelli's work injected new life into oral history, breaking the very close tie of representation with pure orality. The wide time-span covered by the research, starting from the memory of the postNapoleonic commotions in the then sleepy provincial papal town of Terni, is a clear example of his new approach. Biografia di una città was also a demonstration of Portelli's

gathering

acceptance

historiographical ability

to

exploit disparate

sources

such

as

archival

material,

printed material (especially newspaper reports), daily discourse, oral tradition, and mass culture, and to interweave them with direct testimonies. He reconstructed in this way 150 years of history, from the Risorgimento to the transformation of a small country town into a major heavy industrial center, and finally the collapse of an industriai economy. His exploitation of oral sources masterfully linked people's memories with formal historical writing, validating the of memory, language, and imagination. Portelli extracted the recollections of a wide spectrum of people born between 1886 and 1966, from peasants to politicians, from industrial workers

importance

priests, and demonstrated that collective memory was well not only to survive, but also to function effectively in

Postan, M.M

his analysis official Singularly relevant this respect

environment where the balance of power leaned toward in was memory.

British

of the so-called "creative errors" by which people manipulated their memory and reconstructed their judgment about individual or collective events by using fantasy as an interpretive tool. Portelli also argued that oral history was no less reliable than other forms of memoir, and that the way in which people reconstructed events in their mind could allow historians to appreciate better the way people interpreted the past. Portelli set out his arguments in "Sulla specificità della storia orale" (1979; "The Peculiarities of Oral History," 1981), and used his own work on Terni to illustrate his point. He had found that interviewees had often misremembered the year of the killing of Luigi Trastulli, a local political activist, as they had shaped the narrative of postwar events. Rather than seeing this as negating their testimony, Portelli suggested that it could help clarify our understanding of how they interpreted the events of the period. Portelli's contribution is also relevant in other areas of research, and his specialist attention to language has favored avenues of research that might have been left unexplored by more conventional historians. His innovative use of language is a case in point, as he ventured that the relationship between interviewees and dialect was one of consciousness and selfin fact all dialects of denigration. The dialects of Terni Umbria and the Marches regions are generally considered in Italy unattractive and inferior to others regarded as more noble and beautiful. The people of Terni feared sounding uncultured when speaking; that attitude exemplified Terni's liminal status between town and countryside, dialect and national language, working class and middle class, oral tradition and schooling, and the invasion of the mass media. That image of transition is perhaps one of the most contributions of Portelli's multifaceted work, linking linguistic uncertainty to the tension that is primarily one of social status.

Michael Postan was one of the leading figures in the emerging field of medieval economic history during the interwar period. The 19th-century application of scientific principles to data continued with the application of economic theory. Economics was then perceived to be the most scientific of the social sciences. Postan's exact date of birth and details of his early life in Russia before his arrival in Britain were for long unclear, as the stories he told varied. He enrolled as a mature student at the London School of Economics, then a vibrant center, from which professors R.H. Tawney and Eileen Power were challenging the dominant emphasis on political and constitutional history, through the use of new theoretical approaches and documentary sources. Postan's abilities as a scholar were noticed by Eileen Power. He became her research assistant and subsequently her husband. She fostered his career, helping him to obtain a lectureship at the London School of Economics and later declining an invitation to apply for the chair of economic history at Cambridge to ensure his success. They were both powerful personalities and formed a close intellectual Power's strength lay in her ability to construct a framework for her subject. Inspired by Henri Pirenne and Marc Bloch, she set out to develop a broad social and economic history of Europe. Her abilities were complemented by Postan's knowledge of European social theory, especially the Russian and German literature, and his stronger emphasis on detail. After Power's early death, aged 51, Postan continued many of the projects she had initiated. These included editing the Economic History Review and The Cambridge Economic History of Europe, of which their edited volume Studies in English Trade (1933) was a forerunner. Postan's initial interests were in medieval capital formation, as his early essays, collected in Medieval Trade and Finance (1973), illustrate. Later he turned his attention to manorial records and made important contributions to our of agrarian economy and demographic change. Today his thesis that the population was already in decline before the Black Death of 1347-49 is widely accepted. However, his emphasis on the Malthusian theory of population crisis, an aspect of his economic determinism the view that society was at the mercy of abstract economic forces was criticized by

to

equipped an

-

-

interesting

GENNARO CAROTENUTO

–1981 1899

(Russian-born)

medievalist

historical

intellectual

partnership. conceptual

understanding

See also Oral

Biography Rome, 4 July 1942 Educated at Liceo Classico, Terni ; received law degree, University of Rome, 1966, foreign languages degree 1973 Taught at University of Siena at Arezzo , 1975-81 ; professor of Anglo-American literature, University of Rome from 1981 Married Mariella Eboli , economist (2 sons). Born

.

.

.

.

Principal Writings "

Sulla specificità deila storia orale ," Primo Maggio 13 ( 1979 ), " 54 60 ; in English as The Peculiarities of Oral History," History Workshop Journal 12 ( 1981 ), 96 107 ; reprinted in his The Death of Luigi Trastulli, 1991 With others, Racconto: tra oralità e scrittura ( Tales: Oral and Written ), 1983 Biografia di una città: storia e racconto: Terni 1830-1983 ( Biography of a City: Stories and Tales, Terni, 1830-1985 ), 1985 The Death of Luigi Trastulli, and Other Stories: Form and Meaning in Oral History , 1991 The Battle of Valle Giulia: Oral History and the Art of Dialogue , 1997 -

-

·

-

-

Marxist historians

such

as

Kosminsky

and

Hilton.

They

believed that collective struggle against feudal lords was in improving the lives of the majority of the peasantry in the course of the Middle Ages. Postan insisted on tackling the intellectual problems that arose as he was applying economic theory to historical data. He found these equally challenging whether he was thinking about the Middle Ages or his own times, as in An Economic

significant

History of Western Europe, 1945-1964 (1967). He wrote no major work on medieval economic history because of this attention to detail. The Medieval Economy and Society (1972) is only a brief overview of his researches at the end of a long life of study. Postan's contemporaries were disappointed that his publications were not more extensive, considering his early

promise. Nevertheless, his contribution to history was the application of economic theory to the Middle Ages, a large number of articles, mainly on English agrarian history, and his editorship of The Cambridge Economic History of Europe and the Economic History Review. VIRGINIA Κ. BAINBRIDGE

See also Britain: 1066-1485; Economic;

Habakkuk; Hilton;

Power

Biography Michael Moïssey Postan Born Tighina, Bessarabia, Russia, 24 September 1899 Came to England , 1920 ; naturalized 1926 Received BA, London School of Economics, 1924 Taught at University College, London , 1927-31 ; London School of Economics , 1931—35 ; and Cambridge University (rising to professor), 1935-65 (emeritus): fellow, Peterhouse, Cambridge, 1935-65 Head of Russian section, Ministry of Economic Warfare , 1939-42 ; official historian of munitions, Offices of War Cabinet, 1942 Knighted 1980 Married 1) Eileen Power, historian , 1937 (died 1940 ); 2) Lady Cynthia Rosalie Keppel , 1944 (2 sons). Died Cambridge , 12 December 1981 ,

.

.

.

.

.

.

.

Principal Writings Editor with Eileen Power, Studies in English Trade in the Fifteenth

Century

,

1933

General editor with H. J. Habakkuk , The Cambridge Economic History of Europe , 2nd edition, 1966-89

History of Western Europe, 1945-1964 , 1967 The Medieval Economy and Society: An Economic History of Britain in the Middle Ages , 1972 ; in US with subtitle An

An Economic

Economic

History of Britain,

1100-1500

,

1972

on

Further Reading Berg Maxine A Woman in History: Eileen Power, 1889-1940 Cambridge : Cambridge University Press 1996 ,

,

advanced/aboriginal, male/female, rational/irrational, developed/underdeveloped, center/margin, core/periphery, by emphasizing instead the intricacy and

modern/traditional,

of the relations between the colonizer and the colonized. complexity

Instead of such binarism, postcolonial theorists have posited a hybridity in which individuals in colonial and neocolonial societies, or individuals from the colonies living in the West, participate in complex, fluid, and unequal combinations of indigenous and imperial cultures. This hybridity can lead to the creation of new concepts and literatures that are themselves sites of resistance. Postcolonial theorists argue that imperial powers have attempted to impose their languages and cultures through and other means of cultural diffusion because of their unquestioned assumption of cultural superiority and of the universality of human concerns. In resisting universalistic assumptions, postcolonial theorists celebrate diversity, and cultural syncretism. Postcolonial historians focus on reconceptualizing history as a process in which successive generations have written their lived experiences, rather than as a chronological, purposeful narrative that progresses from primitive to advanced stages. Postcolonial historians construct their own histories by notions of cultural purity that have served to remove the indigenous subject, the "other," from history. The historian has taken an active role in challenging unequal power relations through this process of interrogating and rewriting the historical narratives canonized by the powers and taught in Western-style schools. The new subvert unequal colonial relationships by rewriting notions of time and place and by writing in the marginalized who are both the products and the creators of the new hybrid cultures.

education

pluralism,

challenging

Medieval Agriculture and General Problems of the Medieval Economy , 1973 Medieval Trade and Finance , 1973 Editor, Medieval Women by Eileen Power, 1975

Essays

Children (1981) and The Moor's Last Sigh (1995) exemplify this approach. Edward Said's Orientalism (1978) has been pivotal in demonstrating the extent to which European representations of "the Orient" have been distorted by unequal power relations. Postcoionialist historians have expanded on Said's project of undermining the binarism of self/other, us/them,

postcolonial

imperial

,

,

histories

NANCY GALLAGHER

Postcolonialism Postcolonialism is an elusive and contested term that refers to the multifaceted project of examining the complex and unequal relationships between the imperial European powers and their generally, though not exclusively, non-European subjects before and after formal political independence. A particular focus has been on the use of literature and language as means of control. Postcolonial theorists have argued that imperialist contain texts novels, travelers' accounts, histories immutable and unquestioned assumptions regarding race, gender, ethnicity, religion, nation, and nationalism that serve to marginalize and objectify subject peoples. Postcolonialists argue that the colonizers, by naming, defining, categorizing, mapping, and dividing peoples, places, languages, and cultures, created new social forms that furthered their own imperial interests. Postcolonial writers are now these names, definitions, and categories, in new and creative literatures. Salman Rushdie's novels Midnight's highly

political -

-

seemingly

challenging

See also Anderson, B.;

Orientalism;

Said

Further Reading Anderson , Benedict , Imagined Communities: Reflections on the Origin and Spread of Nationalism , London and New York : Verso , 1983 ; revised 1991 Ashcroft , Bill , Gareth Griffiths , and Helen Tiffin , eds., The Empire Writes Back: Theory and Practice in Postcolonial Literatures , London and New York : Routledge , 1989 Ashcroft , Bill , Gareth Griffiths , and Helen Tiffin , eds., The Studies Reader , London and New York : Routledge ,

Postcolonial 1995

Babha , Homi , ed., Nation and Narration , New York and London :

Routledge

,

1990

Boehmer, Elleke , Colonial and Postcolonial Literature: Migrant Metaphors , New York and Oxford : Oxford University Press , 1995 Lewis , Reina , Gendering Orientalism: Race, Femininity, and Representation , London and New York : Routledge , 1996

"

The Angel of Progress: Pitfalls of the Term 'Post-colonialism,' in Patrick Williams and Laura Chrisman eds., Colonial Discourse and Post-colonial Theory: A Reader

McClintock , Ann ,

"

, ,

New York : Harvester Wheatsheaf, 1993

Mitchell , Timothy ,

Colonising Egypt Cambridge Cambridge University Press 1988 ,

and New York :

,

Mohanty Chandra Talpade Ann Russo and Lourdes Torres eds., Third World Women and the Politics of Feminism Bloomington: Indiana University Press 1991 Mudimbe V.Y. The Idea of Africa Bloomington : Indiana University Press and London: Currey, 1994 Rushdie Salman Midnight's Children London: Cape, and New York : Knopf 1981 Rushdie Salman The Moor's Last Sigh London : Cape and New York, Pantheon, 1995 ,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

Said , Edward W. , Orientalism , New York : Pantheon , and London:

Routledge, 1978 " Said , Edward W. , Representing the Colonized: Anthropology's Interlocutors ," Critical Inquiry 15 (1989 ), 205 25 Said , Edward W. , Culture and Imperialism, New York : Knopf , and London: Chatto and Windus, 1993 Turner, Bryan S. , Orientalism, Postmodernism, and Globalism , London and New York : Routledge , 1994 Williams , Patrick , and Laura Chrisman , eds., Colonial Discourse and Post-colonial Theory: A Reader , New York : Harvester Wheatsheaf, 1993 Young , Roben , White Mythologies: Writing History and the West , London and New York : Routledge , 1990 -

but only our narratives of it; that ultimately we cannot reach the truth of the world unless that truth is restricted to of the internal coherences within and between various language games, the way the world has always already been put under a description, and so on. In addition to this, postmodernism has (in the hands of, say, Lyotard, Richard Rorty, Jean Baudrillard, and others) placed these arguments in a larger context. Thus it has attacked any idea that we can find in, say, history, any overarching metanarrative that would guarantee immanent meanings (ideas of progress, etc.), Lyotard defining postmodernism as "incredulity towards rnetanarratives"; that we have to that there are not, and nor have there ever been, any real foundations of the kind alleged to underpin the of modernity" (i.e., foundations from which could be

acceptance

understand "experiment extrapolated, and

in

positivistic

manner, various

laws, predictions

on). Postmodernism also asks that we recognize that we live, and have always lived, amidst social formations that have no legitimating ontological, epistemologica!, or ethical grounds for our beliefs or actions beyond the status of an ultimately self-referencing, rhetorical As far as history is concerned, such thinking undercuts any idea of our finding a meaning in the past, present, or future of the sort associated with history in the upper case (as History, as Metanarrative) while the recognition that history is a selfreferencing concept (it is the name given to the things make, i.e., historiography) means that history in the lower case (history as the study of the past for its own sake, i.e., as academic, professional history) is not "proper" history at all but merely the mythologizing way of legitimating a particular approach to the past as if it were the way that the past itself prefers to be read. This means, to put it simply, that both upper and lower case histories are literary genres, not In these ways postmodernism undercuts history as we have known it in both upper and lower case so that can be held to signify "the end of history," not in the sense of the end of historical thinking as such, but thinking based on modernity's version of what history apparently was understood to be, namely history in upper and lower case versions. Postmodernism thus invites us to think of history as yet to be defined; that history is something that has "not yet been." so

methodological,

conversation.

historians

Postmodernism It is usual in the literature to

nity (as referring to

distinguish between postmodersocioeconomic-political

our current

condition) postmodernism referring making and

of

various

(as

to ways

"expressive" intellectual changes

of

sense

vis à vis post-

modernity at the level of theory), a distinction captured by J.F. Lyotard (The Postmodern Condition, 1979, translated 1984): "our working hypothesis is that the status of knowledge is altered as societies enter what is known as the post-industrial age and cultures enter what is known as the postmodern age." It is also useful

if not so usual to distinguish between (a method of reading associated most closely with Jacques Derrida and Paul de Man), which exposes the limits and inconsistencies of texts, not least by demonstrating how the attempt to make thein internally coherent by bracketing out inconvenient elements is impossible, so that by making them visible the text is rendered problematic, indeterminate and thus ultimately undecidable at the level of its meaning; and -

—

deconstructionism

poststructuralism (the arguments associated with Roland Barthes,

Michel Foucault, Jacques Lacan, and others) that language is anterior to the world it carves up and shapes so that "reality" is never known "in and for itself," but is a linguistic affect of the language system inhabited by the speaker. This is not to deny the actuality of the world (or of worlds past) but is to say that it is human discourse that appropriates it and gives it all the meanings it can be said to have. Postmodernism, as a more general cultural condition, uses the insights of deconstructionism and poststructuralism to argue that there is no necessary or entailed correspondence between world and word, that the world is to be read on its surfaces for its created significances as a text with no outside of such texts; that we know not the world as such

simply

meanings

epistemologies.

postmodernism

historical

KEITH

JENKINS

See also Foucault

Further Reading Ankersmit , E R ., Narrative Logic: A Semantic Analysis of the Historian's Language , The Hague : Nijhoff, 1983 Bauman , Zygmunt , intimations of Postmodernity , London and New York : Routledge , 1992 Berkhofer, Robert , Jr. , Beyond the Great Story: History as Text and Discourse , Cambridge, MA : Harvard University Press , 1995 Bertens , Hans , The Idea of the Postmodern: A History , London and New York : Routledge , 1995 Caliinicos , Alex , Theories and Narratives: Reflections on the Philosophy of History , Durham, NC : Duke University Press , and Oxford: Polity Press, 1995 " Caplan , Jane , Postmodernism, Poststructuralism, and Deconstruction: Notes for Historians ," Central European History , 3

( 1989 ),

260

-

78

Docherty Thomas ed., Postmodernism: A Reader London: Harvester Wheatsheaf, and New York : Columbia University Press ,

,

,

,

1993

Elam , Diane , Feminism and Deconstruction: Ms. en abyme , London and New York : Routledge , 1994 Fish , Stanley, Doing What Comes Naturally: Change, Rhetoric, and the Practice of Theory, Durham, NC : Duke University Press , and Oxford: Oxford University Press, 1989 Harvey, David , The Condition of Postmodernity: An Enquiry into the Origins of Cultural Change , Oxford and Cambridge, MA : Blackwell , 1989 Jenkins , Keith , On "What Is History"? From Can and Elton to Rorty and White , London and New York : Routledge , 1995 Jenkins , Keith , ed., The Postmodern History Reader , London and New York : Routledge , 1997 Lyotard , Jean-François , La Condition postmoderne: rapport sur le savoir , Paris : Minuit , 1979 ; in English as The Postmodern Condition: A Report on Knowledge , Manchester: Manchester University Press, and Minneapolis: University of Minnesota Press ,

1984 Nicholson , Linda J. , Feminism/Postmodernism London and New York : Routledge , 1990 Norris , Christopher, The Truth about Postmodernism , Oxford and Cambridge, MA : Blackwell , 1993 Rorty, Richard , Contingency, Irony, and Solidarity , Cambridge and New York : Cambridge University Press , 1989 Scott , Joan Wallach , Gender and the Politics of History , New York : Columbia University Press , 1988 " Spiegel , Gabrielle , History, Historicism and the Social Logic of the Text in the Middle Ages ," Speculum 65 ( 1990 ), 59 86 Wilson , Adrian , ed., Rethinking Social History: English Society, 1570-1920 and Its Interpretation , Manchester : Manchester ,

-

University

Press , 1993

Potter rejected ex post facto knowledge in favor of restricting himself to the contemporary viewpoint of the participants in this struggle and, in the words of one reviewer, "tak[ing] no outcome for granted and see[ing] nothing as absolutely inevitable." He made it clear that many alternative courses of action existed at different points in time. His shorter essays on this theme are collected in The South and the Sectional Conflict (1968), and cover a wide array of topics, among them the nature of the South and of southern history, studies of Abraham Lincoln, John Brown, and Horace Greeley, the of the Civil War period, and studies of particular political episodes. These essays also won high praise from his peers for their meticulous preparation, subtlety, range, and readiness to challenge accepted truths. A series of lectures which he at Louisiana State University in 1968, and later published as The South and the Concurrent Majority (1972), had broad implications for American political history from the late 19th to the mid-ioth centuries, when, it argued, a southern majority with the power to block legislation displeasing to it effectively controlled the United States Congress, meaning that national policy had to take account of southern priorities and interests. Potter's best-known book, People of Plenty {1954), tackled even more sweeping themes, attempting to relate the national character of the American people to the comparative plenty and the technological means to take advantage of this plenty that has historically characterized the United States. Potter drew on insights from the behavioral sciences, including cultural psychology, and sociology, combining them with historical methodology in an attempt to define the American national character and analyze his country's historical He built upon Frederick Jackson Turner's thesis that the frontier and the ready availability of land had been the defining factor in creating the American character, expanding it to include natural resources and "the nation's system of and distribution." Potter argued that their presence accounted for, among other things, the emergence of a consumer society, dominated by advertising; the relative social mobility of Americans and their definition by status rather than class, a trait which could create considerable psychological uneasiness; the permissiveness with which American children are reared, instilling a belief that Americans will always be able to attain their goals; and American-style democracy. He suggested that in foreign affairs Americans attempted to export their political institutions to countries which lacked the economic abundance to support them. In this work Potter placed himself with several historians of the 1950s, among them Daniel J. Boorstin, Louis Hartz, and Richard Hofstadter, who stressed the exceptionalism of the United States and those factors making for a political, social, and economic consensus as to their country's broader principles and goals, to which, they argued, the great majority of Americans throughout the course of United States history had subscribed. While attacked by some critics for ignoring the poor and those on the margins of society, in later life Potter himself felt that, with some exceptions, his thesis was still valid, and his book has had a substantial influence upon subsequent historians, despite a certain sense that when writing it he was inevitably affected by the prevailing material affluence of the 1950s. Potter's concerns with the role and nature of freedom in the United States informed his Commonwealth Fund lectures of

literature

delivered

anthropology, empirical experience,

Potter, David M.

1910–1971

US historian

production

historians' historian, whose economical, and closely argued books and essays had an influence on his field disproportionate to their number. He was known both for his mastery of detail and for his to tackle extremely broad themes in United States history. Throughout his career Potter was preoccupied with two broad themes: the history of the South, the region where he was born, and broader themes dealing with the nature of American society and the character of the American people. Potter's early work was on the proximate causes of the Civil War, and the question of whether the Civil War had in fact been inevitable. His well-received first book, Lincoln and His Party in the Secession Crisis (1942), was a revisionist study which argued that the outbreak of war owed more to blunders on the part of both president Abraham Lincoln and the southern secessionists than it did to any deep-laid plans on either side. He insisted that in order to gain an accurate appraisal of the situation at the time, one must abandon the David M. Potter

was a

unpretentious,

willingness

insights provided by hindsight. For much of the rest of his career, Potter was at work on Impending Crisis (1976), a posthumously-published

The

magnum opus that traced the roots of the Civil War back to the Mexican War and consequent controversies during the

following thirteen years concerning the extension of slavery to United States territories acquired during the conflict. Again,

1963, Freedom and Its Limitations in American Life (1976). Building on themes broached in People of Plenty, he suggested that, in a society without fixed status or classes, few had the strength to withstand pressures for conformity. Fie also warned that Americans were routinely subjected to "noncoercive" manipulation from advertisers designed to

individuals them

persuade

become biddable

to

consumers.

In

numerous

shorter essays published throughout his career, Potter wrote extensively on similarly general themes related to United States history, among them the national character, the question of whether the United States was a separate civilization, alienation, social cohesion, and the relationship between historians and nationalism. After his death these were collected in History and American Society (1973). In recent decades declining American economic growth and a new social and economic climate of scarcity, together with a sense that consumerism may not provide all the answers to US social and economic problems, have given his general works a revitalized

individualism,

cogency. PRISCILLA M. ROBERTS

with Leonard Krieger and Felix Gilbert History: The Development of Historical Studies in the United States Englewood Cliffs, NJ: Prentice Hall 1965 Hofstadter Richard The Progressive Historians: Turner; Beard, Parrington New York: Knopf, 1968 ; London : Cape 1969 Johannsen Robert W David M. Potter, Historian and Social Critic ," Civil War History 20 ( 1974 ), 35 44 Kämmen Michael G. On Predicting the Past: Potter and Plumb ," Journal of interdisciplinary History 5 ( 1974 ), 109 18 Kraus Michael and Davis D. Joyce The Writing of American History revised edition, Norman : University of Oklahoma Press 1985 Morton Marian J. The Terrors of Ideological Politics: Liberal

Higham John ,

,

,

,

,

,

,

,

,

"

,,

,

-

"

,

,

-

,

,

,

,

,

,

,

Conservative Mood , Cleveland : Press of Case Western Reserve University, 1972 Sternsher , Bernard , Consensus, Conflict, and American Historians , Bloomington: Indiana University Press , 1975 Tyrrell , Ian , The Absent Marx: Class Analysis and Liberal History in Twentieth-Century America , Westport, CT: Greenwood Press , 1986 Wise , Gene , American Historical Explanations: A Strategy for Grounded Inquiry , Homewood, IL : Dorsey Press , 1973 ; revised Minneapolis: University of Minnesota Press, 1980 " Woodward , C. Vann , David Morris Potter," in his The Future of the Past, New York : Oxford University Press , 1989 , 353 58 Historians in

a

-

See also Hartz; United States: Historical Writing, 20th Century

19th Century;

United States:

Biography David Morris Potter Born Augusta, Georgia, 6 December 1910 Received ΒΑ, Emory University, 1932 ; studied with Ulrich Bonnell Phillips, Yale University, MA 1933, PhD 1940 Taught at University of Mississippi , 1936-38 ; Rice University, 1938-42 ; Yale University, 1942-61 ; and Stanford University , 1961-71 Married 1) Ethelyn Elmer Henry, 1939 (marriage dissolved); 2) Dilys Mary Roberts , 1948 (died 1969 ; one daughter [committed suicide]). Died Palo Alto, California , 18 February 1971 .

Power, Eileen

18 9–1940

.

British medievalist and economic and social historian

.

.

.

Principal Writings Lincoln and His Party in the Secession Crisis 1942 People of Plenty: Economic Abundance and the American .

,

Character , 1954 The South and the Sectional Conflict , 1968 The South and the Concurrent Majority , 1972 History and American Society: Essays of David M. Potter , 1973 Freedom and Its Limitations in American Life , 1976 The Impending Crisis, 1848-1861 , completed by Don E. Fehrenbacher, 1976

Further Reading Erogan Denis William David M. Potter," in Marcus Cunliffe and Robin Winks eds., Pastmasters: Some Essays on American Historians New York : Harper 1969 Carleton Mark T. David M. Potter," in Clyde Ν Wilson, ed. Twentieth-Century American Historians Detroit : Gale 1983 [Dictionary of Literary Biography, vol. 17 ] Collins Bruce M. David Potter's People of Plenty and the Recycling of Consensus History," Reviews in American History 16 ( 1988 ), 320 35 Degler Carl N. David Morris Potter," American Historical Review 76 ( 1971 ), 1273 75 "

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,

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,

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"

,

.

,

,

,

,

"

,

,

-

"

,

,

-

Fehrenbacher, Don E. , Howard R. Lamar, and Otis A. Pease " David M. Potter: A Memorial Resolution ," Journal of American .

History 58 ( 1971 ), ,

307 10 -

Hartshorne , Thomas L. , The Distorted Image: Changing Conceptions of the American Character since Turner , Cleveland : Press of Case Western Reserve University, 1968

Eileen Power

the best-known medieval historian of the brought medieval history into general culture. She wrote one of the most popular medieval histories, Medieval People (1924), which went into ten editions, and is still in print 70 years later. She taught economic history for nearly 20 years between 1921 and 1940 at the London School of Economics (LSE), and was the professor of economic history there for the last eight of those years. She was rare as a woman in reaching the pinnacles of mainstream academic success in the historical profession, and she was one of the first writers of women's history. The years when Power taught at the LSE were the most important years in the formation of the discipline of economic history, and during this time she brought a idea to the subject and its method. This idea was generated in her own formative educational and political experiences. Power fostered the development of a comparative and economic history; she integrated economic and social history; and she pursued the comparative method as a special contribution which history could make to social scientific was

interwar years, and she

distinctive

international methodologies.

Power developed her discipline within the framework of medieval history. She avoided the contemporary traditions of legal and constitutional history, and initially followed an inclination toward literary history and the history of religious life. Her early work had a clear political framework in her commitment to the women's peace campaigns of the interwar years. Her book Medieval English Nunneries (1922), her major essays on medieval women's history, Medieval Women (1975), and her Medieval People were conceived and written in this framework. Her social history, which dwelt on themes of comparative and international history, became her response to World War I, and she spread her message in her teaching

the LSE, in debates on history teaching in schools and radio broadcasts to schools, and publishing initiatives in children's history books, including her very popular Boys and Girls of History (1926), written with her sister Rhoda Power. At the LSE Power worked in partnership with R.H. Tawney to develop an extended course structure for economic history, as well as graduate seminars, social science discussion groups, and collaborative research projects. The keynote of Power's teaching was internationalism and comparative history, especially that between the East and the West. In a collaboration with Michael Postan (whom she later married) from the later 1920s she moved economic history forward into discussion with the social especially sociology and anthropology. She developed her comparative method through analogies between current economies, especially China and India and medieval and she drew on the comparative regional studies societies, developed by historians from the German historical school, of the Austrian historian Alfons Dopsch. Her project should be seen as parallel to the work in France of Marc Bloch and Lucien Febvre, founders of the Annales; Bloch and Power recognized the similarity of their goals. Throughout this period Power concentrated on the study of long-distance trade and merchants. The inspiration on which she drew for this work, and the place she saw for it in for the transition out of feudal economic limitations at

sciences,

within the universities and incorporated within broader historical surveys was her creation, but it fell out of academic history after World War II, and re-emerged only in the 1970s. The broad comparative economic and social history informed by sociological and anthropological concepts she sought to foster with projects such as the Cambridge Economic History lost impetus in Britain, and economic approaches took priority. The achievement of social history was attributed to Tawney alone; the combined field with its international dimensions became a lost byway, and eventually a list of disconnected pieces of social history. Women and many men with broader historical interests left the field and turned their to the founding of a separate social history.

taught

antiquarian

attention

MAXINE BERG

underdeveloped

especially

explanations to

capitalist development,

were

provided by

Henri Pirenne.

See also Economic; Knowles; Postan; Social

Biography Eileen Edna Le Poer Power Born Altrincham, Cheshire, 9 January 1889, daughter of a stockbroker Educated at Oxford High School ; Girton College, Cambridge, BA 1910 ; the Sorbonne, Paris ; research student, London School of Economics, 1911-13 Director of studies, Girton College , 1913-21 ; Albert Kahn traveling fellow, 1920-21 ; taught at London School of Economics (rising to professor), 1921-40 Married historian Michael Postan , 1937 Died London , .

.

.

.

.

8

August

1940

.

Pirenne had found in the medieval merchant entrepreneur the

origins of the dynamism which would eventually lead to growth. For Power this position provided further connections between economic history and her internationalist political views. She associated trade and merchants with connection and peace. Her research and publications over this period reflected this search for the origins of merchant capitalism before industrialization. The Cambridge Economic History of Europe, which she co-edited with J.H. Clapham, the first great collaborative project in comparative was economic history; it was also a great international enterprise which succeeded despite World War II. Power's idea of social history from the time she came to the LSE developed away from simply revealing the lives of ordinary people toward offering a historical analysis of social structures. Thus she turned to the analysis of the underlying trends of medieval agrarian society and to comparative commercial and industrial development. This work took social history onto an altogether different plane, and bound it to the new discipline of economic history. She also took a professional attitude to the development of her discipline. She took a major role in the founding of a journal, the Economic History Review; she worked in archives, and started major new archive initiatives, economic

international

the Business Archives Council. She developed research projects, set up her research seminar to pursue these, and left behind a group of research students who, in the following two decades, published work on medieval trade and commercial history. Other students and colleagues she influenced wrote the big books of social history and women's history that were not superseded until the 1970s and 1980s Alice Clark, Dorothy George, Ivy Pinchbeck, Dorothy Marshall, and H.S. Bennett among them. Soon after Power's death the types of history she stood for were no longer central. Women's history as an academic subject such

as

-

Principal Writings Medieval English Nunneries,

c.1275-1535 ,

1922

Medieval People , 1924 Editor with R. H. Tawney, Tudor Economic Documents , 3 vols., 1924

With Rhoda Power, Boys and Girls of History , 1926 Editor with M. M. Postan , Studies in English Trade in the Fifteenth

Century

,

1933

The Wool Trade in English Medieval History , 1941 Editor with J. H. Clapham , The Cambridge Economic History of Europe, vol. 1 , 1941 Medieval Women , edited by M. M. Postan , 1975

Further Reading Berg Maxine The First Women Economic Historians ," Economic History Review 45 ( 1992 ), 308 29 Berg Maxine A Woman in History: Eileen Power, 1889-1940 Cambridge : Cambridge University Press 1996 Melman Billie Under the Western Historian's Eyes: Eileen Power and the Early Feminist Encounter with Colonialism ," History Workshop Journal 42 ( 1996 ), 147 68 "

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,

,

,

-

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,

"

,

,

-

Prado

Júnior,

Brazilian historian

Caio 1907–1990 and publisher

The influence of Caio Prado Junior's historical work remains strong, and in the future he is likely to be remembered not only as one of the greatest Brazilian historians, but also, together with Roberto C. Simonsen (1889-1948) and Celso M. Furtado (b.1920), as one of the founding fathers of economic history in Brazil. Almost a self-taught intellectual and scholar, Prado Júnior was more a man of action than a reading-room academician.

To be sure, he would have liked

and even attempted twice become a university professor, but, mainly for political reasons, this career never opened up for him. The consequent absence of formal pupils and disciples was, however, more than compensated for by the vast readership of his books and by the fundamental contribution of some of them to the formation of several generations of Brazilian historians, economists, and social scientists. During the half century of his active life, from the early 1930s to the end of the 1970s, Prado Júnior published thirteen books. At the beginning of the 1980s, several others were added to them by his son and successor as director of Editora Brasiliense, the publishing house he founded during World War II, but these were merely reprints either of articles or chapters belonging to former books. Chronologically and numerically, the apex of his work was reached in the 1950s. It was also during the 1950s that Prado began the bi-monthly publication of Revista Brasiliense, a political and cultural journal that lasted until the first months of 1964, after which the country remained for twenty years under the rule of a right-wing authoritarian military regime. In that journal Prado published dozens of important and interesting articles. But his best historical books those for which he will most are scattered probably be remembered in the future throughout his lifetime and comprise no more than five titles. His other works included commentaries on new socialist states, products of trips to the Soviet Union, Czechoslovakia, Poland, China, and Cuba. Others represent his writings on philosophy and political economy. The first and last of these were as academic theses, by which Prado attempted without to get a post at the University of São Paulo. success Evolução política do Brasil (Political Evolution of Brazil), his inaugural book, almost at once transformed the author into a celebrity. This was due not only to the novelty at that time in Brazil of its Marxian approach to history, but also and mainly to the work's high historiographical merits. In less than zoo pages, it opened completely new perspectives on the colonial and monarchic periods of Brazilian history (from the discovery in 1500 to the end of the 1880s). In its later it was further enriched by the addition of several other essays written in the 1930s and 1940s that focused on the factors affecting the development of the city of Sao Paulo, historiographical issues, and demographic and treatment of the nature of rural settlement and immigration

-

-

to

intellectual

intellectual

-

-

elaborated -

-

-

-

-

perhaps -

editions,

geographical

sociological patterns. In 1942 Prado

Junior published the book that would come be recognized as his masterpiece, Forrnação do Brasil contemporâneo Colônia. It remains one of the best ever written on Brazil's colonial period, and is Prado Junior's only book to get a full translation into English, as The Colonial Background of Modern Brazil (1967). Concentrating on the last decades of the colonial period, 16 of its 17 chapters, preceded by a short introduction, are grouped into three sets, dealing with patterns of settlement; main economic activities; and social and institutions. A careful reader may discern not only traces of Prado Junior's first book, but also elements of the next one, destined to be his bestseller. The first edition of História econômica do Brasil (The Economic History of Brazil, 1945) was published simultaneously to

political

Portuguese and in Spanish. More than half of the book, and certainly the best part, dealt with the colonial and the periods of Brazilian history. The years of the republic, from 1889 on, were viewed by him as a period of ongoing crisis. For political reasons, Prado Junior always remained rather skeptical on the intensity and outcome of Brazilian industrialization. In his opinion, the main obstacles to the country's economic independence and progress lay, on the one hand, in its rigid social and political structure, and on the other, in the yoke of imperialism meaning not the domination of one nation by another, but the pervading and irresistible influence of the major multinational corporations of past and present days. This point of view appears more clearly in A revolução brasileira (The Brazilian Revolution, 1966). Although being technically a political study (and manifesto) rather than a piece of history, it helps us to understand better the nature and extent in

monarchical

-

of his contribution to the latter. Similar considerations apply to A questão agrária no Brasil (Brazil's Agrarian Problem), the last book issued by Prado himself. Although published in 1979, it contains articles written in the early 1960s. Through them, the author clarified not only the diversified nature and the very high degrees of economic concentration within the iniquitous agrarian structure of Brazil, but also its historical development and the mechanisms of its

perpetuation. TAMÁS SZMRECSÁNYI

See also Holanda; Latin America: National

Biography Caio da Silva Prado Junior Born Sao Paulo, 11 February 1907, to a wealthy family. Studied at the Jesuit high school, Colégio São Luis, then in Eastbourne, England ; received degree, São Paulo Law School (later part of University of São Paulo), 1928 Joined Brazilian Communist party, and traveled to the USSR 1933 ; imprisoned for political activities 1935-37 ; in exile in France, 1937-39 With José Β. Monteiro Lobato founded Editora Brasiliense publishing house, 1942 Elected to state assembly, served briefly before Brazilian Communist party was judicially dissolved, and he was imprisoned again, 1948. Founder/publisher, Revista Brasiliense Jailed several more times, failed to gain an appointment to University of São Paulo, and occasionally fled country Married several times. Died .

.

,

.

,

,

.

.

.

2.4 November 1990

.

Principal Writings Evolução política do Brasil: ensato de interpretação materialista da história brasileira ( Political Evolution of Brazil: An Essay of Materialist Interpretation of Brazilian History ), 1933 ; revised as Evolução política do Brasil e outros estudos ( Political Evolution of Brazil and Other Studies ) URSS: um novo mundo ( USSR: A New World ), 1934 Formação do Brasil contemporâneo: colônia 1942 ; in English as The Colonial Background of Modern Brazil 1967 História econômica do Brasil (The Economic History of Brazil ), ,

,

1945

Dialética do Conhecimento (Dialectic of Knowledge), 2 vols., 1952 Diretrizes para urna política econômica brasileira ( Directives for a Brazilian Economic Policy ), 1954 Notas introdutórias à lógica dialética ( Introductory Notes to Dialectic Logic), 1955 Esbôço dos fundamentos da teoria econômica brasileira ( Sketch of the Foundations of Brazilian Economic Theory), 1957 O mundo do socialismo ( The World of Socialism ), 1962

A revolução brasileira (The Brazilian Revolution ), 1966 O estruturalismo de Lévi-Strauss: O marxismo de Louis Althusser ( The Structuralism of Lévi-Strauss: The Marxism of Louis Althusser ), 1971 Historia e desenvolvimento: a contribuiçâo da historiografia para a teoria e a prática do desenvolvimento hrasileiro ( History and Development: the Contribution of Historiography to the Theory and Practice of Brazilian Development ), 197z A questão agrária no Brasil ( Brazil's Agrarian Problem ), 1979

Further Reading Araújo Braz José de

"

Caio Prado Júnior e a questão agrária no ( Caio Prado Junior and the Agrarian Problem in Brazil ), Temas de Ciêncas Humanas 1 ( 1977 ), 47 89 Iglésias , Francisco , ed., Caio Prado Júnior: História , Sao Paulo : ,

Brasil

,

"

-

Atica ,

1982

' Maria Angela d , ed., História e ideal: ensaios sobre Caio Prado Júnior ( History and Ideal: Essays on Caio Prado Júnior ), São Paulo : Editora Brasiliense , 1989 " e cultura: Caio Limongi , Fernando P. , Marxismo, nacionalismo " Revista Brasiliense ( Marxism, Nationalism, and Prado Júnior e a Culture: Caio Prado Júnior and the Revista Brasiliense ) Revista Brasileira de Ciencias Sociais 5 ( 1987 ), 27 46 " " Novais , Fernando Α. , Caio Prado Júnior na historigrafia brasileira ( Caio Prado Júnior in Brazilian Historiography ), in Reginald Moraes , Ricardo Antunes , and Vera B. Ferrante , eds., Inteligencia Brasileira , Säo Paulo : Editora Brasiliense , 1986

Incao ,

-

Prebisch, Argentine

Raúl

1901–1986

economist

Raúl Prebisch

was one

of the

most

important Argentine

of the20th century. He drew his critique of Argentina's economists economic problems from a historical analysis of the shaping of economic relations in the modern world. This assessment focused particularly on the role of technology in maintaining some regions as peripheral. His analyses have been widely used by historians examining modern economic systems. Prebisch took up the subject at a very early age. His first writings date from 1918 and he quickly rose through the ranks. As a teacher during the 1910s he believed firmly in neoclassical theories. His career led him to responsible in public administration: he was appointed deputy director of statistics, where he introduced improvements to the system as a result of his experience abroad; and he later set up a department of economic research at the Argentine National Bank, and was its first director. Under his leadership, the department published a systematic analysis of the state of the country, which set forth for the first time the thesis of the deterioration in the terms of trade caused by international between developed and underdeveloped countries. Later, Prebisch took an active part in the creation of the Central Bank and in drawing up its constitution. In 1943, he was forced to resign by the military government that had taken power. From 1930 to 1943 Prebisch was a leading figure in Argentina's economic policy. He organized and led a think tank with members from broad sections of society, which gave shape to that policy, and with intelligence, wisdom, and prudence he made it possible to avoid the worst consequences of crisis and to achieve a rapid recovery. The Great Depression and World War II were critical events for capitalism, and Prebisch's

academic positions

dealings

attempts

to

deal with such

events

from the perspective of

neoclassical economics led him have serious doubts about the to

effectiveness of these theories when applied to reality. This was the start of a long period of "heresies," when he tried to explore new ideas in the field of economic development. Prebisch was a shrewd observer of reality, and with his broad theoretical knowledge but without preconceptions he established his analysis. Using this analysis with great imagination, he designed a set of measures, taking into consideration the problems of development and an equitable balance of the consequences for the different social groupings, especially the most vulnerable. The changing reality and the widening of his own meant that his thinking was dynamic and passed through a number of phases. After he had to leave the Central Bank and later his university post for political reasons, in 1949 he joined the United Nations Economic Commission for Latin America (ECLA). From then on, his experience of Argentina and his theories about the causes of underdevelopment took on a greater maturity and widened to Latin America as a whole. His first work at ECLA was the Economic Report of 1949. This and other studies presented to the traditional school a lucid analysis and a range of suggested options. His primary concern was to determine the modes of the spread of technological progress, which originated in Britain and spread through Europe with varying degrees of intensity, and to the United States with particular vigor. Around the centers there grew up a vast and heterogeneous periphery that received only a minor part of the improvements in productivity. Between these two distinct areas there developed a mode of production that may be described as an international division of labor, in which one part of the system is involved in industrial production and the other part is involved in the production of foodstuffs and raw materials. To a greater or lesser extent the periphery is restricted according to its ability to satisfy the center's needs for those goods in its process of production. Under such conditions, progress seeps through to the periphery in an irregular fashion, which creates distortions in the productive system and produces inequalities in the productivity and income of different economic sectors and regions. This analysis puts paid to the supposed universality of the doctrine that maintains that by means of international trade, the fruits of technological progress tend to spread evenly throughout the whole system. That may be true for the center, but not for the periphery. Associated with this is low productivity and its consequence, the diminished savings and the precarious standard of living of the masses. This conclusion led Prebisch directly to his ideas about the worsening of terms of trade and the overriding on the process of accumulation of capital in the periphery. In this lies the main justification for Prebisch's proposal for industrialization in the peripheral countries. It is not a goal in itself, but rather the only means to obtain the benefits of technological progress and the improvements in the standard of living. From this analysis there followed other proposals: previously imported industrial goods should instead be manufactured domestically, under the protection of a light import tariff, assisted by a larger geographical area for trading between Latin American countries, created by means of common markets that would allow production on a larger scale more suited to the available technology. Indeed, in his report of 1949 Prebisch stressed the need for integration, and a few -

-

experience

technological

repercussions

years later he was one of the creators of the Central American Common Market and the Latin American Free Trade Association. This indicates the need for

planning

to correct

the

imbalances created by the allocation of resources based on market forces, and allows growth to accelerate and maintain its pace, improves the distribution of income, and balances investments between those that lay off workers and those that employ them. After serving for a long period at the Economic Commission for Latin America, in 1963 Prebisch became secretary general of the recently created UNCTAD. His duties did not allow him to undertake theoretical research, but all the experience that he had acquired in the preceding years enabled him to present a complete range of recommendations on economic policy that were the starting point of the debate between the member countries. This was the beginning of the North-South dialogue, but rather than a dialogue it was and still is a series of parallel monologues that do not lead to concrete action regarding the basic problems of international cooperation, which are, in Prebisch's own words, foreign trade, finance and

exclusively

-

"

Cinco etapas de mi pensamiento sobre el desarrollo " ( My Five Levels of Thinking on Development), Trimestre Económico 50

( 1983 ),

1077

-

96

La crisis del desarrollo argentino: de la frustración al crecimiento vigoroso (The Crisis of Argentine Development: From Frustration to Strong Growth ),, 1986 Raúl Prebisch: obras completas, 1919-1948 , 4 vols., 1991-93

[collected works] Further Reading Homenaje a Rául Prebisch ( Homage to Raul Prebisch ), Mexico City : Centro de Investigación y Docencia Económicas, Colegio Nacional de Economistas , 1989 Marco , Luis Eugenio di , ed., International Economics and Development: Essays in Honor of Raúl Prebisch , New York : Academic Press , 1972 .

-

Prehistory

technology.

Prehistory

In his later years, Prebisch was in charge of the journal of the Economic Commission for Latin America, where he made

appearance of written

contributions and

published

interesting analysis in Capitalismo periférico (Capitalism on the Periphery, 1981), in which he incorporated social and political aspects related to changes in the power structure into his economic approach, and provided an analysis of a new form of structural inflation. All his ideas have been widely employed by historians. OSCAR JULIAN BARDECI new

See also

Cardoso;

a

very

Latin America: National

Biography Born Tucumán province, Argentina, 17 April 1901 Attended school in the provinces of Tucumán and Jujuy; studied at Faculty of Economic Sciences, Buenos Aires , from 1918 ; scholarship in Australia and New Zealand to study the taxes on yields in agricultural countries Taught in Faculty of Economic Sciences, University of Buenos Aires Married 1) Adela Moll ; 1) Eliana Diaz , 1962 (1 son). Died Santiago, Chile , 29 April 1986 .

.

.

.

Principal Writings Introducción a Keynes ( Introduction to Keynes), 1947 El desarrollo económico de América Latina y sus principales problemas , 1949 ;; in English as The Economic Development of Latin America and Its Principal Problems , 1950 Crecimiento, desequilibrio y disparidades: interpretación del proceso de desarrollo económico (Growth, Imbalance, and Difference: An Interpretation of the Process of Economic Development), 1950 Problemas teóricos y prácticos del crecimiento económico (The Theoretical and Practical Problems of Economic Growth ), 1951 Hacia una dinámica del desarrollo latinoamericano con un apendice sobre el falso dilema entre desarrollo economico y estabilidad monetaria (Toward a Dynamic of Economic Development, with Appendix on the False Dilemma Between Economic Development and Monetary Stability ), 1963 Transformación y desarrollo, la gran tarea de America-latina , ζ vols., 1970 ; in English as Change and Development: Latin America's Great Task , 1971 Capitalismo periférico: crisis y transformación ( Capitalism on the Periphery: Crisis and Transformation ), 1981

is the

long period of the human past prior to the records, a period that can be only using the techniques of archaeology and associated disciplines. Prehistory may be said to begin with the evolution of

reconstructed

the first hominids in Africa about 5 million years ago, although the archaeological record is practically nonexistent before stone tools were manufactured from around 2.5 million years ago. Prehistory ended soon after 3000BCE in Mesopotamia but until the 1930s in highland New Guinea. The term préhistorique was used in 1833 by a French amateur geologist, Paul Tournai, and related terms have been confirmed in several other European languages in the 1830s and 1840s. The English word "prehistory" appears to have been coined, perhaps independently, by the Scottish antiquarian Daniel Wilson (1816-92) in his book The Archaeology and Prehistoric Annals of Scotland (1851). The term was by John Lubbock in his bestselling Pre-historic Times (1865). However, the concept of a period of human history completely unrelated to the documentary sources was a one, particularly in countries where religious beliefs were linked to the traditional written chronologies, and of what Glyn Daniel has called the "idea of prehistory" was a slow process. Gina Barnes recently noted that "one of the prerequisites in forming a pre-historical view of humankind was the acquired psychological ability to deal with the literary 'namelessness' of the people and places revealed through archaeological exploration." Another problem was how to interpret the apparently slow rate of change in prehistory. In the late 19th and early 10th centuries, prehistory was by social evolutionism that served to deny the historicity of "primitive" peoples. If all societies evolved in the same sequence from primitive to civilized, then it followed that hunter-gatherer groups who still used stone tools had hardly evolved at all and could be studied in the present by It was only with the slow realization that apparently primitive societies, such as those in the New Guinea highlands, had in fact experienced considerable historical changes that a more dynamic view of prehistory developed. Despite such advances, the concept of prehistory continues to remain controversial because of doubts over the utility of

continued

popularized

revolutionary

acceptance

dominated

ethnographers.

the

split between prehistory and written history. Prehistoric archaeology cannot be said to have developed as a completely separate field within archaeology since many of the techniques and theories applied to historical archaeology are also used in prehistory. Differences between the period and region studied have usually been more important than the divide between and history per se. The major difference between prehistory and history is one of approach: in prehistory the and the event are invisible and only long-term processes of historical change can be reconstructed. While prehistory is thus in fact a different level of history, that difference has often been seen as the result of primitive, unchanging societies and in all historiographic traditions prehistory is still regarded as a poor cousin to "proper" written history. In this respect, a distinction needs to be made between countries in which there is a perceived basic continuity between the prehistoric and historic epochs and those in which the end of prehistory with the arrival of (mainly European) colonial settlers. In the former countries China, Japan, and much of Europe and West Asia prehistory can be approached in terms of national history, whereas in the case of countries such as Australia and the US history was long seen as the story of white settlement and aboriginal (pre)history was largely confined to As a result, in North America archaeology developed as a branch of anthropology with a strong antihistorical bias that reached its peak in the New Archaeology of the 1960s. In an influential paper on the Classic Maya collapse, for example, Binford argued that this event could be explained only in terms of universal laws of human behavior. Few if any Western would now take such an extreme position, but it is still widely believed that prehistory should be a universally applicable generalizing science, a position that Glover (1993) has argued is alien to scholars in many non-Western countries who are mainly interested in the distinctive aspects of their national pasts. Like archaeology, prehistory began first in Europe. Although to Japan, for it spread quite rapidly to some countries example, by the 1870s it is not until after World War II that we can begin to speak of a truly global prehistory. The of radiocarbon and other scientific dating techniques in the 1950s revolutionized the field, making it possible to date cultures that lay outside the chronological or spatial borders of the ancient literate civilizations. One notable result was a completely new understanding of the prehistory of Australia and the Pacific as symbolized by Mulvaney's The Prehistory of Australia (1969) and Bellwood's Man's Conquest of the Pacific (1978). Another major postwar achievement was the confirmation that Africa rather than Asia was the original cradle of humankind. Grahame Clark's World Prehistory (1961) was an influential summary of the new global scope of the field. During the 1980s and 1990s there was growing debate over the political implications of the concept and conduct of prehistory particularly with respect to non-Western countries. At the same time, developments in genetic following the discovery of the molecular clock in the 1960s have continued to transform the study of human and early prehistory.

prehistory

individual

however, coincided -

-

ethnography.

prehistorians

-

-

development

anthropology

evolution MARK See also

Archaeology; Trigger

J.

HUDSON

Further Reading Bailey Geoff Concepts of Time in Quaternary Prehistory," Annual Review of Anthropology 12 (1983 ), 165 92 Barnes Gina L. The 'Idea of Prehistory' in Japan," Antiquity 64 ( 1990 ), 929 40 Bell wood Peter Man's Conquest of the Pacific: The Prehistory of Southeast Asia and Oceania Auckland and London: Collins, and New York : Oxford University Press 1978 "

,

,

-

"

,

,

-

,

,

,

,

"

Binford , Lewis R. , Some Comments on Historical versus Processual Archaeology," Southwestern Journal of Anthropology 24 ( 1968 ), 267 75 -

"

Chippindale Christopher The Invention of Words for the Idea of 'Prehistory'," Proceedings of the Prehistoric Society 54 { 1988 ), ,

,

-

303 14

Clark , Grahame , World Prehistory: An Outline , Cambridge and New York : Cambridge University Press , 1961 ; revised 1969 Clark , Grahame , Space, Time and Man: A Prehistorian's View , Cambridge and New York : Cambridge University Press , 1992 Daniel , Glyn , 150 Years of Archaeology , London : Duckworth , 1950 ; revised 1976 Daniel , Glyn , and Colin Renfrew, The Idea of Prehistory , 2nd

edition, Edinburgh : Edinburgh University Press 1988 [ist edition, by Daniel only, 1962 ] Gamble Clive ed., Uttermost Ends of the Earth ," special section of Antiquity 66 ( 1992 ) Gamble Clive Timewalkers: The Prehistory of Global Colonization Stroud: Sutton, 1993 Cambridge, MA : Harvard University Press ,

"

,

,

,

,

,

,

,

1994

Glover, Ian ,

"

Other

Peoples'

Pasts: Western

Archaeologists

and Thai

Prehistory," Journal of the Siam Society 81 ( 1993 ), 45 52 Grayson Donald K. The Establishment of Human Antiquity New York : Academic Press 1983 Lubbock John Pre-historic Times, as Illustrated by Ancient Remains, and the Manners and Customs of Modern Savages London: Williams and Norgate, 1865 ; New York : Appleton 1872 Mulvaney Derek John The Prehistory of Australia London: Thames and Hudson, and New York : Praeger 1969 ; revised 1975 Trigger Bruce G. Beyond History: The Methods of Prehistory New York : Holt Rinehart 1968 Trigger Bruce G. and Ian Glover eds., Regional Traditions of Archaeological Research ," special issues of World Archaeology 13 / 2-3 (1981-82) Trigger Bruce G. A History of Archaeological Thought Cambridge and New York : Cambridge University Press 1989 Wilson Daniel The Archaeology and Prehistoric Annals of Scotland Edinburgh: Sutherland and Knox 1851 _

,

,

,

,

,

,

,

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,

,

,

,

,

,

,

,

"

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,

,

,

,

,

,

,

,

,

,

Prescott, William US historian of

H.

1796–1859

imperial Spain

and Latin America

William Hickling Prescott occupies a unique position in the historiography of Spain and Latin America. He was one of the first American writers seriously to study the history of Spain and Latin America, and he did so with such success that his works continue to influence the understanding of these subjects today. Best known for his grand narrative histories of the conquests of Mexico and Peru, he also wrote biographies of Ferdinand and Isabella and of Philip II that in many ways have yet to be surpassed. Writing in the 1830s and 1840s Prescott was enveloped in the romantic view of history. His works display a keen grasp of the narrative and dramatic potential of the historical and vividly characterize the personalities of the main actors of the time. For Prescott, the consolidation of the

situation

Spanish crown under Ferdinand and Isabella, Spain's rise to imperial greatness under Charles V and Philip II, and the conquest of the Aztec and Inca empires by the force of Spanish became a stage upon which the heroic dimension of the human character could be explored. He took as his task the depiction of the events of Spanish history as "an epic in prose, a romance of chivalry." Within this context he sought to depict the conditions of the human struggle with destiny and self-determination, and saw in these events confirmation of his belief that morality and civilization (both understood as subsets of Christianity) ultimately triumphed over the decadent forces of sensuality and barbarism. Prescott's great accomplishment was to combine the skills of a novelist with the documentary discipline that lies at the core of modern historical scholarship. He understood how to bring the events of the past to life and to engage the reader's imagination and feeling as well as his or her intellect. In this regard he has few equals in the whole corpus of modern writing, and is unique within the field of Iberian history. It is this quality of his work that transcends the vagaries of historical fashion and gives it a lasting significance. Prescott came to the study of Spanish history through the influence of his teacher and friend, George Ticknor. Burdened by weak eyesight, the result of having been hit in the eye with a piece of bread during a college brawl, he toiled for almost ten years on his History of the Reign of Ferdinand and Isabella (1838). To avoid further weakening his eyes, his secretary would read to him in a darkened room while Prescott made notes on a noctograph, a device that enabled him to write without looking at the page. Because of the difficulty of writing he would compose his chapters in his head, holding and refining the prose in his memory until he was ready to put the words on paper in their final form. In many ways Ferdinand and Isabella acted as a prelude to his subsequent and more famous work on the conquests of Mexico and Peru. In this study he discovered the dramatic themes of the transformation of a nation from the bonds of semibarbarism and chaos into the foremost power of Europe; a power, moreover, confident in its mission to spread the related goods of Christianity and civilization. These themes were to be worked over in much more detail in The History of the Conquest of Mexico (1843). His most well-known work and by most critical accounts his best, it is tightly structured around the dichotomies that Prescott perceived to exist between the Aztecs and the Spaniards. In his narrative he emphasized the moral weaknesses of Aztec religion in contrast to the moral superiority of Christianity; the strength of character of Cortés in contrast to the vacillation and of Montezuma; and the inevitable triumph of civilization over the barbarism of the native peoples. Throughout his of these contrasts Prescott used vivid descriptive language to convey a sense of place and to heighten the of the drama. The Conquest of Mexico is particularly effective because of the unity of its theme the events possess all the necessary character of the epic drama and because of the character of its centra! actor, Hernando Cortés. For all the ambivalence that the personality of Cortés has aroused over the years, he possessed a stature and that readily lend themselves to hyperbole and Prescott capitalized on this raw material and placed arms

historical

sensuality

development immediacy themselves

heroic role, making of him the lens significance of the events were refracted. While The History of the Conquest of Peru, finished in 1846, carries through the same themes as those developed in The Conquest of Mexico, and possesses the same rhetorical and documentary solidity, this later work lacks some of the dramatic unity of the earlier. The contrast between the two is primarily the result of the different character of the events in

Cortés in the

pivotal

through which

the

Peru and of the actors who

them about. Whereas Pizarro had been "more of a gentleman and less of a bandit." Also, where the events in Mexico fit Prescott's concept of European the post-conquest turmoil in Peru was difficult to reconcile with this image. But despite these shortcomings, The Conquest of Peru holds its own as a solid piece of history and provides a necessary complement to the narrative from Mexico. On completing The Conquest of Peru, Prescott turned his attention back to Spain itself, producing a 3-volume study of the life and reign of Philip II and writing a new conclusion to Robertson's History of the Reign of the Emperor Charles V. A fourth volume of Philip II was left uncompleted at Prescott's death. A forceful narrative of the political and military of the Spanish empire at the moment of its apogee and the imminence of its decline, Philip II further demonstrated Prescott's dramatic skill. It also continued the documentary rigor that marked his previous works. Making an assessment of Prescott and his works is a difficult task. He has unquestionably exerted a influence on the writing of Iberian history from the time of his first publication up through the mid-20th century. But his work is marked by a number of cultural biases that require, at the least, the sympathetic indulgence of the modern reader, and for many people these biases undermine the effectiveness of his narrative. For all his interest in the events of the conquest of America, Prescott exhibits little understanding of the value of the historical experience of the Latin American people. His point of departure was almost exclusively Eurocentric. The pre-conquest Inca and Aztec cultures were analyzed in categories derived from the Christian understanding of the ancient Mediterranean pagan past, and, for Prescott, possessed few inherent virtues that would make their destruction a morally ambiguous event. Also, despite his sympathy for the Spanish culture, his Protestant of Catholicism as an inferior and essentially superstitious form of Christianity colors his perceptions and descriptions of the characters of his histories. But if these biases, characteristic as they were of early 19th-century America, can be overlooked, and if his romantic methodology can be appreciated for its strengths, his works continue to provide a model of stimulating historical writing a triumph of the combination of scholarship with an effective literary intuition. Prescott

brought

clearly admired Cortés, he wished that

transcendence,

achievements

somewhat

considerable

understanding

-

documentary

LINCOLN A. DRAPER See also Latin America:

Colonial; Spain: Islamic; Spain: Imperial

-

-

competence

idealization.

Biography William Hickling Prescott Born Salem, Massachusetts, 14 May 1796 Attended Harvard University where he was partially blinded in an accident outside a dining hall. Independent means allowed him to research and write. Married Susan Amory, 1820 (2 sons, 1 daughter) Died Boston , 28 January 1859 .

.

.

.

Principal Writings History of the Reign of Ferdinand and Isabella 2 vols., 1838 The History of the Conquest of Mexico, with a Preliminary View of the Ancient Mexican Civilization, and the Life of the Conqueror, Hernando Cortez 3 vols., 1843 Biographical and Critical Essays 1845 The History of the Conquest of Peru, with a Preliminary View of the Civilization of the Incas 2 vols., 1847 The History of the Reign of Philip the Second, King of Spain 3 vols., 1855-58 The Complete Works of William Hickling Prescott 16 vols., 1863-86 ,

,

,

,

,

,

Further

Reading

Cline , Howard F. , C. Harvey Gardiner, and Charles Gibson , eds., William Hickling Prescott: A Memorial , Durham, NC : Duke University Press , 1959 " Costeloe , Michael P. , Prescott's History of the Conquest and Calderón de la Barca's Life in Mexico: Mexican Reaction, 1843-1844," The Americas 47 ( 1991 ), 337 48 Cruz , Guillermo Felix , El imperio español y los historiadores norteamericanos ( The Spanish Empire and the North American Historians ), 2 vols., Santiago : Ediciones de los Anales de la Universidad de Chile , i960 Darnell , Donald , William Hickling Prescott , Boston : Twayne , 1975 Gardiner, C. Harvey, William Hickling Prescott: An Annotated Bibliography of Published Works, Prepared for the Library of Congress , Washington, DC : Library of Congress Hispanic Foundation , 1958 Gardiner, C. Harvey, William Hickling Prescott: A Biography , Austin : University of Texas Press , 1969 " Humphreys , R. A. , William Hickling Prescott: The Man and the Historian ," Hispanic American Historical Review 39 ( 1959 ), 1 19 Levin , David , History as Romantic Art: Bancroft, Prescott, Motley, and Parkman , Stanford, CA : Stanford University Press , 1959 " Peters , Edward , Henry Charles Lea and the Abode of Monsters," in Angel Alcalá , ed., The Spanish Inquisition and the Inquisitorial Mind , Boulder, CO : Social Science Monographs, 1987 Ticknor, George M. , Life of William Hickling Prescott , 1864 -

-

Procacci, Giuliano Italian

political

It is difficult to

historian Procacci's main interests as an the resistance movement

very young age he in the Belluno district in northern a

transformation, institutional

agricultural

structure

historical

1926–

classify historian. joined At

phase of his scholarly activity, he published Classi sociali e monarchia assoluta nella Francia della prima metà del secolo XVI (Social Classes and Absolutism in France in the First Half of the 16th Century, 1955) and began to research the figure of Machiavelli. His studies on the International movement, the history of the industrial working classes, and of socialism were more closely tied to his interests as a militant communist. In this respect in the 1970s his interests focused in particular on the period from the Italian general election of 1874 to the strikes of 1904 and the international opposition to the fascist invasion of Ethiopia. His studies of class struggle in Italy at the beginning of the 20th century shed light on a social class which for the first time took a leading role in Italy during the Giolitti years, and linked the history of the working classes to that of the economic development of the country. Procacci wrote about the social history of Italy in a period of where the whole society, especially the old and economic sectors, had to confront the new entity constituted by the working classes. Procacci's unique approach consisted in investigating the structure of industrial and workers' organizations, by analyzing the processes of their creation and the training of their cadres. In the early 1960s he published works on Labriola and Karl Kautsky and began to research the history of the Soviet Union. His writings on the debate that took place in the USSR after the death of Lenin between Trotsky, Bukarin, Zinoviev, and Stalin, represented a real novelty in the cultural climate of those years. The same can be said of his study of the USSR Communist party's Statute of 1934, which revealed the of Soviet power at the beginning of Stalinism's last phase. The final stage of the historical development of the USSR and its Communist party were again analyzed by Procacci in the last part of his career. The Ethiopian war was another topic that Procacci treated with great originality in the 1970s and in the 1980s. His new approach (neglected so far by other historians} to the study of socialism and decolonization consisted of analyzing that period from the point of view of the prewar anticolomalist movements, the Third World, and the International movement. The outcome of his research was provocatively entitled: Dalla parte dell'Etiopia (On the Side of Ethiopia, 1984). This reassessment of a much worked-over topic from a fresh point of view represents Procacci's most mature work, although the one with which he is most identified is his Storia degli Italiani (1969; History of the Italian People, 1970). This is another very innovative work, first because it analyzed the social history of a people over a very long span of time, and second, for its emphasis on the continuity of Italian culture, an indispensable element in the formation and definition of European According to Procacci that continuity began well before the advent of the Respublica Christiana, the new form of European vitality that dawned at the beginning of the second millennium, and of which Italy was an integral part, its origin going back to Etruscan and Greek pre-Roman Italy. Procacci stressed, together with other historians, the continuity of administrative structures, and regional balances, which neither the Christian revolution nor the modern era was able to overcome, and that still constitute the connective tissue of Italian society. Procacci pointed to deep-rooted "agrarian as one of the basic permanent features of the history

Italy. He studied in Florence in Carlo under Morandi, Naples under Federico Chabod at the Istituto per gli studi storici, in Paris at the Centre National de la Recherche Scientifique, in Milan at the Istituto Feltrinelli, and finally in Rome. His professional development took him from Renaissance and early modern history to an increasing interest in and knowledge of 20th-century issues, particularly the history of the industrial working classes. His oeuvre and his uninterrupted activism in the Italian Communist party, accompanied by his independence of opinion, prompted Eric Hobsbawm to remark that Procacci was one of those Italian communist historians who consistently practiced historical Hobsbawm's comparison is with research, while others returned French communists engaged in Stalinist militancy to professional rigor only after the fall of communism. Procacci is one of the most versatile and cultured MarxistGramscian scholars of his generation. In the 1950s, in the first -

-

civilization.

property,

individualism"

of the Italians, limitation and strength of what Procacci termed the "country of Pulcinella."

ironically

GENNARO CAROTENUTO

See also De Felice

Born Assisi, Perugia, 20 December 1926 Educated at the universities of Florence, Naples, Paris, Milan, and Rome. Fought in the resistance during World War II Professor, University of Cagliari , 1966-69 ; and University of Florence , from 1969 .

.

.

Principal Writings Classi sociali e monarchia assoluta nella Francia della prima metà del secolo XVI ( Social Classes and Absolutism in France in the First Half of the i6th Century), 1955 Studi sulla fortuna del Machiavelli (Essays on the Fortune of Machiavelli ), 1965 Storia degli Italiani , 2 vols., 1969 ; in English as History of the Italian People , 1970 La lotta di classe in Italia agli inizi del secolo XX ( The Class Struggle in Italy at the Beginning of the 20th Century), 1970 Il socialismo internazionale e la guerra d'Etiopia ( International Socialism and the Ethiopian War ), 1978 The Italian Working Class from the Risorgimento to Fascism , 1979 Dalla parte dell'Etiopia: l'aggressione italiana vista dai movimenti anticolonialisti d'Asia, d'Africa, d'America ( On the Side of Ethiopia: The Italian Aggression as Seen by the Anti-Colonialist Movements of Asia, Africa, and America ), 1984 Machiavelli nella cultura europea dell'età moderna ( Machiavelli in the European Culture of the Modem Age ), 1995

Procopius

c.50 –after

542

historian

Procopius was one of the greatest historians of the Byzantine empire. Living in the reign of Justinian (527-65), he wrote a series of eight books describing the wars waged by that emperor against the Persians, Vandals, and Ostrogoths, many of which he witnessed in the company of the general Belisarius. His other surviving works are a hostile portrayal of aspects of the reign of the emperor and his wife Theodora, and an account of the buildings which Justinian could be given credit for

having

sometimes

impossible

Biography

Byzantine

had been lost to imperial power during the 5th century were reconquered, and Procopius must have been full of enthusiasm as he began the task of writing their history. Indeed, he tampered with the facts to make the successes seems greater than they were. But the victories that had carried the imperial armies relentlessly forward in the 530s proved to sustain as the enemies of the empire, in particular the Ostrogoths, struck back. So it was that, as the writing of his long work proceeded, Procopius found himself looking with increased favor on Justinian's enemies and making the best of a topic he found increasingly distasteful. It was against this background that Procopius composed, in 550, another, darker work, in the classical tradition of diatribe. Usually known in English as the Secret History, its Greek title, Anecdota, is better translated Unpublished, and it is easy to see why its author would have wished it to be kept under wraps. He begins by asserting that while the actors he described in the Wars were still alive he was afraid to tell the truth, a claim that that he planned to publish the work after the deaths of Justinian and Theodora. The story he now told is famous for its pornographic descriptions of the empress Theodora, its that Justinian was a demon, and the depiction of the emperor and Belisarius as controlled by their wives. Perhaps we have to deal here with the prejudices of a landowning class that turned against the government because of what it considered oppressive taxation as well as disillusionment with the wars. The starkness of the judgments in this book and their apparent incompatibility with those of the Wars are striking. But some years later Procopius wrote another book, one redolent of panegyric. Like many other emperors, Justinian was an enthusiastic constructor of buildings, and the destruction caused by the Nika riots of 532 in Constantinople gave him the opportunity to rebuild much of his capital city. So it was that Procopius found himself writing the Buildings, an account of the buildings erected by the emperor in Constantinople and over much of the empire. But his attribution of buildings to Justinian was generous, and such details as his crediting Justinian with the solution of a problem in the building of Hagia Sophia which baffled its highly qualified architects reveal a determination to present him positively, at whatever cost to credibility. It is possible that this book was commissioned by Justinian. That Procopius' books point in such different directions is disconcerting. In the Wars Justinian is described as the of wars of major historical significance which began remarkably well but steadily went bad; in the Anecdota he is seen as the prince of demons; while in the Buildings he acts in the public interest under divine inspiration. These differences owe something to the different genres in which Procopius found himself writing, but they also reflect changes in his views. Whatever the interest of his other writings, the Wars stands as his major historical work. If lacking in analysis, it is a detailed piece of military history, the work of one who was an eyewitness of much of what he recounts. For centuries the copious the work provides led to its being given a privileged place in accounts of the reign of Justinian, and while its centrality may now be challenged by non-narrative sources, it remains a necessary means of approaching the 6th century.

erected.

Byzantine scholars, Procopius affected a traditional form of writing. The opening words of his Wars of Justinian echo phrases that Herodotus and Thucydides had used over a thousand years earlier when beginning the works in which they described the great wars of Greek and they suggest the company to which Procopius thought he and his subject belonged. His tendency to avoid explicitly Christian vocabulary has sometimes been held to suggest that he was not a Christian, but it is now believed that he avoided such words because they were not employed by the classical authors he looked to as models. Similarly, in including speeches purportedly given by generals and other characters, he imitates a practice of classical historians. The account Procopius provides of the early years of Justinian's wars is positive and full of optimism. These were heady days, in which large areas of Roman territory which Like many

remarkably antiquity,

suggests

allegations

instigator

information JOHN See also Byzantium; Eastern

Orthodoxy

MOORHEAD

Biography Procopius or Prokopios. Born Caesarea, in Palestine, c.500, to a wealthy family. Educated classically Served as secretary/aide to general Belisarius, accompanying him on his Persian, North African and Italian campaigns 527-40 ; probably settled Constantinople, .

,

c.542. Date of death unknown

.

PAUL

Principal Writings Justinian's Buildings

,

553—55

Works (Loeb edition), translated by H. B. Dewing, 7 vols., 1914-40 History of the Wars, Secret History, and Buildings , translated by Averil Cameron , 1967

Further Reading Cameron Averil Procopius and the Sixth Century London: Duckworth, and Berkeley : University of California Press 1985 Evans James Allan Stewart Procopius New York : Twayne 1972 Moorhead John Justinian London and New York : Longman ,

,

,

,

,

,

,

,

,

1994

Rubin , Berthold , Prokopios

von

RICH

Further

Reading

Bidwell , Robin , 5

"

The Political Residents of Aden ," Arabian Studies

( 1979 ) '

Fischer , David , Historians Fallacies: Toward a Logic of Historical Thought, New York: Harper, 1970 ; London : Routledge , 1971 Himmelfarb , Gertrude , The New History and the Old , Cambridge, MA : Harvard University Press , 1987 Namier, Lewis , The Structure of Politics at the Accession of George III, London: Macmillan, 1929 ; New York : St. Martin's Press ,

,

,

,

JOHN

See also Namier

History of the Wars of Justinian, 550/1-554/5 Secret History , 550/1 On

Since Namier's time the technique has not featured in the mainstream of historical This is unfortunate, because when the subject of study fits the criteria of not being too voluminous and of being fairly welldocumented, it is a highly productive research tool.

prominently writing. neglect

Kaisareia , Stuttgart: Druckenmüller,

1954

Tinnefeld , Franz Hermann , Kategorien der Kaiserkritik in der byzantinischen Historiographie von Prokop bis Niketas Cboniates , Munich : Fink , 1971 Ure , Percy Neville , Justinian and his Age , Harmondsworth : Penguin ,

1957

Neale , R. S. , Class and Ideology in the Nineteenth Century, London :

Routledge

,

1972

Neale , R. S. , History and Class: Essential Readings in Theory and interpretation , Oxford : Blackwell , 1983 Potter, David C. , India's Political Administrators, 1919-1983 , Oxford and New York : Oxford University Press , 1986

1951

Protestantism

Prosopography Prosopography, which is collective biography spiced with analysis, is closely associated with the problems of causality and the writing of "scientific" history. Categories are created, and should biographical research reveal that the subjects in a group were Puseyites or Rotarians, or attended Oxford, or came from Devon, the implications can be explored. At the heart of successful prosopography is taking care as to which categories of information are to be gathered, as it will be difficult in the middle or the end of a study to go back and look for information for those that were missed. For example, the decision to omit as categories the place of death or church where confirmed, if they took on importance after the work was all done, might be irrevocable because country registers could not be searched again. Lewis Namier (1888-1960) in The Structure of Politics at the Accession of George III (1929) and other works on British parliamentarians demonstrated the technique's effectiveness, but prosopography's proponents have often been attacked for claiming too much on basis of the study of too small a The inherent problem is that prosopography is necessarily limited in the size of group that can be studied. The selection can be nonrepresentative and too small, but biographical analysis of large groups not only requires enormous resources but often is inconclusive. One of the best uses of prosopography is for the study of an elite group, such as the members of a legislature or club. A good example is R.S. Neale's Class and Ideology in the Nineteenth Century (1972) which the governors and executive councilors of the Australian colonies in 1788-1856.

considerable

selection.

examined

The term "Protestant" may be traced back to the Imperial Diet of Speyer in 1529, when adherents of the early German Reformation refused to bow to the religious demands of the emperor Charles V and vigorously "protested" their faith. This "protestation" (from the Latin protestari to testify) was a positive testimony to the "Gospel" or the "Word of God," rather than a negative "protest against errors," though a sharp critique of the contemporary church was a natural corollary of their emphatic declarations. Over time, however, Protestantism has developed into a comprehensive descriptive term embracing broadly all those Christian churches and groups which derived their origins as separate communities directly or indirectly from the Reformation of the16th century which permanently divided the Western Catholic church. In Continental Europe two distinctive patterns of Protestant the "Evangelical" and the Christianity emerged early "Reformed" deriving from the movements associated on the one hand with the German reformer Martin Luther, and on the other with the Swiss reformers Ulrich Zwingli and John Calvin. Outside its original German homeland the Evangelical (or Lutheran) movement was chiefly influential in Scandinavia, while the Reformed faith, especially in its Calvinist version, -

-

-

proved especially powerful

in spreading across Europe, including France, the Netherlands, Scotland (where it became the established faith), and parts of Eastern Europe.

eventually

and "Reformed" patterns were influential in different England stages in the gradual process by which the English church separated itself from Rome, though the emergent Anglican church as defined in the Elizabethan Settlement deliberately adopted a "middle way" between Rome

"Evangelical" at

and the more extreme versions of Reform, stressing its with the historic English church through the centuries, and remaining ambivalent about whether or not to regard itself

continuity as

Protestant.

principle

by grace through faith as the material Protestantism. With differences in emphasis, all

and salvation

principle of

reformers can be shown to have been united around these themes. Few would dispute the fundamental importance of these two unifying themes but their implications have been variously interpreted. A key issue has been whether the Protestant Reformation should be understood as inherently individualistic in its character. The assertion of the authority of Scripture against the teaching magisterium of the church soon raised the whose interpretation of Scripture? and Roman question Catholics were quick to claim that Protestantism asserted the authority of the individual Christian against the collective wisdom of centuries of church authority. The view that Protestantism enshrines "the right of private judgment" is widely entrenched and is a Roman Catholic assessment

key

two

Non Roman-Catholic Christians who dissented from the established church in England fragmented into a wide variety of religious groups which collectively came to be known as the English Free church tradition, all of which continued to trace their spiritual origins to the Reformation, despite their many differences from each other in matters of belief and practice. These groups included the English Presbyterians, the Independents or Congregationalists, the Quakers and the Baptists, and later the Methodists who separated from the Church of England following the 18th-century Evangelical revival. Through migration to the New World, Protestant communities expanded across the globe and further occurred, especially in the United States. As a subject for historical analysis, Protestantism is marked by an extraordinary diversity of belief and which appears intrinsic rather than accidental and raises fundamental doubts about the possibility of a unified Can one in the end talk meaningfully of "Protestantism" at all, or only of numerous "Protestantisms"? On the other hand, the persistence of the singular term "Protestantism" implies that there is some significant common ground its diverse expressions. The task of identifying that common ground has provided a major focal point for scholars from a variety of different perspectives. Denominational histories represent a large genre of work within the general field, but in most cases they contribute little or nothing to the understanding of Protestantism, because they tend to limit their perspective to their immediate confessional frame of reference and avoid addressing the broader themes. Histories of the Reformation, on the other hand, have grappled with the issue of identifying key common themes at work in the thought of the various reformers and the life of the Protestant communities. Not all such historians, however, have used Protestantism as an overarching frame of reference or taken it upon themselves specifically to analyze it as a concept. Those especially who write from no committed religious standpoint have generally been content to explore the varied patterns of reformation in their diversity and to avoid comprehensive theorizing about Protestantism, while to use it as a convenient umbrella term. By contrast, church historians and theologians with vital personal interests in the religious message of the Reformation (such as Robert McAfee Brown, John Dillenberger, and Claude Welch) have been more inclined to assume the theoretical task of the meaning of Protestantism as a distinctive form of Christian thought and community life. When Reformation Protestantism is subjected to specific analysis, by general consensus the two central themes have been the appeal to the authoritative role of Scripture as the "Word of God" (sola scriptum) and the doctrine of "justification by faith" or more correctly of "salvation by grace, through faith" the notion that mankind achieves not through moral achievement but solely through the unmerited mercy of God, apprehended through faith (sola gratia, sola fide). Scripture may thus be regarded as the formal

fragmentation therefore

practice perspective.

underlying

analytical necessarily

continuing

explicating identified -

-

salvation

-

-

willingly acknowledged by some

Protestants.

Historians of "classical"

(that is, Reformation) however, emphatically reject the authenticity of such an interpretation, at least with respect to the early 16th century. The appeal to Scripture was an appeal not to "private

Protestantism,

judgment" but the earliest traditions of the Christian church to

against the ecclesiastical and doctrinal novelties of more recent centuries. Early Protestants stood not for individualism but for a doctrine of the church as a community of the faithful under the headship of Christ, as a corporate "priesthood of as a "reformed church always being reformed" (ecclesia reformata semper reformanda). According to this view the

believers,"

Reformation conflict was not between individualism and church authority but between two incompatible ecclesiologies. Theologians and historians of doctrine have followed a parallel line of approach to church historians in identifying core Protestant doctrinal motifs, but with less interest in their original historical setting than in their capacity for reapplication. In the work of scholars as diverse as Karl Barth, Emil Brunner, Paul Tillich, and Reinhold Niebuhr, Protestant concepts and insights showed a capacity to take on fresh life in new and contemporary settings. A large volume of the literature on Protestantism (and the least illuminating) could be characterized as polemics, a form of writing by no means devoid of historical scholarship but directed fundamentally at polemical goals. Eschewing any search for common themes in Protestant thought, numerous Roman Catholic commentators from the 17th-century French scholar Jacques Bénigne Bossuet onwards have to varying degrees identified the wide differences of belief and practice among Protestants as evidence in themselves of fundamental error. Starting with the assumption that Christian truth is one and indivisible, variety is defined as virtually with heresy. Such analyses with counter-arguments across the religious divide have continued into recent times and have little historical value. Resting as they ultimately do on theological judgments, they are both unanswerable and at the same time unpersuasive in historical terms. A more irenic version of this polemical approach, expressed in the writings of scholars such as Louis Bouyer, has been the interpretation of Protestantism as a diluted or attenuated form of Catholicism. Protestantism, it has been argued, has retained many elements of the historic Catholic faith but discarded other vital elements such as papal authority and major aspects of

contemporary

probably ecclesiastical

synonymous -

-

doctrine and practice, whereas the Roman Catholic tradition retains the fullness of the historic faith. Protestant critics have

countered this argument by asserting on the basis of a different reading of tradition that Rome itself has both departed at key points from the historic faith and also grafted on to it additions. Here again the discussion depends on judgments as much as historical analysis. Exploring and articulating original Reformation principles, however, can take the task only so far. Histories of the Reformation present no more than the opening chapter in Protestant history, indispensable though that is to Protestantism in its fullness. A sensitive historical understanding must take full account of the character of Protestantism as a developing historical movement. Every historical community undergoes development, and even the Roman Catholic church, notwithstanding its relative and its firm authoritarian structure, exhibits change over time. Protestantism, without such constraints, has shown itself to be much more open to all kinds of influences for change within the developing modern world. In the centuries since the Reformation, major theological such as Orthodoxy, Pietism, the and spiritual movements Missionary movement, Fundamentalism, the Social Gospel have all left their movement, and the Ecumenical movement mark on Protestantism, transforming its original character almost beyond recognition. Characteristically these working within the various religious traditions, have created new possibilities for transcending denominational especially in the cases of the Missionary and Ecumenical movements. Yet with few exceptions traditional Protestant ecclesiastical boundaries have remained largely intact. Consequently, Protestantism as a movement has become even more widely differentiated than before, as diverse theological, spiritual, and social movements have spread across and with continuing denominational structures. Thus post-Reformation Protestant orthodoxy fostered a conception of Christianity based on rigid doctrinal confessions, while Pietism stressed the fundamental importance of religious experience in defining faith. Both movements were responses to and extensions of impulses rooted in the Reformation and exercised a continuing influence among diverse Protestant

unwarranted

theological

understanding

homogeneity -

-

movements,

divisions,

interacted

groups. Not all

developments within Protestantism, however, arose contact with its own past. Deep conflicts reflecting developments in modern secular thought emerged within the from fresh

communities, with some Protestants for example welcoming the development of biblical criticism while others adopted a stance of implacable hostility towards the new "science." Such Protestant fundamentalists defiantly proclaimed a core of rigid doctrines based on a view of inspiration that appeared to echo the Reformation commitment to sola scriptum but which in reality arose out of the sharp ideological tensions of the 19th century, in the alleged conflict between science and religion. At the other end of the Protestant spectrum, the movements of "Christian socialism" in England and of the "Social Gospel" in America were responses to the crisis of modern industrial society reflecting a more liberal theological framework. By the end of the 19th century Protestantism encompassed a vast range of institutional expressions, from a fundamentalist various

church

scriptural particular

so-called "neoliberal version of Christianity based on an attempt to accommodate Christianity to the tendencies of modern thought. The latter so distanced itself from "classical" Protestantism that it helped to trigger the neoorthodox theological revival of the early 20th century that was notable for its strong reaffirmation of the perspectives of the early Reformation. Modern Protestantism, therefore, is different from and vastly more complex than its first generation expression and any definition of Protestantism anchored to its 16th century origins and its founding principles would be clearly inadequate. By the same token, any valid interpretation of the character of Protestantism must incorporate a recognition of those factors of change and growth, while continuing to adherence

to an

infallible Bible

Protestantism" at the

other,

at one extreme to

a

accordingly

acknowledge

its

original

roots.

satisfactory interpretation of history will emerge, based on some recognizable core of ideas and practices. An alternative approach, first clearly articulated by Paul Tillich and taken up by many other commentators since, has been to interpret Protestantism as a critical principle rather than a specific body of ideas. According to this view, Protestantism is understood as a spirit of radical prophetic criticism, first evident in the original Reformation message directed against the medieval church and its claims to finality and absoluteness. The "Protestant shows every religious institution, doctrinal statement, and pattern of liturgy to be deeply flawed and sharing in the This makes it less likely that

Protestantism

encompassing

a

its whole

principle"

distortions of human existence. But the impact of this principle was not to set up a new core of absolute truths in place of the old. The Protestant is intrinsically self-critical, directed against Protestantism as much as against Catholicism, denying normative status and finality to any system of thought or ecclesiastical organization, and understanding reform as a never-ending process. Such an approach not only accommodates but anticipates change over time, yet its connections with its origins remain in that the starting-point of its prophetic critique is the scriptural norm and commitment to a never-ending process of reform within the church (ecclesia semper reformanda). Interpreting Protestantism as a spirit or an attitude rather than a body of doctrine and practice provides an interesting link to a further range of interpretations that have emerged in the present century in secular scholarly circles and that focus on social context. Protestantism's vibrant interaction with the developing modern world has engaged the attention of scholars from a number of disciplines who have found intriguing connections with other historical movements and influences. The coincidence in time of the definitive breakup of medieval Christian unity with the mature development of European nation-states has raised questions about the extent to which particular Protestant structures seem to relate positively to the process of state building in the differing countries and regions of Europe. Connections have been discerned between the structure of the German territorial state and the political ideas of Luther, and between the more democratic structures of the urban reformed communities and the views of Zwingli and Calvin; while the relationship between English Protestant and the development of the English state has provided a

principle

authoritarian

fortunes

fruitful field of enquiry. In the interaction of as both and social Protestantism has been a product of the rising national state, and at the same time a stimulus to emerging national identity. In the field of economics, the eminent sociologist Max Weber launched one of the more enduring concepts in modern scholarship by alleging close connections between what he called the "Protestant Ethic" and the emerging spirit of modern capitalism. Reformation scholars were easily able to question any such connections with 16th-century Protestantism, and such evidence as Weber was able to assemble came from a much later period, only tenuously related to its Reformation roots. At the same time this highlighted the extent to which later Protestantism had moved away from its origins. The ambivalent relationship of Protestantism and the modern world was explored by scholars such as Wilhelm Dilthey and Ernst Troeltsch, the former identifying a positive connection between the two and the latter arguing in Bedeutung des Protestantismus für die Entstehung der modernen Welt (1911; Protestantism and Progress, 1912) that Protestantism a second blossoming of the authoritarian ecclesiastical culture of the Middle Ages which extended its influence for a further two centuries and devitalized the secular culture that had tentatively begun to emerge in the Renaissance. Accordingly, Troeltsch saw modern Protestantism as a contradiction rather than an authentic development of Reformation principles. The American sociologist Richard Niebuhr, deeply by Troeltsch, interpreted Protestantism in sociohistorical terms as the "religious phase of modern Western civilization," a movement both conservative in its transmission of traditional modes of thought and creative in its liberation of human Building on Troeltsch's "Church-Sect" typology, Niebuhr distinguished within Protestantism three main sociological the "institutional," represented by Anglicanism and types Lutheranism, the "sectarian," represented by early Anabaptism and the free-church traditions, and a "semi-institutional" type expressed in Calvinism. Under the institutional model, the church was conceived as coextensive with the community and as a divinely established guardian and teacher of faith, but subject to political control. The sectarian type, by contrast, regarded the church as a voluntary association of believers, separate from the state and democratic in its internal life. Calvinism adopted a median position, with the church as being coextensive with the general community but free of state control and maintaining clerical over lay authority. Over time, Niebuhr argued, with the growth of religious

particularly

life, interpreted religious

historical

-

-

represented

influenced

interests. -

understood

pluralism, the separation of Church and State, and the decline of religious commitment, these types had necessarily become less sharply defined, as institutional churches developed into

voluntary communities while characteristics.

sects

assumed

more

institutional

critique of all

institutions. It has been since the16th century and remains still an elusive but vital thread in the complex web of Western civilization.

JOHN

TONKIN

Christianity; Counter-Reformation; Dilthey; Reformation; Religion; Religion, Comparative; Troeltsch; Weber, M.

See also Catholicism;

Further Reading Barth , Karl , Die protestantische Theologie im 19. Jahrhundert, Zurich : Evangelischer Verlag , 1947 ; in English as Protestant Theology in the Nineteenth Century: Its Background and History , London: SCM, 1972 , Valley Forge, PA : Judson , 1973 ; partially translated as From Rousseau to Ritschl , London : SCM , 1959 , and as Protestant Thought: From Rousseau to Ritschl , New York :

Harper 1959 Bouyer Louis Du Protestantisme à l'Eglise Paris : Cerf 1954 ; in English as The Spirit and Forms of Protestantism London : Harvill 1956 ; Westminster, MD: Newman, 1957 Brown Robert McAfee The Spirit of Protestantism Oxford and New York : Oxford University Press 1979 Brunner Emil Christianity and Civilisation 2 vols., London : Nisbet 1948-49 ; New York: Scribner, 1949 Dickens A. G. and John Tonkin The Reformation in Historical Thought Cambridge, MA : Harvard University Press and Oxford: Blackwell, 1985 Dillenberger John and Claude Welch Protestant Christianity Interpreted Through Its Development New York : Scribner 1954 Hamilton Kenneth The Protestant Way London : Epworth Press 1956 Kattenbusch Ferdinand Protestantismus ," in Protestantische Realenzyklopädie vol. 16 Kerr Hugh Thomson Positive Protestantism: An Interpretation of the Gospel Philadelphia : Westminster Press 1950 Niebuhr H. Richard Christ and Culture New York : Harper 1951 ; London: Faber, 1952 Niebuhr Reinhold Protestantism ," in Edwin R.A. Seligmann ed., Encyclopedia of the Social Sciences 15 vols., New York : ,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

"

,

,

,

,

,

,

,

,

,

,

,

"

,

,

,

,

Macmillan , 1930-35 , vol. 12 , 571 75 Pauck , W. , The Heritage of the Reformation, Boston : Beacon Press , 1950 ; revised London and New York: Oxford University Press, -

1968 Tillich , Paul , The Protestant Era , edited by James Luther Adams , Chicago : University of Chicago Press , 1948 ; London: Nisbet, 1951

Troeltsch , Ernst , Die Bedeutung des Protestantismus für die Entstehung der modernen Welt , Munich : Oldenbourg, 1906 , 2nd edition 1911 ; 2nd edition in English as Protestantism and Progress: A Historical Study of the Relationship of Protestantism to the Modern World , London : Williams and Norgate, and New York: Putnam, 1912 Weber , Max , " Die protestantische Ethik und der Geist des Kapitalismus," Archiv für Sozialwissenschaft und Sozialpolitik 20 21 ( 1904-05 ), revised in Gesammelte Aufsätze zur Religionssoziologie , Tübingen: Mohr, 1920 ; in English as The Protestant Ethic and the Spirit of Capitalism , London : Allen and Unwin , 1930 , New York: Scribner, 1958 -

We may conclude, therefore, that a simple definition of Protestantism is clearly out of the question, and a

comprehensive of Protestantism has problematical. The one

nature

been defined intellectually by reference to high theological and socially through analysis of its forms of secular organization. Its complex character has been shaped by the interaction between its historical foundations and the fresh agenda set by a continually changing society. It has expressed itself in a diversity of institutional forms and in a fundamental

principles

Prucha,

Francis Paul

1921–

US historian of Native Americans Francis Paul

Prucha, a Jesuit priest and professor emeritus Marquette University, is the pre-eminent, albeit most

at

scholar of Indian-White relations. However, controversial,

even

Prucha's harshest critics praise his impeccable documentation, literary grace, and commitment to an impartial examination of the formulation and implementation of federal Indian policies. Prucha's earliest works, such as The Sword of the Republic (1969), explored the multifaceted role that the United States Army played in paving the way for the settlement of the transMississippi West. Soldiers were, remarked Prucha, "agents of empire" who assumed many guises. They served frontier as policeman, farmers, road builders, scientists, and lumbermen to help promote the social and economic of the region. Prucha, along with leading members of the "Imperial school," Howard Lamar and William Goetzmann, perceived the West as America's first colonial empire, an empire that owed its development and its peculiar tensions to policies and plans formulated in the nation's capital. Prucha's research regarding the "civilizing" aspects of the army introduced him to a new field of study, the relationship between American Indians and the federal government. He soon discovered that many areas of Indian-White relations had been neglected by other historians. American Indian Policy in the Formative Years (1962), Lewis Cass and American Indian Policy (1967), Indian Peace Medals in American History (1971), and The Indian in American History (1971) signaled Prucha's desire to shed light on previously unexplored topics. Since the 1970s, Prucha has emerged as the foremost authority on the formation and implementation of US Indian policy. He was not, as his detractors have contended, an for the federal government. Prucha repeatedly cautioned researchers not to let their own emotions or the "brilliance of hindsight" distort historical reality. In Prucha's opinion, scholars such as Francis Jennings, Virgil Vogel, Vine Deloria, Jr., Dee Brown, and Edward Pessen criticized the government's Indian policies too harshly, noting that the goal of all scholarship should be enlightenment and understanding and not the promotion of special causes. Prucha does not deny that injustice took place. He however, that United States policy was not rooted in racism. In several works of the 1970s, including Americanizing the American Indians (1973) and The Churches and the Indian Schools (1979), Prucha surveyed the agenda of "self-righteous humanitarians" who endeavored to transform American Indians into "patriotic citizens indistinguishable from their white neighbors." Ironically, the well-intentioned reformers' ethnocentric policies detribalization, allotment, education, ultimately proved Christianization, and reservations for native peoples. Not everyone agreed with Prucha's discussion of the reform programs he contended originated in evangelical Christianity. Critics noted that Prucha focused almost exclusively on the reformers' policies, but failed to explore the consequences of those actions at the reservation level. Vine Deloria, Jr., a Lakota scholar and activist, reported that Prucha suffered from reading documents divorced from involvement in the world in which people lived. Prucha's seminal article, "Andrew Jackson's Indian Policy" (1969) generated a firestorm of controversy. Prucha argued that Jackson's removal policies grew out of the failure of previous efforts to "civilize" and assimilate American Indians into EuroAmerican society. By the 1820s, federal officials realized that native Americans had not been absorbed into the dominant

communities

development

apologist

historical

demonstrated,

-

disastrous -

matters, settlers were pressing westward lands and demanding that Indians be cleared from their path. Removal policies, wrote Prucha, represented a culmination of efforts to halt the continued encroachment onto tribal lands. President Jackson and other government advocated removing Indians west of the Mississippi to protect them from aggressive frontiersmen and enable them to move toward "civilization" at their own pace. To call Jackson an Indian hater, argued Prucha, was to mistake the tenor of the man and his times. Prucha's interpretation challenged previous accounts of Jacksonian racism, treachery, and oppression. Virgil Vogel chastised Prucha for demolishing the image of Jackson as a contemptible racist. Vine Deloria, Jr., questioned Prucha's "incomprehensible interpretation" of Jackson as the beloved friend of the Indians. Michael Paul Rogin contended that Jackson's benevolent assertions were mere rhetoric disguising baser motives underlying removal policies. Prucha responded to his detractors by broadening his research interests and documentary evidence to support his views. He refined and expanded previous interpretations in a variety of

society.

To

complicate

in search of

new

officials

accumulating writings.

The capstone of Prucha's scholarly career was The Great Father (1984), a comprehensive 2-volume history of IndianWhite relations from the colonial period to 1980, that over thirty years of scholarship. The study, winner of the Allen Billington award for the best book in American Ray frontier history and a Pulitzer Prize finalist, won acclaim for

synthesized its

comprehensiveness, exemplary scholarship, balance,

integrity. existing integration clashing of

sources,

portrayed

survey

Prucha's from the

and editorial

natives and

Europeans

earliest period of cultural contact. To protect the American Indians, Prucha demonstrated how public officials used their authority to guard Indians against the destructive forces of the dominant culture. Prucha called this paternalism, "a to do what was best for the Indians according to white norms, which translated into protection, subsistence of the destitute, punishment of the unruly, and eventually taking Indians by the hand and leading them along the path to white civilization and Christianity." Prucha condensed his findings in an abridged version of The Great Father (1986) and later distilled themes and patterns of Indian-White relations for nonspecialists in The Indians in American Society

determination

(1985). a Fellow of the Society of American recognition of a lifetime of scholarship by "literary distinction" and "scholarly merit." The invitation was a fitting reward for a historian whose investigations moved historical debates beyond mere polemics and axe-grinding so prevalent in American Indian history. Few scholars have been as widely acclaimed, yet attacked, for their historical interpretations. Through it all, however, Prucha has remained aloof from the fray, preferring instead to allow his meticulous research, thorough documentation, and well-argued positions

In 1987 Prucha became

Historians in

characterized dispassionate

simultaneously historiographical stand

on

their

own

merits.

JON See also Native American

L. BRUDVIG

Born River Falls, Wisconsin, 4 January 1921 Received BS, Wisconsin State College , 1941 ; MA, University of Minnesota , 1947 ; PhD, Harvard University, 1950 Jesuit priest ; taught at Marquette University, from i960 (emeritus). .

,

Principal Writings

1964 Lewis Cass and American Indian Policy, 1967 " Andrew Jackson's Indian Policy: A Reassessment ," Journal of American History 56 ( 1969 ), 527 39 The Sword of the Republic: The United States Army on the -

Frontier, 1783-1846 1969 Editor, The Indian in American History 1971 Indian Peace Medals in American History 1971 Editor, Americanizing the American Indians: Writings by the "Friends of the Indian," 1880-1900 1973 Editor, The Dawes Act and the Allotment of Indian Lands by ,

,

,

,

,

D. S. Otis , 1973

Editor, Documents of United States Indian Policy 1975 American Indian Policy in Crisis: Christian Reformers and the Indian, 1865-1900 1976 The Churches and the Indian Schools, 1888-1911 1979 Indian Policy in the United States: Historical Essays 1981 ,

,

,

,

The Great Father: The United States Government and the American Indians , 2. vols., 1984 ; abridged 1986 The Indians in American Society: From the Revolutionary War to the Present , 1985 Atlas of American Indian Affairs , 1990 American Indian Treaties: The History of a Political Anomaly , 1994

Psellos, Michael

impressive

philosophy.

suspicions

historiography established

Reading

Deloria , Vine , Jr. , Custer Died for Your Sins: An Indian Manifesto, New York : Macmillan , and London: Collier Macmillan, 1969 Deloria , Vine , Jr. , Behind the Trail of Broken Treaties: An Indian Declaration of Independence , New York : Delacorte Press , 1974 Rogin, Michael Paul , Fathers and Children: Andrew Jackson and the Subjugation of the American Indian , New York : Knopf, 1975 Vogel , Virgil , This Country Was Ours: A Documentary History of the American Indian , New York : Harper, 1972

Byzantine

his friend's son, the eventually ineffectual emperor Michael VII Doukas. Of far more enduring substance was Psellos' intellectual achievement. Like all Byzantine intellectuals, Psellos aspired to the versatility of a polymath, leaving one of the most records of this type. His surviving works (in Greek) range from poetry and letters through technical treatises on medicine, scientific topics, mathematics, theology, and, most of all, His particular focus was on the thought of Plato, to whose importance he gave a new emphasis, helping to displace the earlier ascendancy of Aristotelian thought, and inclining subsequent Byzantine thought toward a crucial Platonic cast. Psellos' preoccupations with ancient philosophy brought of paganizing tendencies, but he was able to defend his Christian orthodoxy and avoid the later condemnation that his student, John Italos, was to suffer on these counts. Psellos' one major historical work is still sufficient to win him one of the most prominent places in Byzantine literature. This is his Cbronographia or Cbronography, a record of events and personalities within the period 976-1078. (A shorter chronicle, the Historia syntomos, by Psellos on the earlier Roman empire has recently come to light as well, but is of limited importance.) It was a practice in Byzantine for one writer to take up his account at the point where his most important literary predecessor had left off, and Psellos honors this tradition by linking his Cbronographia to accounts of the 10th century. Like the best authors in this tradition, too, Psellos understood his function as far more than mere chronicler of dry data, but as a writer in the high style that Byzantines thought continued the idiom of the great ancient historians. This idiom understood a strong sense of historical causality and set lofty standards of Greek literary expression. Unlike most in his tradition, however, Psellos slighted the broader scope of military and political events and concentrated on the immediate world of the capital and on the personalities of the court, filled with anecdotes and character sketches. His account up to the 1030s is relatively perfunctory, and comes alive only as he describes the episodes and individuals he knew so well from his personal contacts or observations. In addition, his own inflated pride prompted him tutor to

Broadax and Bayonet: The Role of the United States Army in the Development of the Northwest, 1815-1860 , 1953 American Indian Policy in the Formative Years: The Indian Trade and Intercourse Acts, 1790-1834 , iy6i A Guide to the Military Posts of the United States, 1789-1895 ,

Further

Leichoudes, were to become patriarchs of Constantinople, while another, Constantine Doukas, reached the throne itself. Psellos achieved his own high position, if an uneven one as a leading scholar and adviser. He exaggerated his actual political functions, but he did play an active (and often devious) role in events during the 1060S-70S, and he was Constantine

Biography

1018–after

1081

writer and historian

The society that produced Michael Psellos highly valued and learning in the classical Greek tradition. A proper education entitled one to admission into the quasi-mandarinate, the bureaucratic classes of the Byzantine state. Particular as a scholar could lead not only to academic but to court positions of great political and ecclesiastical

education

distinction

prominence,

eminence.

Though not of aristocratic or privileged background himself, Psellos was able to enter this track of advancement thanks to his evident intellectual abilities. A student of the influential scholar John Mavropous, Psellos belonged to a coterie of young intellectuals who hoped to achieve important things through their prominence at court. Two of them, John Xiphilinos and

classicizing

to exaggerate his own

importance

and to

shape

his account

around himself and his own perceptions. His account thus becomes as much a court memoir as a formal history, with something of an "Emperors-who-have-known-me" character. That viewpoint acknowledged, however, Psellos' Chronographia is a remarkable work, still lively reading today. He reports that he began it as a short, skeletal chronicle account, requested of him by a friend; this no longer survives. He expanded and fleshed out this version as a literary work on a longer scale, carrying his account into the 1070s; there it breaks off abruptly, about the time of his own expulsion from court and public life, and is left formally unfinished. For all its egomania and fussiness, the Chronographia is a work of remarkable lucidity, as the fashions of Byzantine

literary style go. Its particular strength of human individuality. His perception

is Psellos'

recognition

of personal emotions and motivations allows him to create believable portraits with a vividness not only striking in the context of Byzantium's genuine humanistic culture but utterly unparalleled by anything in the intellectually backward and stylistically impoverished world of medieval Western Europe of the time. Under his mask of pomposity, Psellos was a person of deep feelings, strong in his sense of friendship and firm in his sympathies or biases. He therefore could understand basic human impulses as far more causative than any abstract theories of Providence or Fortune so often favored in classical historiography. Despite conventional posturing, his Greek style shows a capacity for humor and irony. Within the parameters of the Byzantine literary pretensions he shared, Psellos brings to life his "wartsand-all" characters to a degree unknown in historical writing down to very modern times.

JOHN

W.

BARKER

VII, Psellos' student ; renewed disfavor drove him from office, if not also the capital Died in obscurity at an unknown date after 1081 .

Principal Writings , c. 1059-78 ; as The Cbronograpbia of Michael Psellus , translated by E.R.A. Sewter , 1953 , revised as Fourteen Byzantine Rulers , 1966

Cbronographia

Further Reading Michael The Byzantine Empire, 1025-1204: A Political History London and New York : Longman 1984 Bury J. B. Roman Emperors from Basil II to Isaac Komnenos (AD976-1057) ," English Historical Review 4 (1889 ), 41 64 251 85 ; reprinted in Harold Temperley ed., Selected Essays of J. B. Bury Cambridge : Cambridge University Press 1930 The Theory and Practice of Imperial Panegyric in Chamberlain C. Michael Psellus: The Tension Between History and Rhetoric ," Byzantion 56 ( 1986 ), 16 27 Hussey Joan M. Michael Psellos, the Byzantine Historian ," Speculum 10 ( 1935 ), 81 90 Hussey Joan M. Church and Learning in the Byzantine Empire, 867-1185 London : Oxford University Press 1937 ; reprinted New York: Russell and Russell, 1963 Joannou P. Psellos et le Monastère Tà Narsoû ," Byzantinische Zeitschrift 44 ( 1951 ), 283 90 Renaud Emile Introduction ," in Psellos Chronographie ou histoire d'un siècle de Byzance (976-1077) 2 vols., Paris : Belles Lettres 1926-28; reprinted 1967 Snipes Kenneth A Letter of Michael Psellos to Constantine the Nephew of Michael Cerularios ," Greek, Roman, and Byzantine Studies 22 ( 1981 ), 89 107 Snipes Kenneth A Newly Discovered History of the Roman Emperors by Michael Psellos ," Jahrbuch der Österreichischen Byzantinistik 32 ( 1982 ), 53 61

Angold

,

,

,

,

"

,

,

-

,

-

,

,

,

"

,

,

-

"

,

,

,

,

-

See also Bury;

Byzantium;

Eastern

Orthodoxy

,

,

"

Biography

,

,

Michael Psellos (Psellus). Psellos, Constantinople, ιοί 8, of modest middle-class family. Received good education and, displaying evident talents, rapidly advanced in Byzantine cultural and court circles With a group of intellectual colleagues, was instrumental in reviving higher education and Platonic studies in the capital, earning the title of Consul (Hypatos) of the Philosophers ; fell into disfavor about 1054, retired for a while to a monastery on Mt. Olympus, taking the monkish name of Michael ; returned to court and political posts, reached a peak of influence during reign of his school friend, Constantine X Doukas, and his son, Michael Born Constantine

.

.

,

-

"

,

,

,

,

,

"

,

,

,

,

-

"

-

Q forecasting to historical situations. In this specific historical variables could be singled

Quantitative Method Quantitative method has had considerable

the

impact direction of history the early 1960s, historians became since

on

as

more

sensitive to the methods and approaches of social science as a whole. Thus the importance of statistics and statistical methods in areas of economics, political science, and sociology impinged on related branches of history. Historians in general became more interested in statistics and the manipulation and of data. Quantitative methods seemed to offer and objective foundation to historical inference. A number of works emerged bringing together long-run time series of economic, demographic, and social indicators. This aggregative approach seemed to establish firmly the wider dynamics of the historical process. The normative approach complemented the former with detailed or case study statistical investigations allowing us to discover the complexity of historical Obviously by the 1970s the manipulation of data became greatly eased by the computer. In the study of population, accurate knowledge of size of population is the sine qua non, and census, birth, death, and marriage registers are the principal source materials. The history of population was therefore transformed by this new departure. In 1965, Peter Laslett's The World We Have Lost shattered assumptions made about the family in English history. He found that the nuclear family predated the Industrial Revolution and that far from there being a static rural population there was considerable turnover of village inhabitants. This acted as catalyst to a whole generation of historical demographers and has elicited important debates about population, household, and family change. Political history was also infected by quantitative concerns. The voting patterns at elections, and in representative as well as membership statistics were all subjected to

interpretation scientific

relationships.

assemblies, data

analysis. This concern was dubbed new political history. recent example, Thomas Childers subjected statistics on the Nazi electorate to multiple regression analysis to its age, gender, and class distribution. His results some of the commonplaces held about the social base of the Nazis. The Nazi vote by 1932 was older, more female, In

a

demonstrate

challenged and with greater numbers of upper middle class than

was

formerly supposed. Its economic counterpart, "cliometrics"

or new

economic

history, showed an even more ambitious enthusiasm for data and quantitative method. Indeed, this school applied the of mathematical modeling of econometrics and economic

techniques

way, the

impact of

out. New economic

history was able to produce startling results. Curtin's The Atlantic Slave Trade (1969) revised downwards the accepted numbers involved in the slave trade. Fogel's study of the in the United States postulated that they played a role in America's industrialization. Fogel and Engerman's Time on the Cross (1974) sought to turn upside down the accepted view of slavery in the southern states, concluding that slave labor was highly productive, well-treated, and that their masters were imbued with economic rationalism. The ensuing furore demonstrated the way in which conclusions drawn from quantitative methods and from traditional sources could be extremely polarized. Indeed, in the early 1970s the debate over quantitative history "was the central preoccupation of theorists of history." New economic history relies on the sophisticated inputoutput models production, consumption, and investment functions of modern econometrics. This historical method has been able to plug gaps in our existing knowledge and to assess the impact of various variables. However, the problem is that the extravagance of their claims is based on models based on a set of assumptions about human behavior. Do humans always act as rational, profit-maximizing, individuals? Is a particular model informed by neoclassical, Keynesian, or Marxist If the assumptions are wrong results are distorted, but, more importantly, if the assumptions are arbitary so are the results. The advantages of quantitative methods are that they have dispelled some of our false assumptions about history. Knowledge of quantitative method has spread, particularly in the United States, through the journals Historical Methods and Social Science History and has gained increasing influence in some other journals such as the Economic History Review and the Journal of Economic History. However, new economic history's reliance on quantification assumes that historical

railroads marginal

-

economics?

quantitative by nature. As Julian Hoppit argued Revolution, in reality, quantity and quality are tightly entwined. Data assembled from socially constructed categories such as class or collected by particular institutions, be they states, trade unions, or employers, may pose as many questions as they answer. By the late 1970s quantitative methods had considerably polarized historians. Indeed in 1983 it took the form of a phenomena

are

in relation to the Industrial

debate between Elton and Fogel, Which Road to the Past? The premise of the book was that history had been divided into

QUANTITATIVE

METHOD

the traditional method of a subjective reconstruction from rigorous examination of the sources, and the objective approach of cliometricians. Recent historical discourse on quantitative method has become more modest in its claims. Indeed, some historians have regretted that the polarization of debate has led to a too dismissive attitude to quantification. Floud and Kocka leveled similar cases respectively at History Workshop and the history of everyday life for being too complacent when it comes to quantitative and theoretical

"scientific"

analysis. Quantitative history did

not supersede traditional history as claimed it would. It does, however, make an contribution to selected areas of history. In general, methods are more freely used in the United States than Europe, more among economic and demographic historians than social or political ones and more in the study of modern than in early modern and premodern history. The irony has been noted by historians such as Middleton and Wardley that at a time when quantitative history seems to have lost momentum, the range of software, databases, statistical and econometric packages, and the increasing power of the humble PC, has grown prodigiously. some once

important quantitative

MATT PERRY See also Curtin;

Further

Fogel; Industrial;

Kocka

B.

1909—

Irish historian David Beers Quinn has been over the course of a long career the leading student of English maritime expansion during the Tudor and Stuart periods. Working alone and in collaboration with his wife Alison, Quinn has written prolifically and edited several important collections of primary source documents dealing first with English attempts to subdue Ireland and, later, with English efforts to explore, and then settle, the coast of North America. Quinn began publishing on Irish history in 1933. In 1947 he completed Raleigh and the British Empire, and 19 years later The Elizabethans and the Irish, a study of English efforts to subdue, pacify, and colonize the island. Both works part of a renaissance of interest in Irish history, free of the intense partisanship between the North and the South which had existed earlier and which, Quinn recalled, "I was and which I am glad to say glad to play a small part in has survived and flourished." In both works, and in a number of influential essays, Quinn began to explore linkages between English efforts in Ireland and subsequent English attempts to settle North America. Working under the aegis of the Hakluyt Society, Quinn edited and The Voyages and Colonising Enterprises of Sir Humphrey Gilbert (1940), a project that united his interest in what the English were up to in Ireland, with what they hoped to in North America. Fifteen years later the Hakluyt Society published The Roanoke Voyages, 1584-1590, an invaluable collection of documents, translated from several languages and culled from a wide variety of sources, charting the efforts of Sir Walter Ralegh to plant a colony on the North Carolina Outer Banks. The latter collection, especially, combining broad vision with a deft editorial touch, will continue to be used and respected by historians interested in English colonization and its effects upon Native American society. Quinn included in The Roanoke Voyages a descriptive listing of the well-known John White drawings. In 1964, with the of Paul Hulton, he oversaw the publication, for the first time, of The American Drawings of John White, thus providing students of early America with access to the only visual portrayal of Native American culture at the dawn of its encounter with

represented .

.

.

published

Reading

Childers , Thomas , The Nazi Voter: The Social Foundations of Fascism in Germany, 1919-1933 , Chapel Hill : University of North Carolina Press , 1983 Curtin , Philip D. , The Atlantic Slave Trade: A Census , Madison : University of Wisconsin Press , 1969 David , Paul , Herbert G. Gutman , Richard Sutch , Peter Temin , and Gavin Wright , Reckoning with Slavery: A Critical Study in the Quantitative History of American Negro Slavery, New York : Oxford University Press , 1976 Economic History Review , Oxford : Economic History Society, 1927 Elton , G. R. , and Robert William Fogel , Which Road to the Past? Two Views of History , New Haven : Yale University Press , 1983 Evans , Jeff, Ian Miles , and John Irvine , eds., Demystifying Social Statistics, London : Pluto Press, 1979 " Floud , Roderick , Quantitative History and People's History: Two Methods in Conflict ," History Workshop Journal 17 ( 1984 ), -

113 24 -

Fogel Robert William Railroads and American Economic Growth: Essays in Econometric History Baltimore : Johns Hopkins Press 1964 Fogel Robert William and Stanley L. Engerman Time on the Cross: The Economics of American Negro Slavery 2. vols., Boston : Little Brown and London: Wildwood, 1974 Historical Methods Washington, DC : Heldref 1967 Hoppit Julian Counting the Industrial Revolution ," Economic History Review 43 ( 1990 ), 173 93 Journal of Economic History Wilmington, DE : Economic History ,

Quinn, David

accomplish

assistance

,

,

,

,

,

,

,

,

-

,

,

"

,

,

-

,

Association , 1941 " Kocka , Jürgen Theories and Quantification in History," Social Science History 8 ( 1984 ), 169 78 Laslett , Peter, The World We Have Lost, London: Methuen, 1965 , New York : Scribner, 1966 ; revised 1984 Middleton , Roger, and Peter Wardley, " Information Technology in Economic and Social History: The Computer as Philosopher's Stone or Pandora's Box ?," Economic History Review 43 ( 1990 ), -

,

-

667 96 Social Science History , Beverly Hills, CA : Sage , 1976 -

-

European society. Quinn's interest in English maritime expansion continued through the 1970s and 1980s. He co-edited The New Found Land of Stephen Parmenius (1972), based on the life and writings of Gilbert's ill-fated poet-chronicler, and in 1974 The Hakluyt Handbook, a convenient collection of essays by scholars working in a number of disciplines. Also in 1974 he published England and the Discovery of America, 1481-1620, a collection of previously published essays with some new material. In 1979, he edited New American World, a 5-volume collection of primary source documents. His involvement in the 350th anniversary of Maryland's founding led him to edit a

useful volume of essays,

Early Maryland and a

Wider World

(1982), and in commemoration of the 400th anniversary of the English arrival in North Carolina, Quinn wrote Set Fair for Roanoke (1985), the most comprehensive history of the subject.

In

recent years, Quinn has described the "British" approach early American history as one that is "warped and should be discarded, at least for the sixteenth and early seventeenth centuries." The British approach, advanced by J.G.A. Pocock, Bernard Bailyn and others, looks at the history of the English American colonies in a transatlantic context, viewing them as akin to Wales, Scotland, Ireland and the British West Indies in that they are peripheral areas, or frontiers, inextricably linked to

and bound in

dialectical relationship with the English If, as Quinn said in 1952, he had tried through his work "to enlarge the picture of what the English did in these early days, it was as much to show how little they accomplished as how much." Still, Quinn's work has forced American colonial historians to broaden their perspective, to understand that events and developments in England could closely influence events in the New World, and that dramatic similarities exist between English activities in Ireland and America. That numerous scholars have followed Quinn in examining links between America, Ireland, and Britain and expanded upon his research demonstrates the enduring importance of his work. a

metropolis.

MICHAEL L. OBERG

Principal Writings Editor, The Voyages and Colonising Enterprises of Sir Humphrey Gilbert Hakluyt Society Series 2, vols. 88 89 1940 Sir Thomas Smith and the Beginnings of English Colonial Theory," Proceedings of the American Philosophical Society 85 ( 1945 ) Raleigh and the British Empire 1947 Editor, The Roanoke Voyages, 1584-1590: Documents to Illustrate the English Voyages to North America under the Patent Granted to Walter Raleigh in 1584 2 vols., 1955 With Paul Hulton The American Drawings of John White 1964 The Elizabethans and the Irish 1966 Editor with Neil M. Cheshire The New Found Land of Stephen -

,

,

,

,

,

Farmenius , 1972 England and the Discovery of America, 1481-1620, front the Bristol Voyages of the Fifteenth Century to the Pilgrim Settlement at Plymouth: the exploration, Exploitation, and Trial-and-Error Colonization of North America by the English , 1974 Editor, The Hakluyt Handbook , 1974 North America from Earliest discovery to First Settlements: The Norse Voyages to 1612 , 1977 Editor, New American World , 5 vols., 1979 Editor, Early Maryland and a Wider World , 1982 Set Fair for Roanoke: Voyages and Colonies, 1584-1606 , 1985 Explorers and Colonies: America, 1500-1625 , 1990

Reading

Andrews , Kenneth R Nicholas P. Canny, and P. E.H. Hair, eds., The Westward Enterprise: English Activities in Ireland, the Atlantic, and America, 1480-1650 , Liverpool: Liverpool University Press, 1978 ; Detroit : Wayne State University Press , 1979 Clough , Cecil H. , and P.E.H. Hair, eds., The European Outthrust and Encounter: The First Phase C.1400-C.1700: Essays in Tribute to David Beers Quinn on his 85th Birthday , Liverpool : Liverpool „

David Beers Quinn Born Dublin , 24 April 1909 Received BA, Queen's University, Belfast, 1931 ; PhD, University of London, 1934 .

.

University College, Southampton, 1934-39; Queen's University, Belfast, 1939-44 ; University College, Swansea, 1944-57 ; and University of Liverpool, 1957-76 Married Alison Moffat Robertson (co-author of many of his books), 1937 (died 1993 ; 2 sons, I daughter).

Taught

,

,

Further

Biography

,

"

at

.

.

University

Press , 1994

R Radzinowicz,

Leon

Volume

ι,

The Movement for Reform (1948), dealt with

capital punishment, topic taken up again in volume 4 and brought

1906—

a

(Polish-born) legal

British

historian

Leon Radzinowicz is the author of the monumental and

magisterial and 5-volume History of English Criminal Law

Its

Administration since 1750, (1948-90). It comprises over 2,600 pages of text, over 300 pages of appendices, and a of over 500 pages. Of Polish origin and trained in criminal law and criminology in Paris, Geneva, and Rome, Radzinowicz came to England in 1937 on behalf of the Polish government to study the English penal system, then widely regarded as the most progressive in Europe. The major influence in his career had been Enrico Ferri, the brilliant expositor of the Italian positivist school of criminology. When war broke out, Radzinowicz was invited to Cambridge where subsequently he became the first professor of criminology in Britain and director of the Institute of Criminology. He is widely regarded as the foremost of his generation: a figure of worldwide fame and Nevertheless, it is as a historian that he has made his greatest contribution to scholarship. The plan for the History grew from the recognition that histories of the criminal law the prime example of which was Sir James Fitzjames Stephen's 3-volurne History of the Criminal Law of England (1883) had been content to describe the evolution of criminal statutes and procedures and to analyze the development of legal doctrine through trials and case-law. This approach had entirely neglected the social and political of crime, law enforcement, and the administration of justice. With the exception of the Webbs' English Prisons under Local Government (1922), almost no use had been made of the mine of information waiting to be excavated from the Blue Books the reports of royal commissions and departmental the annual reports of commissioners, inspectors, and public bodies, the mass of accounts and papers and statistical returns and also from the parliamentary debates, newspaper reports, pamphlets, articles in Victorian periodicals, books, and the like. It was this mass of material that Radzinowicz mastered. The title of this work somewhat obscures its scope, depth, and richness. It is less about criminal law per se and more about the realities of crime, the policies adopted to combat it, and the ways in which these policies were put into effect through the institutions of policing and punishment in the emerging modern liberal state. In other words it approached the subject from a criminological and social perspective.

bibliography

criminologist influence.

previous -

-

history criminal -

committees, -

conclusion in volume 5. This celebrated volume (for which the James Barr Ames prize of the Harvard Law School was awarded) traced how punishments were ameliorated under the pervasive influence of the liberal enlightenment and utilitarian social thought. Beginning with the vast range of offenses to which the death penalty could be applied in the 18th century, including the notorious Waltham Black Act, Radzinowicz vividly portrayed the way in which the statutes were applied and the nature, forms, and customs of execution. He analyzed the reasons why the policy of maximum severity, arbitrarily applied, held sway for so long in face of the reformers' attempts to create a system that ensured greater certainty of punishments by grading them in relation to the seriousness of the crime It is a history of ideas, of social and political and of the individual efforts of those who, like Sir Samuel Romilly, played so vital a part in the reform of the capital statutes. Volume 2, The Enforcement of the Law, and volume 3, The Reform of the Police (both published in 1956), were concerned with the emergence of public policing in place of private initiatives, and showed how the fears that the police would become a bastion of state control were eventually In volume 4, Grappling for Control (1968), the for the reform of the capital laws and the establishment of a public system of policing were traced up to the 1860s. Volume 5 The Emergence of Penal Policy (1986, with Roger Hood), explored 19th-century conceptions of crime and and revealed how a diversified state system of was developed to deal with various categories of offender, such as juveniles, the mentally deficient, vagrants, political offenders, and habitual criminals. It also described how penal servitude replaced transportation, the difficulties this created, and how sentencing practices evolved to meet changing of crime and punishment. There is no work to match Radzinowicz's History in scope and style. But, like all pioneering and authoritative works, it has not escaped criticism and controversy. In a period when there was a penchant for grand theoretical constructions, especially Marxist interpretations of the state and its controlling Radzinowicz's approach to understanding changes in criminal policy was accused of having failed to recognize that the criminal law was a vehicle for the repression of the lower orders. This was an exaggeration and, in any case, the Marxist proved to be unsustainable. Radzinowicz has also been labeled by some critics as a "Whig historian," a simplistic and to a

committed.

movements,

overcome.

campaigns

criminality, punishment

conceptions

mechanisms,

interpretation

RADZINOWICZ

misleading judgment.

For while he does indeed chronicle

some

undisputable improvements in the way that offenders were treated, the History, taken as a whole, does not present the development of criminal policy as a seamless advance of liberal reforms. Rather, it illustrates the tensions that

progressive

have existed between the search for effective control of crime and the need to limit the power of the state's penal apparatus so as to preserve the rule of law, to protect innocent citizens, and to ensure just treatment for offenders. Although recent scholarship has revealed more about the practices of law enforcement and punishment, particularly through the development of local studies, the major trends of "the great movements" (as he put it) in the growth and of criminal policy, as revealed and analyzed by Radzinowicz, have remained largely intact. His work is enlivened by clarity of expression, telling turns of phrase, perceptive judgments of events and personalities, and an range of sources: all of which make these formidable looking volumes not only a pleasure to read but an outstanding resource for historians of the period.

diversification enormous

ROGER HOOD

Biography Born Lodz, Poland, 15 August 1906, son of a doctor Educated in Kraków ; at University of Paris , 1924-25 ; Licencié en Droit, University of Geneva , 1927 ; Doctor of Law, University of Rome, 1928 Lecturer, University of Geneva , 1928-31 ; Doctor of Law, Kraków, 1929 ; reported on working of penal system in Belgium , 1930 ; lecturer, Free University of Warsaw, 1932-36 ; came to England on behalf of Polish ministry of justice to report on working of English penal system , 1937 ; from 1939 helped establish criminological research unit, Cambridge University: Wolfson professor of criminology from 1959, and first director of the Institute of Criminology, 1973 (emeritus); fellow, Trinity College, from 1948 Naturalized British subject , 1947 Knighted 1970 Married 1) Irene Szerezewski , 1933 (marriage dissolved 1955 ); 2) Mary Ann Nevins , 1958 (marriage dissolved 1979 ; 1 son, 1 daughter); 3) Isolde Klarmann, née Doernenburg , 1979 .

.

.

.

.

.

Principal Writings History of English Criminal Law and Its Administration since 1750 5 vols., 1948-90 (vol. 5 written with Roger Hood ) Ideology and Crime: A Study of Crime in Its Social and Historical

A

,

Context , 1966

Further

Reading

Hood , Roger, ed., Crime, Criminology and Public Policy: Essays in Honour of Sir Leon Radzinowicz, London: Heinemann, and New York : Free Press, 1974

Raeff, US

Marc

(Russian-born)

1923—

a

serious

examination of the social and cultural life of the nobility of imperial Marc Raeff has made a significant contribution to the of study imperial Russian history and encouraged a generation of historians to re-examine previously accepted knowledge and assumptions about the Russian aristocracy. Unlike the work of

Russia,

alienated

emergence

introduce

perspective.

social historian

One of the first American scholars to conduct

his Russian predecessors, such as A. Romanovich-Slavatinskii and N. Pavlov-Silvanskii, who concentrated on the legal status of the nobility in relationship to other classes and the crown, most of Raeff's work focused on understanding the various social, cultural, and institutional elements that influenced this group's behavior and self-perception. Raeff's most influential book was undoubtedly Origins of the Russian Intelligentsia (1966). Drawing on a wealth of primary and secondary material, including diaries, memoirs, and contemporary government sources, Raeff offered the first thorough study of the social dynamics and institutional factors that shaped the life and worldview of the Russian noble. In his book, Raeff described how the Russian noble, in contrast to his Western counterparts, had weak ties to his home estate and locality. Instead, the Russian noble's status and identity were derived primarily from his role in state service, a situation created by the strict service requirements of the Russian tsars. Thus, according to Raeff, the Russian nobility began to define itself primarily in terms of its service obligation, a tie that became particularly problematic after 1762, when compulsory service was ended by royal decree. The Russian elite was now expected to create a new personal and corporate identity based on life in the provinces and the management of estates, an existence wholly unfamiliar to the average noble who had spent the majority of his life away in service. In the end, these nobles turned to their fellow aristocrats for a sense of security and belonging, organizing and participating in secret circles. Raeff emphasizes that this intelligentsia of the early 19th century grew directly out of the alienated nobility of the 18th century. This book was only the first in a series of works by Raeff that examined questions of social history in18th and early 19th century Russia. A subsequent work, for example, Comprendrel'ancien régime russe (1982; Understanding Imperial Russia, 1984), elaborated on his earlier argument. In this book, Raeff explored Russia's historical development under the Romanov dynasty. In particular, he concentrated on Russia's failure to develop a civil society based on legal rights. He argued that Peter the Great's westernization of the Russian elite severed it from the common people, and this, combined with the absolute control of the state, impeded the growth of the autonomous social forces that were necessary for the of a modern society. The inability of subsequent rulers, such as Catherine II and Nicholas I, to compile a law code and reform the legal system signaled Russia's last chance to move toward a modern society. In the end, the failure to timely reforms, the alienation between social groups, and the increasingly absolute nature of the tsarist regime made collapse inevitable. Having looked at the development of Russian society through an examination of the nobility, Raeff then turned to a study of the origins of modern society from a comparative In The Well-Ordered Police State (1983), he examined the particular administrative practices and political attitudes of the 17th and 18th centuries which underlay the institutional and social changes in this formative period. His title was drawn from the central essay of his book which analyzed and those government and police regulations of the German states that expressed the philosophy and goals of the state and assisted in the creation of a modern society. The ability of the

interpreted

RANGER

German princes to combine state leadership with the enlistment of the cooperation and participation of the public eluded even Russia's most ambitious rulers, Peter and Catherine II, for Russia's social structure was too primitive to facilitate such a system. As a result, the overwhelming predominance of state power continued to inhibit the desired modernization. Finally, in Russia Abroad (1990), Raeff presented a study of the first émigrés who left Russia as a result of the Revolution and the Civil War. In this valuable work, he focused on émigré life in Paris. Raeff described the education, culture, and religion of the émigrés who, in their belief that they would soon return to Russia, placed great emphasis on the need to preserve Russian culture. Despite the influential nature of Raeff's works, he has not escaped criticism. On occasion, he has been criticized for generalization, particularly in his characterization of the Russian elite and his failure sufficiently to distinguish between the various strata of noble society. Furthermore, Raeff's portrait of Russian émigré society has been called misleading and narrow. These criticisms aside, Raeff is without a doubt one of the most influential Russian historians of the 20th century and his contribution to the understanding of imperial Russia cannot be overestimated.

fascinating

excessive

LEE A. FARROW

See also Russia: Modern

Biography Born Moscow, 28 July 1923 Went to US, 1941 (naturalized 1943). Attended City College of New York, 1942-43. Served in US Army, 1943-46. Received MA, Harvard University, 1947, PhD 1950 Taught at Clark University, 1949-61 ; and Columbia University (rising to professor) , from 1963 .

.

.

Principal Writings Siberia and the Reforms of 1822 , 1956 Michael Speransky: Statesman of Imperial Russia, 1772-1839 , 1957 State and Nobility in the Ideology of M.M. Shcherbatov," Slavic Review 19 ( i960 ), 363 79 The Decembrist Movement , 1966 Origins of the Russian Intelligentsia: The Eighteenth-Century "

-

Nobility 1966 ,

Imperial

Russia, 1682-1825: The Coming of Age of Modern Russia ,

1971

l'ancien régime russe: état et société en Russie impériale: essai d'interprétation 1982 ; in English as Understanding Imperial Russia: State and Society in the Old Regime 1984 The Well-Ordered Police State: Social and Institutional Change Through Law in the Germanies and Russia, 1600-1800 1983 Russia Abroad: A Cultural History of the Russian Emigration,

Comprendre

,

,

especially

,

1919-1939 , 1990

Political Ideas and Institutions in Imperial Russia , 1994

Ranger,

Terence O.

1929—

British historian of Africa Terence O.

among the been a

of African

Ranger pioneers historical studies. has prolific scholar and teacher was

He

a

and pervasive. He has contributed to many areas of African historical research, including religion, politics, social history, and tradition. Ranger is perhaps best known to many for his idea of the "usable past": the idea that history can be used to benefit the present. Ranger unashamedly admits that he was among the early conceptualizers of the African nationalist historiographical school. This school used history in order to strengthen the sense of nationhood of the newly independent African countries. In "Towards a Usable African Past" (1976) Ranger advocated studying the past to combat African poverty, better the condition of women, investigate cultural transmission, and arrive at a better understanding of African ecology and food production. He further stated that this can be done without a "radical" approach and need not criticize capitalism. Religious studies has greatly benefited from Ranger's work. He has investigated religion in innovative ways. Revolt in Southern Rhodesia (1967) examined the role of MaShona and Ndebele prophetic leaders in resistance to British colonial conquest. While the methodology of this work has come under attack, no one can deny its value as a blueprint for examining resistance to colonialism. Ranger gave a place to religion in the investigation of resistance, a theme that had hitherto been neglected. He was among the first scholars to give the study of African religions a serious place in African historiography, as evidenced by The Historical Study of African Religion (1971). This work was organized under the principle that religion was a neglected aspect of study, but that it could also not be separated from politics, economics, and society. This was a rather revolutionary way to look at religion, because previous scholarship tended to study it as detached from the rest of African life. Ranger was also among the first scholars to give serious attention to syncretic religions, or those that combined indigenous and Christian beliefs in their practices. The African Churches of Tanzania (1969) is an examination of such religions. Politics has also been a field of investigation for Ranger. Here again, he has analyzed the topic in inventive ways. Peasant Consciousness and Guerrilla War in Zimbabwe (1985) and "War, Violence and Healing in Zimbabwe" (1992) both examined the intersection of politics with religion. They dealt with colonial and postcolonial politics while simultaneously investigating the role of religious leaders in political protest, guerrilla war, and societal healing. Ranger turned to social history in The African Voice in Southern Rhodesia, 1898-1930 (1970). This work sets out to investigate Zimbabwean history from the "bottom up," in relation to the policy of Land Appointment. While largely an exposition of Zimbabwean politics, this work also looked at the role of churches, unions, and other institutions in Zimbabwean life. Tradition, and the uses of it, has been a fairly recent research interest of Ranger. In "The Invention of Tradition in Colonial Africa" (1983) and "The Black Man's Burden" (1984) Ranger investigated the invention of tradition. It is Ranger's contention that colonial governments created traditions that they could use to control their subjects. The European regimes exploited these traditions in order to suggest that their policies were sympathetic to longstanding African social practices. These traditions not only affected political control, but were often

on

three continents, and his influence has been both far-reaching

back into African culture, often altering many other African cultural institutions. Ranger has also sought to position African historiography within a larger historiographical context. In fact, in The Emergence of African History at British Universities (1995), Ranger described this as one of the duties of historians of Africa. In one of his latest edited works, Epidemics and Ideas {1992), his chapter on Africa is linked with essays from other parts of the world. The same is true of his chapter in The Invention of Tradition (1983). African history cannot exist in a vacuum unconnected to the rest of the historiographical world. Through his research on religion, politics, peasantry, and tradition, Ranger has done his share to ensure that the necessary connections are made. TOYIN FALOLA and JOEL E. TISHKEN

projected

See also Africa:

Central;

Africa: Eastern;

Marks

Anthropology;

Ranggawarsita, Raden Ngabei Javanese

court

1802–1873

poet

Probably the most famous, though not necessarily the most widely read, poet at the Central Javanese courts of Surakarta in the 19th century was Raden Ngabei Ranggawarsita, greatgrandson and grandson of the well-known court poets Yasadipura I and II, who likewise enjoyed the patronage of the Surakarta rulers. Ranggawarsita is generally regarded as "the last of the court poets" (pujangga panutup), yet it is not certain when this honorific title, used for the learned poet who was simultaneously an official scribe, a scholar, and a prolific writer of moralistic and didactic works

as well as belles lettres of highest nobility Surakarta, was bestowed upon him. While scholars such as J.A. Day have held that he came to be known as such after his death, others have argued that he was already called so during his lifetime; it is assumed that the title also referred to the poet's excellent qualities. Scholars such as George Quinn have considered this title as an indication of the condition of Javanese literature in general, that it implied that Ranggawarsita would never be equalled and that he would never have a successor despite the fact that the Javanese courts remained in existence long after the great poet's death, and that men of letters continued to write for Javanese noblemen well into the 20th century. The title of pujangga was used in Javanese writings during Hindu-Buddhist times to refer to a Brahman or other person of clerical rank. At the East Javanese court of Majapahit in the 14th century the term indicated a category of scholars or religious officials. The assumption was made by Vlekke that it was the task of a new king's pujangga to sanction the claim to legitimacy, each time the center of power shifted to a new place. Following an intermittent period in which newly emerging Islamic rulers in the Pasisir area along Java's north coast were strongly oriented toward international Islamic culture, the use of this title at the Islamic court of Surakarta signaled a renewed interest in the Hindu-Buddhist cultural and literary heritage, which the Dutch scholar Pigeaud termed the "renaissance of classical Javanese literature in the late and nineteenth centuries." During this period court literati, primarily the members of the Yasadipura family, many of the ancient Old Javanese literary works in more modern poetic forms, which made a great impact on the flourishing of theatrical and musical art forms related to the traditional shadow puppet plays (wayang).

in the service of the

generally

Biography Terence Osborn Ranger Born London, 29 November 1929 Educated at Highgate School ; BA, Oxford University, MA 1953, PhD 1960 Lecturer, Royal Naval College, Dartmouth , 1955-56 ; and College of Rhodesia and Nyasaland , 1957-63 ; professor, University of Dar es Salaam , 1963-69 ; University of California, Los Angeles , 1969-74; University of Manchester, 1974-87 ; and Oxford University, from 1987 ; fellow, St. Antony's College, Oxford, from 1987 Married Shelagh Campbell Clark , 1954 (3 daughters). .

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Principal Writings Revolt in Southern Rhodesia, 1896-97: A Study in African Resistance , 1967 " Connexions between 'Primary Resistance' Movements and Modern Mass Nationalism in East and Central Africa ," Journal of African

History 9 ( 1968 ), 437 53 ; 631-41 The African Churches of Tanzania , 1969 The African Voice in Southern Rhodesia, 1898-,1930 1970 Editor with Isaria N. Kimambo , The Historical Study of African Religion: With Special Reference to East and Central Africa , 1972 Dance and Society in Eastern Africa, 1890-1970: The Beni Ngoma, -

1975 "

Towards a Usable African Past," in Christopher Fyfe , ed., African Studies since 1945: A Tribute to Basil Davidson , 1976 " The Invention of Tradition in Colonial Africa ," in Eric J. Hobsbawm and Terence O. Ranger, eds., The Invention of Tradition , 1983 " The Black Man's Burden ," Wilson Quarterly 8 ( 1984 ), 121 33 Peasant Consciousness and Guerrilla War in Zimbabwe: A -

Comparative Study 1985 Religious Movements and Politics in Sub-Saharan Africa ," African Studies Review 29 ¡ 1986), 1 69 Taking Hold of the Land: Holy Places and Pilgrimages in Twentieth-Century Zimbabwe," Past and Present 117 ( 1987 ), 158 94 Edited with Paul Slack Epidemics and Ideas: Essays on the Historical Perception of Pestilence 1992 War, Violence and Healing in Zimbabwe ," Journal of Southern African Studies 18 ( 1992 ), 698 707 Contributor The Emergence of African History at British Universities: An Autobiographical Approach edited by Anthony ,

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Kirk-Greene , Oxford : Worldview, 1995 Editor with Richard P. Werbner, Postcolonial Identities in Africa , 1996

-

eighteenth recomposed Ranggawarsita's major accomplishment

was

the

monumental literary work in prose entitled Pustaka Raja Purwa (The Book of Kings of Ancient Times}, intended as the first part of "trilogy" covering the mythical past of Java, beginning with Adam and the Indian gods, from the (fictional) year 1 until the year 730. On account of correspondences in content and form, Drewes assumed that the Pustaka Raja was modelled after the great Serat Kandha ("Book of Tales") which was probably written by Yasadipura I and II in the second half of the 18th century. More recently, a relationship has been argued by Day with the prophecies of king Jayabaya, the legendary wise king of the medieval East Javanese kingdom of Kedhiri who features in eschatological prophecies of the Islamic period. Generally, the Pustaka Raja is considered to belong to the "books of tales" a

genre of the Pasisir literature of the 17th and 18th centuries, which had been continued in the major history of the court of

Surakarta (Babad Surakarta) by Ranggawarsita's great ancestor,

Kings of Ancient Times ), 2 vols., 1912 ; Lima Karya Pujangga Ranggawarsita ( Five Works by the Court Poet Ranggawarsita ), edited by Kamadjaya 1985 ,

I.

Yasadipura Although the lengthy Pustaka Raja is often viewed as an attempt to write a comprehensive history of Java, according to Pigeaud the author's purpose apparently was not to write a chronicle, but rather to provide "encyclopedic knowledge of the whole of human history." The impression of a historical,

historical linear

development has been created by the arrangement of the myths and legends according to a chronology of solar and lunar years apparently of Ranggawarsita's own invention, starting from the Paramayoga, an introductory cosmogony or story of the gods, until the death of Arjuna's great-grandson, concluding the Mahabharata epic. In Java, the Pustaka Raja was highly appreciated by Ranggawarsita's contemporaries and served as a source of inspiration to learned literati including the well-known ruler and poet Prince Mangkunagara IV as well as to following of learned authors and performers of the shadow puppet theater, wayang kulit. Epigones of the Mangkunagaran House wrote extensions entitled Pustaka Raja Madya and Pustaka Raja Puwara, with stories from supposedly later, post-epical times, including legends from the medieval East Javanese kingdoms, and thus covering the entire Hindu-Buddhist era in Java. The appreciation for Ranggawarsita's work has not remained constant. Although he collaborated with Dutch contemporaries such as the linguist C.F. Winter in Surakarta and wrote a work on Javanese grammar, 19th-century Dutch scholars criticized Ranggawarsita's alleged lack of knowledge of Old Javanese. Even the western-educated Javanese scholar Poerbatjaraka was highly critical of the lack of reliable historical information in the Pustaka Raja. In Javanese society, the social criticism expressed in the poem Kalatidha, paraphrased as "the age of madness," has received much attention. This poetic complaint, meant as an elegy on social problems and lack of norms in the poet's own time, has often been interpreted as a prediction of the social upheaval in the following 20th century. Lately, scholars both in Indonesia and abroad have paid much attention to Ranggawarsita's alleged prophetic qualities. Yet, most of the works of this typical 19th-century Javanese "man of letters" were of a didactic, moralistic, and nature. In spite of his fame, his works are not well known to ordinary Javanese, probably because they are written in an ornate literary idiom that makes them rather inaccessible to modern Javanese readers. -

-

generations

philosophical

CLARA BRAKEL-PAPENHUYZEN

Biography

spelled Ronggawarsita and Ronggowarsito Born Bagus Burham, 15 March 1802 grandson and great-grandson of court poets Yasadipura I and II ; raised by his grandfather after his father was exiled. Educated at Tegalsari, near Panaraga, then traveled ; although appointed court poet, he did not achieve the rank his grandfather had attained Died 24 December 1873 Name also

.

,

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.

Principal Writings Pustaka Raja Purwa ( The Book of Kings of Ancient Times ); various editions: Poestaka Radja Poerwa ( Book of Kings of Ancient Times ), 1884-1906 ; Serat Pustaka Raja Purwa ( The Book of

Further Reading Day John Anthony Meanings of Change in the Poetry of Nineteenth-Century Java doctoral dissertation, Ithaca, NY: Cornell University 1981 Drewes G. W.J. Over werkeijke en vermeende Geschiedschrijving in de Nieuwjavaansche litteratuur ( Concerning Real and Supposed Historical Writing in New Javanese Literature ), Djawa 19 ( 1939 ), 244 57 Drewes G. W.J. Ranggawarsita, the Pustaka Raja Madya and the wayang madya," Oriens Extremus 21 ( 1974 ), 199 215 Errington J. Joseph To Know Oneself the Troubled Times: Ronggawarsita's Serat Kala Tidha ," in Alton L. Becker ed., Writing on the Tongue Ann Arbor : Center for South and Southeast Asian Studies, University of Michigan 1989 Kamadjaya Zaman edan: Suatu studi tentang buku Kalatida dari Ranggawarsita (Times of Madness: A Study of the Kalatida by Ranggawarsita ), Jogja : Indonesia University Press 1964 Mulyanto R. I. Biografi Pujangga Ranggawarsita ( Biography of the Court Poet Ranggawarsita ), Jakarta 1990 Pigeaud Theodore Gauthier Thomas Literature of Java 3 vols., The Hague : Nijhoff 1967-70 Poerbatjaraka Radan Mas Ngabei Kapustakan Djawi (Javanese Literature ), Djakarta : Djambatan 1952 Quinn George The Novel in Javanese Leiden : KITLV Press 1992 Serat Parantayoga Yogyakarta : Yayasan Centhini 1992 Uhlenbeck E. M. A Critical Survey of Studies on the Languages of Java and Madura The Hague : Nijhoff 1964 Vlekke Bernard Hubertus Marius Nusantara: A History of the East Indian Archipelago The Hague: van Hoeve, and Cambridge, MA : Harvard University Press 1943 ; revised as Nusantara: A History of Indonesia 1959 Winter C. F. Javaansche zamenspraken (Javanese Conversations ), 2 vols., Amsterdam : Müller 1848-58 ,

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Raniri, Nur ud-Din Indian Islamic

theologian

ar-

d. 1658

and historian

family background was as varied as the scope of his influence. Born in Ranir, India, into a mixed Arab/Indian family with ties with the Malay world, ar-Raniri exerted an influence in various geographical locations and fields of learning. Ar-Raniri saw himself first and foremost as an Islamic theologian. He is best known in this role, and the vast majority of his prolific writing relates to theological issues: the nature of God, the separation between God and creation, Islamic law and its application, traditions of the prophet Muhammad, and the application of Islamic mystical knowledge to what ar-Raniri considered to be orthodox theology. Ar-Raniri also made a significant contribution to Malay and Islamic historiography through his Bustan us-Salatin (Garden of Kings, after 1638). This encyclopedic work consists of seven books, divided into forty sections, and was commenced in 1638 and probably never completed. It was commissioned by Sultan Iskandar Thani of Aceh and is eclectic in content, including sections on both theology and history. In preparing this work, ar-Raniri sought to mirror the writings of the great Arabic classical historian and exegete, at-Tabari. Nur ud-Din ar-Raniri's

The second of the

seven

books devotes its thirteen sections

wide-ranging topics of Muslim history, including the kings of Egypt to Alexander the great, the Arab rulers from the preIslamic period to Umar, the story of the prophet Muhammad and the first four caliphs, the history of the Arabs during the Umayyad and the Abbassid periods, the Muslim rulers of India, the kings of Malacca and Pahang, and the rulers and religious to

scholars of Aceh. part of ar-Raniri's writings in the sphere was devoted to refuting the teachings of his predecessors in the Southeast Asian sultanate of Aceh; ar-Raniri wrote sections 12. and 13 of book 2 of the Bustan usSalatin partly to compete with and supplant earlier historical works in the Malay world: the Malay Annals (Sejarah Melayu) and the Hikayat Aceh. Yet ar-Raniri owed much to the Malay Annals. A comparison of sections 12 and 13 of book 2 of Bustan us-Salatin, which focus on Malay and Acehnese history, with the Malay Annals shows that the Bustan us-Salatin drew extensively on this earlier work for its content. Like the Malay Annals, it manifests the penchant of Malay historical writers for glorifying rulers; the last two sections of book 2 sing the praises of sultan Iskandar Thani, ar-Raniri's great benefactor during his stay in Aceh from 1637 to 1644. Nevertheless, ar-Raniri's intention was clearly to write a definitive history of Islam in Malay for the benefit of Southeast Asian Muslims. In this he sought to emulate the contributions to Islamic historiography of the classical historians at-Tabari and ash-Shahrastani, whose writings served as important points of reference for ar-Raniri during his life. Though the Bustan us-Salatin has been published only in parts, these published sections include parts of book 2 which relate to Malay history. Moreover, many of the stories in the historical sections of book 2 of Bustan us-Salatin have been adopted and presented to the Malay reading public through the "Bunga Rampai" literature, a form of popular literature among the Malays. Furthermore, other Malay classics such as the Hikayat Hang Tuab have drawn heavily on book 2 of the Bustan us-Salatin. Finally, historical sections of other books of this work have been published and distributed in recent decades. Ar-Raniri's influence as a historian is not limited to recording Malay history. Those sections of the Bustan us-Salatin which record the history of other parts of the Muslim world have long served to open a window onto the broader Muslim world for Malay readers, and in this ar-Raniri was an important pioneer in terms of the broader historical education of Malays. This endeavor has not been free of controversy however; a lingering suspicion of ar-Raniri in the Malay world came to the fore at the turn of the 20th century, when Wilkinson's efforts to publish the Bustan us-Salatin in Singapore encountered opposition from local Malay religious scholars because of ar-Raniri's inclusion of cosmological and historical material that they considered of inappropriate and questionable authority. Nevertheless, arRaniri can rightly be considered an Islamic historian of some quality on the basis of his writings. His choice of Malay as the language of the Bustan us-Salatin necessarily restricted its readership but in this context, the recent efforts to translate his historical writings into English may in time increase his significance as a historian beyond Southeast Asia.

Just

as

significant

a

theological scholarly

potential

PETER G. RIDDELL See also Islamic

Biography Born Ranir, India. Flourished 1630s Died 1658 .

.

Principal Writings Bustan us-Salatin

Further

( Garden of Kings ),

written after

1638

Reading

Attas , Syed M.N. al-, Raniri and the Wujudiyyah of 17th Century Aceh , Singapore : Malaysian Branch of the Royal Asiatic Society,

1966 (monograph 3) Syed M.N. al-, The Mysticism of Hamzah Fansuri Kuala Lumpur : University of Malaya 1970 Attas Syed M.N. al-, A Commentary on the Hujjat al-Siddiq of Nur al-Din al-Raniri Kuala Lumpur : Ministry of Culture 1986 Daudy Ahmad Allah dan Manusia dalam konsepsi Syeikh Nuruddin ar-Raniri ( God and Mankind According to Nuruddin ar-Raniri ), Jakarta : Rajawali 1983 Drewes G. W. J. De Herkomst van Nuruddin ar-Raniri (The Origin of Nuruddin ar-Raniri ), Bijdragen tot de Taal-, Land- en Volkenkunde111 ( 1955 ), 137 51 Attas ,

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Grinter, C.A. , Book IV of the Bustan al-Salatin by Nuruddin arRaniri , PhD thesis, School of Oriental and African Studies , London , 1979 Hooykaas , Christiaan , Perintis Sastera ( Guide to Literature ), Jakarta : Wolters , 1953 Iskandar, Teuku , Nuruddin ar-Raniri Pengarang Abad ke-17 (Nuruddin ar-Raniri, a 17th-century Author ), Dewan Bahasa : October 1964 , VIII , 10, 436 41 Iskandar, Teuku , Nuru'd-din ar-Ranin Bustanu's-Salatin Bab II, Fasal 13 , Kuala Lumpur : Dewan Bahasa dan Pustaka , 1966 " Iskandar, Teuku , Three Malay Historical Writings in the First Half of the 17th Century," Journal of the Malayan Branch of the Royal Asiatic Society 40 ( 1967 ), 38 53 Ito , Takeshi , Why Did Nuruddin ar-Raniri Leave Aceh in 1054 AH ?," Bijdragen tot de Taal-, Land- en Volkenkunde 134 ( 1978 ), -

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489 91 Jones Russell Nuru'd-din ar-Raniri Bustanu's-Salatin Bab IV Fasal 1: A Critical Edition and Translation of the First Part of Fasal 1, Which Deals with Ibrahim ibn Adham Kuala Lumpur : Dewan -

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Bahasa dan Pustaka , 1974 Nieuwenhuijze , C.A. O. Van, Nur al-Din al-Raniri als Bestrijder der Wugudiya," ( Nur al-din al-Raniri as an opponent of the Wugudiya ), Bijdragen tot de Taal-, Land- en Volkenkunde 76 ( 1920 ), 162 71 Salleh , Siti Hawa Haji , Bustan al-Salatin , Kuala Lumpur : Dewan Bahasa dan Pustaka , n.d. Steenbrink , Karel Α. , " Jesus and the Holy Spirit in the Writings of Nur al-Din al-Raniri ," Islam and Christian Muslim Relations 1/2 "

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( 1990 ), 192 207 Tudjimah, Asrar al-insan fi ma'rifa al-ruh wa'l-rahman ( The Secrets for Mankind in Knowing the Spirit of the Merciful ), Djakarta : -

Penerbitan Universitas , 1961 " Voorhoeve , P. , Van en over Nuruddin ar-Raniri " (Of and About Nuruddin ar-Raniri ), Bijdragen tot de Taal-, Land- en Volkenkunde 107 ( 1951 ), 353 68 " Voorhoeve , P. , Lijst der Geschriften van Raniri " ( List of Manuscripts of Works by Raniri ), Bijdragen tot de Taal-, Landen Volkenkunde 111 ( 1955 ), 152 61 " Voorhoeve , P. , Short Note: Nuruddin ar-Raniri ," Bijdragen tot de Taal-, Land- en Volkenkunde 115 ( 1959 ), 90 91 Wilkinson , Richard James , Bustanu's-Salatin , 2 vols., Singapore : Methodist Publishing House , 1899-1900 -

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Ranke, Leopold

von

1795–18 6

German historian The "father" of modern historical writing, Leopold von Ranke has been widely recognized as one of the world's great He owed his success to his education in classical languages and literature as well as to his devotion to archival studies. In 1824 his first major work, Geschichten der lateinischen und germanischen Völker (The Histories of the Latin and Teutonic Peoples, 1887) appeared. It was the preface to this work that announced his often quoted dictum, to write history as it had actually occurred: "wie es eigentlich gewesen ist." The success of his first book led to his appointment at the University of Berlin in 1825, where he remained until his in 1871. At Berlin Ranke came in contact with Hegelian philosophy, but rejected it in favor of empirical research based on an exhaustive use of archival materials. The decline of empires stimulated his historical interests, as he began a study of the Ottoman and Spanish monarchies. Most of his research took him to Italy, particularly to Venice, where he became one of the first historians to use the reports of the Venetian of the 16th century, documents which made it clear to him that the decline of these states could be attributed to internal causes. The ensuing work was published at intervals over several years: Fürsten und Völker von Süd-Europa im sechzehnten und siebzehnten Jahrhundert (1827-36; The Ottoman and the Spanish Empires, in the Sixteenth and

historians.

retirement

ambassadors

Seventeenth Centuries, 1843). After his return to Berlin in 1831, Ranke wrote his most famous book, Die römischen Päpste in den letzten vier Jahrhunderten (1834-36; The Ecclesiastical and Political History of the Popes of Rome, 1840). Hailed for its it has often been reprinted. In it Ranke treats the papacy as a universal monarchy and presents succinct biographical sketches of the popes. During the 1840s, Ranke returned to the study of ancient and medieval history. He came to believe that Roman history stood at the center of all world history and that the of the modern world still rested on such ancient as Roman law, the monarchy, and the church. These ideas represented the remnants of a German Romantic tradition which had begun to wane. The revolutionary upheavals of 19thcentury Europe led Ranke to conclude that the idea of dominated modern history. His Deutsche Geschichte im Zeitalter der Reformation (1839-43; History of the in Germany, 1845-47) was, however, neither nor romantic. It focused on the political history of the reign of Charles V and on the German Reformation. His Neun Bücher preussischer Geschichte (1847; Memoirs of the House of Brandenburg ..., 1849) was based on research in the royal archives and emphasized the importance of two notable Prussian rulers: Frederick William the Great Elector, and Frederick William I. the soldier king. Ranke trained the first generation of genuinely professional historians at Berlin, including Georg Waitz, Theodor Mommsen, and Jakob Burckhardt. Maximilian II of Bavaria had also been Ranke's student and was moved to establish a special Historical Commission within the Bavarian Academy of Sciences. In 1854 he invited Ranke to give a series of private lectures, "Epochs of

objectivity, foundations

institutions nationalism

Reformation

nationalist

World History since the Fall of Rome." Ranke emphasized that history was not a matter of progress, and that the primary task of the historian was to study history itself and to find its honest truth. Despite the strong theological coloring evident in many of his personal letters, Ranke was always a secular historian, devoted to appraising the major forces in history. He taught the necessity of juxtaposing important universal trends with particular details. Yet sometimes grand ideas seemed to work in a dialectical way, especially when confronted by a new set of ideas. Ranke viewed each nation and its people as unique entities producing forces of nationalism that no longer could be ignored. During his later years Ranke wrote national histories for each of the major states of Europe. He put aside a project to study the French Revolution of 1789 in order to produce Französische Geschichte, vornehmlich im sechzehnten und siebzehnten Jahrhundert (1852.-55; Civil Wars and Monarchy in France, 1852). He realized that the French Third Estate represented democratic ideas and that the French Revolution marked the beginning of a new age. Having married an AngloIrish woman, Clarissa Graves, Ranke was also able to devote some attention to learning English and to writing Englische Geschichte vornehmlich im sechzehnten und siebzehnten Jahrhundert (1859-68; A History of England Principally in the Seventeenth Century, 1875). The Die deutschen Mächte und der Fürstenbund (The German Powers and the Princes' League, 1871), and a revised Prussian history (1874) once more led him to reaffirm his Prussian patriotism and to realize that modern Prussian history, like modern French history, had to be understood in terms of its internal forces. After he retired, Ranke resumed his interest in universal history and produced his Weltgeschichte(1881-88; Universal History, 1885). He was criticized because the vogue for writing comprehensive world histories had passed and the writing of national histories dominated the scene. Undeterred by such opposition, Ranke maintained a strict writing schedule, but died before he could complete his work. Although he was aware of the new theories of evolution, and did not reject them, he preferred to leave questions of human prehistory out of historical narratives. Ranke disliked despotism and denied taking the side of authority, but his conservative political interests have always been criticized and continue to provide grounds for further criticism by his American The Germans have continued to regard him as a founder of historism, and while the historicist interpretation usually understates Ranke's emphasis on the major tendencies and effective principles found in political forces, these constituted the true meaning; of history for Ranke.

vigorously biographers.

HELEN LIEBEL-WECKOWICZ

Burckhardt; Counter-Reformation; Gatterer; Germany: 1450-1800; Giesebrecht; Graetz; Guicciardini; Literature; Macaulay; Nietzsche; Philosophy of History; Reformation; Spain: Imperial; Universal

See

also

Diplomatic;

Annales

regni; Ecclesiastical;

Biography Born Wiehe, Thuringia in Saxony, 21 December 1795 ; descended from Lutheran pastors and lawyers Studied at Schulpforta school ; Donndorf monastery school; then universities of Halle and Leipzig .

.

Schoolmaster, Frankfurt 1818-25 ; professor, University of Berlin, 1825-71. Married Clarissa Graves, 1843 (died 1870; 2 sons, 1 daughter) Ennobled 1865 Died Berlin 23 May 1886 ,

.

.

.

,

Principal Writings Geschichten der lateinischen und germanischen Völker , 1824 ; in English as The Histories of the Latin and Teutonic Peoples , 1887 Fürsten und Völker von Süd-Europa im sechzehnten und siebzehnten Jahrhundert, 4 vols., 1827-36 ; in English as The Ottoman and the Spanish Empires, in the Sixteenth and Seventeenth Centuries ,

1843 Die römischen

Päpste in den letzten vier Jahrhunderten 3 vols., 1834-36 ; in English as The Ecclesiastical and Political History of the Popes of Rome during the Sixteenth and Seventeenth Centuries 3 vols., 1840 and as The History of the Popes 3 vols., 1907 Deutsche Geschichte im Zeitalter der Reformation 5 vols., 1839-43 ; History of the Reformation in Germany 3 vols., 1845-47 Neun Bücher preussischer Geschichte 3 vois., 1847, revised 1874 ; in English as Memoirs of the House of Brandenburg and History of Prussia during the Seventeenth and Eighteenth Centuries 3 vols., 1849 reprinted 1968 Französische Geschichte, vornehmlich im sechzehnten und siebzehnten jahrhundert 3 vols., 1852-55 ; partially translated as Civil Wars and Monarchy in France, in the Sixteenth and Seventeenth Centuries: A History of France Principally during That Period 2 vols., 1852 Englische Geschichte vornehmlich im sechzehnten und siebzehnten Jahrhundert 7 vols., 1859-68 ; in English as A History of England Principally in the Seventeenth Century 6 vols., 1875 Sämtliche Werke (Collected Works ), 54 vols., 1867-90 ,

,

,

,

,

,

,

,

,

,

,

,

,

Die deutschen Mächte und der Fürstenbund: deutsche Geschichte von ιγ8ο bis 1790 (The German Powers and the Princes'

League), 1871 Weltgeschichte 9 vols., History 1885

abridged in English

1881-88 ;

,

as

Universal

,

Aus Werk und blachlass

( From Works and Legacies ),

4

vols.,

1964-75 The Theory and Practice of History, edited by Georg G. Iggers and Konrad von Moltke , 1973 The Secret of World History: Selected Writings on the Art and Science of History , edited by Roger Wines , 1981

Further Reading Krieger Leonard Ranke: The Meaning of History Chicago : University of Chicago Press 1977 Laue Theodore von Leopold von Ranke: The Formative Years Princet on: Princeton University Press 1950 Mommsen Wolfgang J. ed., Leopold von Ranke und die moderne Geschichtswissenschaft (Ranke and the Modern Science of History ), Stuttgart : Klett Cotta 1988 Powell James M. and Georg G. Iggers Leopold von Ranke and the Shaping of the Historical Discipline Syracuse, NY: Syracuse University Press 1990 Syracuse University The Leopold von Ranke Manuscript Collection of Syracuse University Syracuse : Syracuse University Press 1958 ; revised and completed 1983 ,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

Rashīd

al-Dīn,

,

Fazlallah

successors,

assistants

historiography,

general history

written in 1317 is

largely

an

epitomized

version

of Rashïd al-Dīn's work; another short general history written by Rashïd al-Dīn's younger contemporary, Hamdallah Qazwini, in 1330, was also based mainly on the work. Jāmi al-tawārīkh was widely used by the historians of Timur and the Timurids, of whom Hafiz-i Abru (died 1430) wrote several historical compilations, some of which directly incorporated large portions of Jāmi al-tawārikh, while others had to serve as its continuation. Two multivolume general histories of the late Timurid historians, Rawzat al-safā' by Mirkhwand (died 1498) and Habib al-siyar by Khwandamir (died 1535), much of the material from Jämi al-tawärlkh, especially on the history of the Turkic tribes and the Mongols; due to the great popularity of these two general histories in Iran and Central Asia, later historical works usually borrowed their information, which can be traced back to Rashīd al-Dīn, not from Rashīd al-Dīn directly, but from Mirkhwand and Khwandamir.

incorporated

1247–1318

Persian historian on the order of Ghazan Khan, Rashld al-Dīn began the compilation of his universal history, Jāmi al-tawärlkh (The Collection of Chronicles). The plan of this work was based on

In 1300,

the idea that the history of the Islamic world was only one of the rivers flowing into the sea of world history, and that world history had to include the history of all the known peoples, from the "Franks" in the West to the Chinese in the East; moreover, the history of non-Muslim peoples had to be based on their own historical traditions. Accordingly, the work was divided into four volumes: 1) the history of Turkic and Mongol tribes, the empire of Genghis [Chingis] Khan, and its especially in Iran; 2) a general history of the world, including the pre-Islamic kings of Iran, Muhammad and the caliphs, the Islamic dynasties of Iran, the Oghuz and the Turks, the Chinese, the Jews, the Franks, and the Indians (with a lengthy account of Buddha); 3) Sbu'ab-i panjgäna (The Five Branches [of the Human Race]), the genealogy of the ruling dynasties of "five peoples": Turks and Mongols, Muslims (that is, Arabs), Jews, Franks, and Chinese (originally it formed the second part of the second volume); and 4) Suvar al-aqâlîm (The Pictures of the [Seven] Climes), geographical descriptions of the world and the routes of the Mongol empire. For the compilation of this work Rashld a Mil η used numerous and collaborators, including prominent Mongols famous for their knowledge of Mongol historical tradition, two Chinese scholars, a Buddhist monk from Kashmir, and a French Catholic monk. Rashid al-Dln, apparently, wrote most of the first volume, and he edited the entire text, giving it the shape in which it came down to us. It is distinguished not only by the breadth of its design and its unbiased approach to its sources, but also by its simple prose, which favorably contrasts with the highly ornate style that became popular in Persian historiography during the Mongol period. This enterprise was unprecedented not only in Muslim, but also in world and the achievement of Rashid al-Dïn remained unmatched during the Middle Ages. Later Muslim historians, until modern times, never tried to write universal history modeled on Rashīd al-Dīïn's work, but returned to the well established scheme of "general history," which was, essentially, the history of the Islamic world, with the addition of the history of four pre-Islamic Persian dynasties (including two mythical ones). But the information contained in the Jāmi al-tawārīkh was used in many later historical works in Persian and Turkic languages. Jāmi' al-tawārīkh was used by Rashīd al-Dīn's contemporary Banakati, whose short

The fourth volume of

work (the

geographical Rashīd al-Dīn'buts references down part) has not come

to

to it are

us,

found in the works of later Muslim authors. The third volume (Shu'ab-i panjgāna) has survived in a single manuscript in Istanbul; other parts exist in manuscripts in various libraries. There is no complete edition of the Persian text, but there are many text editions and European translations of separate parts (the most complete listing of these publications, as well as the

manuscripts, is in Storey). as the Jāmi al-tawārikh, Rashīd al-Dīn wrote several theological works (preserved in a number of manuscripts), a treatise on agriculture, botany, architecture, and other subjects (an excerpt of which has been preserved and published in Iran as an anonymous work), and edited a collection of four books on Chinese medicine, Chinese and Mongol pharmaceutics, and the administration of the Chinese empire, of which the first volume includes a long introduction by Rashïd al-Dïn with a characterization of Chinese and Inner Asian culture (a unique manuscript of which exists in Istanbul). A collection of 53 letters, written by Rashīd al-Dīn to his sons, various officials, scholars, and other persons, has survived in several manuscripts and is a very important source for the history of Iran under the Mongols. extant

As well

YURI BREGEL

Biography

Fazlallah [or Fadlallah) Rashīd al-Dīn Bom Hamadan, Iran , 12.47 ; from a family of Jewish physicians, but converted to Islam Began to serve the Mongol khans of Iran (ilkhans) some time between the mid-126os and mid-1280s ; court physician under Ghazan Khan ( 1295-1304 ); after 1298, a second wazir (chief minister); became the main adviser of Ghazan and the initiator of important administrative and financial reforms undertaken during Ghazan's reign Under ilkhan Abu Sa'id he was removed from his post and in 1318 executed .

.

.

.

Jāmi al-tawārīkh ( The Collection of Chronicles ), written c. 1300 , partially translated into Russian, French, German, and English ; in English as The Successors of Genghis Khan , 1971 Further Reading " Bartol'd , Vasilii , Review of: E. Blochet , Introduction à l'histoire des Mongols de Fadl Allah Rashīd al-Dīn," in his Sochineniia , vol. 8 , Moscow : Izd-vo vostochnoi lit-ry , 1973 " Boyle , John Andrew, Rashīd al-Dīn: The First World Historian ," Journal of" Pakistan Historical Society 17 ( 1969 ), 2.15 27 Jahn , Karl , The Still Missing Works of Rashīd al-Dīn ," Central -

journal

9

-

Raynal, Guillaume-Thomas

1713–1796

French colonial historian In his Histoire

Philosophique et politique des établissements et des Européens dans les deux Indes (1772-81; A Philosophical and Political History of the Settlements and Trade of the Europeans in the East and West Indies, 1777) Abbé Guillaume-Thomas Raynal began his inquiry with the European discovery of the New World and the successful navigation of the Cape of Good Hope that established direct trade with India and the Spice Islands, Those events, Raynal said, "gave rise to a revolution in the commerce, and in the power of nations in the manners, industry, and government of the whole world." Raynal introduced a new method of inquiry, an innovation in the writing of history. He began from the standpoint of the historian: industry and commerce were the most factors in the relations between states. Raynal's history in the sense that we would say scientific was philosophical he sought to discover the causes of historical events. The Histoire des deux Indes consisted of 19 books, variously printed in three, five, seven, and ten volumes. Three editions, five translations, and 2.5 impressions appeared between 1772 and 1781, earning the author and publisher unusually large sums for that time. Raynal's method was scientific in the way that the philosophes understood the term; he made no appeals to divine causes or ends in order to explain historical Raynal followed the chronological and geographical sequence of European exploration and colonization since the 15th century in order to explain the existing social orders rationally and scientifically, drawing inferences from the without recourse to metaphysics, theology, or Scripture. From the evidence Raynal inferred that significant changes in the volume of production or trade led to significant political changes. The sources of his fame among his contemporaries were his use of statistics and his plainspoken attacks on the royal administration. The sources of his statistics, and the for their revisions in subsequent editions, are unknown. It was not Raynal's purpose to provide a detailed economic analysis of the European colonial system, but to question "whether the revolutions that are passed, or those which must hereafter take place, have been, or can be of any utility to the human race." The thesis of the Histoire des deux Indes seems to be that world trade determined international politics but, while Raynal recounted the history of European trade and he did not prove or even seek to prove that thesis. he Instead, sought to answer the philosophical questions by the last 300 years of commercial history, questions that went beyond the issue of utility: what was the purpose of government; of society; what constituted a just social order? He began his answer by adopting the point of view of the economic historian: "The commercial states have civilized all others." The immediate context for Raynal's history was du

commerce

.

.

economic

influential -

phenomena. evidence,

Principal Writings

( 1964 ),

113

-

22

"

Rashīd al-Dīn as a World Historian ," in Yádnáme-ye Jan Rypka: Collection of Articles on Persian and Tajik Literature Prague : Academia , 1967 , 79 87 " Jahn , Karl , Some ideas of Rashid al-Dln on Chinese Culture ," Central Asiatic Journal 28 ( 1984 ), 161 75 Morgan , David , The Mongols, Oxford : Blackwell , 1986 " Petrushevskii , Il'ia Pavlovich , Rashid al-Dīn i ego istoricheskii " trud ( Rashid al-Dīn and His Historical Work ), in Rashīd al-Dīn, Sbornik letopisei , vol. 1 , part 1, Moscow : IzdatePstvo Akademii Nauk SSSR , 1952 , 7 38 Storey, Charles Ambrose , Persian Literature: A Bio-Bibliographical

Jahn Karl ,

-

-

See also Pelliot; World

Asiatic

Survey , in vol, 1 , London : Luzac , 1935 ; revised in Russian with additions and corrections by Yuri Bregel , Moscow : Nauka , part 1, 306 318 , and part 3, 1394-95 " Togan , Ahmet Zeki Velidi , The Composition of the History of the Rashīd al-Dïīn ," Central Asiatic Journal 7 ( 1962 ), 60 72 Mongols by

,

-

-

-

reasons

colonization, occasioned

.

France's recent defeat in the Seven Years' War.

According to the Greeks, Raynal, the powerful, commercial states Phoenicians, the Romans, and Spanish had mismanaged their empires. Raynal therefore questioned whether Europeans understood the art of government. Like Montesquieu, Raynal used the history of empires to draw a lesson for France. Commerce was the source of luxury and It was also the source of power. By reminding his readers that "Commerce is finally destroyed by the riches it accumulates," Raynal warned them that France's recent defeat by England signified an important shift in the balance of power. Thus, Raynal's history was philosophical in two senses. It was scientific, and it was didactic. Raynal argued that France must break the cycle of history and establish an empire that would endure. He used the history of European colonization to argue for free trade, the abolition of mercantile policies and the abolition of slavery and the slave trade, and the of the republican form of government. In his view, a republic was the only form of government able to ensure liberty, that is, the natural rights of freedom and Raynal's history was a warning that France's commercial, colonial, fiscal, and political policies were destructive of the nation's wealth and power. Despotism, mercantilism, and by conquest were destroying liberty and property. After surveying the history of European colonization, Raynal argued that France should adopt a new colonial policy, reform the tax system, and revise its political system. The alternatives, he suggested, were revolution or permanent decline. -

-

contemporary civilization.

regulations,

superiority individual property.

colonization

HUGH L. GUILDERSON

Biography Abbé Guillaume-Thomas François Raynal Born Saint-Geniez in the Rouergue, 12 April 1713 Educated by the Jesuits at Pézenas and took priest's orders, but was dismissed fot unexplained reasons He became a writer and traveled widely after his Histoire was banned in 1774 ; returned to France in 1784 ; was elected to the Etats Généraux, but did not take his seat on grounds of age Lived in Passy and Montlhery until his death at Chaillot 6 March 1796 .

.

.

.

,

.

Principal Writings Histoire Philosophique et politique

des établissements et du commerce des Européens dans les deux Indes , 6 vols., 1771-81 ; in English as A Philosophical and Political History of the Settlements and Trade of the Europeans in the East and West Indies , 1777

Further Reading Feugère Anatole Un précurseur de la Révolution: Abbé Raynal ( Precursor of the Revolution: Abbé Raynal ), Angoulême : ,

,

Ouvrière , 1922 Kors , Alan Charles , D'Hotbach's Coterie: An Enlightenment in Paris , Princeton : Princeton University Press , 1976 Wölpe , Hans , Raynal et sa machine de guerre ( Raynal and His War Machine ), Stanford, CA : Stanford University Press , 1957

The Reformation The Reformation, in the form of the schisms in Western Christendom to which it gave rise, still commands a whole of sectarian allegiances. Even among academic historians,

spectrum

the freight of inherited prejudice, or the modish revisionisms to which sectarian evaluations can lead, distort historical however demurely they are presented or however modern values, incorporated into the vocabulary, are applied to events that took place nearly half a millennium ago. Phenomena such as "pluralism" or "absenteeism" have the built-in resonance of "abuses" requiring to be reformed. In fact, it can be argued that they were part of the intricate mechanism by which Europe's new nation-states drew, generally with papal acquiescence, on the only available source of talent, in order to allow high administrative offices to continue to be exercised by the same trained ecclesiastical administrators, financed from the same sources as before. It was a means of secularizing to accord with a new social and political reality, and need not have entailed abuse. Furthermore, the Reformation inevitably had social and political as well as theological and spiritual, legal and literary and visual dimensions. The sectarian and polemical intentions of historians of most of the arts and social science disciplines are often no less clear than those of the straightforward religious historians. There are therefore few areas of history in which some reference to the context in which the history was being written is more essential in assessing a historian's position than that involving the religious controversies of the Reformation. The result is that the historiography of the Reformation too readily resolves itself into the historical chronicle of the use of historical writing as a weapon of religious controversy or propaganda. The early historians were crudely polemical in their attempts to discredit one another, and those favoring Lutheran or Zwinglian theologies, which came first and often had a millenarist tinge, at first sought to fit the 16th-century schisms into some divine plan for history. Johann Carion's popular 1532 Chronica, virtually rewritten by Melanchthon, saw the history of the world in terms of a 6,000-year scheme, with primitive, Mosaic, and Christian periods, and that of Luther inaugurating the final development of the third stage. The first major historian of the Reformation was Johannes Sleidan (1506-66), writing Latin "commentaries" in the manner of the chronicles of Froissart and Commines, both of whom he into Latin. They were published piecemeal, covering the period from 1517 to 1554, and the completed set of 24 books was published in a folio of 940 pages in 1555. Sleidan, to the bishop of Paris before joining the liberal wing of the schism, followed the commentaries with a work in three books attempting to demonstrate the continuity between ancient Rome and the contemporary Holy Roman empire. He regarded the Reformation as the work of God, but was balanced in his views and in his use of source material, and was attacked by both sides. He wanted the emperor and the Protestant German princes to ally, and focused on princes and politicians rather than theologians, according lesser importance to the doings of popes and imperial Diets. He took sides against the peasants in writing of the Peasants' War. Early, and roughly contemporaneous, Johannes Cochlaeus (1479-1552.) and Friedrich Myconius (1491-1546) wrote from different sides. The 1549 commentaries of Cochlaeus give a year-by-year, strongly anti-Lutheran record of Luther's schism, depicting Luther as a sectarian pope-hater in league with Satan, morally decadent, and responsible for inciting the Peasants'

perspectives,

unwittingly

administration

philosophical, affiliations

historiographical

translated

secretary

Revolt before turning against it. He regarded the Reformation ideological rather than a political battle. Myconius, on the other hand, a Franciscan who had joined the Swiss schism to become a married pastor, wrote a history of the Reformation, published only in 1715, that identified the papacy with antiChrist, attacked its hypocrisy and immorality, and repudiated those aspects of medieval devotion, such as the cult of saints and pilgrimages, that were less immediately demanding of moral commitment. Like Sleidan, Myconius attached much importance to the conflicts within the cities, of which he gave lengthy and sometimes graphic accounts. Accounts of the Reformation continued to be overtly partisan throughout the late 16th and the 17th centuries. Most influential was John Foxe (1516-87), who published the Acts and Monuments later to become known as the Book of Martyrs in an unfinished Latin version of 1559. The first English edition of 1563 was well over twice the size and was intended to be a general history of the church. A further enlarged edition appeared in 1570, and in 1576 a popular edition added the famous woodcuts depicting the atrocious sufferings of the Protestant martyrs. Foxe took the view that the English church was pure before its romanization by Augustine at the end of the 6th century, and saw a continuity between late medieval heresy and Protestantism. Becket, popularly considered in the 16th century to have been England's greatest saint, was a traitor, and Foxe saw history, governed by divine providence, as consisting of five ages, the apostolic, the age of the gentiles, corruption, the Reformation, and the coming age of Christ. Foxe hated violence, and looked forward to the triumph of the gospel, toleration, and freedom of the spirit. The choice of Reformation history as a historical subject itself still denoted a propagandist approach, and influential attitudes to Reformation history are to be found in many writers who did not write specifically about the schisms, including those of Calvin and Henry VIII. The Latin history of the French wars of religion by Jacques-Auguste de Thou (1553-1617) was sufficiently impartial to be placed on the Roman index of forbidden books in 1609, while the Servite Paolo Sarpi (1552-1623), enlisted to defend Venice against the 1606 interdict of Paul V, demonstrated in his 1619 Istoria del Concilio Tridentino (History of the Council of Trent, 1620) just how harshly antipapalist it was possible to be while remaining in communion with Rome. Sarpi had gone so far as to declare obedience to the pope sinful, but, although continued to celebrate Mass to the end of his life. was still being used as a propagandist weapon later History in the 17th century when Bossuet (162.7-1704), whose were truly ecumenical, published his Histoire des des églises protestants (1688; The History of the Variations of the Protestant Churches, 174z), attempting to demonstrate that the schismatic churches, lacking authority, could not preserve doctrinal unity. Only slightly less overtly polemical was Gilbert Burnet (1643-1715), a Whig bishop whose 3-volume History of the Reformation (1679-1714) again took the view that the Reformation was part of a grand historical development, separating the religious movement from the purely English matter of the annulment of Henry VIII's marriage to Catherine of Aragon, the proximate cause of the English schism. He called for a renewal of the radical origins of the Reformation. as an

interior

excommunicated,

intentions variations

continental

Looking back from the

century, the age of how little had so far been attached to what were still to become the standard reasons later generations would give for the Reformation, centering on the corruption, nepotism, immorality, riches, and neglect of pastoral duties in the late medieval church. The highly coded attitudes of Bayle (1647-1706) at the very end of the t7th century are still controverted, but there is no serious reason to doubt the sincerity of his Huguenot religious views, and his desire to promote toleration is not only clear but intense. His Dictionnaire historique et critique (1697; The Dictionary Historical and Critical, 1734-44) disliked the radical for the civil disorder they provoked, was sympathetic towards Melanchthon and even Calvin, and rehabilitated Luther. Diderot's Encyclopédie can scarcely be considered as a whole because of the diversity of authorship, the threats of suppression, and the commercial considerations that impinged on the project in the course of its execution. Diderot had started by recruiting a number of priests to collaborate, and the final volumes are on the whole mild about Catholicism, defended in the article "Reformation," and harsh on Luther. The work firmly disliked superstition, and it is surprising that a fable satirizing the eucharist survived in the article "Ypain" at the end of the alphabet. In the 19th century the historiography of the Reformation was dominated by German historical writing. It also became complex, partly on account of the work of historians such as Burckhardt and Michelet, as later of Pater and Huizinga, who produced global theories of the Renaissance that inevitably entailed views about the Reformation. Among the more historians who directly took the Reformation as a subject were François Guizot (1787-1874), chiefly known for his 1833 public education act in France. In a series of Sorbonne lectures he concluded that Protestantism was an "enfranchisement of the human mind" rather than a purification of lax late medieval and that its concrete achievement lay in the destruction of the monopoly of clerical power. In England, the celebrated 1840 review by Thomas Babington Macaulay (1800-59) of Ranke's hostile Die römischen Päpste in den letzten vier Jahrhunderten (1834-36; History of the Popes, 1840) found a variety of political reasons in France, Spain, and Italy for the of the papacy, while various pieces by Thomas Carlyle (1795-1881) of 1837 and 1841 responded to the prevailing Romantic movement's need for the heroization that Carlyle bestowed on the Luther of "Here stand 1.1 can do no other." For Carlyle, Luther delivered Europe from its state of putrescence. Leopold von Ranke (1795-1886) himself at first saw history in Hegelian terms, and the Reformation as a stage in the of the human race marked by the triumph of the secular state. He later freed himself from Hegelian pantheism and, in History of the Popes regarded the German, but not the Swiss, Reformations and Counter-Reformations (for which he uses the plural) as having restored Christianity to a pristine purity. A serious historian who was perceptive about the causes of the Reformation, he paid little attention to the doctrinal issues involved. On the whole, the majority of the 19th-century German historians were liberals. Some, such as Albert Ritschl, were under the sway of Kant; others, such as Möhler (1796-1838), author of the 1832 Symbolik, and Döllinger (1799-1890), who refused to accept the dogma of papal

Enlightenment, 18th weight surprising it is

to see

Anabaptists

important

discipline,

successes

evolution

was excommunicated, were Catholic. Both were firmly Möhler and Ritschl opposed to dogmatism, although Ritschl's strictly historical approach to the enabled him to criticize Möhler's comparative study of creeds. Adolf von Harnack (1851-1930) concluded his Lehrbuch der Dogmengeschichte (1886-90; History of Dogma, 1896-99) with a study of Luther, who had released Christianity from excessive clericalism and moralism but strengthened the rest of its dogma. He thought Luther should have gone further in liberating Christianity from dogma, but should not have rejected monasticism or the notion of sacrifice. With the of sociology, Ernst Troeltsch (1865-1923) introduced another dimension, and began to see Protestantism's continuity with the Middle Ages. The Reformation simply produced new solutions to medieval problems. Outside Germany, debate about the Reformation raged most vehemently in England, where the Tractarian movement took root, finally carrying Newman and some others into the Catholic church. E.B. Pusey (i8oo-8z) changed his view, but remained an Anglican, conceding that Luther's error consisted only in going into schism and losing the apostolic succession, necessary for the sacramental powers of a hierarchical Lord Acton (1834-1902), a born Catholic and a close friend of Döllinger, was shattered, like Döllinger, by the promulgation of papal infallibility as a dogma. Of particular interest was Philip Schaff (1819-93), the first great American historian of the Reformation, whose ecumenical 6-volume History of the Christian Church (1892) was for some time the best account of the Reformation available in English. By the beginning of the 20th century, we have entered the era of critical editions, complete works, encyclopedic life-and-times biographies, and collections of letters, all of which, if not ways of writing history, belong in accounts, although virtually none can be mentioned here. Among the more important straightforward historians are certainly the Catholic Heinrich Denifle (1844-1905), a medievalist by profession, author of an important and highly critical Luther und Luthertum (1904-09; Luther and 1917), Hubert Jedin (1900-80), historian of the Council of Trent, Pierre Imbart de la Tour (1860-1925), author of the 4-volume Les Origines de la reforme (1905-44), and Joseph Lortz (1887-1975), who believed that Luther had developed a neglected side of Catholicism. During the final quarter of the 20th century, there have been two notable new developments. The first of these, primarily but not exclusively associated with a group of historians active at Cambridge, is revisionist in insisting on the deep popular that, especially in England in the 16th century, resisted not so much the theological innovations of the reformers as their liturgical changes. The laity are shown to have been deeply attached to the old rites and practices, with all the assurance accompanying what was conceived as the automatic and ex opere operato efficacy of the sacramental bestowal of The reformed rites, translations, prayer books, and antigrace. sacramental piety threatened the spiritual security of the faithful brought up in the tradition of late medieval Catholicism. Much importance has been attached by these historians to the overtly medieval piety centered on the commemoration of Christ's passion and death of such humanist clerics as John Fisher, bishop of Rochester, who was finally martyred under Henry VIII.

infallibility and

Reformation

inception

priesthood.

compilations,

historiographical Lutheranism,

conservatism

guaranteed

The second, and much more important change concerns the setting of Reformation history in its social and political context. Lucien Febvre (1878-1956), co-founder in 192.9 with Marcel Bloch of the Annales review, inaugurated in the 1930s and 1940s an overdue historiographical revolution by seeing religious history in terms of mentalités rather than events, conditioned by all sorts of social, eonomical, and political constraints. The Reformation was essentially the response to a widely-felt cultural need that might have taken a different course.

Febvre has been shown to have gone too far in religious history from ecclesiastical history, but the systematic deployment of his distinction between the religious and the ecclesiastic in discussions involving the Reformation has proved extremely fertile. In particular, Protestant such as Steven Ozment have accounted for much pertaining to what Ozment still calls "the Reformation" with reference to its sociological and political roots, as if it were a single movement. Ozment's first really important book, The Reformation in the Cities (1975) saw the preoccupation with the realities of civic life as a reaction against earlier groups of historians, predominantly Catholic, who preserved a medieval perspective, from which to review the reform. Ozment the earlier groups with those of Lortz, extended to include Gilson, Leff, and Knowles, of the Protestant Heiko Augustinus Oberman, author of a brilliant study on the late medieval figure of Gabriel, and of what he calls "the romantic ecumenists" inspired by the Second Vatican Council, such as

distinguishing

theologians

identified

Hans

Küng.

Ozment's second

important book, The Age of Reform, (1980), emphasized the parts played by society and politics. The theological issues are identified in such a way as to make it doubtful whether Calvinists were really Protestants, although Ozment, like Roland Bainton, paid more serious attention to the radical Anabaptist wing of the Reformation than had hitherto been usual. 1250-1550

ANTHONY LEVI See

Acton; Britain: 1066-1485; Britain: 1485-1750; Catholicism; Chadwick; Christianity; CounterReformation; Delumeau; Dickens; Ecclesiastical; Elton; France: 1450-1789; Froude; Germany: 1450-1800; Hegel; Janssen; Palacky; Protestantism; Ranke; Religion; Sarpi; Scotland; Scribner; Skinner; Thomas; Trevor-Roper; Troeltsch also

Cantimori;

Further Reading Bainton , Roland , Here I Stand: A

Abingdon and Cokesbury

Stoughton,

Life of Martin Luther

,

New York :

Press , 1950 ; London: Hodder and

1951

Bainton , Roland , The Reformation of the Sixteenth Century, Boston : Beacon Press , 1952 , London: Hodder and Stoughton, 1953 ; revised 1985 Bayle, Pierre , Dictionnaire historique et critique , 4 vols., Rotterdam , 1697 ; in English as The Dictionary Historical and Critical of Mr. Peter Bayle , 10 vols., London : Knapton , 1734-44 , reprinted 5 vols., New York: Garland, 1984 ; abridged as Selections from Bayle's Dictionary , Princeton : Princeton University Press , 1952 , and as Historical and Critical Dictionary: Selections , Indianapolis: Hackett , 1991 Bossuet , Jacques Benigne , Histoire des variations des églises protestants , Paris , 1688 ; in English as The History of the Variations of the Protestant Churches , 2 vols., Antwerp , 1742

Burnet , Gilbert , The History of the Reformation of the Church of England , 3 vols., London : Chiswell , 1679-1714; reprinted in 5 vols., Westmead: Gregg, 1969 Cameron , Euan , The European Reformation, Oxford and New York : Oxford University Press , 1991 Carion , Johann , Chronica , 1532 ; rewritten by Philipp Melanchthon as Chronici absolvtissimi , 1560-63 Cochlaeus , Johannes , Commentarla de actis et scriptis Lutheri , 1549 ;

Leff, Gordon , Bradwardine and the Pelagians: A Study of His "De causa Dei" and Its Opponents , Cambridge : Cambridge University Press , 1957

Joseph , Die Reformation in Deutschland, 2 vols., Freiburg : Herder, 1949 ; in English as The Reformation in Germany, London : Darton Longman and Todd , 1968 McGrath , Allster E. , Reformation Thought: An Introduction , Oxford and New York : Blackwell , 1988 ; revised 1993 Marshall , Sherrin , ed., Women in Reformation and CounterReformation Europe: Public and Private Worlds , Bloomington : Indiana University Press , 1989 Moeller, Bernd , Reichsstadt und Reformation, Gütersloh : Mohn , 1962 ; in English as Imperial Cities and the Reformation: Three Essays , Philadelphia : Fortress Press , 1972 Möhler, Johann Adam , Symbolik, Mainz , 1832 ; in English as Symbolism , New York : Crossroad , 1997 Myconius, Friedrich , Historia reformationis vom Jahr Christi ijif bis 1542 (History of the Reformation ), Gotha : Schallen , 1715 " Nicholls , David , The Social History of the French Reformation: and Culture ," Social History 9 ( 1984 ), Confession, Ideology, Lortz ,

reprinted Farnborough : Gregg 1968 ,

Denifle , Heinrich , Luther und Luthertum in der ersten Entwicklung: Quellenmässig dargestellt , 2 vols., Mainz : Kirchheim , 1904-09 ; in English as Luther and Lutheranism , Somerset, OH : Torch , 1917 Dickens , A. G. , The English Reformation , London : Batsford , and New York: Schocken, 1964 ; 2nd edition Batsford, 1989 , University Park: Pennsylvania State University Press, 1991 Dickens , A. G. , Reformation and Society in Sixteenth-Century Europe , New York : Harcourt Brace , and London: Thames and

.

Hudson, 1966 Dickens , A. G. , and John Tonkin , The Reformation in Historical Thought, Cambridge, MA : Harvard University Press , and Oxford:

Blackwell, 1985

15 43 -

Oberman , Heiko Augustinus , Werden und Wertung der

Diderot , Denis et al. , Encyclopédie, ou, Dictionnaire raisonné des sciences, des arts et des métiers ( The Encyclopedia; or, Dictionary of the Sciences, the Arts, and the Professions ), 17 vols., Paris ,

Reformation:

1751-65 Döllinger Johann Ignaz von Die Reformation ( The Reformation ), 3 vols., Regensburg : Manz 1846-48 Döllinger Johann Ignaz von Christenthum und Kirche in der Zeit der Grundlegung Regensburg : Manz i860 ; as First Age of Christianity London : Allen 1866 Elton G. R. ed., The New Cambridge Modern History 2nd ed., vol. 2 : The Reformation Cambridge and New York : Cambridge University Press 1990 Febvre Lucien Au coeur religieux du XVIe siècle ( The Heart of 16th-Century Religion ), Paris : Sevpen 1957 Foxe John Acts and Monuments 1563 and later revisions; subsequently known as Book of Martyrs Gilson Etienne History of Christian Philosophy in the Middle Ages New York : Random House and London: Sheed and Ward, 1955 Greengrass Mark The French Reformation Oxford and New York : ,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

Blackwell , 1987 Harnack , Adolf von , Lehrbuch der Dogmengeschichte , 3 vols., Freiburg : Mohr, 1886-90 ; in English as History of Dogma, 7 vols., London : Williams and Norgate, 1896-99 ; Boston: Roberts,

1897-99 ; reprinted 1961 Hillerbrand Hans J. ed., The Oxford Encyclopedia of the Reformation 4 vols., New York and Oxford : Oxford University ,

,

,

Press , 1996 Hsia , R. Po-chia , ed., The German People and the Reformation, Ithaca, NY: Cornell University Press , 1988 Hsia , R. Po-chia , Social Discipline in the Reformation: Central Europe, 1550-1750 , London and New York : Routledge , 1989 Imbart de la Tour, Pierre , Les Origines de la reforme , 4 vois., Paris : Hachette , 1905-44 Jedin , Hubert, Katholische Reformation oder Gegenreformationî Ein Versuch zur Klärung der Begriffe nebst einer Jubiläumsbetrachtung über das Trester Konzil ( Catholic Reformation or Counter-Reformation? An Attempt to Clarify the Concepts ), Lucerne : Stocker, 1946 " Jedin , Hubert , Catholic Reform and Counter Reformation ," in Erwin Iserloh , Joseph Glazik , and Hubert Jedin , eds., Reformation and Counter Reformation , London : Burns and Oates , and New York: Seabury Press, 1980 |German original .1967

Knowles , David , The Religious Orders in England , 3 vols., Cambridge : Cambridge University Press , 1948-59 Kiing , Hans , Strukturen der Kirche , Freiburg : Herder, 1962 ; as Structures of the Church , New York : Nelson , 1964 ; London: Burns and Oates, 1965

Wegestreit

vom

zum

Glaubenskampf Tübingen: ,

Mohr, 1977 ; in English as Masters of the Reformation: The Emergence of a New Intellectual Climate in Europe, Cambridge and New York : Cambridge University Press , 1981 Oberman , Heiko Augustinus , Wurzeln des Antisemitismus: Christenangot und Judenplage im Zeitalter von Humanismus und Reformation, Berlin : Severin und Seidler , 1981 ; in English as The Roots of Anti-Semitism in the Age of Renaissance and Reformation , Philadelphia : Fortress Press , 1984 Ozment , Steven E. , Mysticism and Dissent: Religious Ideology and Social Protest in the Sixteenth Century, New Haven : Yale University Press , 1973 Ozment , Steven E. , The Reformation in the Cities: The Appeal of Protestantism to Sixteenth-Century Germany and Switzerland , New Haven : Yale University Press , 1975 Ozment , Steven E. , The Age of Reform, 1250-1550; An Intellectual and Religious History of Late Medieval and Reformation Europe, New Haven and London : Yale University Press , 1980 Ozment , Steven E. , ed., Reformation Europe: A Guide to Research , St. Louis : Center for Reformation Research , 1982 Pusey, E. B. , The Doctrine of the Real Presence , Oxford : Parker,

1855

Leopold von Die römischen Päpste in den letzten vier Jahrhunderten 3 vols., Leipzig : Duncker Sc Hurnbiot 1834-36 ; in English as The Ecclesiastical and Political History of the Popes of Rome during the Sixteenth and Seventeenth Centuries 3 vols., London : Murray 1840 Philadelphia: Lea and Blanchard, 1841 ; and as The History of the Popes 3 vols., London : Bell 1907

Ranke ,

,

,

,

,

,

,

,

,

Ritschl , Albert , Die christliche Lehre von der Rechtfertigung und Versöhnung ( Christian Teaching on Justification and Reconciliation ), 3 vols., Bonn : Marcus , 1870-74 Roper, Lyndal, The Holy Household: Women and Morals in Reformation Augsburg, Oxford and New York : Oxford University Press , 1989 Sarpi , Paolo , Istoria del Concilio Tridentino , 1619 ; in English as History of the Council of Trent, 1620 Scarisbrick , J.J. , The Reformation and the English People , Oxford : Blackwell , 1986 Schaff, Philip , History of the Christian Church , 6 vols., 1892 Scott , Tom , and R.W. Scribner, eds. and trans., The German Peasants' War: A History in Documents , Atlantic Highlands, NJ : Humanities Press , 1991 Scribner, R.W. , For the Sake of Simple Folk: Popular Propaganda for the German Reformation, Cambridge and New York :

Cambridge University

Press ,

1981

Scribner, R. W. , The German Reformation, London : Macmillan , and Atlantic Highlands, NJ: Humanities Press, 1986

Scribner, R. W. , Popular Culture and Popular Movements in Reformation Germany , London and Ronceverte, WV: Hambledon Press , 1987 Scribner, R.W. , ed., Germany: A New Social and Economic History , vol. 1 : 1450-1630 , London and New York : Arnold , 1996

Sleidan, Johannes, Commentarli,

1555

Strauss , Gerald , haw, Resistance, and the State: The Opposition to Roman Law in Reformation Germany , Princeton : Princeton

University Press , 1986 Thomas , Keith , Religion and the Decline of Magic: Studies in Popular Beliefs in Sixteenth- and Seventeenth-Century England , London : Weidenfeld and Nicolson , and New York: Scribner, 1971 Thou , Jacques-Auguste de, Historia sui temporis , 4 vols., Paris , 1604-08 Troeltsch , Ernst , Die Soziallehren der christlichen Kirchen und Gruppen, Tübingen: Mohr, 1912 ; in English as The Social Teaching of the Christian Churches , 2 vols., New York : Macmillan , and London: Allen and Unwin, 1931 ; reprinted 1981 Wiesner, Merry E. , " Beyond Women and the Family: Towards a Gender Analysis of the Reformation ," Sixteenth-Century Journal 18

( 1987 ),

311

-

21

Williams , George Huntston , The Radical Reformation, Philadelphia : Westminster Press , and London: Weidenfeld and Nicolson, 196z ; revised edition, Kirksville, MO: Sixteenth Century Journal, 1992

Religion The contemporary writing of the history of religion is the systematic gathering, arrangement, and interpretation of data on a comparative basis, rooted in both professional agnosticism and sympathetic understanding. The historian of religion must avoid the twin pitfalls of dogmatic apologetics on the one side and cynical atheism on the other. Added to this basic approach are a number of insights and approaches taken from the social sciences (primarily anthropology, psychology, and sociology) and from the study of religion (comparative religion and the of religion). This practice, however, is not merely a 20th-century invention. Historians have been writing about and commenting on religion since the beginning of Western civilization. Prior to the modern era, Greco-Roman histories of religion focused on myths and founding stories, personalities divine rulers and cultic practices, tending towards description and cataloguing. One can see this practice in authors between the 8th century BCE and the 2nd century CE: Horner, Herodotus, Strabo, and Plutarch. In writing their histories, these men most often applied a method of simple consensus. Plutarch, for example, argued that in order to reconstitute the ancient myths accurately, the records of poets, lawgivers, and philosophers must be consulted, with preference given to the philosophers in the case of contradictions. Following the conversion of the Roman empire to in the 4th century, historical writers focused on the biographies of holy men as essential to the explanation and description of religion. The early study of the history of first Roman religion and then Christianity, sought to describe and catalogue the practices, rites, structure, and belief system of a religious tradition. Christian writers sought to use the analysis and history of what was now referred to as paganism to refute its truth claims and assert the truth of

historical

methodological

humanistic

phenomenology -

especially -

numerous

textual

Christianity

religion,

Christianity. In his various writings, Basil of Caesarea used comparative and historical arguments to justify Christianity's ascendancy, arguing that pagan religions were a form of truth, a corruption of real religion. This argument, taking the form of the Christian religion as the standard against which all other religions beliefs were to be measured (and often found wanting) became the dominant manner in which histories of religion were written through the Middle Ages. In this vein, medieval authors emphasized ecclesiastical history, histories of heresies, and histories of monastic life, such as the 12th-century autobiography of Peter Abelard, Historia calamitatum (The Story of My Misfortunes, c. 1140). This tradition slowly began to undergo a serious

degenerate

transformation beginning the 11th and 12th centuries, when travel in

literature introduced reports on the religious practices and histories of Africa and Asia to Western readers. The small beginnings of comparative study had a profound impact. By the time of the Renaissance of the 14th and 15th centuries, genuine interest in world religions contested with the exclusive focus on the history of Christianity. Never theless, most authors, such as Hugo Grotius in De veritate religionis Cbristianae (1632; True Religion, 1632), viewed nonChristian religions as degenerative, or, as in Francis Bacon's Novum orgánum (1620; New Organon) as allegories of nature and heroic men. Overall, Western writing on the history of religion from the 4th to the 18th centuries was dominated by the defense of Christianity and the dismissal of the truth claims of other religious traditions. The modern historiography of religion begins with the effort of Enlightenment figures such as Bernard Fontenelle to move away from a model based on Christianity toward a concept of "natural religion," Under the influence of the natural sciences, the Protestant Reformation, and encounters with religious traditions in Asia and the Americas, many came to conceive of revealed religion as part of the childhood of humanity. In seeking the outlines of a natural religion, it was believed that the study of the history of religion, including all religions, both Western and Eastern, was essential. The of sacred texts of the religions of India and China in the 18th century were profoundly influential well into the next century. Comparative studies of Indian and Native American religions, for example, led Fontenelie in his Entretiens sur la pluralité des mondes (1686; Conversations on the Plurality of Worlds, 1715) to argue that all peoples have the same religious impulse, and would each arrive at a common religious truth given time and opportunity. Despite these efforts, Enlightenment era writers regarded non-Christian religions as primitive and arising from motives, most prominently the fear and ignorance of forces. Most of these efforts often blurred the line between historical investigation and apologetic or polemical purpose, as had much previous writing on the history of religion. Enlightenment writers understood the history of religion in twin terms: first as natural, including an innate knowledge of God, divine providence, and transcendence; and second as primitive, based on fear, superstition, irrationality, and polytheism. Although David Hume, author of Dialogues Concerning Natural Religion (1779), was one of the first explicitly to separate the empirical, historical analysis of religion from the normative evaluation of it, his example was rarely followed.

previously

translations

psychological natural

On the one hand, the rationalist approach to the history of religion, for some, lacked an appreciation for its subject. On the other hand, Romanticism, with its emphasis on emotion, imagination, spontaneity, and irrationalism as valued and terms of analysis, appeared to open the door to an understanding of religion that did not reduce it to a need only for the primitive peoples still unenlightened. A precursor of this tradition, Giambattista Vico's Orazioni inaugurali (1699-1707, On Humanistic Education, 1993) argued that imagination had a centrai role in both the origins and study of religion. What separated Romantic era authors from other 18th- and 19th-

experiences

was their shared agreement with Friedrich of Hermeneutik und Kritik (1838; author Schleiermacher, Hermeneutics and Criticism, 1977) among other works, that emotion was the key to understanding religion. Romantic writers also shared the view of Hegel's Phänomenologie des Geistes (1807; The Phenomenology of Mind, 1910) that God was active within history as the evolution of "spirit." For these men religion was a unique mode of separate from reason, and in many ways superior to in its own value and as a key to understanding history. both it, The 19th-century obsession with nationalism and the unity of language, myth, and culture in the creation of a common influenced historical research in religion as well. In Johann Herder's Ideen zur Philosophie der Geschichte der Menschheit (1785-91; Outlines of a Philosophy of the History of Man, 1800) myth and language were the embodiment of human experience, and the task of the historian was to place oneself imaginatively within the soul of another people. Myths were best understood as a product of "the people," an expression of their efforts to understand the cosmos both emotionally and

century writers

consciousness

people

intellectually. All of these traditions of historical writing on religion were in the 19th century by new revelations in source materials: translations of unknown texts, especially the RigVeda of Brahminic India and the Avesta of the Persian Zoroaster; archaeological excavations revealing a lengthy prehistory for humanity; and ethnological and anthropological studies. All of these materials expanded knowledge of religious vocabularies and imageries. Historical writing on religion slowly began to look for commonalities and differences in practice, especially connections to the social, economic, political, familial, and gender structures of the community within which the religious belief was influential. The result of this, however, was a plethora of approaches to the historical study of religion, paralleling the increasing specialization and diversification of the social sciences and the humanities in the 19th and 20th centuries. These new findings prompted renewed growth in the of the history of religion, especially as the influence of waned in the West and seemed most appropriately an object of historical interest. Many works, such as Theodor Mommsen's Römische Geschichte (1854-56; The History of Rome, 1864), were greatly influenced by both 19th-century and evolutionary thinking, focusing on developmental stages in Roman religion. Others, under the influence of Auguste Comte's Catéchisme positiviste (1852; The Catechism of Positive Religion, 1858) pushed the stage of development model even further, linking it to a positivist sociology that saw religion as a dated, primitive remnant from the evolutionary

challenged

religious

writing religion historicism

past. The agnosticism, if not atheism, of the 19th century also influenced views of religious history, especially in works such as Ludwig Feuerbach's Das Wesen des Christentums (1841; The Essence of Christianity, 1854) where religion was presented as merely the projection of human ideals, at best an intermediate stage between primitive non-religion and modern rationalism. and early part of the 20th centuries The latter half of the 19th witnessed the fruition of these diverse historical interpretations of religion into two primary schools of thought. The first centered around social scientific approaches pioneered by Karl Marx, Emile Durkheim, and Max Weber. Marx, in "Die Judenfrage" (On the Jewish Question, 1843) and the "Economic and Philosophical Manuscripts" (1844), argued that religion was best understood as a support for the oppressive dominance of the social and economic structures of an era. The integral nature of religion as the ceremonial and expressive glue that binds any social organization together, or, put more baldly, as society's worship of itself, was Durkheim's essential insight in Formes élémentaires de la vie religieuse (1912; The Elementary Forms of Religions Life, 1915). Psychological and emotional needs were also part of Weber's analysis. In both "Die protestantische Ethik und der Geist des Kapitalismus" (1904; The Protestant Ethic and the Spirit of Capitalism, 1930) and "Religionssoziologie" (1922; The Sociology of Religion, 1963), Weber saw the need for a keystone that locks all of society's pieces in place as giving religion a certain autonomy from society, placing it as a variable in social analysis on the level of economics, politics, and culture. What all of these approaches had in common was a desire to root the understanding of the history of religion firmly in its social context. The second school focused on the humanistic approach anticipated by Giambattista Vico and further developed by Wilhelm Dilthey in his argument in Der Aufbau der geschichtlichen Welt in den Geisteswissenschaften (1910; Hermeneutics and the Study of History, 1996) for the use of informed in historical reconstruction. Their primary criticism of the social scientific approach was that it reduced religion to an economic, political, or social phenomenon. While not denying the importance of a social scientific approach, of Religionswissenschaft (loosely translated as "the science of religions") argued that religion must be understood on its own terms, without primary recourse to theological, philosophical, psychological or sociological explanations. This history of religions focuses on the intuitive understanding of descriptive and systematic matters. The founders of this school of historical writing about in the late 19th and early 20th centuries thus focused their efforts on developing their skills in hermeneutics and textual interpretation rather than the social scientific approaches among other historical schools. Rudolf Otto's Das Heilige (1918; The Idea of the Holy, 1923) and Friedrich Heiler's Das Gebet (1920; Prayer, 1932) elaborated an interpretation of the history of religion centered on the idea of "Holiness." Religious experience, especially that which occurred in the presence of the sacred, in the awe and mystery surrounding what Otto referred to as the "wholly Other," became the unifying theme that transcended all religious traditions. In this sense, the history of religions would concentrate on those comparative and issues that would help isolate each culture's experience of the "numinous," another of Otto's terms.

religion

imagination

practitioners

religion

common

interpretive

By the

1930s and

after, the students of this historicalWach and Mircea Eliade, author of, among many others, Histoire des croyances et des idées religieuses (1976-83; A History of Religions Ideas, 1978-85), reinforced the hermeneutical approach of as "re-cognition" or re-experiencing. They set the standard for zoth-century research into the history of religion: non-normative, universal, structured, and inclusive of an element of persona! experience. They looked for general patterns, broad generalizations, and common structures in religious experience, beliefs, and practices across cultures. Combining archaeological, anthropological, psychological, ethnographic, and sociological insights, they nevertheless rejected any efforts to "reduce" religion to any of these and attempted to create an autonomous discipline of religious studies rooted in intuitive understanding. Although this school dominated the writing of the history of religion from the 1930s through the 1970s, it was not

phenomenological school, Joachim

understanding dominant

disciplines

without critics or alternatives. The anthropologists Claude Lévi-Strauss and Clifford Geertz stressed a structuralist approach in distinction to the hermeneutic one. Through the decoding of myths, and the laying bare of the bipolar embedded in rites and familial ties, Lévi-Strauss, in works such as Paroles données (1984; Anthropology and Myth, 1987) and La Pensée sauvage (1962; The Savage Mind, 1966) sought to find the basic patterns within religious stories and rather than experiences. Geertz's The Interpretation of Cultures (1973) actually staked out a middle ground, looking for the "meaning" within religious symbols, but limiting his investigation to that which is public, rather than privately Structuralist approaches have influenced the writing of the history of religion, but the hermeneutic approach of Wach and Eliade is still the prevalent model. DOUGLAS CREMER

structures

traditions,

experienced.

See also Africa: Central; Africa: Eastern; Africa: North; African Diaspora; Astrology; Baron, S.; Bauer; Bodin; Breasted; Britain: 1066-1485; Britain: 1485-1750; Browne; Byzantium; Cantimori;

Catholicism; Chadwick; Christianity; Collingwood; CounterReformation; Delumeau; Eastern Orthodoxy; Eberhard; Egypt: Ancient; Feierman; France: 1450-1789; Fustel; Goitein; Greece: Ancient; Halecki; Halévy; Iran; Islamic; Italy: Renaissance; Jewish; Kolakowski; Kosambi; Maspero; Massignon; Merton; Middle East; Native American; Obolensky; Ortiz; Otsuka; Pagels; Poland: to the t8th Century; Poliakov; Protestantism; Ranger; Reformation; Rodinson; Russia: Early Modern; Southeast Asia; Sigerist; Slavery: Modern; Snorri; Tawney; Thomas; Toynbee; Trevor-Roper; Troeltsch; Universal; Watt; Women's History:

Ecclesiastical;

Africa

Further

Reading

Abelard , Peter, Historia calamitatum ,

1140 ; in

English

as

The

Story of My Misfortunes English as New Organon i960 Bianchi Ugo The History of Religions Leiden : Brill 1975 Comte Auguste Catéchisme positiviste, ou, sommaire exposition de la religion universelle de l'humanité Paris : Gamier 185z; in English as The Catechism of Positive Religion London : Chapman 1858 de Vries Jan The Study of Religion: A Historical Approach New ,

,

,

,

,

,

,

,

,

,

,

,

York : Harcourt Brace , 1967

,

,

,

der Wissenschaften , 1910 ; in English in Hermeneutics and the Study of History , Princeton : Princeton University Press , 1996 [Selected Works, vol. 4 ] Durkheim , Emile , Formes élémentaires de la vie religieuse: le système totémique en Australie , Paris : Alean , 1912 ; in English as The Elementary Forms of Religious Life , London : Allen and Unwin , 1915 , New York: Macmillan, 1926 Eliade , Mircea , and Joseph M. Kitagawa, eds., The History of Religions: Essays in Methodology , Chicago : University of Chicago Press , 1959 Eliade , Mircea , The Quest: History and Meaning in Religion, Chicago : University of Chicago Press , 1969 Eliade , Mircea , Histoire des croyances et des idées religieuses , 3 vols., Paris : Payot , 1976-83; in English as A History of Religious Ideas , 3 vols., Chicago : University of Chicago Press , 1978-85 Feuerbach , Ludwig , Das Wesen des Christentums , Leipzig : Wigand, 1841 ; in English as The Essence of Christianity , London :

Chapman 1854 ,

Fontenelle , Bernard le Bovier de , Entretiens sur la pluralité des mondes , Paris : Blageart , 1686 ; in English as Conversations on the Plurality of Worlds , London : Bettesworth , 1715 Geertz , Clifford , The interpretation of Cultures: Selected Essays , New York : Basic Books , 1973 ; London: Hutchinson, 1975 Grotius , Hugo , De peritate religionis Cbristtanae , 1632 ; in English as True Religion, Explained and Defended Against the Archenemies Therof in These Times , 1632 ; and as The Truth of Christian Religion, 1680 Hegel , G. W. F., Die Phänomenologie des Geistes , Bamberg : Goebhardt , 1807 ; in English as The Phenomenology of Mind, 2 vols., London : Sonnenschein , and New York: Macmillan, 1910 , 2nd edition London: Allen and Unwin, and New York: Macmillan, 1931 ; as Phenomenology of Spirit , Oxford : Clarendon Press , 1977 Heiler, Friedrich , Das Gebet: eine religionsgeschichtliche und religiös psychologische Untersuchung, Munich : Reinhardt , 1920 ; in English as Prayer: A Study in the History and Psychology of Religion, London and New York : Oxford University Press , 1932 Herder, J.G. , Ideen zur Philosophie der Geschichte der Menschheit , 4 vols., 1785-91 ; in English as Outlines of a Philosophy of the History of Man , London : Hansard , 1800 ; abridged as Reflections on the Philosophy of the History of Mankind , Chicago : University of Chicago Press , 1968 Hume , David , Dialogues Concerning Natural Religion, London , 1779

Kitagawa Joseph M. ed., The History of Religions: Essays on the Problem of Understanding Chicago : University of Chicago Press ,

,

,

,

1967

Kitagawa Joseph M. ed., The History of Religions: Retrospect and Prospect New York : Macmillan and London: Collier Macmillan, 1985 ,

,

,

,

Lévi-Strauss , Claude , La Pensée sauvage , Paris : Pion , 1962 ; in English as The Savage Mind, Chicago : University of Chicago Press , 1966 Lévi-Strauss , Claude , Paroles données , Paris : Plön , 1984 ; in English as Anthropology and Myth , Oxford and New York : Blackwell ,

1987 c.

Bacon , Francis , Novum orgánum , 1620 ; in

,

Dilthey Wilhelm Der Aufbau der geschichtlichen Welt itt den Geisteswissenschaften Berlin : Verlag der Königlichen Akademie

,

Mommsen , Theodor, Römische Geschichte , 3 vols., Berlin : Weidmann , 1854-56 ; in English as The History of Rome , 4 vols.,

1864-75 Otto , Rudolf , Das Heilige: über das Irrationale in der Idee des Göttlichen und sein Verhältnis zum Rationalen , Breslau : Trewendt Sc Granier, 1918 ; in English as The Idea of the Holy: An Inquiry into the Non-Rational Function in the Idea of the Divine and Its Relation to the Rational , London and New York : Oxford University Press , 1923 Rudolph , Kurt, Historical Fundamentals and the Study of Religion , New York : Macmillan , 1985

Schleiermacher, Friedrich , Hermeneutik und Kritik: mit besonderer Beziehung auf das Neue Testament , Berlin : Reimer, 1838 ; in English as Hermeneutics , Missoula, MT: Scholars Press , 1977 Vico , Giambattista , Orazioni inaugurali, 1699-1707 ; in English as On Humanistic Education: Six Inaugural Orations, 1699-1707 , Ithaca, NY: Cornell University Press , 1993 Wach , Joachim , Essays in the History of Religions , edited by Joseph M. Kitagawa and Gregory D. Alles , New York : Macmillan , 1988 Wach , Joachim , Introduction to the History of Religions , edited by Joseph M. Kitagawa and Gregory D. Alles , New York : Macmillan , 1988 " Weber , Max , Die protestantische Ethik und der Geist des Kapitalismus," Archiv für Sozialwissenschaft und Sozialpolitik 20—21 ( 1904-05 ), revised in Gesammelte Aufsätze zur Religionssoziologie , Tübingen : Mohr, 1920 ; in English as The Protestant Ethic and the Spirit of Capitalism , London : Allen and Unwin , 1930 , New York: Scribner, 1958 " " Weber , Max , Religionssoziologie in Wirtschaft und Gesellschaft , Tübingen : Mohr, 1922 ; in English as The Sociology of Religion, Boston : Beacon Press , 1963 , London: Methuen, 1965

Religion(s), Comparative History of "history of religion(s)" is burdened with some First, the term has been used to describe the whole field of of the scientific and to describe a certain historical approach for characterizing different religious traditions, and modes of thinking and It is in this latter sense that the term is used here. Second, due to the ongoing debate concerning the sufficient and characteristics of the concept of "religion," there exists a fundamental division between those scholars who argue that the object of the discipline is to examine the universal religious dimension of human existence through its empirical in the world, and those scholars who deny that a religious experience common to all humankind exists. Accordingly, the first group of scholars prefer to use the singular form "religion" to describe their research object, while the latter group opt for the plural "religions," in order to emphasize the empirical nature of their research. For the sake of clarity, the somewhat cumbersome "history of religion(s)" will be used throughout this essay to denote the approach as a whole. The birth of the comparative history of religion(s) can be traced to the critique that scholars such as the 19th-century Dutch theologian Cornelius Petrus Tiele and the influential German Religionsgeschichtliche Schule, directed towards the historicist approach towards the past. They at time prevalent claimed that a simple ethnographic task was not enough for explaining and understanding religious phenomena. Instead, ethnographic materials collected from different religious should be compared with each other in order to reveai the nature and structure of the underlying metaphysical category, like "god," "myth," "the sacred," etc. This classical version of the "religio-historical" method was firmly by the early 20th-century Italian historian Raffaele Pettazzoni. Pettazzoni noted the dangers of using metaphysical categories in historical scholarship as religious phenomena are processes in continual change, and phenomenological done on a semantic level might attach to religious phenomena meanings that simply are no longer there. The

term

ambiguity. religions (i.e., Religionswissenschaft), study behavior. necessary

manifestations

-

-

traditions established

categorization

Since Pettazzoni the field has divided into two camps. First, there are those who have stayed close to the formulations of the classical approach. The most important representative of this approach is the American scholar Joseph Kitagawa and his method of "empirical phenomenology." According to him, the universal structures shared by different religious traditions are not based on metaphysical assumptions but on inductive However, this approach has been severely criticized more scholars, who have argued that historically-minded by phenomenology is useless for historical scholarship, because the object of historical research cannot be any metaphysical or universal category of the human mind, but the different observed patterns of behavior and thinking held to be religious. For these scholars the historical method is used for

generalizations.

empirically

Studying religions (in plural). The Italian scholar Ugo Bianchi has been the leading authority of this second school of thought. He has argued that all claims concerning a common religious dimension of human existence are reductive, and the concept of religion is only a scholarly category born from the dialogue between individual scholars with their different backgrounds, and their target cultures and objects of research. Thus, according to Bianchi, the historical study of religions is largely an ethnographic project, although religious behavior could also be explained by linking it to the contextual cultural network of In this respect, the "religio-historical" method is by nature always holistic. Comparison is still held as fundamental to the method. Some scholars have argued that in Bianchi's model there is the danger of losing the comparative aspect of the "religio-historical" method. The American scholar Hans Penner has argued, however, that comparisons can and should be made in this model. The level of comparison is transferred from the level of single phenomena to the level of cultural or religious systems as a whole. Thus, instead of comparing, for example, the concept of "god" in European and Indian thinking, we should, according to Penner, compare how this concept has evolved in European thought, on the one hand, and Indian thought, on the other, and what these processes can tell us about the cultural histories of the two geographic areas. The comparative-historical approach has its limitations, and it has drawn criticism on several counts. First, it has been argued that in spite of any neutral guise, there is no such thing as pure description or objectivity in the study of religions. Coincidentally, this same criticism was directed towards by sociologists during the early decades of the 20th century. It is undoubtedly true that comparison is always a purposive selection of data from an endless array of possible items. As William Paden has clearly stated, the comparative method has historically been connected with quite different agendas. However, he goes on to argue that while there does not seem to be any absolutely value-free way to characterize and connect the structures of religions, the comparative nevertheless justifies its approach as a corrective both to uninformed or provincial ideas of religions, and to stances that view religions only in terms of their social and psychological functions. A second criticism of comparativism asks, "What if there is no such thing as religion in any generic sense?" If "religion" is only a scholarly construction, as argued by, for example,

communication.

historicism

framework

Bianchi, what is the explanatory value of the term in the first place? Comparative historians have tried to fend off this by arguing that while the term itself is only a scholarly generalization, it does exist through its particular embodiments,

criticism

and is useful in order to differentiate certain kind of cultural strategies from one another. After all, the same kind of critique has been directed at terms like "society" and "psyche" (or "mind"). Paden has argued that like these other verbal entities, "religion" can have either an explanatory or a descriptive slant, depending on the purpose of its user. Still, during the last decade, some historians of religions, such as the German scholar Kurt Rudolph, have started to question the methodological independence of their discipline, and argue that in effect the history of religion(s) belongs methodologically and theoretically in the field of historical anthropology in general. Finally, there is the criticism that the comparative approach has nothing to say about the truth and validity of religions. It seems to have no evaluative capacity and to be hopelessly democratic. This seems to be a fair description of the method, although it is not necessarily a criticism. Things can be explained and described without normative claims concerning their nature. Indeed, this is something that the comparative history of religion(s) has in common with most of the other historical disciplines as well. The comparative history of religion(s) is a well established field of historical scholarship. Until quite recently, its biggest problem has been its relative isolation from other historical disciplines, and with it, from the methodological and advances made in them after World War II. Fortunately this period of isolation appears to be over, and with it the comparative history of religion(s) can take its place as one of the many different approaches towards revealing the meaning of the past to the modern era. -

-

theoretical

TOM See also

Religion

Further

Reading

SJÖBLOM

Bianchi , Ugo , The History of Religions , Leiden : Brill , 1975 Bianchi , Ugo , " Current Methodological Issues in the History of Religions," in Joseph M Kitagawa, ed., Τhe History of Religions: Retrospect and Prospect, New York : Macmillan , and London: Collier Macmillan, 1985 Bianchi , Ugo, ed., The Notion of "Religion" in Comparative Research , Rome : Bretschneider, 1994 Dressel , Gert , Historische Anthropologie: Eine Einführung ( Historical Anthropology: An Introduction ), Vienna : Bölau , 1996 Idinopulos , Thomas Α. , and Edward A. Yonan , eds., Religion and Reductionism: Essays on Eliade, Segal and the Challenge of the Social Sciences for the Study of Religion , Leiden : Brill , 1994 Jenkins , Keith , Re-thinking History , London and New York : .

Routledge 1991 Kitagawa Joseph M. The History of Religions: Understanding Human Experience Atlanta : Scholars Press 1987 Leeuw Gerardus van der Phänomenologie der Religion Tübingen: Mohr 1933 ; in English as Religion in Essence and Manifestation New York: Macmillan, and London : Allen and Unwin 1938 ; reprinted Princeton: Princeton University Press, 1986 Mink Louis Historical Understanding edited by Brian Fay Eugene O. Golub and Richard T. Vann Ithaca, NY : Cornell UniversityPress 1987 Paden William Interpreting the Sacred: Ways of Viewing Religion Boston : Beacon Press 1992 ,

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Penner, Hans , " Why Does Semantics Matter to the Study of Religions," Method and Theory in the Study of Religions 7 ( 1995 ), 2.21 49 Pettazzoni , Raffaele , Essays on the History of Religions , Leiden : Brill , 1954 Reynolds , Frank E. , and Joseph M. Ludwig , eds., Transitions and Transformations in the History of Religions , Leiden : Brill 1980 " Rudolph , Kurt , Religionsgeschichtliche Schule ," The Encyclopedia of Religion , vol. 12 , New York : Macmillan , 1987 Rudolph , Kurt, Geschichte und Probleme der Religionswissenschaft ( History and Problems in Comparative Religion ), Leiden : Brill , -

,

1992

Hvad religion er, fortaeller historien os " (What Religion is, History Reveals to Us ), Religionsvidenskabeligt tidsskrift 23 ( 1993 ), 55 78 Sharpe , Eric J. , Comparative Religion: A History , London : Duckworth , and New York: Scribner, 1975 " " Sjöblom , Tom , Menneisyyden malleja (Models of the Past), in Kimmo Ketola et al. , Näköaloja uskontoon Helsinki :

Rudolph

,

Kurt ,

"

-

,

Yliopistopaino

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1997

Tiele , Cornelius P., Inlednmg till religionsvetenskapen ( Introduction to Comparative Religion ), Stockholm : Fahlcrantz , 1903

Renaissance Historical

Writing

The modern discipline of professional historical writing is a product of the Renaissance. In the Middle Ages, history was chronicle, time was linear, and progress was both invisible and incomprehensible. The educational, philosophical, and political changes of the Renaissance which are collectively called "humanism" explicitly rejected that schema, and the understanding of God's agency which lay at its heart. Humanist history was secular, practical, and the product of human action; it was designed to teach the lessons of moral philosophy and politics to its audience. This viewpoint is directly based on the assumption that a true understanding of the past necessitates a return to the sources. The choice of historical subjects as well as the manner of treatment was meant to be persuasive, to extol the virtues of the classical past, and to teach the lessons of the past so that the present could imitate and use them. In other words, like the other literary disciplines of the Renaissance studia humanitatis, history was rhetorical. Two 20th-century works on Renaissance and humanist historiography deserve specific mention in this context: Donald J. Wilcox's The Development of Florentine Humanist in the Fifteenth Century (1969) and Eric Cochrane's Historians and Historiography in the Italian Renaissance (1981). Both discuss the attitudes and methods of Renaissance humanists and historians. Cochrane addressed not only the of history and historiography in the Renaissance, but also the study of those fields about the Renaissance. He noted the methodologies of the Italian and Italian-influenced Renaissance historians and historiographers beginning in the 15th century: humanist chronicles (medieval chronicles modified in language and style to fit humanist norms); humanist histories (conscious imitation of the ancient models); commentaries (on single events); "Livian-Brunian" histories (on a single political contemporary histories (dependent for style on either Thucydides or Polybius); universal histories (from the dawn of time to the present); and biographical histories. According to Cochrane, "humanist historiography was born fully grown"; it

theological

Historiography

writing

community);

was

characterized

strictly

on

by organization based on themes rather than chronology and by being modeled on ancient

paradigms.

Beginning with Leonardo Bruni (c.1370-1444), authors of historical texts adopted the new principles in their ongoing quest to understand the glorious past that had existed before the decline of the "Dark Ages." The first work of humanist historiography was Bruni's Historiarum Florentini Populi (History of the People of Florence, 1440s). In it, Bruni stressed the persuasive, educative function of history: it could teach prudent living and political wisdom. Bruni's style was adopted by such diverse humanist historians as Paolo Giovio, Cesare Baronio, Paolo Sarpi, and Antonio Possevino. Niccolò Machiavelli (1469-1527), Francesco Guicciardini (1483-1540), and Giorgio Vasari (1511-74) warrant particular attention. Machiavelli believed that humans, because they were always the same and always evil, were predictable; history was therefore circular. History provided contemporaries with a storehouse of exempla to study and either imitate or avoid. The study of history would enable an individual to control it. The medieval emphasis on the role of God was conspicuously and consciously absent in Machiavelli's historical writing; it was replaced by human agency. Guicciardini, though clearly humanist in his did break with the humanist theory of history. He accepted history as the history of politics, as totally secular, as the history of active participants in political process; but he stepped out of the local parochial outlook common to and saw Italy as whole (without advocating unification of the peninsula). He rejected the Machiavellian concept of constant human nature and the idea of history as a storehouse of exempla. There were no repetitive patterns in history, so there was also no possibility of finding historical laws. Both of these historians were essentially political, though with different goals; but humanist history, like humanism itself, could also function to glorify individual human capacities. Vasari's Le vite de' più eccellenti architetti, pittori et scultori italani (1550, revised 1568; Lives of the Most Eminent Painters, Sculptors and Architects, 1912-15) clearly espoused a "Great Individuals" theory of cultural history. Giotto, Brunelleschi, and other luminaries revived the ancient glories of art and architecture through their personal genius and their study of the past. Modern historiography, while explicitly based on humanist methods of source study (though certainly espousing broader reading in sources), rejects the "Great Individuals" theory as well as the fundamentally rhetorical and political functions of history. A final kind of Renaissance historical writing to consider is the personal account or memoir (Ricordi). Prominent men and families kept diaries of their lives and times; Ricordi generally contained political as well as personal information. The of such works was both to glorify the family in the present and to preserve the heritage for future generations. Among the most famous Ricordi are those by Bartolomeo Cerretani, Piero Parenti, and Guicciardini, who based his history of Florence in part on his family memoirs.

methodology,

humanists,

intention

KATHLEEN COMERFORD See also Baron, H.; Burckhardt; Cassirer; Chabod;

Cipoila; Gilbert;

Giovio; Guicciardini; Italy: Renaissance; Kristeller; Machiavelli; Martines; Sarpi; Vasari

Further Reading Baron , Hans , The Crisis of the Early Italian Renaissance: Civic Humanism and Republican Life itt an Age of Classicism and Tyranny, 2 vols., Princeton : Princeton University Press , 1955 ; revised 1966 Bietenholz , Peter G. , ed., Contemporaries of Erasmus: A Biographical Register, of the Renaissance and Reformation , 3 vols., Toronto : University of Toronto Press , 1985-87 Bondanella , Peter, and Mark Musa , eds., The Portable Machiavelli, New York : Penguin , 1979 Burckhardt , Jacob , Die Cultur der Renaissance in Italien , ζ vols., Basel : Schweighauss , i860 ; in English as The Civilization of the Renaissance in Italy , 2 vols., New York : Macmillan , and London: Swan Sonnenschein, 1904 Cassirer, Ernst , Paul Oskar Kristeller, and John Herman Randall , Jr. , eds, The Renaissance Philosophy of Man , Chicago : University of Chicago Press , 1948 " Chabod , Federico , The Concept of the Renaissance ," in his Machiavelli and the Renaissance , London : Bowes and Bowes , and Cambridge, MA: Harvard University Press, 1958 " Cipolla , Carlo M. , The Trends in Italian Economic History in the Later Middle Ages," Economic History Review 1 ( 1949 ), 181 84 Cochrane , Eric , Historians and Historiography in the Italian Renaissance, Chicago : University of Chicago Press , 1981 Croce , Benedetto , Elementi di politica ( Elements of Politics ), Barí : -

Laterza , 192.5

D'Entreves , A. P. , Introduction , in Federico Chabod , Machiavelli and the Renaissance , London : Bowes and Bowes , and Cambridge, MA: Harvard University Press, 1958 Ferguson , Wallace K. , The Renaissance in Historical Thought: Five Centuries of Interpretation , Boston : Houghton Mifflin , 1948 Gilbert , Felix , Machiavelli and Guicciardini: Politics and History in Sixteenth-Century Florence , Princeton : Princeton University Press ,

1965 Kristeller, Paul Oskar, The Classics and Renaissance Thought, Cambridge, MA : Harvard University Press , 1955 ; revised as Renaissance Thought 1: The Classic, Scholastic, and Humanistic Strains , New York : Harper, 1961 Martines , Lauro , The Social World of the Florentine Humanists, 1390-1460 , Princeton : Princeton University Press , and London:

Routledge, 1963 Martines , Lauro , Power and

Imagination: City-states in Renaissance Knopf 1979 ; London: Allen Lane, 1980 Trinkaus Charles The Scope of Renaissance Humanism Ann Arbor : University of Michigan Press 1983 Vasari Giorgio Le vite de' più eccellenti architetti, pittori et scultori italani 3 vols., Florence : H. Torrentino 1550 revised 1568 ; in English as Lives of the Most Eminent Painters, Sculptors and Architects 10 vols., London : Macmillan-Medici Society 1912-15 reprinted New York: AMS, 1976 Vespasiano da Bisticci Viti di uomini illustri del secolo Rome 1839 ; in English as The Vespasiano Memoirs: Lives of the Illustrious Men of the XVth Century London : Routledge and New York: Dial Press, 1926 ; reprinted as Renaissance Princes, Popes, and Prelates New York : Harper 1963 Wilcox Donald J. The Development of Florentine Humanist Historiography in the Fifteenth Century Cambridge, MA : Harvard University Press 1969 Italy

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Renouvin, Pierre

1893–1974

French historian demonstrates the

of

strength traditional French historiography when had Pierre Renouvin's

career

at a

the competition of

new

intellectual

time

it

approaches,

such

to

meet

as

those

of the Annales school. In contrast to their development of social history, and of l'histoire des mentalités, Renouvin's subject was the oldest of all historical specializations, the history of relations between states, of diplomacy and war. This was an area slighted by the exponents of new types of history who criticized it under various headings, as being political rather than socioeconomic, as being concerned with not social classes, as being quintessentially histoire événe mentielle as opposed to the longue durée. In fact Renouvin's work did embrace non-political forces and he did come to deal with long-term trends, without neglecting the exact and analysis of individual crises. In this way he deepened and extended the old, somewhat narrow and limited diplomatic history into the history of international relations. But this was still traditional in comparison to the explorations of the of Bloch, Febvre, and Braudel. In another way also his career was traditional in that he did not work in one of the research institutions such as the Ecole des Hautes Etudes, or the "laboratories" of the Centre National de Recherche Scientifique, where most of the exponents of the new history were to be found, but in the university faculty of the Sorbonne where from 1921 to his retirement he taught as lecturer then professor and dean. Renouvin was deeply marked by his experience of World War I. An infantry lieutenant, he was decorated and twice wounded, the second time in the terrible offensive of April 1917. He lost his left arm, and had other wounds, but he survived to resume the historical career that had begun before 1914 with research on the French Revolution under Aulard. He completed his thesis on the Provincial Assemblies of 1787 and was awarded his doctorate. But his attention had been turned from the Revolution to study of the origins and course of World War I, the topic that was to be the center of his life's work. After a brief period as a lycée teacher at Orléans, he was appointed in 1921 to teach a special course at the Sorbonne on the history of the war. He was also involved with the Bibliothèque de la Guerre, a comprehensive collection of books and documents from all of the belligerent powers that eventually formed the nucleus of the collections of the Bibliothèque de Documentation Internationale Contemporaine, now at the University of Nanterre. aIn 1925 his work on the war led to the publication of two definitive studies, both eventually translated into English, Les Origines immédiates de la guerre (28 juin-4 aôut 1914) (The Immediate Origins of the War) and Les Formes du gouvernement de guerre (The Forms of War Government in France, 1927). The first was concerned with refuting German attempts to deny responsibility for the outbreak of war, enshrined in the war-guilt clause of the Treaty of Versailles. The second showed how France had preserved its parliamentary form of government throughout the war, in contrast to Germany, where military authoritarianism had strangled the small degree of responsible government existing in 1914. In both, but in the first work, Renouvin had to refute polemical charges from the French Left, as well as from German and their American converts. Such charges were in the slogan Poincaré-la-guerre, claiming that Poincaré had encouraged an aggressive Russian policy in 1912-14. Thus the German claim that they had been encircled by a Franco-Russian combination could be supported. Close

individuals

penetrating

disciples

especially propagandists epitomized

threatening

of the documentary sources already available allowed doubt on the German arguments; further revelations, and historical analysis from that day to this has simply strengthened his original view. The second book went beyond administrative history, although it did provide a clear account of the administrative innovations of the war; it also explained the spirit of these arrangements, and showed that charges that the Clemenceau government of 1917-20 had been in any real sense dictatorial were unfounded. There was need for careful analysis of the July 1914 crisis, because the German government had been quickest off the mark in producing its documentary collection, and had done so in a self-justificatory way. The other belligerents, or most of them, produced documents in subsequent years that nearly always and elaborated his original verdicts. Renouvin was able to incorporate this evidence in new editions of his original book, and in many articles on particular points. He himself was involved from the first in the publication of the French documents, eventually becoming president of the two committees for the publication of French documents on the of the two world wars. A specialist review, the Revue d'Histoire de la Guerre Mondiale, was created, which devoted much attention to comment on the various documentary series; he frequently published in its columns. All of this work was incorporated in a much broader study of the war and its origins, La Crise européenne et la grande guerre (The European Crisis and the Great War), of which the first version was published in 1934. Subsequently revised and enlarged several times, it can be seen as his masterpiece, and has stood the test of time. Although to the end of his life World War I remained a major focus of interest, and he published a substantial study of the 1918 armistice in 1969, Renouvin steadily broadened his concerns from the immediate origins of the war, to the study of the whole field of international relations in the 19th and 20th centuries. In 1946 came his study of La Question d'Extrême Orient, 1840-1940 (The Question of the Far East), but the major achievement of his later years was editorship of an 8-volume Histoire des relations internationales (The History of International Relations, 1953-58), from the Middle Ages to 1945. Half of the whole work, four volumes covering 1815-1945, were written by Renouvin himself, and constituted a remarkable synthesis that has perhaps never been bettered. In 1964 he published jointly with J.-B. Duroselie, who was to be his successor in the chair of international history at the Sorbonne, a theoretical work, Introduction à l'histoire des relations internationales (Introduction to the History of International Relations). Thus, in some ways his work may be seen to have moved from the particular to the general, from minute analysis of five weeks in 1914 to general theories of international history. But this is only partially true, as he continued to write on detailed topics, and maintained his mastery of the history of World War I. Anyone who met Renouvin could not fail to be impressed by his authority, by something perhaps best conveyed by the Latin word gravitas, reinforced by the evidence of his old wounds. His views were incisive, but arrived at with all possible care. In the historical field that was the center of his research, and which was closest to his heart, France's struggle against Germany in the first half of the 20th century, he spoke as a deeply committed patriot, but without any bitterness. He

analysis him

to cast

documentary

confirmed

diplomatic

origins

unrivalled

defended French policies when they had been effective in warding off the attacks of the enemy, and criticized them when they were deficient, as in the tragic failure to uphold the peace settlement of 1919. DAVID ROBIN WATSON

See also

Diplomatic; World

War I

Biography Born Paris, 9 January 1893 Attended Lycée Louis-le-Grand, receiving his agrégation 1912. Traveled in Russia and Germany, 1911-14. Served in French infantry during World War I: wounded, losing his left arm and use of his right hand Taught at Lycée d'Orléans , 1918-20 ; head, War History Library, Sorbonne, 1920-22, lecturer, 1922-33, professor from 1933 , and dean , 1955-58; retired 1964 President, Fondation Nationale des Sciences Politiques. Elected to Académie des Sciences Morales et Politiques, 1946 Married Marie-Thérèse Gatialda , 1918 Died Paris , 7 December 1974 .

.

.

.

.

.

Principal Writings Les Formes du gouvernement de guerre , 1925 ; in English as The Forms of War Government in France , 1927 Les Origines immédiates de la guerre (28 juin-4 août 1914) , 1925 ; in English as The Immediate Origins of the War, 28 June 4 -

August

1914

,

1928

La Crise européenne et la grande guerre, 1904-1918 (The European Crisis and the Great War ), 1934 La Question d'Extrême Orient, 1840-1940 ( The Question of the Far East, 1840-1940 ), 1946 Editor, Histoire des relations internationales (The History of International Relations ), 8 vols., 1953-58 Les Crise du XXe siècle 2 vols., 1958-59; in English as War and Aftermath, 1914-1929 1968 ; and World War II and Its Origins: International Relations, 1929-45 1968 With Jean-Baptiste Duroselle Introduction à l'histoire des relations internationales 1964 ; in English as Introduction to the History of ,

,

,

,

,

International Relations , 1967

Further

Reading

" Duroselle , Jean-Baptiste , Pierre Renouvin ," Revue d'Histoire Moderne et Contemporaine new series 2.7 ( 1975 ), 497 507 Halperin , S. W. , Some Twentieth-Century Historians: Essays on Eminent Europeans , Chicago : University of Chicago Press , 1961 , -

143 70 -

Mélanges Pierre Renouvin: études d'Histoire des relations internationales ( Pierre Renouvin Miscellany: Studies on the History of International Relations ), Paris : Presses Universitaires de France 1966 [includes bibliography] ,

Rhetoric and

History

The words "rhetoric" and "history" have formed an uneasy linkage over the past 2,500 years in the West. Since Plato's critique of the Sophists, rhetoric has held a connotation of verbal artifice, or persuasive discourse. At the heart of this lies a tension between an image of language that is used factually to reflect events, on the one hand, and language that is richly mixed with personal viewpoints and ideology, on the other. Among historians, the former has often represented the pursuit of truth, while the latter has represented more or less extreme forms of subjectivity.

unbiased

"Rhetoric" has by no means been a negative term for all thinkers, however. Aristotle presented a memorable defense, on stating that "We must be able to employ persuasion opposite sides of a question, not in order that we may in employ it both ways (for we must not make people believe what is wrong) but in order that we may see clearly what the facts are, and that, if another man argues unfairly, we may be able to confute him." The art of rhetoric, he continues, "draws opposite conclusions impartially." By linking rhetoric to the pursuit of truth, Aristotle created a strong argument for its study. He nonetheless left the reader with an uneasy concern it remains, at base, a over one of its core features device that is subject to grave abuse and that requires continued vigilance among fair-minded thinkers. The tension between these two poles has been at the heart of varying conceptions of history and historical discourse over from Herodotus and Thucydides to the past two millennia Vico and Ranke. There is a similar tension in Chinese thought that can best be summed up by a passage from Confucius' (Kong-zi's) Analects·. "When there is a preponderance of (factual) substance over (literary) refinement, the result will be confusion; when there is a preponderance of refinement over substance, the result will be pedantry." Only when the two are mixed will one find balanced knowledge. The creative pull of this idea in Chinese historiography can be seen in the works of two of China's most influential historians. Sima Guang's Zizbi tongjian (Comprehensive Mirror for Aid in Government, completed 1084) is a detailed history of China over more than ...

practice

-

persuasive -

millennium. Attention to detail and careful consideration of materials are its strongest features. Zhu Xi, writing a century later, edited the work into an ethical textbook with historical examples. The former's wealth of detail and the latter's rigid ethics provide a parallel to Confucius' statement and the rhetorical concerns of writers half a world away. The study of rhetoric in history and historiography has returned to prominence in the second half of the 20th century. Among the rhetorical works that have influenced historical thinkers are those by Kenneth Burke, whose notion of has had a profound impact, and by Mikhail Bakhtin, Wayne Booth, Fredric Jameson, and Wolfgang Iser. In Hayden White's Metahistory (1973) has inspired many historians to examine rhetorical issues in historiography. White's introduction to that work, entitled "The Poetics of History," states his purpose forcefully, "I will consider the historical work as what it most manifestly is a verbal in the form of narrative prose discourse that purports to be a model, or icon, of past structures and processes in the interest of explaining what they were by representing them." White further notes that the historical work lies at the of a historical past, the historical record, and an The manner in which records of the past are given new verbal forms emplotted lies at the heart of the a

source

"dramatism" particular, -

structure

intersection audience. -

-

operation. historiographical emphasis writing literary knowledge

on the constructive nature of historical Such can also be nature of historical and the found in, among others, Paul Veyne's Writing History {1984), Michel de Certeau's L'Ecriture de l'histoire (1975; The Writing of History, 1988), and Paul Ricoeur's Temps et récit (1983-85; Time and Narrative, 1984-88). Ricoeur in particular notes the profound connections between text and action: "The act of

is the final indicator of the world of action under reading the sign of the plot." For Ricoeur, the historical reader .

.

.

refigures

the text through reading and carries the refigured "text" with him. Because the study of rhetoric is of enormous importance to thinkers in a wide variety of fields, it is difficult to find a unified critical approach to rhetorical study. Nonetheless, it is possible to examine themes that many scholars share. To begin with, rhetorical analyses are relevant to an enormous range of public and private discourse, including legal cases, speeches, lectures, pamphlets, and even commercials. The double problem for historians is that they commonly employ a wide range of such "texts" in their research, even as they create new texts from their fragments. Another feature of rhetorical criticism is that such discourse is subject to study not so much for the information or that it contains, but for the manner in which its contents shape the world beyond it. The writings of Karl Marx and Mao Zedong are just two notable examples of works that have been commonly analyzed for more than their literary, philosophical, or historical content. One could just as easily subject the works of far less prominent writers to the same

argument

analyses. It is the communicative nature of discourse that lies at the heart of rhetorical criticism, and for historians this represents a double-edged sword. Language has the power (from the perspective of the rhetorical critic, if not the deconstructionist) to influence and create change the kind of movements and events that are the very subject of the historian's study. But it is only through language that the historian can communicate such knowledge to readers. Whether this is a matter to be and studied in detail, as rhetorical critics would have it, or rather a problem requiring further research and greater care in composition, lies at the very heart of the historical -

celebrated

discipline. ROBERT A. LAFLEUR

See also

Kong-zi; Marx; White,

H.

Further Reading " Aristotle , Rhetoric ," in The Complete Works of Aristotle: The Revised Oxford Translation , vol. 2 ., Princeton : Princeton University Press , 1984 Bakhtin , Mikhail , Voprosy literatury i estetiki: isseldovaniia let , Moscow : Khudozh , 1975 ; in English as The Dialogic Imagination: Four Essays , Austin : University of Texas Press , 1981 Barilli , Renato , La retorica , Milan : Mondadori , 1983 ; in English as Rhetoric , Minneapolis : University of Minnesota Press , 1989 Booth , Wayne , The Rhetoric of Fiction , Chicago : University of

Chicago Press , 1961 Burke , Kenneth , Language as Symbolic Action: Essays on Life, Literature, and Method, Berkeley : University of California Press , and Cambridge: Cambridge University Press, 1966 Certeau , Michel de , L'Ecriture de l'histoire , Paris : Gallimard , 1975 ; in English as The Writing of History , New York : Columbia University Press , 1988 Iser, Wolfgang, Der implizite Leser: Kommunikationsformen des Romans von Bunyan bis Beckett , Munich : Fink , 1972 ; in English as The Implied Reader , Baltimore : Johns Hopkins University Press , 1974 Jameson , Fredric , Marxism and Form , Princeton : Princeton University

Press , 1971

Marsen , Patricia , Philip Rollinson , and Marion Sousa, Readings from Classical Rhetoric , Carbondale : Southern Illinois University Press , 1990 Ricoeur, Paul , Temps et récit , 3 vols., Paris : Seuil , 1983-85 ; in English as Time and Narrative , 3 vols., Chicago : University of Chicago Press , 1984-88 Veyne , Paul , Comment on écrit l'histoire: essai d'epistemologie , Paris : Seuil , 1971 ; in English as Writing History: Essays on Epistemology , Middletown, CT: Wesleyan University Press , and Manchester: Manchester University Press, 1984 White , Hayden V. , Metahistory: The Historical Imagination in Nineteenth-Century Europe , Baltimore : Johns Hopkins University Press , 1973

Ritter, Gerhard A. German

political

18 8–1967

and cultural historian

Gerhard Ritter

was known to many as the "final figure of an Ritter, perhaps one of the best known German of the 2.0th century, came from the tradition of the German political historians of the 19th century. To him, history was not only a subject of scientific research and discourse, but also a means of practical political education. Ritter was a product of Wilhelmine Germany with its Prussian traditions and Lutheran faith. This provided the for his first book, Die preussischen Konservativen und Bismarcks deutsche Politik, 1858 bis ι8γ6 (The Prussian Conservatives and Bismarck's German Policy, 1858 to 1876), completed as his dissertation in 1911 under the direction of professor Hermann Oncken in Heidelberg. In this book, Ritter traced the conflict between Bismarck's conservative party and the nobility which saw Bismarck's national policy as a threat to its rights and privileges. In particular, the nobility saw Bismarck's concessions to the southern German states as a threat to its power. This question of the limits of legitimate power would occupy Ritter again in his later works. In 1914 as World War I began, Ritter, who had been working as a secondary school teacher in Magdeburg, volunteered for military service. The defeat of Germany in 1918 was very for him, especially since he believed that it was a mistake to

epoch."

historians

background

difficult replace

the

monarchy

Weimar that had

and its

long history

with

a

republic

in

traditions or claims to power. To avoid thinking about the problems of the Weimar republic, Ritter took an assignment from the University of Heidelberg to write its history. It was in Heidelberg that in 1921 he completed his Habilitation, the last step to becoming no

strone

professor, on this same subject. In 1924, Ritter worked briefly Hamburg, but in 1925 he accepted an offer to teach at the University of Freiburg where he remained until his retirement as a professor emeritus in 1956. During this period, Ritter also published his now famous Luther biography (1925), in which he portrayed Luther as an "eternal German," prompting some critics to say that he was a

in

fine line between the conservative and the fascist camp. Ritter, however, was far from a fascist and did not subscribe to the view that his statements could be interpreted as racist. His Luther was not the political opportunist portrayed by Max Weber and Ernst Troeltsch. He believed that the true worth of Luther's life lay in his ability to enlighten Germans to problems within the Roman Catholic church and

treading

a

improve the self-confidence of churchgoers in order to make difference in German society and eventually in the world. Luther taught that Christian moral codes could only be applied to the individual, not to the state that had to retain and protect its power and, therefore, could be guided only by the Christian sense of its politicians. Ritter not only supported this idea but also went further, using the ideas of Friedrich Patzel and Rudolf Kjelléns of the nation as a living organism to argue that the state had a right to life, meaning to territorial expansion and economic growth. From this point of view, Ritter saw Frederick the Great's conquest of Silesia as justified, no matter what the international law of the time said. In 1931 Ritter completed his 2-volume biography of the Prussian liberal statesman and German nationalist Baron vom Stein, whom he saw as the almost total opposite of Bismarck with regard to power politics. If Bismarck was the power the "Iron Chancellor," then Stein was the moralist whose contribution was rooted more in his political attempts than in his political successes. Ritter saw Stein as an example of a without a sense of politics who, despite his inability, could be successful on the basis of his strong personal character. Adolf Hitler's assumption of the office of German in 1933 was not of great concern to Ritter, who initially approved of Hitler's foreign policy. But when Hitler began to reveal his true character, through his persecution of non-Aryans and the consolidation of his power through the "coordination" of the Lutheran church to meet his political needs, Ritter was not prepared to accept these moves. As a practicing Lutheran, he joined the Confessional church which brought him into contact with the resistance movement built around the of the former lord mayor of Leipzig, Carl Friedrich Goerdeler, about whom Ritter later wrote a book. In his biography of Frederick the Great, Ritter criticized Hitler's personality and political program by emphasizing the positive traits of Frederick as compared to Hitler. On this same topic of power and morality, Ritter published the pamphlet Macbtstaat und Utopie (National Power and Utopia, 1940) in which he argued that only countries with military security (island empires such as the UK, for example) could promote personal freedoms, while continental powers such as Germany were constantly threatened and had to maintain discipline. In this work, it is difficult to disentangle Ritter's meaning as he mediated between his own beliefs and what was allowed by Nazi censors. It is, however, safe to say that Ritter, if not a National Socialist, was a nationalist who wanted to see Germany as a strong world power. This is evident in his later work Staatskunst und Kriegsbandwerk: das Problem des "Militarismus" in Deutschland to a

politician,

politician

chancellor

leadership

in

The Sword and the

(1954-68; published English Scepter: The Problem of Militarism in Germany, 1969) which he researched in the dark days of World War II as bombs were falling on Berlin. In this work, Ritter ignored the "common man" in history and concentrated on statesmen and military leaders. True to the tradition of 19th-century German historians, he argued that militarism in the Prussian monarchy, in the Wilhelmine empire, and in the National Socialist era could not be compared and one must view each of these periods with a Darner feeline for the spirit of the age. Shortly before Ritter's third volume was published, Fritz Fischer released his Griff nach der Weltmacht (1961; Germany's as

political

Aims in the First World War, 1967) to which Ritter took vehement exception. Ritter did not believe that Germany had

desired World War I but rather that politicians in Berlin had accepted the risk of war as a possibility and that it had caught them off guard. In volume 3 (1914-17), Ritter, tried to dispute Fischer's thesis by showing that the Bethmann Hollweg had attempted to slow the war aims of Ludendorff and other military leaders in the high command. This picture, however, said little historically and did little to refute Fischer. Ritter's indifference towards social and economic questions became clear in the fourth volume (1917-18). His inability to relate the victory of military over civil leaders in relationship to these other issues weakens this volume substantially. A final chapter covering the period 1918 to 1945 was planned, but Ritter died before he could complete it. Ritter remains one of the great post-World War II German historians despite his overemphasis on politics and individual political leaders. Although his work will probably speak less to coming generations than it did to his contemporaries, it is clear that his powerful, lively style will secure him a place in the pantheon of German historians. His life and work covered a vital period in German history from the Wilhelmine empire to chancellor Konrad Adenauer's Federal Republic. This in itself makes it impossible for historians of modern Germany to ignore him.

therefore, politician

GREGORY WEEKS

See also Fischer;

Germany: 1800-1945

Biography Gerhard Albert Ritter Born Bad Sooden, Allendorf, 6 April 1888 , of a Lutheran minister. Attended Gütersloh (near Bielefield) Westphalia Gymnasium ; studied at the universities of Munich, Leipzig, and Heidelberg, from which he received a doctorate Taught in Carsal , 1912-14 ; then at Magdeburg Oberrealschule. Served in the German infantry during World War I Lecturer, University of Heidelberg , 1918-23 ; professor. University of Hamburg, 1924-25 ; and University of Freiburg, 1925-56 ; detained, 1944-45 Married Gertrud Reichardt , 1919 (3 children). Died Freiburg , 1 July 1967 .

son

.

.

.

.

Principal Writings Die preussiscken Konservativen und Bismarcks deutsche Politik, 1858 bis 1876 ( The Prussian Conservatives and Bismarck's German Policy, 1858 to 1876 ), 1913 Luther: Gestalt und Symbol , 1925 ; in English as Luther: His Life and Work , 1963 Stein: eine politische Biographie ( Stein: A Political Biography ), 2 vols., 1931 Friedrich der Grosse ,

1936 ; in English as Frederick the Great: A Historical Profile, 1968 Machtstaat und Utopie: vom Streit um die Dämonie der Macht seit Machiavelli und Morus , 1940 , revised as Die Dämonie der Macht: Betrachtungen über Geschichte und Wesen des Machtproblems im politischen Denken der Neuzeit , 1947 ; in English as The Corrupting Influence of Power, 1952 Europa und die deutsche Frage: Betrachtungen über die geschichtliche Eigenart des deutschen Staatsdenkens , 1948 , revised as Das deutsche Problem , 1962 ; in English as The German Problem: Basic Questions of German Political Life, Past and Present , 1965 Carl Goerdeler und die deutsche Widerstandsbewegung , 1954 ; in English as The German Resistance: Carl Goerdeler's Struggle .

against Tyranny 1958 ,

Staatskunst und Kriegsbandwerk: das Problem des "Militarismus" in Deutschland , 4 vols., 1954-68 ; in English as The Sword and the Scepter: The Problem of Militarism in Germany , 1969-73 Der Schlieffenplan: Kritik eines Mythos , 1956 ; in English as The Schlieffen Plan: Critique of a Myth , 1958

Further

Reading

Andreas , " Gerhard Ritter," in Hans-Ulrich Wehler, ed., Deutsche Historiker , Göttingen : Vandenhoeck & Ruprecht , 1973 " Dorpalen , Andreas , Historiography as History: The Work of Gerhard Ritter," Journal of Modern History 34 ( 1962 ), 1 18 " " Jäckel , Eberhard , Gerhard Ritter, Historiker in seiner Zeit ( Gerhard Ritter, Historian of His Time ), Geschichte in Wissenschaft und Unterricht 16 ( 1967 ), 705 15 " Levine , Norman , Gerhard Ritter's Weltanschauung," Review of Politics , 30 ( 1968 ), 209 27 " Maehl , William H. , Gerhard Ritter," in Hans A. Schmitt , ed., Historians of Modern Europe, Baton Rouge : Louisiana State

Dorpalen

,

-

-

-

University

Press , 1971 "

Schumann , Peter, Gerhard Ritter und die deutsche " Geschichtswissenschaft nach dem Zweiten Weltkrieg ( Gerhard Ritter and German Historical Study after World War II ), in Rudolf Vierhaus zum 60. Geburtstag , Göttingen, 1982 Schwabe , Klaus , and Rolf Reichardt , eds., Gerhard Ritter: Ein politischer Historiker in seinen Briefen ( Gerhard Ritter: A Political Historian in His Letters ), Boppard am Rhein : Boldt ,

US historian of

European

1863–1936

intellectual

history

Amid the varied spheres of his career as professional historian and public intellectual, a single theme united James Harvey Robinson's life work. From his innovations in historical methodology and research to his revisions of secondary and undergraduate pedagogy, Robinson endeavored to reform the modern study of history, making it relevant and useful to contemporary peoples. A quintessential Progressive, he combined astute and erudite thinking with a penchant for activism in order to challenge his professional colleagues' "obsolete" conception of history and to demonstrate written history's potential for inspiring social improvement. After completing doctoral studies at Freiburg, Germany in 1890, Robinson accepted an appointment as lecturer of European history at the University of Pennsylvania. The non-traditional history department allowed Robinson ample latitude to experiment with innovative, interdisciplinary instruction and research. Among his activities at Pennsylvania, Robinson cultivated a lifelong interest in original source materials. He translated The Constitution of the Kingdom of Prussia (1894), complete with introduction and explanatory notes. He also helped to translate and edit an inventive project called Translations and Reprints from the Original Sources of

university's

European History (1894). In 1895, Robinson began Columbia University. There, his

a

fruitful 24-year

numerous

interests

tenure

at

were

sharpened and further developed under the influence of several important progressive-minded colleagues, including Charles Beard and John Dewey. The salient feature of Robinson's evolution at Columbia was his shift from Rankean to historical recounting the past "as it happened"

intellectual

objectivity -

-

-

Robinson concentrated his efforts at Columbia on the tasks of reforming historical research methods and improving historical instruction.

Robinson is most commonly identified with the "New History," his bold prescription for modern historical thought and practice. In a collection of essays by the same name (published in 1912), he assailed older, traditionally accepted notions of the past. History, he asserted, encompasses all aspects of human existence and activity, not merely military and political achievements, as most historians seemed to Thus, The New History incorporated the newly emerging social sciences to understand the diverse arenas of human "There are other fields," noted Robinson, "in which it is essential that the investigator should know everything that is being found out about man, unless he is willing to run the risk of superficiality and error." The New History also chided the tendency of historians to become bogged down with detailed lists of archaic names and facts. Robinson deemed it senseless to study any past event or idea with no demonstrable bearing on modern times, rejecting concepts of historical research that resemble monastic His Progressive ethos suggested that modern had an obligation to promote and extend the betterment of humankind in all their academic pursuits, and historians were no less obliged to carry this burden. If history was to achieve relevance in the lives of common people, argued Robinson, it must be constructed from their unique perspective and should seek to account for the origins of social problems. Thus, one of Robinson's essays in The New History, "History for the Common Man," urged the study of topics such as charity organizations in the Middle Ages (tracing an incipient version of social work) and the industrialization of Europe (showing both human progress and the plight of factory workers). History teaching in the United States at the end of the 19th century was largely comprised of rote memorization and drawn from the pages of badly written, antediluvian Robinson worked to change this dismal predicament by advocating new methods of classroom instruction and by producing an array of freshly conceived college and secondary texts. He continued to translate and edit original source materials because he believed that students would best and appreciate history through directly utilizing primary documents. Among the numerous such volumes edited and translated by Robinson during his years at Columbia was Petrarch: The First Modern Scholar and Man of Letters (1898), a collection of writings by the Renaissance figure. His of primary sources along with a provocative, irreverent style of lecture brought national recognition to Robinson's own courses in European intellectual history at Columbia. Robinson's first and most famous college textbook, An Introduction to the History of Western Europe, appeared in 1903. It brought new life to historical pedagogy, an enterprise until then dominated by unimaginative sketches of political events and tedious surveys of military expeditions. The text offered perusals of social and cultural issues, incorporated actual historical research, and communicated by using lucid

indicate.

experience.

scholasticism. intellectuals

1984

Robinson, James Harvey

pragmatism recounting the past in order to serve the present. Propelled by this pragmatic approach to historical knowledge,

recitation,

textbooks.

understand

incorporation sometimes

and

prose. Thereafter, Robinson continued to revised and new editions of college texts, including The Last Decade of European History and the Great "War (1918) and The Development of Modern Europe (1907-08, with Charles Beard). He also authored secondary texts including Medieval and Modern Times (1916) and A General History of Europe ( 1921 ), revised as Our World Today and

interesting

produce

Yesterday (1924). establish

University experimental project provide a climate for social to

an

education designed to scientific research unfettered by usual constraints of academic institutions. Unfortunately the New School quickly faltered, and Robinson left his post as director in 1921. However, he continued to devote significant speaking and writing energy to promote the New School's ideals of educational reform, intellectual progress, and the scientific method, writing two successful popularized studies along these lines: The Mind in the Making (1921) and The Humanizing of Knowledge (1923). Though Robinson never produced any major piece of research, his place in the pantheon of historians in America is secure. With an unyielding faith in human progress, he endeavored to redefine history to facilitate social reform. In iconoclastic style, he rebuked and revised obsolete and procedures of historical teaching and writing. His espousal of pragmatism, progressivism, and social science a key generation of scholarship in America, and his keenly anticipated the radical historiography of the 1970s and 1980s.

higher

original

counterproductive influenced ambitions JAY See also

Beard;

United States: Historical

Writing,

D. GREEN

20th

Century

Biography

Born Bloomington, Illinois, 19 June 1863 Studied briefly at Illinois State Normal School, then traveled in Europe and worked before earning BA, Harvard University, 1887 , MA 1888 ; PhD, University of Freiburg, 1890 Taught history at University of Pennsylvania , 1891-95 ; and Barnard College/Columbia University, 1895-1918 Founding director, New School for Social Research, 1919-2.1 Married Grace Woodville Read , 1887 Died New York City, .

.

.

.

.

16

February 1936

.

Principal Writings Editor and translator, The Constitution of the Kingdom of Prussia , 1894 Joint editor and translator, Translations and Reprints from the Original Sources of European History , 1894 Editor and translator, Petrarch: The First Modern Scholar and Man

of Letters 1898 ,

An Introduction to the History of Western Europe , 1903 With Charles Beard , The Development of Modern Europe,

1907-08; enlarged

"

,

,

,

,

,

"

,

,

-

,

,

In 1919, Robinson left Columbia the New School for Social Research, in

Further Reading Barnes Harry Elmer James Harvey Robinson ," in Howard W. Odum ed., American Masters of Social Science: An Approach to the Study of the Social Sciences Through the Neglected Field of Biography Port Washington, NY: Kennikat Press 1926 Braeman John What Is the Good of History? The Case of James Harvey Robinson ," Amerikastudien/American Studies 30 ( 1985 ), 75 89 Gründen Robert Morse Ministers of Reform: The Progressives' Achievement in American Civilization, 1889-1920 New York : Basic Books 1982 Hendricks Luther Virgil James Harvey Robinson: Teacher of History New York : King's Crown Press 1946 Novick Peter That Noble Dream: The "Objectivity Question" and the American Historical Profession Cambridge and New York ; Cambridge University Press 1988 Ross Dorothy The Origins of American Social Science Cambridge and New York : Cambridge University Press 1991

2

vols.,

1929-30

The New History: Essays Illustrating the Modern Historical Outlook , 1912 Medieval and Modern Times , 1916 ; revised 1926 The Last Decade of European History and the Great War , 1918 A General History of Europe , 1921 ; revised as Our World Today and Yesterday , 1924 The Mind in the Making , 1921 The Humanizing of Knowledge , 1923

,

,

,

,

,

,

,

,

,

,

,

,

,

,

Skotheim , Robert Allen , American Intellectual Histories and Historians , Princeton : Princeton University Press , 1966 Strout , Cushing , The Pragmatic Revolt in American History: Carl Becker and Charles Beard , New Haven : Yale University Press , 1958 " Whelan , Michael , James Harvey Robinson: The New History and the 1916 Social Studies Report," History Teacher 24 ( 1991 ), 191 202 White , Morton , Social Thought in America: The Revolt Against Formalism , New York : Viking Press , 1949 ; Oxford: Oxford -

University Press, 1976

Rock, David

1945British historian of Latin America David Rock has devoted his life to the study of Argentina. His work ranges from the analysis of Argentina's political economy in the 20th century to the study of the country's authoritarian past. Through the twists and turns of his research on Argentina, one sees illustrated the changes in approaches to the study of Latin American history during the last twenty years. Rock's most notable work is Politics in Argentina (1975). He wrote and researched this book during the late 1960s and early 1970s when a military government ruled in Argentina. Thus the military coup of 1962 and the development of an armed left shaped his research. Rock raised the question of why Argentina failed to develop a stable democratic system; in order to answer this question, he examined Argentina's democratically elected governments from 1890 to 1930. Rock argued in Politics in Argentina that the middle class, which achieved control of the Argentine state from 1916 until 1930, was not an independent class and that it was highly dependent on the landed oligarchy. The implication of this argument is that the middle class never obtained an voice in the Argentine political system. Rock linked the absence of middle class autonomy to the failure of democracy in Argentina. He suggested that the Radical party viewed as the middle class party was in reality a of the confederation of landed and middle-class sectors, which was based on a shared economic interest in maintaining

revolutionary

independent -

traditionally coalition -

an

export-based

economy.

Rock paid close attention to the importance of British interests, suggesting that the decline of British economic and political power brought about the loss of Argentina's privileged economic place in the world. Rock argued that the

economic

depression of the 1930s resulted in a military coup due to the diverging interests of the middle class and the landowning elite. It is clear that he strongly believed that Argentina's exportbased economy determined its political structures, words, that Argentina's economic dependency led

other its failed

or, in to

political development. concern

economic

disorganization conception

"dependent

introduction, elaborate entire country

equally dependent. Authoritarian Argentina (1993) represents a newer approach to history because Rock no longer centered his analysis on the political economy, but attempted to analyze the discourse and ideology of the nationalist right. In examining more than 100 years of nationalist ideology, Rock located the origins of the doctrine in Latin Europe, arguing against historians who linked the right in Argentina with Nazi Germany. He contended that the nationalist movement in Argentina never received much popular support and was unable to adapt to change. This was

weakness led the movement to resort to force and Authoritarian Argentina offered a new understanding of the emergence of the right through Rock's long-term and sound research. Some historians have criticized Rock for his longue durée approach and emphasis on continuities, arguing that agency and processes of change are overlooked. However, it is certain that Rock has made a solid contribution to the history of

dictatorship. perspective

Argentina. BRETT TROYAN See also

Argentina;

Latin America: National

David Peter Rock Born Blackburn, Lancashire, 8 April 1945 Taught briefly, Rosegrove School, Burnley, 1964. Attended St. John's College, Cambridge University, MA 1970, PhD 1971 Research officer, Institute of Latin American Studies, London, 1970-74, assistant secretary 1974-77 ; taught, rising to professor, University of California, Santa Barbara, from 1978 Married Rosalind Louise Farrar 1968 (2 sons). .

.

.

,

.

for Argentina's unfulfilled promise of development is a theme in his edited work Argentina in the Twentieth Century (1975): "Now she is more frequently seen as just another bankrupt and stagnant, weak and exploited corner of 'South America,' compelled to exist in the future, as she has now done for so long in the past, in a maelstrom of and decay." This quote illustrates Rock's that Argentina was somehow trapped in its deficient past. Rock belongs to the generation of scholars of the 1970s who resorted to the dependency paradigm to explain Latin America's political and economic problems. This paradigm suggested that Latin America's underdevelopment was a consequence of the development of other areas, such as Britain and the United States. According to this theory Latin American countries were assigned to a peripheral position in the world economy; economies" required a flawed political system under which there could be no real democratic participation. Rock's next work, Argentina, 1516-1982 (1985), ventured back in time to explore the roots of Argentina's problems. The military government's gross violations of human rights provided the context for this research. Rock did not enter into the debate on whether Perón's government was responsible for Argentina's economic decline and political troubles by the 1980s, although much of the controversy in Argentine historiography centers around the impact of Perón's regime. As he stated in his Rock wished to lay out the long-term patterns of Argentina's historical development. He characterized Argentina as an essentially "colonial" society. The themes of dependent elites and a weak middle class which Rock had begun to in Politics in Argentina were developed further in this monograph. Rock tried to make the case that because Argentine elites had always been dependent since the colonial era, the Rock's

Biography

,

Principal Writings Editor, Argentina in the Twentieth Century 1975 Politics in Argentina, 7890-1930: The Rise and Fall of Radicalism ,

,

1975

Argentina, 1516-1987; From Spanish Colonization to Alfonsin revised edition, 1987 Authoritarian Argentina: The Nationalist Movement, Its History, and Its Impact 1993 Editor, Latin America in the 1940s: War and Postwar Transitions ,

,

,

1994

Rodinson,

Maxime

1915-

French Islamicist Maxime Rodinson is

a

leading Orientalist, linguist,

historian, philologist, sociologist, ethnographer,

and historian who has

specialized

languages (especially Old Ethiopie and Arabian), and early Islamic history. An unusually in Semitic

Old South eclectic scholar, he has written on the influence of Islamic countries on the West in the Middle Ages, on vehicles, on cookery, and even on the liver in Muslim countries. His first major study, for which he received the diplome in 1955, was Magie, médecine, et possession à Gondar (Magic, Medicine, and Possession in Gondar, 1967). This study was a translation of and commentary on an Amharic manuscript brought to France by a French anthropological mission that had traveled from Dakar to Djibouti in 1931-33. The was a register of people who performed magic and medical cures in Gondar, a town in Ethiopia. Rodinson later studied the zar (exorcism ceremonies) in Cairo. Rodinson was a member of the Communist party until 1958, and his Marxist formation has influenced his historical and thinking. His widely-read book, Mahomet (1961, Mohammed, 1971), an iconoclastic biography of the prophet Muhammad, demonstrates this most clearly. According to Rodinson himself, his interest in Muhammad at times drew inspiration from the lives of people such as Lenin and Stalin, men were men of conviction who became heads of state forced by circumstances to resort to the use of power to further their causes. To Rodinson the idea of reforming humanity, of a community of believers as a political entity, was the project of both Muhammad and Stalin, God or no God. In answer to a question much asked in the 1960s, "Is there something in Islam that impedes the spread of capitalism?", a question posed in response to Max Weber's famous though often oversimplified and misunderstood argument that Protestantism fostered the development of capitalism, Rodinson published Islam et capitalisme (1966, Islam and Capitalism, 1974). Rodinson argued that no religion was necessarily favorable or unfavorable to capitalism, because capitalism developed outside

manuscript

sociological

establishing

the sphere of religion. For example, when financial interests necessitated it, Muslim communities did not hesitate to collect interest, even though the Quran forbids it. In Marxisme et monde musulman (1972., Marxism and the Muslim World, 1979), a compilation of his articles, he argued that dissension, protest, and ideas of revolt have always existed but that they need theories to shape them, to give birth to organizations and actions. So when Stalinist or Marxist ideas were in circulation they were as influential in Islamic countries as elsewhere. At present, he observes that Islamic or Islamist theories are shaping political protest movements in many Muslim societies. His books Israel and the Arabs (1968) and Israel: A Colonial-Settler State? (1973), written in response to the events of 1967, were a critique of Zionism and its treatment of Palestinians. Les Arabes (1979, The Arabs, 1981), written in response to several rather superficial and stereotypic studies of Arab identity, was a erudite and carefully nuanced answer to the question "who are the Arabs?" Rodinson's Europe and the Mystique of Islam (1980, 1987) consisted of the important essays "Western Views of the Muslim World" and "A New Approach to Arab and Islamic Studies." The first essay traced the evolution of Western views of the Muslim world and the development of Orientalism, the central tradition of Islamic studies. The second essay analyzed the current state of the field and encouraged students of Middle Eastern history to read the great Orientalist works. He urged students to study non-classical periods of history neglected by Orientalists, popular attitudes and customs, and to integrate current events into the history of the Middle East within the wider framework of world history, sociology, and

militant

La Fascination de l'Islam: suivi

de,

Le

l'esclave sarrasin , 1980 ; in English Islam , 1987

Seigneur bourguignon et Europe and the Mystique of

as

Peuple juif ou problème juifì (Jewish People or Jewish Problem ?), 1981 Cult, Ghetto and State: The Persistence of the Jewish Question 1983 De Pythagore à Lénine: des activismes idéologiques (From Pythagoras to Lenin ), 1993 ,

Further Reading Digard Jean-Pierre

Le Cuisinier et le philosophe: hommage à , , Maxime Rodinson (The Chef and the Philosopher: Homage to Maxime Rodinson ), Paris : Maisonneuve et Larose , 1982 Gallagher, Nancy, ed., Approaches to the History of the Middle East: Interviews with Leading Middle East Historians , Reading, Berkshire : Ithaca Press , 1994 Robin , Christian , ed., Mélanges linguistiques offerts à Maxime Rodinson par ses élèves, ses collègues et ses amis ( Linguistic Selections Offered to Maxime Rodinson by His Students, Colleagues, and Friends ), Paris : Geuthner, 1985

translated

anthropology. Rodinson is currently writing his memoirs, compiling his articles on Islam and politics, and drafting a book comparing the political and organizational structure of Islam to that of other religious movements. NANCY GALLAGHER

Biography Paris, 26 January 1915 Studied at the Ecole des Langues Orientales, Paris, receiving his baccalauréat, 1936. Fellow, Caisse Nationale de la Recherche Scientifique, 1937-39. Member, Communist party, 1937-58. Served in French army, 1939-4C Worked in the (Free) French antiquities service for Syria and Lebanon 1940-47 ; librarian, department of printed Oriental works, Bibliothèque Nationale 1947-55 ; chair, Ethiopie and south Arabian studies, Ecole Pratique des Hautes Etudes 1955-84 Married Geneviève Gendron 1937 (2, sons, 1 daughter). Born

.

.

,

,

,

.

,

Principal Writings Mahomet , 1961 ; in English as Mohammed , 1971 Islam et capitalisme , 1966 ; in English as Islam and Capitalism , 1974 et possession à Gondar ( Magic, Medicine, and Possession in Gondar ), 1967 Israël et le refus arabe: 75 ans d'histoire , 1968 ; in English as Israel and the Arabs , 1968 Marxisme et monde musulman , 1972,; in English as Marxism and the Muslim World , 1979 Israel: A Colonial-Settler State ?, 1973 Les Arabes , 1979 ; in English as The Arabs , 1981

Magie, médecine,

Rodney, Walter Guyanese

1942–1980

historian of Africa

Walter Rodney was a radical scholar who wed Marxist to historical scholarship. His writings helped to reverse some historical misconceptions held as a legacy from the era. His works gave pride and self-respect to the peoples of Africa and the African diaspora who had been "dehistorified" by the slave trade and colonial eras. Even though Rodney was an intellectual, he also remained close to the working classes of Guyana and wrote about their plight. Despite his premature death by an assassin's bomb, he made manv meanineful contributions to scholarship. Rodney began his career as a historian of Africa. His first work, a revision of his doctoral thesis, A History of the Upper Guinea Coast, 1545-1800 (1970), primarily examined the formation and consequences of the Atlantic slave trade in the area stretching from Cape Verde in contemporary Senegal to Cape Mount in contemporary Liberia. Rodney claimed that studying precolonial African history following the model of the nation-state had no justification. Nation-states were a late 19th-century creation, and colonial boundaries should not be projected backwards in time. He selected this region of Africa as his focus of study because of its precolonial history and its early contacts with Europeans. The book began by describing the society and culture of the coast in the mid-16th century. It was Rodney's contention that it was European demand for slaves that created large of slaves in the area. This in turn affected demography, diplomacy, society, culture, and nearly every aspect of Guineán life. The violent contradictions that resulted from AfricanEuropean relations were resolved to the detriment of the of the region. Rodney's interpretation was a reversal of previous scholarship, which claimed that Europeans simply siphoned off pre-existing pools of slaves held by African elites. Rodney held that this interpretation was simply a means for Europeans, and colonial scholarship, to justify the slave trade by claiming that it was actually Africans who created it. Such

politics colonial demoralized

reservoirs

societies

beliefs

indeed

overturning existing attempt considered radical for the and fitted with other scholarship an

at

time

was

in

of the 1960s which dispelled colonial myths. Perhaps the work for which Rodney is best known is How Europe Underdeveloped Africa (1972); it was well received by scholars across the globe and has been translated into several languages including German, Portuguese, and Japanese. The work forms part of the foundation of Afro-Marxism because it rejected the Marxist idea that class struggle is the motive force behind history. Rodney picked up this idea from Amilcar Cabral and Che Guevara. Marxism states that history does not start until the existence of class struggle. These intellectuals stated that history can exist before class struggle, as is clear from much of the history of precolonial Africa. This is not to say that they did not find class struggle important, they just did not hold it to be evidence of possessing history. From this proposition, Rodney then demonstrated that Africa was involved in the process of development long before the arrival of Europeans. Further, the form of capitalism that took hold in Africa was of a much different character than that which evolved in Europe. Enslavement, forced labor, cash crops, and authoritarianism were the characteristics of capitalism in Africa which left a legacy of antidemocratic practice, poverty, food shortages, and technological stagnation. It was Europe that interrupted and stunted the path of Africa's development; Europe certainly did not initiate development. The only for contemporary African development, claimed Rodney, was a radical break with the international capitalist system. It was foreign investment that had kept Africa economically underdeveloped over the past five centuries, and only an path would allow Africa to retrieve its means of self

solution

alternate

class struggle. But he was more than an armchair radical and in his political involvement he practiced what he preached. Rodney laid the groundwork for much radical scholarship that has been written since the 1960s. TOYIN FALOLA and JOEL E. TISHKEN See also

Imperial

Biography Born British Guiana

[now Guyana], 1942 Taught at the University of the West Indies to 1968 ; University of Dar es Salaam, Tanzania , 1969-72.; appointed professor, University of Guyana, 1972, but appointment revoked due to political pressure. Leader, Working People's Alliance, 1979-80 Assassinated by a car bomb, .

College

.

Georgetown, Guyana

13

,

June 1980

.

Principal Writings "

African Slavery and Other Forms of Social Oppression on the Upper Guinea Coast in the Context of the Atlantic Slave Trade ," Journal of African History 7 ( 1966 ), 431 43 " European Activities and African Reaction in Angola," in Terence O. Ranger, ed., Aspects of Central African History , 1968 The Groundings with My Brothers , 1969 A History of the Upper Guinea Coast, 1545-1800 , 1970 How Europe Underdeveloped Africa , 1972 ; revised edition 1981 " Africa in Europe and the Americas" and "The Guinea Coast ," in Richard Gray, ed., The Cambridge History of Africa , vol. 4 : From C. 1600 to c. 1790, 1975 Editor, Guyanese Sugar Plantations in the Late Nineteenth Century: A Contemporary Description from the "Argosy," 1979 A History of the Guyanese Working People, 1881-1905 , 1981 " People's Power, No Dictator," Latin American Perspectives 8 ( 1981 ), 64 78 -

-

development. Rodney also wrote on the working classes of Guyana. A History of the Guyanese Working People, 1881-1905 (1981) and Guyanese Sugar Plantations in the Late Nineteenth Century (1979) both investigated the material plight of Guyanese workers. Class struggle was analyzed within the framework of peasants, plantation workers, coolies, miners, and the emerging middle class. While Guyana did not colonialism in the same way that Africa did, Rodney contended that both were subject to control by a neocolonial elite which kept power from the masses. Moreover, Guyana was also split by the issue of race. Guyana received a large number of South Asian indentured workers in the late 19th and early 2.0th centuries, thus receiving another source of social division. Rodney claimed that race, like class, was also by the elite to maintain control of the country and ensure the exploitation of the working class. Race was a of history and society, not of biology. Here too, Rodney differed from orthodox Marxist interpretation, in his use of

experience

manipulated

question as some

War

era

,

,

,

,

,

"

,

,

-

"

,

,

-

"

,

,

-

"

,

,

-

"

,

,

,

,

-

"

-

"

,

,

-

tool of

analysis. Rodney's brief life did not permit him to be as prolific scholars, his legacy is a strong one. During the Cold

race as a

While

Further Reading Alpers Edward Α. and Pierre-Michel Fontaine eds., Walter Rodney: Revolutionary and Scholar: A Tribute Los Angeles : Center for AfroAmerican Studies and African Studies Center 1982 Bly Viola Mattavous Walter Rodney and Africa ," Journal of Black Studies 16 (1985 ), 115 30 Campbell Horace The Impact of Walter Rodney and Progressive Scholars on the Dar es Salaam School ," Social and Economic Studies 40 ( 1991 ), 99 135 Campbell Trevor Α. The Making of an Organic Intellectual: Walter Rodney (1941-1980) ," Latin American Perspectives 8 ( 1981 ), 49 63 Hansen William W. Walter Rodney: An Exemplary Life ," Monthly Review 32 ( 1981 ), 24 31 Lewis Linden The Groundings of Walter Rodney," Race and Class 33 ( 1991 ), 71 82 Lewis Rupert Walter Rodney Speaks: The Making of an African Intellectual ," Social and Economic Studies 41 ( 1992 ), 223 27 Standing Guy Walter Rodney: A Tribute ," Journal of Peasant Studies 10 ( 1983 ), 250 52

his

was

among the most

against the

powerful radical

voices to

behalf of Africa and speak capitalist system its peoples. However, in the Caribbean, he did not limit his support of the lower classes to the people of African descent, but rather supported all Guyanese in their struggle for greater material wellbeing. While a Marxist, he did not entirely toe the orthodox party line, as evidenced by his study of race and out

on

Rodrigues, José

Honório

1913–1987

Brazilian historian The Brazilian historian José Honório Rodrigues was born in Rio de Janeiro in 1913. He attended the former National Law School in Rio de Janeiro from which he graduated in 1937. Additional advanced study in the United States (1943-44) and

Britain (1950) completed his formal education. He once described his training as basically Anglo-American. Rodrigues' work spanned nearly five decades from 1940 to 1987, and is comparable to that of Francisco Adolfo de Varnhagen (1816-78) and Joäo Capistrano de Abreu (18531927) in range and importance. Like his famous predecessors, Rodrigues was largely self-taught in Brazilian history courses on the history of Brazil had not yet entered the curricula of national institutions of higher education when he was a student in the mid-i930S. Like them, he was an inexhaustible researcher with unrivaled knowledge of archival sources and historical methodology. Like them, he renovated and revised the writing of Brazilian history at a time when it was largely in the hands of amateurs or traditionalists committed to extoling the contributions of Brazil's political and economic elites. Rodrigues gets credit for having established a school of history during the 1950s which made all of them the Brazilian people protagonists of history, and which exalted the right of historians to interpret and make judgments. By this time, he had come to believe that historians could not withdraw to redoubts of erudition, but had to in the great social and political movements of their time. The best history was contemporary history with the scholar projecting into the past the anxieties and popular aspirations of the present. Rodrigues never deviated from these views during the rest of his lone and active intellectual life. Rodrigues' contributions may be placed in three categories: as archivist and editor; as the writer of path-breaking, largescale works on Brazilian historiography and historical and as the prolific author of well researched and often polemical essays and books. In each instance, he consistently demonstrated a mastery of thematic content and analysis, of sources primary and secondary, and of critical bibliographic and textual apparatus. Not the least of his gifts was the ability to express himself in vigorous, stimulating language that won him a place among Brazil's leading prose stylists. As professor of diplomatic history at the Rio Branco Institute, Ministry of Foreign Affairs (1946-55), and director of the National Archive (1958-64), Rodrigues selected, edited, and oversaw publication of 39 volumes in the Documentos Históricos series. He also edited the collected works of Capistrano de Abreu. Rodrigues' high regard for Capistrano de Abreu is a key to understanding his own work. Capistrano de Abreu represented a reaction to Varnhagen who had been the first of Brazilian historical writing, and who had used archival sources to write the magisterial, chronological História geral do Brasil (General History of Brazil, 1854-57), which aimed to show how the Portuguese overcame all obstacles in order to establish a productive and territorially immense Brazil. In Varnhagen, Capistrano de Abreu refocused attention from European colonization and the Atlantic coast to away settlement of the vast interior of South America and to the of a Brazilian people comprised of indigenous, African, and Portuguese people. On this Brazilian frontier, and in a process that occurred over three centuries these people, acting in close contact with one another, became something new and different. Rodrigues always honored Capistrano de Abreu as the first historian to decolonize the writing of Brazilian history, and to place the whole of the Brazilian people, not an elite minority, at the center of historical inquiry. -

nationalist-populist -

-

participate

methodology;

master

criticizing

emergence

Rodrigues' contributions to Brazilian historiography are best in a trilogy of works: Teoria da historia do Brasil (Theory

seen

of the History of Brazil, 1949), A pesquisa histórica no Brasil (Historical Research in Brazil, 1962), and Historia da historia do Brasil (History of the History of Brazil, 1979-88). These are long and dense volumes of great erudition written for serious scholars. They may be said to constitute three enormous that summarize what Rodrigues felt had been done and needed still to be done in the production of Brazilian history, and what critical learning and skills were needed by researchers. Finally, Rodrigues is the author of numerous essays and books for students of history and the general public. Brasil e Africa (1961; Brazil and Africa, 1965) studied Brazilian links to Africa and recalled that during Brazilian history, most of the population has not been white, but black and mestizo. Brazil and Africa virtually founded the field of BrazilianAfrican relations in Brazilian historiography. Two important books, Aspiraçôes nacionais (1963; The Brazilians, 1967), and Conciliaçâo e reforma no Brasil (Conciliation and Reform in Brazil, 1965) discussed Brazil's missing revolution. Rodrigues argued that Brazil has never experienced, during its existence since 1812., a revolution that would sweep aside the vestiges of colonialism and traditional elite resistance to necessary reforms, and would respond to the needs of the illiterate, impoverished, and almost completely unrepresented Brazilian majority. Elite interests especially those of large slaveholders until 1888 and landowners, certainly always The never dared to were or protected. government prevailed distribute uncultivated land to landless peasants while free public education has not been widely available to the masses, at least half of whom continued to be functionally illiterate. Meanwhile, poor or destitute people who rose in rebellions typically suffered cruel and murderous repression. All such theses were amply supported by myriad examples drawn from Brazilian history. A 5-volume, thematic history of the Brazilian

handbooks

independent -

-

independence period, Independência (Independence, 1975-76) major historical work of Rodrigues' late maturity and repels the argument that Brazilian independence was a peaceful and amicable divorce from Portugal. Rather it involved bloodshed, and a mobilization of armed forces as numerous as in any Latin American war for independence. Brazilian Marxist intellectuals from the mid-1950s to the mid-1980s sometimes looked on Rodrigues as a representative of petty bourgeois radical Jacobin thinking that came to during a period of intense left-wing nationalism and is the

considerable

prominence

mobilization between 1946 and 1964. However, his emphasis on the importance of full liberty for all classes, on popular aspirations for education and land and on full participation for all groups, including the and illiterate, places his work at the center of presentpoor day Brazilian political discourse. And his fervent economic and cultural nationalism, as well as his critique of a cruel and elite, maintain their contemporary resonance.

popular

consistent

distribution,

insensitive

PHILIP EVANSON

,

See also Latin America: National

Biography Born Rio de Janeiro , 20 September 1913 Received degrees in law and social science, University of Brazil, 1937, with some graduate .

study, Escola Superior de Güera, 1955 Director of publications, National Library 1946-58 ; director, National Archive 1958-64 ; executive director, Institute of International Relations 1963-68 Parallel academic career: professor of diplomatic history and Brazilian history, Rio Branco Institute, Brazilian Ministry of Foreign Affairs 1946-55 ; University of the State of Rio de Janeiro 1953-83 ; professor, Federal University of Rio de Janeiro 1979-87 Married Lèda Boechat lawyer and writer, 1941 Died 1987 .

,

,

.

,

,

,

.

,

.

.

,

Principal Writings Civilizaçâo holandesa

no Brasil (Dutch Civilization in Brazil ), 1940 Teoria da historia do Brasil: introduçâo metodológica ( Theory of the History of Brazil ), 1949 ; revised 1957 Brasil e Africa: outro horizonte , 1961 ; in English as Brazil and

Africa 1965 pesquisa histórica no Brasil: sua evoluçâo e problemas atuais ( Historical Research in Brazil: Its Evolution and Present Day Problems ), 1962 Aspiraçôes nacionais: interpretaçào histórico-politico 1963 ; in English as The Brazilians: Their Character and Aspirations 1967 Conciliaçâo e reforma no Brasil: um desafio histórico-cultural (Conciliation and Reform in Brazil ), 1965 Historia e historiadores do Brasil ( History and Historians of Brazil ), 1965 Interèsse nacional e política externa ( National Interest and Foreign Policy ), 1966 Vida e História ( Life and History ), 1966 A Assembléia Constituinte de 1823 ( The Constituent Assembly of 1823 ), 1974 Independencia: revoluçâo e contra-revoluçâo (Independence: Revolution and Counter Revolution ), 5 vols., 1975-76 História da história do Brasil ( History of the History of Brazil ), ,

A

,

,

,

2 vols, in 3 , 1979 88 Historia combatente ( Combative History ), 1982 Tempo e sociedade ( Time and Society ), 1986 -

Further Reading Rodrigues Lèda Boechat ed., Bibliografia de José Honorio Rodrigues Rio de Janeiro 1956 Rodrigues Lèda Boechat and José Octavio de Arruda Mello José Honorio Rodrigues: um historiador na trincheira (José Honorio Rodrigues: An Historian in the Trenches ), Rio de Janeiro : Civilizaçào Brasileira 1994 ,

,

,

,

,

,

,

,

Roger English It is

of Wendover that what little

we

Europe, as

to

It

the year 1235, and

was

dealing

probably begun after

with both England and and possibly as late

1201

1231.

What Roger has left us is a complicated chronicle from a tangle of sources. He is an original authority for events after about 1200, and most of what he has to say thereafter seems not to be drawn from other extant sources. Before 1200, much of the Flores was closely based on the work of chroniclers such as Roger of Hoveden and Ralph of Diceto, supplemented by the writings of Henry of Huntingdon and Ralph of Coggeshall among others. An added complication is that many historians have argued that Roger played no part in composing most of the pre-1200 sections of the Flores. Two abbots of St. Albans during the late 12th century, John de Cella and Walter of St. Albans, have been proposed as possible compilers of these portions and Roger has been cast as a copyist who borrowed the early text and transcribed it into the Flores to supply the narrative up to 1200. Other historians, notably Maurice Powicke and V.H. Galbraith, rejected the of such a rump "St. Albans compilation." Both the cases for and against its existence remain unproven. Whether as the sole moving spirit or part-copyist, Roger of Wendover effectively founded the school of chronicle writing at St. Albans which was to flourish over the next two hundred years: it was Roger who wrote the sections of the Flores that are independent of other known sources, giving a largely treatment of the reigns of John and Henry III. He said that he drew his material from many sources "just as flowers of many colours are gathered from many fields," telling his readers that he would "kindle in them a love of reading" and thus turn them into "diligent students." These phrases provided a justification for the writing of history that was commonly expressed by chroniclers: to instruct the faithful by supplying edifying examples. Roger noted in the preface, "the lives of good men are set forth for the imitation of succeeding times; and the examples of evil men, when they occur, are not to be followed, but to be shunned." The complications of how the Flores was put together make it difficult to know when we are hearing Roger's voice or when we are hearing that of another compiler. In the sections for the period after 1200, when we can be confident that Roger himself is writing, a detailed narrative of political and history unfurls. These two themes comprise the of the narrative, but such preoccupations are shot-through with digressions and marginalia such as miracle stories, visions of the next world, tales about appearances of demons, and the evils of practicing magic. Roger, like so many of his contemporary chroniclers, seasoned his narrative with tales of the marvelous, miraculous and demonic. Roger had strong views on both secular and ecclesiastical politics. He was a trenchant critic of king John, using what Antonia Gransden has called "homiletic invective" in his attacks on him and backing baronial action to constrain the king. In particular, he singled out what he saw to be John's arbitrariness, bursts of temper, financial extortions, and to be led astray by poor counsel. Roger could be critical of the failings of his ecclesiastical superiors. Despite this, he was generally more measured in his criticisms and less given to outbursts of vitriol than his successor Matthew Paris. He is also a more difficult chronicler to read

constructed

existence

original

ecclesiastical

mainsprings

d. 1236

monastic chronicler

fitting

Creation

know about the

13th-century

chronicler Roger of Wendover should have come down to us from his successor at St. Albans, Matthew Paris, in whose long shadow Wendover's writings have since remained. Yet between them and those who continued to write history at St. Albans in the 13th and 14th centuries, they have furnished a proportion of our chronicles of medieval England. Despite being the effective founder of this important school of writing, little can be said with any certainty of either Roger himself or his chronicle. He wrote his one known work, the Flores bistoriarum (Flowers of History), during the first third of the 13 th century in the monastery of St. Albans where he was a member of the Benedictine order. The Flores was a massive history, covering, in varied depth, the period from the

significant historical

liberally

willingness similarly

and understand, seldom explaining what he believed to be the of an event, being content simply to record it. His to betray anything of himself in his writing and the lack of any distinct prose style combine with this to make him one of the more shadowy and enigmatic writers of English cause

unwillingness history.

CARL WATKINS

See also Britain:

Anglo-Saxon;

Paris

Biography Probably from Wendover in Buckinghamshire Took priestly orders ; prior of Belvoir, Leicestershire, an offshoot of St. Albans before 1219 ; returned to St. Albans, where he became historiographer, c. 1231 Died St. Albans 6 May 1236 .

was

,

.

.

,

Principal Writings Flores historiarum ,

c. 1201-31 ;

in

English

as

Flowers of History ,

vols., 1849 ; reprinted 1968 2

The Rolls Series edition of Matthew Paris's Chronica majora prints Roger of Wendover's Flores in small print for the sections where Paris used Roger's material almost verbatim This represents the most accurate edition to date of Roger .

.

Further

Reading

Gaibraith , Vivian Hunter, Roger of Wendover and Matthew Paris ,

Glasgow Jackson :

,

-

"

-

Roman

"conservative," situation

Empire

Petrarch wrote that "all history was but the praise of Rome" and indeed, Western historical writing since the Renaissance has exhibited an obsession with Rome and its empire. Analysis of this subject began, of course, in the period itself with such as Polybius, Livy, Suetonius, Tacitus, Plutarch, and Cassius Dio, many of whom were provincials and others, such as Josephus and Luke, who represented the fringe. As a group they exhibited a variety of political, teleological, and pedagogical perspectives that, ultimately, laid foundations for modern historical analysis. Renaissance studies were focused on the cultural, political, and religious roots of Europe. Analysis of texts, whether literary, legal, or Christian, emerged as central to this project. By the 18th century, however, analysis had taken on a more critical approach, stressing the otherness of the Roman past. English and German scholars became particularly interested in history as a "scientific" endeavor including new archaeological evidence. Yet, these same scholars, writing in the context of European imperialism, retained strong emphases on political and philosophical lessons not unlike those of their predecessors. It was in this context that modern historical writing on the Roman empire began. Edward Gibbon wrote his ambitious

writers

establishing historical

patronal system that would define imperial Roman Yet Mommsen's influence was tremendous, as found in

than the

politics.

1944

Gransden , Antonia , Historical Writing in England, vol. 1: c.550 to c. 1307 , London: Routledge, and Ithaca, NY : Cornell University Press , 1974 " Holt , J. C. , The St. Albans Chroniclers and Magna Carta ," of the Royal Historical Society 5th series, 14 ( 1964 ), 67 88 Kay, R ,, Roger of Wendover's Last Annal ," English Historical Review 84 ( 1969 ), 779 85

Transactions

work, The History of the Decline and Fall of the Roman Empire (1776-88), a 6-volume treatment covering the rise of Augustus to the Vandal sack of Rome in 410CE. While he espoused an ideal of objective analysis, his "causes" of Rome's demise bore striking resemblance to the parliamentary politics of imperial Britain. Among these he identified an overextended empire, immoderate greatness, demagoguery, a loss of rule of law and, perhaps most importantly, the destruction of cultural unity through the influences of barbarians and a politicized Christianity. Gibbon's work reflected the politics of his day but, of broader importance, it represented the themes and assumptions that would dominate historical writing on the Roman empire well into the 20th century. Similarly, the 19th-century German scholar Theodor Mommsen, a product of German nationalism, understood the study of Rome to be the study of the Roman state, its institutions and classes, rather than individuals or philosophies. His research included analysis of inscriptions as well as Justinian's Corpus iuris civilis and the Res gestae of Augustus. Hence, in his 3volume work, Römisches Staatsrecht (Roman Penal Law, 1887-88), Mommsen provided a juridical analysis of republican and imperial Rome in which he produced what he understood to be the Roman constitution. Sailer has shown that here he spoke of "parties," and of Scipio as "liberal" or Cato as using language that reflected more his own political

Eduard Meyer's Caesars Monarchie und das Principat des Pompeius (Caesar's Monarchy and Pompey's Principate, 1918), as well as the American L.R. Taylor's Party Politics in the Age of Caesar

(1949).

Mommsen

provided

much

good scholarship

while also cementing a legal-political perspective in the study of the empire that suggested a consistent, monolithic structure in it. The most important challenge to Mommsen came in 1939 with the publication of Ronald Syme's The Roman Revolution. Syme utilized prosopography, a methodology known to Mommsen and developed in Germany by Edmund Groag and Arthur Stein's Prosopographia Imperii Romani (Prosopography of Imperial Rome, 1933-66) and Friedrich Münzer's Römische Adelsparteien und Adelsfamilien (Roman Noble Factions and Families, 1920). This approach focused on biographies of the ruling class, their marriages, friendships, and political debts, with the assumption that this class was most significant during the Augustan "revolution" at which time Rome became an imperial state. Syme rejected Mommsen's constitutional of innovation and postulated that the "revolution" had been a seizure of power perpetrated by a demagogue with aid and abetment from conspirators within the oligarchy. Syme's method influenced a number of scholars who (like M.W. Hoffman-Lewis) either sought a synthesis with the Mommsen approach or generally constituted a separate school like John Cook, Colin Wells, and Fergus Millar. Quite in this method has been Géza Alföldy whose Römische Statuen in Venetia et Histria (Roman Statues in Venice and Romania, 1984), illustrated the attention to detail required by prosopography to build an adequate database of biographical material. Alföldy's Römische Sozialgeschichte (1975; The Social History of Rome, 1985) also revealed the tensions that have developed in the 20th century surrounding the extent to which this method might be considered social history.

interpretation

prominent

Critics have noted the limited

prosopography

elite scope of evidence in and its essential affinity with the Mommsen -

-

approach. Syme's definition of "revolution" has also been criticized because the oligarchy, largely contiguous with the pre-Augustan elite, retained control. Because little change came for the lower levels of society Santo Mazzarino in L'impero romano (The Roman Empire, 1973), identified this transformation as a "bourgeois revolution." In The Senate of Imperial Rome (1984), R.J.A. Talbert affirmed that, while membership changed, the senate remained the political organ of the elite, with mixed dependence on the emperor. It has also been broadly noted that Syme's work was heavily influenced by Hitler's rise to power. That Syme's second great study was a 2-volume work on Tacitus (1958) points to his bias against Augustus and the Principate, disregarding positive imperial voices as found in Claudia Kuntze's Zur Darstellung des Kaisers Tiberius und seiner Zeit bei Vellerns Paterculus (The Portrayals of Tiberius and His Time According to Velleius Paterculus, 1985). Such questions regarding ancient political tensions and perceptions of the empire have been widely discussed in Ramsay MacMullen's Enemies of the Roman Order (1966) and Kurt Raaflaub's Opposition et résistances à l'empire d'Auguste à Trajan (Opposition and Resistance in the Empire from Augustus to Trajan, 1987). Despite certain inadequacies, the prosopographic approach helped to establish broader discourse by steering the field toward more complex treatments of the empire. Even traditional such as Arnaldo Momigliano's Alien Wisdom (1975), J.P.V.D. Balsdon's Romans and Aliens (1979), Fergus Millar's The Emperor in the Roman World (1977), and Andrew Lintott's Imperium Romanum: Politics and Administration (1993), the diversity of political and cultural relations within the empire. For example, the complexity of the imperial cult, or cults, has been adequately illustrated by S.R.F. Price's Rituals and Power: The Roman Imperial Cult in Asia Minor (1984) and Duncan Fishwick's The Imperial Cult in the Latin West (1987) against the older, monolithic model, L.R. Taylor's The Divinity of the Roman Emperor (1931). Even in numismatics, coins being an important vehicle of imperial propaganda, assumptions of central control and consistent themes have been re-evaluated by R.A.G. Carson and C.H.V. Sutherland, and by B. Levick. With this progression has come variety in methodology and in fields of interest. By the late 20th century legal/political topics ceased to dominate the study of imperial Rome. Economic studies offered more complex pictures of the Empire. M.P. Charlesworth, Tenney Frank, as well as Michael Rostovtzeff began to illustrate the intricate network that existed between trading partners within and beyond the borders of Rome. Mortimer Wheeler's Rome Beyond the Imperial Frontiers (1954) assisted in developing a model of interaction with foreign partners that had begun as early as 1938 with O.H. Bedford's "The Silk Trade of China with the Roman Empire," and later detailed for India by Vimala Begley and R.D. DePuma's Rome and India: The Ancient Sea Trade (1991). These studies described an empire that was hegemonic rather than monolithic, balancing political and economic powers that covered a variety of cultures and geographic It was a system that could be flexible and practical as well as unstable.

studies,

illustrate

locations.

Such conclusions demanded reanalysis of the Roman was active in and frontier. While the securing "borders" and in maintaining the power of the emperor, the interaction of economy, military, and frontier produced "border regions" that were complex, vibrant, and often shifting, rather than static and linear. The empire was more than a capital with provinces, it also contained cities, kingdoms, and states, generally positive toward Rome and the stability that it could offer. Despite attempts by Edward Luttwack in The Grand Strategy of the Roman Empire (1976) and others such as Jochen Bleicken to assert a consistent modus operandi and administration, the empire has come to be seen by most, particularly Fergus Millar and A.D. Lee, as a serendipitous and pragmatic affair. Moving away from the Mommsen understanding of the empire, broader studies such as Barry Cunliffe's Greeks, Romans and Barbarians (1988) have produced more complex "spheres of interaction" and "center-peripheral" relationships. While exploring these relationships scholarly interests also turned to other areas of economic activity. Slave labor was dominant in the empire along with the various forms of violence that maintained such a system. Yet slavery was only a part of the whole, with tenant farming and other possibilities

military certainly military

imperial

making up And, of

a

complex

ancient economy.

important shift toward social history reflected the cultural concerns of late 20th-century Western society. The position of women in the economic and social structure of the Empire found expression in an idealistic study by J.P.V.D. Balsdon, Roman Women: Their History and Habits (1963). However, it was Sarah Pomeroy's work, Goddesses, Whores, Wives, and Slaves {1975), that initiated the application of feminist theory to the topic. Pomeroy's thesis that Roman women were thoroughly disadvantaged set the stage for further studies such as J.F. Gardner's that included mixtures of more traditional themes. Social history also brought a surge in the analysis of the Roman family, particularly in works by Suzanne Dixon and Beryl Rawson. Such studies were often reconnected to the themes of earlier years providing even more complete such as J.K. Evans' War, Women and Children in Ancient Rome (1991). At the same time, the politics of sexuality in the empire were being analyzed with traditional philological methods by J.N. Adams as well as through social and feminist theory in the work of Amy Richlin. All told, ventures such as C.A. Barton's into social and psychological theory and even J.D. Hughes' into environmental history brought new, fruitful discussion while also filling significant gaps of knowledge. Perhaps most interesting through all of this transition has been a continuation of the search for Western roots in the Roman past. Despite transitions in topics and methods, much of the early modern, pedagogical program informing the study of the Roman empire has remained. Rather then stressing the otherness of imperial Rome, modern historians continue to seek answers to the modern condition in this ancient material. Remaining too has been an obsession with Rome's demise. What Augustine of Hippo began in his De civitate dei and Gibbon continued in his Decline and Fall has endured as a topic for hundreds of works, notably Mortimer Chambers' The Fall of Rome: Can It be Explained? (1963) and Lynn White's The Transformation of the Roman World: Gibbon's Problem after course, an

political studies

(1966). First on the list of causes in this have been the traditional scapegoats, the "barbarians" or "Germanic tribes," as identified by British and French such as J.B. Bury and André Piganiol. Contrary to this view, German historians such as Wilhem Ensslin and Joseph Vogt have seen these groups as the Western inheritors and defenders of a spent empire. Other treatments of the topic have sought to emphasize the long-term relationships between the empire and its Germanic neighbors that certainly included conflict, but could also bring stability, security, and economic prosperity for all parties. Y.A. Dauge and others have provided insight into Roman perspectives while E.A. Thompson explored the "barbarian" side of these relationships. Finally, scholars such as J.M. O'Flynn and Ramsay MacMullen have also emphasized Rome's own contributions to the decline of the Two Centuries

scholarship

historians

empire. In response to in

Gibbonesque

assertions of Christian

this demise, scholars have emphasized the position responsibility that had

of this faith within a dynamic culture already a number of religious and philosophical influences. Rather than highlighting tensions alone, Christianity has been linked by E.R. Dodds and J.H.W. Liebescheutz to overall cultural transformations and even viewed by J.R. Fears as a preserver of certain aspects of Roman political tradition and by Jaroslav Pelikan as helping preserve Roman philosophical thought. As with the "barbarians," the study of Christian within the empire has been incorporated into broader

incorporated

relations

studies of change bv MacMullen.

1991

of Christianity explored by MacMullen, Marta Sordi, and Robin Lane Fox. Constantine's reign has been seen as complex and peculiar by Jacob Burckhardt, Andréas Alföldi, and T.D. Barnes. The resulting continuity and transformation in late antiquity from Roman, polytheistic universalism to Christian (and Islamic) monotheistic universalism has been explored by Garth Fowden. Whether the division and demise of the empire is given broad study, as by A.H.M, Jones, or more narrow coverage, as by Stephen Williams and Gerard Friell, the discussion of how (or whether) the empire came to a close will remain a topic of research. Indeed, that the study of the Roman empire as a whole is by no means exhausted is exemplified in the excellent, continuing series edited by Hildegard Temporini and Wolfgang Haase, Aufstieg und Niedergang der römischen Welt: Geschichte und Kultur Roms im Spiegel der neueren Forschung (The Rise and Fall of the Roman World: The History and Culture of Rome as Reflected in the Most Recent Research, 1972-). Historical interest in the Roman empire shows little sign of weakening; it seems to have become a permanent fixture in the world of historical writing and in the Western search for self-understanding. Related

to

this

is

the

religious-political "triumph"

KENNETH R. CALVERT

Burckhardt; Cassio Dio; Gibbon; Livy; Meyer; Mommsen, T.; Niebuhr; Plutarch; Polybius; Rostovtzeff; Suetonius; Syme; Tacitus; White, L. See also Beloch;

Further Reading Adams James Noel The Latin Sexual Vocabulary Baltimore : Johns Hopkins University Press and London: Duckworth, 1982 ,

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,

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Alföldi , Andréas , The Conversion of Constantine and Pagan Rome , Oxford : Oxford University Press , 1948 Alföldi , Andréas , Die monarchische Repräsentation im römischen Kaiserreiche ( Monarchical Representation in the Roman Principate ), Darmstadt : Wissenschaftliche Buchgesellschaft , 1970 Alföldy, Géza , Römische Sozialgeschichte , Wiesbaden : Steiner , 1975 ; in English as The Social History of Rome , Totowa, NJ: Barnes and Noble , and London: Croom Helm, 1985 Alföldy, Géza , Römische Statuen in Venetia et Histria: Epigraphische Quellen ( Roman Statues in Venice and Romania ), Heidelberg : Winter, 1984 Arnheim , Michael T.W. , The Senatorial Aristocracy in the Later Roman Empire, Oxford : Oxford University Press , 1972 Baisdon , J. P. V. D. , Roman Women; Their History and Habits , London : Bodley Head , and New York: Day, 1963 Baisdon , J. P.V. D. , Life and Leisure in Ancient Rome , London: Bodley Head, and New York : McGraw Hill , 1969 Baisdon , J. P.V. D. , Romans and Aliens , London: Duckworth, and Chapel Hill : University of North Carolina Press , 1979 Barnes , Timothy David , Constantine and Eusebius , Cambridge, MA : Harvard University Press , 1981 Barnes , Timothy David ., The New Empire of Diocletian and Constantine , Cambridge, MA : Harvard University Press , 1982 Barton , Carlin Α. , The Sorrows of the Ancient Romans: The Gladiator and the Monster , Princeton : Princeton University Press , 1993 Baynes , Norman H. , Constantine the Great and the Christian Church , London : Oxford University Press , 1930 " Bedford , O. H. , The Silk Trade of China with the Roman Empire," China Journal 28 ( 1938 ) Begley, Vimala , and Richard Daniel DePuma , eds., Rome and India: The Ancient Sea Trade , Madison : University of Wisconsin Press , Bleicken , Jochen , Zum

Regierungsstil

des römischen Kaisers: eine

auf Fergus Millar ( The Government of the Roman Emperors: A Reply to Fergus Millar ), Wiesbaden : Steiner 1982 Boren Henry Charles Roman Society: A Social, Economic, and Cultural History Lexington, MA : Heath 1977 Bowersock Glen Warren Augustus and the Greek World Oxford : Oxford University Press 1965 ; Westport, CT: Greenwood Press, 1981 Bowersock Glen Warren Greek Sophists in the Roman Empire Antwort

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Oxford : Clarendon Press , 1969 Bowersock , Glen Warren , Julian the Apostate , Cambridge, MA : Harvard University Press , and London: Duckworth, 1978 Bowersock , Glen Warren , Roman Arabia , Cambridge, MA : Harvard

University

Press ,

1983

Bowersock , Glen Warren , Martyrdom and Rome , Cambridge and New York : Cambridge University Press , 1995 Bradley, Keith R. , Slaves and Masters in the Roman Empire: A Study in Social Control , Brussels : Latomus , 1984 ; Oxford and New York: Oxford University Press, 1987 Bradley, Keith R. , Discovering the Roman Family: Studies in Roman Social History , Oxford and New York : Oxford University Press , 1991

Braund , David C. , Rome and the Friendly King: The Character of the Client Kingship, New York : St. Martin's Press , and London: Croom

Helm, 1984

Brown , Peter, The Social Context to the Religious Crisis of the Third Century AD , Berkeley : University of California Press , 1975 Brown , Peter, The Making of Late Antiquity , Cambridge, MA : Harvard University Press , 1978 Brown , Peter, The Body and Society: Men, Women, and Sexual Renunciation in Early Christianity , New York : Columbia University Press, and London: Faber, 1988 Brown , Peter, Power and Persuasion in Late Antiquity: Towards a Christian Empire, Madison : University of Wisconsin Press , 1992 Brown , Peter, Authority and the Sacred: Aspects of the Christianisation of the Roman World , Cambridge and New York :

Cambridge University

Press , 1995

Brunt , Peter Astbury, Roman Imperial Themes , Oxford : Clarendon Press , and New York: Oxford University Press, 1990 Burckhardt , Jacob , Die Zeit Constantins des Crossen , Basel , 1853 ; in English as The Age of Constantine the Great , 1949 Bury, J. B. , The Invasion of Europe by the Barbarians , London : Macmillan , 1928 ; New York: Russell and Russell, 1963 Cameron , Averil , The Later Roman Empire, AD 284-430 , Cambridge, MA : Harvard University Press , 1993 Campbell , J. Brian , The Emperor and the Roman Army, 31 bc-ad 235", Oxford and New York : Oxford University Press , 1984 Carcopino, Jérôme , La Vie quotidienne à l'apogée de l'Empire , Paris : Hachette , 1939 ; in English as Daily Life in Ancient Rome: The People and the City at the Height of the Empire, New Haven : Yale University Press , 1940 , London: Routledge, 1941 Carson , R. A. G. , and C. H. V. Sutherland , eds., Essays in Roman Coinage Presented to Harold Mattingly , Oxford : Oxford University Press , 1956 Carson , R. A. G. , Coins of the Roman Empire, London and New York : Routledge , 1990 Carter, J. M, , The Battle of Actium: The Rise and Triumph of Augustus Caesar , London : Hamish Hamilton , and New York: Weybright and Tailey, 1970 Chambers , Mortimer, ed., The Fall of Rome: Can It be Explained? , New York : Holt Rinehart , 1963 Charlesworth , Martin Percival , Trade Routes and Commerce of the Roman Empire, Cambridge : Cambridge University Press , 1924 ; revised 1926 Christensen , Torben , Romermagt, hedenskab og Kristendom: en kulturkamp , Copenhagen : Gad , 1970; in German as Christus oder Jupiter: der Kampf um die geistigen Grundlagen des Römischen Reiches ( Christ or Jupiter: The Conflict of Beliefs in the Roman Empire ), Göttingen: Vandenhoeck & Ruprecht , 1981 Chuvin , Pierre Α. , Chronique des derniers païens: la disparition du paganisme dans l'Empire romain, du règne de Constantin à celui de Justinien , Paris : Fayard , 1990 ; in English as The Chronicle of the Last Pagans , Cambridge, MA : Harvard University Press , 1990 Cochrane , Charles Norris , Christianity and Classical Culture: A Study of Thought and Action from Augustus to Augustine , Oxford and New York : Oxford University Press , 1940 Colish , Marcia L. , The Stoic Tradition from Antiquity to the Early Middle Ages , 2 vols., Leiden : Brill , 1985 Colledge , Malcolm A.R. , The Parthians , New York : Praeger, and London: Thames and Hudson, 1967 Cramer, Frederick Henry, Astrology in Roman Law and Politics ,

Philadelphia : American Philosophical Society 1954 Crook John Anthony Consilium Principis: Imperial Councils and Counsellors from Augustus to Diocletian Cambridge : Cambridge University Press 1955 ; New York: Arno, 1975 Crook John Anthony Law and Life of Rome Ithaca, NY: Cornell University Press and London: Thames and Hudson, 1967 Cunliffe Barry W. Greeks, Romans and Barbarians: Spheres of Interaction London : Batsford and New York: Methuen, 1988 Dauge Yves Albert Le Barbare: recherches sur la conception romaine de la barbarie et de la civilisation ( The Barbarian: Studies in the Roman Conception of the Barbarians and Civilization ), Brussels : Latomus 1981 Dixon Suzanne The Roman Mother Norman : University of Oklahoma Press and London: Croom Helm, 1988 Dixon Suzanne The Roman Family Baltimore : Johns Hopkins University Press 1992 Dodds Eric Robertson Pagan and Christian in an Age of Anxiety: Some Aspects of Religious Experience from Marcus Aurelius to Constantine Cambridge : Cambridge University Press 1965 ; New York: Norton, 1970 Dodgeon Michael H. and Samuel C.N. Lieu The Roman Eastern Frontier and the Persian Wars, AD 226-363: A Documentary History London and New York : Routledge 1991 Drummond Steven K. and Lynn H. Nelson The Western Frontiers of imperial Rome Armonk, NY: Sharpe 1994 ,

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Cambridge : Cambridge Philological Society 1980 Garnsey Peter and C. R. W'hittaker eds., Trade and Famine in Classical Antiquity Cambridge : Cambridge Philological Society 1983 Geffcken Johannes Der Ausgang des griechisch-römischen Heidentums Heidelberg : Winter 1920 ; in English as The Last Days of Greco-Roman Paganism Amsterdam and New York : North Holland 1978 Gibbon Edward The History of the Decline and Fall of the Roman Empire 6 vols., London : Strahan and Cadell 1776-88 Groag Edmund and Arthur Stein Prosopographia Imperii Romani ( Prosopography of Imperial Rome ), 4 vols., Berlin : de Gruyter 1933-66 Hammond Mason The Augustan Principate in Theory and Practice during the Julio-Claudian Period Cambridge, MA : Harvard University Press and London: Oxford University Press, 1933 ; enlarged New York: Russell and Russell, 1968 Hannestad Niels Romersk kunst som propaganda: aspekter af kunstens hrug og funktion i det romerske sanfund Copenhagen : Berlingske 1976 ; in English as Roman Art and Imperial Policy Aarhus : Aarhus University Press 1988 Heather Pete J. Goths and Romans, 332-489 Oxford and New York : Oxford University Press 1991 Hoffman-Lewis Martha Wilson The Official Priests of Rome under the Julio-Claudians: A Study of the Nobility from 44 bc to 68ad Rome : American Academy 1955 Honoré Tony Emperors and Lawyers London : Duckworth 1981 ; revised Oxford and New York: Oxford University Press, 1994 Hughes Johnson Donald Pan's Travail· Environmental Problems of the Ancient Greeks and Romans Baltimore : Johns Hopkins University Press 1994 Isaac Benjamin H. The Limits of Empire: The Roman Army in the East Oxford and New York : Oxford University Press 1990 Jaeger Werner Wilhelm Early Christianity and Greek Paideia Cambridge, MA: Harvard University Press, 1961 ; London : Oxford University Press 1962 Jones A. H. M. The Later Roman Empire, 184-602: A Social, Economic and Administrative Survey 3 vols., Oxford : Blackwell and Norman: University of Oklahoma Press, 1964 ,

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,

,

Whittaker, C. R. , Les Frontières de l'Empire romain , Paris : Belles Lettres , 1989 ; in English as Frontiers of the Roman Empire: A Social and Economic Study, Baltimore : Johns Hopkins University Press , 1994 Wiedemann , Thomas , Adults and Children in the Roman Empire, New Haven : Yale University Press , and London: Routledge, 1989 Wiedemann , Thomas , Emperors and Gladiators , London and New York : Routledge , 1995 Wilken , Robert L. , The Christians as the Romans Saw Them , New Haven and London : Yale University Press , 1984 Williams , Stephen , Diocletian and the Roman Recovery , London : Batsford , and New York: Methuen, 1985 Williams , Stephen , and Gerard Friell , Theodosius: The Empire at Bay , London: Batsford, 1994 ; New Haven : Yale University Press , 1995

Wirszubski , Chaim , Libertas as a Political Idea at Rome during the Republic and Early Principate , Cambridge : Cambridge University Press , 1950

Wylie John Kerr Roman Constitutional History from Earliest Times to the Death of Justinian: A Brief Outline Designed Mainly as a Preliminary to the Study of Roman Law Cape Town : African Bookman 1948 Yavetz Zvi Hamon u-manbigim be-Romi: be-shilhe ha-Republirkah uva-Kesarut ha-kedumah Tel Aviv : Devir 1966 ; in English as Plebs and Princeps London : Oxford University Press 1968 ; revised New Brunswick, NJ: Transaction, 1988 Zanker Paul The Power of Images in the Age of Augustus Ann Arbor : University of Michigan Press 1988 ,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

der römischen Welt: Geschichte und Kultur Roms im Spiegel der neueren Forschung ( The Rise and Fall of the Roman World: The History and Culture of Rome as Reflected in the Most Recent Research ), 30 vols, to date, Berlin and New York : de Gruyter, 1972 Thompson , E.A. , The Early Germans , Oxford : Clarendon Press ,

Niedergang

-

1965 Thompson E. A. Romans and Barbarians: The Decline of the Western Empire Madison : University of Wisconsin Press 1982 Veyne Paul Le Pain et le cirque: sociologie historique d'un pluralisme politique Paris : Seuil 1976 ; in English as Bread and Cireuses: Historical Sociology and Political Pluralism London ,

,

,

,

,

,

,

,

,

:

Allen Lane , 1990 Vogt, Joseph , Orbis romanus zur Terminologie des römischen Imperialismus (Orbis Romanis: On Roman Imperial Technology ), Tubingen : Mohr, 1929 Vogt, Joseph , Römischer Glaube und römisches Weltreich ( Roman Confidence and Roman Empire), Padua : Milani , 1943 Vogt, Joseph , Konstantin der Grosse und das Christentum: Ergebnisse und Aufgaben der Forschung ( Constantine the Great and Christianity ), Zurich : Ordenssekretariates , i960 Vogt, Joseph , Der Niedergang Roms: Metamorphose der antiken Kultur , Zurich : Kindler, 1965 ; in English as The Decline of Rome: The Metamorphosis of Ancient Civilisation , London : Weidenfeld and Nicolson , 1967 , New York: New American

Library, 1968 Walbank , Frank W., The Awful Revolution: The Decime of the Roman Empire in the West, Liverpool : Liverpool University Press , and Toronto: University of Toronto Press, 1969 Wells , Colin Michael , The Roman Empire, Stanford, CA : Stanford University Press , and London: Fontana, 1984 Wheeler, Mortimer, Rome Beyond the Imperial Frontiers , London : Bell , 1954 ; New York: Philosophical Library, 1955 White , Lynn Jr., ed., The Transformation of the Roman World: Gibbon's Problem after Two Centuries , Berkeley : University of California Press , and Cambridge: Cambridge University Press,

1966

Romeo, Rosario Italian historian of the

1924–1987

Risorgimento

Although relatively unknown

in the English-speaking world, the leading liberal historian of the postwar generation in Italy. He began to establish his with a remarkable first book, Il Risorgimento in Sicilia (The Risorgimento in Sicily), published in 1950 when he was 26. In it, Romeo investigates the Risorgimento in Sicily as a process that reflected broader (European) cultural movements and was affected by a concomitant experience of economic and social change. The main, but not the only, focus of Romeo's work continued to be 19th-century Italy. His most important books after II Risorgimento in Sicilia Risorgimento e capitalismo (Risorgimento and Capitalism, 1959) and Cavour e il suo tempo (Cavour and His Time, 1969-84) were concerned with the Risorgimento and its aftermath. His lengthy study of Cavour, without doubt his masterwork, is both a biography of the Piedmontese statesman and a detailed history of the intellectual, ideological, and economic climate of the time. Romeo was born near Catania in Sicily and completed his formal training as a historian at the Institute of Historical Studies in Naples, where he studied under Federico Chabod. He spent much of his professional career as professor of history at Rome University. It was through Chabod and, in turn, Chabod's teacher, Benedetto Croce, that Romeo absorbed the philosophical idealism that was so characteristic of prewar antifascist historiography in Italy and which continued to Romeo's historical methodology throughout his career. Like his teachers Croce and Chabod, Romeo wholeheartedly rejected what he saw as the economic determinism and of Marxism." Unlike his teachers, however, Romeo was Rosario Romeo

was

perhaps

reputation

-

-

influence

"classism"

profoundly affected by non-Italian historiography and, in particular, by the new empirical research of American economic historians such Gerschenkron. A

as

Kent Robert Greenfield and

guiding principle

of Romeo's work

was

Alexander

that idealism and

incompatible. When Greenfield's classic work on the Risorgimento, Economics and Liberalism in the Risorgimento (1934), was republished in Italy in 1964, Romeo wrote a new introductory essay. In this essay, one of the very

empiricism

were

not

few of Romeo's works to be translated into English, Romeo both acknowledged his debt to the older American historian and offered a thinly-veiled critique of idealist historiography. The "general insufficiency" of idealist historians was, in Romeo's view, demonstrated by their failure to grasp that Greenfield's "non-political" approach to the Risorgimento offered them an empirical basis on which to challenge Marxist determinism. Greenfield, according to Romeo, "placed at the center of historical life, within an empirically constructed cultural framework, that free creativity of consciousness and activity to which idealism was trying to restore all reality." Between the publication of II Risorgimento in Sicilia and the multivolume Cavour, another striking feature of Romeo's

scholarship and

-

a

hostility

to Marxist

historiography particular

Marxist historians in

in

general

becomes apparent. In a series of essays, notably those published in Dal Piemonte sabaudo all'Italia liberale (From Savoyard Piedmont to Liberal Italy, 1963) and Italia moderna fra storia e storiografia (Modern Italy Between History and Historiography, 1977), as well as in Cavour itself, Romeo defends the and economic achievements of 19th-century Italian liberals and challenges the harsh judgments made by left-wing In Risorgimento e capitalismo, Romeo replies to the Marxist interpretation of the Risorgimento as a failed agrarian revolution (rivoluzione mancata). Romeo uses a complex analysis to argue that a peasant revolution in Italy could not and should not have happened. Whereas Marxists that a successful peasant revolution in Italy would have overthrown the feudal order and created the conditions for capitalist development in Italy, Romeo seeks to show that its only effect would have been to prevent capital accumulation and thus frustrate industrial development in the North. When first published in article form, Romeo's thesis in Risorgimento e capitalismo created a great stir in historical circles in Italy, sparking off a series of debates among historians such as Pavone, Villari, Cafagna, and Gerschenkron. Romeo was always a controversial historian. He was in his denunciation of those he considered mistaken or to be his intellectual inferiors. The politicization of the profession in Italy was partly responsible for this tendency, although Romeo's willingness to engage in polemical debate and to make personal attacks on historians he disagreed with is striking even in this context. He became more conservative as he grew older. During his youth at the Naples institute, he was a supporter of innovation in historical research and yet as a professor in Rome in the 1970s and early 1980s he publicly criticized new methodologies and used his influence to forestall new areas of research. In the course of his career, Romeo's interests shifted from ideas and individuals toward a study of social structures and economic trends. He also became more interested in the to certain

-

political historians. statistical maintain

unhesitating historical

methodology, considerable

"successful" modernization of northern Italy and progressively less interested in the "failed" experiences of the South. He became, in turn, less sympathetic to the fate of those who had lost. Thus, in II Risorgimento in Sicilia, Romeo bemoans the fate of the Sicilian peasantry, for whom economic development in the Risorgimento was a major cataclysm. But by Risorgimento e capitalismo Romeo's sympathy ail but disappeared and he depicted the suffering of the peasantry as merely a necessity in the industrialization of northern Italy. It is hard to imagine the historiography of 19th-century Italy without Romeo's commanding presence. From the very of his career, his arguments provided a series of and starting points for future research. It was also Romeo who, in Risorgimento e capitalismo, introduced new ways of using official statistics for historical research in Italy. In he showed idealist historians in Italy how to beat Marxist historians at their own game by carrying out empirical research. He led the way in the quality of his own research which is always faultless. Indeed, his command of the documentary evidence and secondary literature is sometimes breathtaking. Romeo's study of Cavour shows precisely the breadth of vision and grasp of historical detail that, in the introduction to Greenfield's Economics and Liberalism in the Risorgimento, he had recommended to readers as the way forward for historians of modern Italy. In this respect, if not always in others, Romeo fulfilled his early promise. He added vitality and interest to historical debate in Italy as well as controversy and rivalry. LUCY RIALL

historical

beginning benchmarks

particular,

See also Mack Smith

Biography Born Giarre, Catania, 11 October 1924 Educated in a classical high school before taking a degree in political science Editor of Treccani, an encyclopedia , 1950-53 ; secretary, Institute of Historical Studies, Naples , 1953-58 ; dean and professor of history, Teacher Training Faculty, University of Messina , 1956-62 ; professor of history, University of Rome , 1963-87 ; also professor, European University, Florence Died 1987 .

.

.

.

Principal Writings Il Risorgimento in Sicilia ( The Risorgimento in Sicily ), 1950 Le scoperte americane nella coscienza italiana del cinquecento (The American Discovery of Sixteenth-Century Italian Learning ), 1954 Risorgimento e capitalismo ( Risorgimento and Capitalism ), 1959 Breve storia della grande industria in Italia (A Short History of Industrialization in Italy ), 1961 Dal Piemonte sabaudo all'Italia liberale ( From Savoyard Piedmont to Liberal Italy ), 1963 Mezzogiorno e Sicilia nel Risorgimento (The Mezzogiorno and Sicily in the Risorgimento ), 1963 Introductory essay to revised edition of Kent Robert Greenfield , Economia e liberalismo nel Risorgimento: il movimento nazionale in Lombardia dal 1814 al 1848 , 1964 ; in English as Economics and Liberalism in the Risorgimento: A Study of Nationalism in

Lombardy, 1814-1848 1965 e il suo tempo (1842-185Z) ( Cavour and His Time ), 3 vols., 1969-84 Italia moderna fra storia e storiografia ( Modem Italy Between History and Historiography ), 1977 L'Italia unita e la prima guerra mondiale ( United Italy and the First World War ), Rome Laterza 1978 ,

Cavour

,

,

Italia, democrazia industriali: del risorgimento alla Repubblica ( Italian Industrial Democracy: The Risorgimento of the Republic ), 1986 Italia laica ed Europa unità ( Lay Italy and United Europe ), 1986 L'Italia liberale: sviluppo e contradizzioni (Liberal Italy: Developments and Contradictions ), 1987

Further Reading Gerschenkron , Alexander, " Rosario Romeo and the Original Accumulation of Capital," in his Economic Backwardness in Historical Perspective , Cambridge, MA : Harvard University Press ,

1962 "

Mori , G. , Rosario Romeo: un grande storico per una grande illusione ?" ( Rosario Romeo: A Great Historian for a Great Illusion ?), Passato e Presente 13 ( 1987 ), 3 14 Pescosolido , Guido , Rosario Romeo , Rome : Laterza , 1990 " Pescosolido , Guido , Rosario Romeo e lo sviluppo economico " italiano ( Rosario Romeo and Italian economic development), Storia Contemporanea 24 ( 1993 ), 631 60 " Ramm , Α. , The Risorgimento in Sicily: Recent Literature ," English Historical Review 87 ( 1972 ), 795 811 " Salamoné , A. W. , The Risorgimento Between Ideology and History: The Political Myth of rivoluzione mancata ," American Historical Review 48 ( 1962 ), 39 56 -

-

-

-

Romero, José Luis Argentine

1909–197

social historian

In his later years, Romero researched more extensively into Latin American history, culminating in the publication of one

of his most important works: Latinoamérica: las ciudades y las ideas (Latin America: Cities and Ideas, 1976). This book brought together his interest in cities as a historical subject, his knowledge of European urban history, and his awareness of the distance that separated the experience of European cities from that of American ones. Romero analyzed the role of cities in the Latin American historical process from the time of the conquest to the present, based on the dialectic between "autonomous development" arising from the internal of urban societies and "heteronomous development" relating to changes induced by external influences. The influence of Romero was not limited to the impact of his major works or that of his research papers. He also succeeded in popularizing and disseminating history. On the one hand, he wrote several books that reached a wide Some of them, including La edad media (The Middle Ages, 1949) and Breve historia de la Argentina (Brief History of Argentina, 1965), were considerable publishing successes. Romero's clear and precise prose contributed to such successes. On the other hand, he was a notable cultural organizer. He took part in the running of several journals and in 1955, as rector of the University of Buenos Aires, he founded the Buenos Aires University Press. At the faculties of Social History and of Medieval History, and at the Center of Social History which he founded in 1958 he undertook the translation and publication of important papers and many articles by social historians. These works put Argentine students in contact with the major historiographie currents of the time. Romero's contribution as a researcher, educator, and cultural organizer to the modern approach of the community of scholars of history in Argentina has been decisive. -

development -

-

readership.

-

important Argentine intellectuals of the 20th Luis Romero was the leading figure in the revival century, José of historical studies in the country. An intellectual with a strong and attractive personality, and a historian of considerable erudition and originality, he was also a distinguished cultural organizer committed to the ideas of humanistic socialism. His main area of study was medieval history and his chosen field that of the rise and development of the bourgeoisie. He also carried out important research into Latin American and Argentine history and he produced a far-reaching body of work on the characteristics and conditions of historical knowledge. One of the most original aspects of Romero's career was his attempt to provide, from Argentina, an overview of the historical process of the Western world. This ambitious project was undertaken in a situation of double isolation: that of the country from which Romero was writing, and that of the prevailing tendency in Argentine historiography of the time, which was marked by historical positivism and limited to the area of national history. The intellectual perspective of Romero's academic was closely connected to his experience of the world situation in the interwar period, interpreted in terms of a crisis of bourgeois civilization. The model that Romero used to this crisis was based on a conception of cultural history influenced by the perspectives of his principal teachers: the philosopher Francisco Romero (his older brother), Alexander Korn, and Pedro Henriquez Ureña. Romero's research tended increasingly toward medieval history and his approach tended toward social history as he put it, "of the play of real situations," and of that "other play between these situations and the types of mentality that have been brought about by the representation or image that each One of the

group forms from them." This formulation can be seen in the shift in his approach from systems of ideas to mentalities.

most

thematically undertaking

interpret -

-

contemporary LUCAS

See also

J.

LUCHILO

Argentina; Halperin-Donghi

Biography Aires, 1909 Studied at the University of La Plata, PhD Taught at University of La Plata, 1937-46: member, Socialist party, and expelled from the university for political reasons 1946 ; taught at University of the Republic, Montevideo, Uruguay, and continued his research into the medieval bourgeoisie at Harvard University ; in 1955 after the fall of the Perón regime, appointed rector of the University of Buenos Aires: dean, Faculty of Philosophy and Humanities, 1962.-65 Founder and editor, Imago Mundi 1953-56 ; editor, journal of the University of Buenos Aires, 1960-65. Member, Socialist party executive committee, 1956-60 Member, Council of the United Nations University. Died Tokyo Born Buenos 1937

.

.

,

,

.

,

.

,

1977·

Principal Writings La crisis de la República Romana: los Gracos y la reception de la politica imperial hellenistica ( The Crisis of the Roman Republic: The Gracchi and the Reception of Hellenistic Imperial Politics ), 1942 Maquiavelo historiador ( Machiavelli, Historian ), 1943 Sobre la biografia y la historia ( On Biography and History ), 1945 Las ideas políticas en Argentina, 1946 ; in English as A History of Argentine Political Thought, 1963

El ciclo de la revolución contemporánea ( The Revolution ), 1948 La edad media (The Middle Ages ), 1949

Cycle of Contemporary

Argentina: imágenes y perspectivas (Argentina: Images and Perspectives ), 1956 Breve bistorta de la Argentina ( A Brief History of Argentina), 1965 La revolución burguesa en el mundo feudal 1967 El pensamiento político de la derecha latinoamericana ( The Political Thought of the Latin American Right), 1970 Latinoamérica: las ciudades y las ideas ( Latin America: Cities and Ideas ), 1976 Crisis y orden en el mundo feudoburgués ( The Bourgeois Revolution in the Feudal World ), 1980 La experiencia argentina y otros ensayos (The Argentine Experience and Other Essays ), edited by Luis Alberto Romero 1980 Situaciones e ideologías en Latinoamérica (Situations and Ideologies in Latin America ), 1981 La vida histórica edited by Luis Alberto Romero 1988 ,

,

,

Further

,

Reading

De historia e historiadores: Homenaje a José Luis Romero ( About History and Historians: A Tribute to Romero ), Mexico City : Siglo XXI Editores , 1982 Devoto , Fernando J., ed., La historiografía argentina en el siglo XX ( Argentine Historiography in the 10th Century), 2 vols., Buenos Aires : Centro Editor de América Latina , 1994 Halperín-Donghi , Tulio , José Luis Romero y su lugar en la " historiografía Argentina (José Luis Romero and His Place in Argentina Historiography ), Desarrollo Económico: Revista de Ciencias Sociales 20 ( 1980 ), 248 74 International Committee of Historical Sciences Argentine Committee , Historografia Argentina: una evaluación crítica (Argentine Historiography: A Critical Evaluation ), Buenos Aires : Comité Internacional de Ciencias Históricas , 1990 "

-

-

Rörig,

Fritz

18 2–1952

German medievalist In 1942 Fritz

Rörig produced

developments

in

a masterly critical account of the 20th-century German historiography of the medieval Hanseatic towns, the principal subject of his own scholarship over the preceding two and a half decades and for the remainder of his life. In 1908 Dietrich Schaefer had pronounced the Hansa virtually exhausted as a field of historical research. Schaefer's own efforts, and the work he inspired, fell entirely within the parameters of German historism and so had held its focus firmly on the diplomatic and military record of the Hansa. It interpreted the Hansa as an "exceptional formation" necessitated by the process of disintegration that overtook the Holy Roman Empire in the late Middle Ages. The problem with viewing the Hansa from this narrow political and constitutional historical perspective was, complained Rörig, that it legitimated a perception of the Hansa as a "second rate affair on the periphery" of German history. Historically-minded economists had been still worse, either ignoring the medieval towns, their merchants, and their trade entirely, or denigrating their achievements. That the Hansa subsequently came to be widely regarded both as pivotal to an understanding of the medieval Reich and as a matter of contemporary political and economic relevance to Germany comprised a transformation that was chiefly ascribed to Rörig himself and to the school he established. It was in large measure

product of significant methodological shifts whose impact on the interwar German historical profession has only recently been recognized. Rörig took the neglected subject of the Hansa in a new direction by applying the questions and skills of the economic and social historian. The paradigm he produced, and which was to continue to influence research agendas at least into the 1980s, redirected historians' attention toward long-distance trade and its practitioners the mercantile upper classes. In a series of studies, the most significant of which were eventually to find their way into the two big collections of his essays, Rörig sought first to provide a secure base for the monument he sought to erect to the elite of the medieval German towns. Thus, in stark contrast to previously dominant theses postulating an undercapitalized mercantile class which owed its urban locations to princely initiatives, he advanced the thesis that the foundation of urban centers such as Lübeck and Rostock owed less to the granting of charters than to the activities of "entrepreneurial consortiums." These, he argued, not only financed but planned the new urban The particular role Rörig assigned to consortiums aroused the suspicion of several other experts as soon as his findings became widely known. It has subsequently been exposed as a product of the historian's wishful thinking and entirely unsupported by any archival evidence whatever. Yet his critics on this one score have been equally consistent in stressing that his general thesis was by no means dependent on this one exaggeration. Rörig established a significant distinction between fréquentantes and manentes between the traveling traders who merely visited developing ports such as that of Wisby on Gothland, and their mature and literate successors who stayed in the ports and contributed decisively to their expansion and full urbanization. In his study of Lübeck he reconstructed the networks that, notably through intermarriage, were pivotal to the formation of a mercantile upper class and maximized its human and financial resources. Marxist historians, especially in the German Democratic Republic, were subsequently to complain that Rörig, for all his interest in social and economic

a

-

historiographical

foundations.

-

questions, paid scant attention to producers. However, Rörig's and quarrel on this point was chiefly with an anti-urban antimodern tendency to downgrade mercantile activity and -

-

render it either as a side interest of master craftsmen or as a of sinecure that might, for instance, derive from tenure of mayoral office. Rörig persuasively argued that the crafts were subordinate to mercantile interests and that civic office was attained as a consequence of success in trade. Rörig's contribution to the 1931 edition of the Propyläen Weltgeschichte, "Die europäische Stadt," was the most rounded, widely read, and enduring statement of his thesis. An expanded version of the essay, based on his original manuscript, was published in the Federal Republic of Germany after his death as a book in its own right and (badly) translated into English as The Medieval Town in 1967. Its subscript was determinedly political: the endeavor, as Rörig's correspondence reveals, of a self-proclaimed "antifascist" to instill some "backbone" into a middle class whose turn towards the Nazi party had worried him for years. It was a hymn of praise to the medieval German bourgeois and citizen, designed to inspire active citizenship within a parliamentary democratic framework. sort

Many of the thematic and methodological characteristics of Rörig's work suggest that it should be seen in the context of a wider paradigm shift in interwar German historiography: the emergence of "folk history." Its advocates sought to jolt the discipline out of its fixation on the state and, as Rörig himself put it, to view history "from the perspective of the Yolk." To this end, they encouraged interdisciplinarity in the service of racially defined nationalism. Rörig's of some of the vocabulary of racist politics of the terms was to provide völkisch, Volk-comrade and Raum (space) one of the blocks on which he could continue to build his career in the Third Reich. But here his kinship with "folk history" ends, for Rörig did not share its penchant for praising the peasantry, still less its adulation of Germanic tribesmen. "Folk history" was in most respects a parochial reaction to isolationist German historical profession. an isolated and Recent attempts to compare it with the work of the early Annales school in France is unconvincing. Certainly, Marc Bloch's contemporary reviews of "folk" historical writing were frequently withering. But Rörig provides an exception on both counts. Although he did not become acquainted with the work of the great Belgian historian Henri Pirenne until the early 192,0s, he was quick to note the resemblances between Pirenne's and his own work and to acknowledge Pirenne's on him thereafter. When, on Bloch's invitation, Rörig published an article in the Annales, he became the first German historian to have done so, and remained the only one until after World War II. Under the Nazi regime, ethnic triumphed over democratic values in Rörig's hitherto ambiguous historical thought. That he was under some pressure to conform ideologically is clear. In the mid-1930s, he found himself obliged to defend himself vigorously against the charge of purveying a materialist of history. He did so, ironically, with particular to his article for the Annales, by arguing that his research had shown that the Hanseatic traders and town-builders were "carriers of German blood" and its values. Ambition contributed to Rörig's self-coordination, and was rewarded when he took up a prestigious chair at Berlin in 1935. He remained willing to exploit the past for explicitly political Although he publicly expressed reservations about aspects of Nazi foreign policy through a critique of geopolitics, and privately became concerned that "völkisch energies" were being constrained by the overbearing practices of the state, positive notes predominated in his attitudes to Nazism. During World War II in particular, he enjoyed what he himself termed "an abundance of political influence," not least as a member of the Nord- und Ostdeutsche Forschungsgemeinschaft. He the Drang nach Osten as an extension and completion of the medieval German colonization of Eastern Europe and continued to volunteer his services as an historian for the war effort even into the final months of the war. Rörig's historicallygrounded propaganda essays were written at the expense of his making progress on either of his two major intellectual projects: monographs on the Hansa and on Lübeck, which, indeed, he never did write. The final twist in a long career riddled with paradoxes is that Rörig built bridges to Marxism, retaining his chair in the Soviet zone of occupation after the end of the war. He was

the last "bourgeois" professor of history to remain in post in the German Democratic Republic, where his emeritation was eventually granted in 1950. His intellectual legacy was unique in that his posthumous influence straddled the Cold War divider he left one school of Hanseatic historiography in West, and another in East German scholarship. PETER A. LAMBERT

-

employment -

-

influence professional

conception reference

undoubtedly

purposes.

interpreted

Biography Ròrig Born St. Blasien, Baden, 2 October 1882 Attended Barmen Gymnasium ; University of Tubingen; University of Leipzig ; and University of Göttingen, PhD 1908 Archivist, Metz and Lübeck , 1908-18 ; taught at University of Leipzig, 1918-23 ; and University of Kiel , 1923-35 ; professor, University of Berlin , . 1935-50 1952 . Died Friedrich Hermann

.

.

.

Principal Writings Die Entstehung der Landeshoheit des Trierer Erzbtschofs (The Origin of the Sovereignity of the Archbishops of Trier ), 1906 " Die europäische Stadt ," in Walter Goetz , ed., Propyläen

Weltgeschichte 4 ( 1932 ), 279 392 ; expanded as Die europäische Stadt und die Kultur des Bürgertums im Mittelalter , 1955 , 4th edition 1964 ; in English as The Medieval Town , 1967 Vom Werden und Wesen der Hanse (The Development and Nature of the Hanseatic League ), 1940 Wirtschaftskräfte im Mittelalter: Abhandlungen zur Stadt- und Hansegeschichte (Economic Forces in the Middle Ages: Treatise on Town and Hanseatic History ), edited by Paul Kaegbein , 1959 -

[includes bibliography] Further

Reading

and Wilhelm Koppe , eds., Stadtwesen und als geschichtliche Kräfte: Gedächtnisscbrift für Fritz Bürgertum Rörig ( Town Character and the Bourgeoisie as Historical Forces: In Memory of Fritz Rörig), Lübeck : Schmidt-Römild , 1953

Brandt , Α.

von ,

lincludes bibliography]

Rosenberg,

Arthur

18 9–1943

German historian career as a typical and conventionally minded historian of ancient Roman society, Arthur Rosenberg was converted to Marxism by the revolutionary events that the end of World War I. Initially a conservative who admired the efficiency of the Imperial German Army, Rosenberg became a leading member and Reichstag of the German Communist party. Although he resigned from the party in 1927, he was to remain a dedicated Marxist historian for the rest of his life. His most important works The Birth of the German Republic (1918, translated 1931), A History of the German Republic (1935), A History of Bolshevism (1932, translated 1933), and Democracy and Socialism (1938) attempted to synthesize his historical training and Marxist political beliefs. The resulting body of work is both engaging and provocative as Rosenberg followed the evidence to what he saw as the reasonable interpretation of events. In each work, he rejected the conventional wisdom of both the right and the left, attempting to develop his own understanding of historical

Beginning his

accompanied representative -

-

phenomenon. This led him to reject right-wing conspiracy theories while he developed categories of historical analysis quite independent from those wielded by Comintern historians. For example, he developed a unique theory to explain the birth of the Weimar republic as the culmination of two that took place during the war. He argued that the first was the establishment of the Hindenberg/Ludendorff defacto military dictatorship in 1916 which left both the Kaiser and the Reichstag as mere symbols. The second was in October 1918 when the military High Command collapsed, leaving power to the non-revolutionary middle strata of Germany. Oddly, Rosenberg completely ignored the revolutionary events of November and December 1918 which are more commonly the focus of Marxist scholarship on this period. Although this may appear strange for an avowed Marxist historian, it is indicative of Rosenberg's commitment to following his own interpretation of momentous developments without allowing himself blindly to accept prevailing schools of thought. Of course, this has led Rosenberg's critics to charge that his work is marred by a personalized and individualistic approach that fails to recognize the contributions and insights of others. Some might even argue that his rejection of discipline after 1927 caused him to emphasize unique approaches beyond those supported by the evidence. For example, as late as 1934, Rosenberg would claim that Nazism added nothing new in principle to existing fascism which could even be traced back to the "victory of legal fascism" with the Cuno government of 1923. All the same, there is little doubt that Rosenberg's work offered a rich mixture of Marxism and historical analysis.

revolutions

communist

interpretive

uncommonly

WILLIAM A. PELZ

See also

Germany: 1800-1945

Biography Born Berlin, 1889 Attended a Berlin Gymnasium; studied history and classical philology, University of Berlin, doctorate, 1911. Lecturer, University of Berlin, 1913. Served with the War Press Department, 1914-18 Joined Communist party, 1920: local councillor, then Reichstag deputy, 1921-2.8 ; left party, 1928 Left Germany, 1933 ; taught at University of Liverpool , 1934-37 ; and Brooklyn College , 1937-43 Died Brooklyn, 7 February 1943 .

.

.

.

.

Principal Writings Die Entstehung der deutschen Republik, 1871-1918 , 1928 ; in English as The Birth of the German Republic, 1871-1918 , 1931 Geschichte des Bolschewismus , 1932.; in English as A History of Bolshevism from Marx to the First Five Years' Plan , 1933 Entstehung und Geschichte der Weimarer Republik, 1935 ; in English as A History of the German Republic , 1935 Demokratie und Sozialismus: zur politischen Geschichte der letzten 150 Jahre , 1938 ; in English as Democracy and Socialism: A Contribution to the Political History of the Past 150 Years , 1938 Demokratie und Klassenkampf: ausgewählte Studien (Democracy and Class Struggle: Selected Studies ), edited by Hans-Ulrich Wehler, 1974 [includes bibliography]

Further Reading "

Carsten , Francis L. , Arthur Rosenberg: Ancient Historian into Leading Communist ," Journal of Contemporary History 8 ( 1973 ),

63

-

75

Rosenberg,

Charles E.

1936-

US historian of medicine and science Charles E. Rosenberg is the leading American historian of medicine in the closing decades of the 20th century. The Cholera Years (1962), is the single most influential book in the new social history of medicine. Social history of medicine began before Rosenberg, but in The Cholera Years the shift of focus to the nature and meaning of disease and to the world of the patient is apparent. By evaluating the social, moral, political, and medical responses to three separate epidemics of cholera in 19th-century New York City, Rosenberg shows how with epidemic disease can reveal much about medicine and medical knowledge of the era and open virtually every aspect of society and politics for the historian.

experiences

Rosenberg started toward a career in medicine, then shifted history in the early 1960s. The social historian of medicine, Edwin Ackerkneckt at the University of Wisconsin, was a

to

crucial influence on his career. Rosenberg emerged at a time when medical historians were also physicians; scholarly works in the history of medicine by those not medically trained were regarded as suspect. American historians had not accepted the Annales school's theories and considered medicine a trivial element in the study of American history. Sigerist, Rosen, and Shryock had attempted to alter the patterns in the study of the history of medicine; Rosenberg changed the nature of the field. He expanded his studies beyond the history of medicine into the history of science and sociology. He has edited several series of books on the history of medicine and society and edited Isis, a journal devoted to the history of science, from 1986 to 1988. Rosenberg's The Care of Strangers: The Rise of America's Hospital System (1987) did for medical institutions what The Cholera Years did for disease. This book narrates the of hospitals in the United States and sees them as microcosms of the total society of cities in the United States. In this book Rosenberg is careful not to ignore medical science. As with The Cholera Years, Rosenberg's scholarship appealed to a wide audience, beyond historians of medicine. Rosenberg in 1971 called for a new emphasis in the history of medicine, a shift away from looking at only the intellectual life of physicians to their activities as healers and as members of a profession. However he warned revisionist historians not to ignore the role of science in the history of medicine. Rosenberg's work contains many personal statements about the work of the historian of medicine and science. One appears in the introduction to Explaining Epidemics (1991), in which he emphasizes the potential for the study of the history of medicine and science to integrate the disparate elements of social history by focusing on humankind's most basic struggle, life and death.

development

NANCY ANCY PIpPEN ECKerman See also Medicine

Biography Charles Ernest Rosenberg Born New York City, 11 November 1936 Received BA, University of Wisconsin , 1956 ; MA, Columbia University, 1956, PhD 1961 Taught at University of Wisconsin , .

,

.

1962-63 ; and University of Pennsylvania, from 1963 Married 1) Carroll Ann Smith historian, 1961 ( marriage dissolved 1977 1 daughter); 2) Drew Gilpin Faust historian 1980 (1 daughter).

He pushed this inquiry more through history than through intellectual history.

.

,

,

lost his

,

,

Principal Writings The Cholera Years: The United States in 1832, 1849, and 1866 , 1962 ; revised 1987 The Trial of the Assassin Guiteau: Psychiatry and Law in the Gilded Age , 1968 No Other Gods: On Science and American Social Thought , 1976 The Care of Strangers: The Rise of America's Hospital System , 1987 With Janet Golden , Pictures of Health: A Photographic History of Health Care in Philadelphia, 1860-1945 , 1991 Explaining Epidemics and Other Studies in the History of Medicine ,

1992 Editor with Janet Golden , Framing Disease: Studies in Cultural

History

,

1992

Rosenberg,

Hans

1904–198

German historian Hans

Rosenberg was

years old and well

poised for a

successful when 29 Hitler scholarly power in 1933. He career

came

to

was

also a Jew with strong democratic and social sympathies, and he left for England immediately after the Reichstag fire of February 1933. He already enjoyed an enviable publication record. His "Theologischer Rationalismus und vormärzlicher Vulgärliberalismus" (Theological Rationalism and Popular Liberalism before March 1848, 1930) had appeared in 1930 in Germany's pre-eminent historical journal, the Historische Zeitschrift. The article drew on the research materials for his Rudolf Haym und die Anfänge des klassischen Liberalismus (Rudof Haym and the Beginnings of Classical Liberalism), published in 1933 by the prestigious Oldenbourg Press in a truncated form made by the German political crisis and Rosenberg's flight. These works, which are still essential reading for those interested in early German liberalism and historiography, strongly bore the impress of his teacher Friedrich Meinecke. Meinecke defies easy description: always nationalist in outlook, he came to see the shadows in German nationalism and looked for what was different and deviant in German history. Meinecke did not leave Germany, though he and Rosenberg, reportedly, always remained friends. Another of Meinecke's star students, Hajo Holborn, did leave shortly after Rosenberg did, and both men by themselves and through their students fundamentally reshaped American study of Central European history. Rosenberg's first works followed Meinecke's inasmuch as they studied Germany through its intellectual history, an history studied less for its own sake than for the sake of analyzing the larger national society. If that was true of intellectual history in general, it was true in particular of the intellectual history of Prusso-Germany. This belief in German exceptionalism could undergird a sense of German spiritual superiority, as it did in some of Meinecke's early works, but it also easily lent itself to German self-criticism and, thence, to inquiry into why Hitler happened in Germany. That was undoubtedly the major question for Rosenberg, both in his economic histories of Central Europe and in his work on the evolution of the Prussian state.

necessary

-

-

intellectual

economic and social He

reportedly

never

for Meinecke. However that may be, in exile Rosenberg soon began to write histories very different from his mentor's. Even his early work shows a greater interest in economic context than does Meinecke's, and he began to study economic theory and history even before leaving Germany. The turning point in the history of his publications came during his two-year stay in England, during which he was able to earn a modest stipend only in the final months. Back in 1928 Meinecke had helped Rosenberg to obtain a contract from the National Historical Commission (Historische Reichskommission) to prepare a critical bibliography of political in the period of Prussian Reawakening and national unification: Die nationalpolitische Publizistik Deutschlands vom Eintritt der Neuen Ara in Preussen bis zum Ausbruch des deutschen Krieges (National-Political Media in Germany from the Start of the New Era in Prussia to the Outbreak of the German War). Despite the interruptions of the early 1930s, the work was at last published in 1935. It remains a standard reference tool, especially useful because some of the works described in it did not survive World War II. Meanwhile, Rosenberg published in 1934 the then less noticed but more significant pioneering study Die Weltwirt schaftskrise von 1S57-1859 (The World Economic Crisis of esteem

literature

methodologically 1857-1859). His motives for

easy to see. Rosenberg had convulsions that followed the political German hyperinflation of 1923 and the special severity with which the world depression of 1929 struck his native Central Europe. That, again, was why he was living in England. Rosenberg also understood that the state of social science was opportune for such research. Economists had recently "crisis Theory," and he could consult empirically grounded studies of Konjunktur, the cyclic rise and fall of the market. In doing so, Rosenberg employed the "long wave" theories of Nicolai Kondratiev (also very important for the contemporaneous Annales school in France) and of Joseph Schumpeter. Rosenberg's intent was less to illustrate the of ongoing processes than to employ them to gain a particular understanding of the historical there-and-then of with the implicit hope of thus better Germany 1859-66 understanding Germany 1929-33. Rosenberg returned to this sort of inquiry much later in his career, with his 1967 publication as a professor at Berkeley of Grosse Depression und Bismarckzeit (The Great Depression and the Bismarck Era), which he wrote for the Berlin Historical Commission and specifically dedicated to the Berlin students he had taught in 1949-50 while he was a visiting professor. His revealing introduction to this work contained the complaint that the task was simply too ambitious to be more than an "essay," though this essay is Z73 pages of carefully written, lucidly argued, and thoroughly documented text. He thought that the task was too ambitious because it required a simultaneous study of all Mitteleuropa, by which he meant Cisleithian Austria and the German states, and because it called for detailed research that was possible, he felt, only for a with fewer teaching and administrative duties and more assistants than he had. Many professors have voiced similar complaints, but Rosenberg was undoubtedly right that his

writing

it

are

personally witnessed the

elaborated

operation -

nonetheless

professor

method and subject called for more time and energy than one scholar could likely possess. Rosenberg could claim this because he had more than the usual amount of energy: he came to the United States in 1935, taught for two years at Illinois College, and then taught at Brooklyn College from 1938 to 1939, after which he was invited to the University of California at Berkeley as Shepard Professor of History. While still at Brooklyn he consistently taught overloads because he found it easy and needed the extra compensation. He could raise the claim for another reason: This "essay" was essentially a sideline to the much more but not completed effort at what he termed the of the structure and dynamic of the social, economic and political system of stratification in German central Europe before the Reformation." This shift back into late medieval history was a further effort to understand modern Germany by reference to much longer-term German social peculiarities. The research for it overlapped with the preparation of his last major work, published in 1969, "Deutsche Agrargeschichte in alter und neuer Sicht" (German Agricultural History in Traditional and Recent Perspective). Research led to research, and his late medieval project was itself an offshoot from his major English-language publication, the genial Bureaucracy, Aristocracy, and Autocracy (1958). Curiously, the book now a classic was not translated into German. During this postwar period, no doubt further prodded by his impressions while teaching at Berlin in 1949-50, Rosenberg had turned to the early history of the Prussian monarchy as a means to understand better German peculiarity and, so, the basis of later National Socialist rule. Rosenberg did not, however, oversimplify by reducing all earlier German history to a gestation process for Nazism. Instead, he applied modern sociology to the results of the thorough institutional studies of Prussian bureaucracy published by older scholars such as Otto Hintze. Rosenberg sought to write a collective biography that would be less a prosopography such as Lewis Namier had written on the English parliament and more a social portrait comparing and contrasting the Prussian with other Rosenberg was, again, interested in what was in German history. He demonstrated the social evolution of the Prussian bureaucracy's sense of being a state-bearing order that had blended with the older hereditary aristocracy. This helped explain the relative weakness of liberalism in Germany in contrast to other modern bureaucratic states. Bureaucracy, Aristocracy, and Autocracy nicely embodies the typical traits of both his earlier and later works: analysis of the local and national from a broadly comparative perspective, an evident though not combative break with previous and a powerful interest in the contemporary historical relevance of the past.

ambitious "elucidation

-

-

bureaucracies. exceptional

literature,

ROBERT FAIRBAIRN SOUTHARD

See also Germany: 1800-1945; Koselleck; Wehler

Brooklyn College 1938-59 ; and University of California, Berkeley, 1959-88 Died Freiburg 1988 ,

.

Principal Writings "

"

Theologischer Rationalismus und vormärzlicher Vulgärliberalismus (Theological Rationalism and Popular Liberalism before March 1848 ), Historische Zeitschrift 141 ( 1930 ), 497 541 Rudolf Haym und die Anfänge des klassischen Liberalismus ( Rudolf Haym and the Beginnings of Classical Liberalism ), 1933 Die Weltwirtschaftskrise von 1857-1859 ( The World Economic Crisis of 1857-1859), 1934 Die nationalpolitische Publizistik Deutschlands vom Eintritt der Neuen Ära in Preussen bis zum Ausbruch des deutschen Krieges ( National-Political Media in Germany from the Start of the New Era in Prussia to the Outbreak of the German War ), 2 vols., 1935 Bureaucracy, Aristocracy, and Autocracy: The Prussian Experience, 1660-1815 1958 Grosse Depression und Bismarckzeit: Wirtschaftsablauf, Gesellschaft und Politik in Mitteleuropa ( The Great Depression and the Bismarck Era: Economic Flow, Society, and Politics in Central Europe ), 1967 Deutsche Agrargeschichte in alter und neuer Sicht ( German Agricultural History in Traditional and Recent Perspective ), in his Probleme der deutschen Sozialgeschichte 1969 -

,

"

"

,

Further Reading Ritter Gerhard ed., Entstehung und Wandel der modernen Gesellschaft: Festschrift für Hans Rosenberg ( Origin and Transformation of Modern Society: Festschrift for Hans Rosenberg ), Berlin : de Gruyter 1970 Hans Rosenberg, 1904-1988," Geschichte und Ritter Gerhard Gesellschaft 15 ( 1989 ), 282 302 Wehler Hans-Ulrich Sozialgeschichte heute: Festschrift für Hans Rosenberg zum 70. Geburtstag (Social History Today: Festschrift for Hans Rosenberg on his 70th Birthday), Göttingen: Vandenhoek & Ruprecht 1974 Winkler Heinrich August Ein Erneuerer der Geschichtswissenschaft: Hans Rosenberg, 1904-1988 (A Reviver of the Science of History ), Historische Zeitschrift 248 ( 1989 ), ,

,

,

,

,

"

-

.

,

,

,

"

,

Hans Willibald Rosenberg Born Hannover, 26 February 1904 Studied with Freidrich Meinecke: PhD, University of Berlin, 1927 Researcher, Bavarian Academy of Science, 1927-28 ; German Federal Historical Commission , 1928-34 ; and Institute of Historical Research, London , 1934-35 ; taught at Illinois College , 1936-38 ; .

.

,

"

52 9-55 -

Rostovtzeff,

M.I.

1870–1952

Russian classical historian M.I. Rostovtzeff

was one

of the

most

eminent ancient

his historians of the ranged from the

interests 20th century; economic structures of the Greco-Roman world to the Iranian nomads of the South Russian steppe. He is best known,

two works, The Social and Economic History of the Roman Empire (1926) and The Social and Economic History of the Hellenistic World (1941). These books were remarkable for their learning and their command of a broad spectrum of specialist areas such as papyrology, archaeology, epigraphy, and numismatics, and although Rostovtzeffs economic model for the ancient world has now been largely

however, for

rejected, Biography

.

,

his

impact

on

ancient

history

was enormous.

Born in Kiev in 1870, Rostovtzeff was 48 when the Russian Revolution forced him into exile. He was already known for

his work

on

land

tenure

and taxation in the Hellenistic and

.

Roman East: in 1910 he had published in German a on the Roman Colonate which established his

monograph

his research the reputation. Less well known outside Russia was

on

Scythians and Sarmatians, but before his exile he had written the standard work on tomb painting in South Russia and he left behind him a manuscript on the Scythians that was published by the Soviet authorities in 1925, and then later revised and published by Rostovtzeff himself in 1931 in German.

.

,

,

.

,

,

After leaving the University of St. Petersburg, Rostovtzeff went first to Oxford and then to the University of Wisconsin where he published his A Large Estate in Egypt in the Third Century BC (1922) and completed his The Social and Economic History of the Roman Empire. The first was a study in economics based on the archive of Zenon, a Greco Carian entrepreneur and agent of Apollonius, the vizier of king Ptolemy II Philadelphus. The Social and Economic History, however, was recognized immediately for its imagination and command of the evidence. It was modeled on the German school of Eduard Meyer, who imagined an ancient economic development that replicated that of modern Europe. Familiarity with tsarist Russia modified Meyer's model: the Roman social and economic world of Rostovtzeff was a civilization of the cities inhabited by a bourgeoisie who were a ruling elite. Peasants and slaves interested him only insofar as they contributed to urban life. In 1925, Rostovtzeff was appointed Stirling professor of ancient history and archaeology at Yale University, and while there he directed the excavations at Dura-Europos, a Hellenistic, Parthian, and then Roman fortress on the Euphrates River by the British army after World War I and already explored by the French scholar Franz Cumont. Ten seasons of excavations produced some remarkable finds, such as a preConstantinian Christian house of worship and a synagogue with wall paintings of biblical scenes with human figures; these proof for the art historian that the characteristic fronta! representation of the human form of late antiquity originated early in the 3rd century in the Roman East. Dura-Europos marked the culmination of Rostovtzeff's interest in urban life which ranged from Pompeii, which fascinated him, to the caravan cities of the east and even Kievan Russia. The Social and Economic History of the Hellenistic World was his greatest work, ranging over the Greek world after Alexander the Great with a sure touch. Rostovtzeff had not abandoned his perception of an ancient capitalist economy, but he had learned from his critics. His final years were melancholy; nonetheless his last publication, a contribution to the DuraEuropos preliminary reports, appeared only four months before his death in 1952. Rostovtzeff's concept of the ancient economy was overtaken by the work of Max Weber, Johannes Hasebrock, and, lately, Karl Polanyi. Polanyi emphasized the difference between the ancient city, which was a city of consumers, and its modern counterpart, the city of producers, and pointed out the links between the political life of the ancient world and the economy, which was (to use Polanyi's term) "embedded" in society. Moses Finley popularized Weber's views, and contributed to the eclipse of Rostovtzeff's. However Rostovtzeff's work still commands respect for its learning, and he remains one of the giants of historical scholarship.

agricultural

discovered

furnished

J.A.S. See also Greece: Ancient; Roman

Biography Michael [Mikhail] Ivanovich Rostovtzeff [Rostovtsev], Born Zhitomir, Ukraine, Russia 10 November 1870 Studied at University of Kiev ; BA, University of St. Petersburg, 1892, MA 1898, PhD 1903 Travelling fellowship in classical lands 1895-98 ; taught ancient history and Latin, University of St. Petersburg, from 1893: professor 1903-18 ; left Russia 1918 ; taught at Queen's College, Oxford 1918-20 ; professor of ancient history, University of Wisconsin 1920-25 ; and Yale University, 1925-44 (emeritus). Married Sophie M. Kulczycki, 1901 Died New Haven, Connecticut

EVANS

,

,

.

20

October 1952

,

.

Principal Writings Studien

zur

Geschichte des römischen Kolonates (Studies

History of the Roman Colonate ), "

on

the

1910

The Foundations of Social and Economic Life in Egypt in Hellenistic Times ," Journal of Egyptian Archaeology 6 ( 1920 ), 161

-

78

Iranians and Greeks in South Russia , 1922 A Large Estate in Egypt in the Third Century sc.· A Study in Economic History , 1922 Ocherk istorii drevnego mira: Vostok-Gretsiia-Rim , 1924 ; in English as A History of the Ancient World , 2 vols., 1926-28 ; reprinted as Rome , i960 , and Greece , 1963 The Social and Economic History of the Roman Empire, 2 vols., 1926 ; 2nd edition 1957 Mystic Italy: The Colver Lectures at Brown University, 1927 The Animal Style in South Russia and China , 1929 Skythien und der Bosporus ( The Scythians and the Bosporus ), 1931 Caravan Cities , edited by D. Talbot Rice , 1932 The Social and Economic History of the Hellenistic World , 3 vols., 1941 ; revised 1953

Further Reading Andreau Jean Introduction,

to Rostovtzeff , Histoire économique et , , sociale du monde hellénistique , Paris : Laffont , 1989 " Momigliano , Arnaldo , M.I. Rostovtzeff," Cambridge Journal 7 ( 1954 ), 334 46; reprinted in his Studies in Historiography , London : Weidenfeld and Nicolson , and New York: Harper, 1966 " Reinhold , Meyer, Historian of the Classic World: A Critique of Rostovtzeff ," Science and Society 10 (1946 ), 361 91 " Welles , C. Bradford , M.I. Rostovtzeff," Gnomon 2.5 ( 1953 ), -

-

140 44 -

Rostow, W.W.

1916-

US economic historian Walt Rostow is an internationally known economic historian whose academic eminence won him an important role in United States policymaking, particularly in the 1950s and 1960s, a period about which he has also written. His historical therefore fall into two categories: extensive writings on broad themes in economic history, and materials in some way related to his own career as a historical protagonist. In all, the prolific Rostow has published thirty books and numerous articles on historical, political. and public themes. Rostow's major professional efforts were devoted to attempting to explain the processes of economic growth, in the hope of developing a model that could be applied to other economies. His early works, British Economy of the Nineteenth Century (1948) and The Growth and Fluctuation of the British Economy, 1790-1850 (with others, 1953), concentrated on

contributions

Britain, the first country to industrialize, in an attempt explain why this should have been the first country to

to

experience industrial revolution. This effort resulted in The an

Growth (1953) and The Stages of (i960), works that purported to provide a gameplan which developing countries could follow in order to experience economic progress while avoiding revolution. In the 1970s and 1980s, Rostow reverted to these themes, in such volumes as Politics and the Stages of Growth (1971), The World Economy (1978), Why the Poor Get Richer and the Rich Slow Down (1980), Rich Countries and Poor Countries (1987), Essays of a Half Century (1988), and History, Policy, and Economic Theory (1990). His work made much use of such terms as "preconditions for growth," "take-off," "selfsustaining growth," and "leading sector," and of the theme that there exist long-term economic cycles, several decades in length. While many economists have criticized Rostow's use of these concepts, and the degree to which he emphasizes the nation-state as a unit of analysis and explanation, his writings gave rise to enormous discussion and speculation, in itself a tribute to the breadth of his thinking. Rostow's analysis appealed to those American policymakers of the 1950s and 1960s who believed that it was possible to resolve international economic issues in a manner that would be favorable to their Cold War aims of preventing Third World revolution and promoting peaceful social change and economic growth. In 1961 he was invited to join the administration of the youthful, activist president John F. Kennedy as chairman of the State Department Policy Planning Council. In 1966 Rostow became special assistant to the president for National Security Affairs, and he remained in government service until 1969. Here he is best remembered for his insistence upon the escalation and continuation of the United States military commitment to South Vietnam, which made him possibly the strongest "hawk" in both the Kennedy and Johnson It was often alleged that Rostow's post-19 69 to a professorship at the University of Texas, rather than the prestigious Ivy League academic institutions he had adorned, was the direct consequence of the academic disfavor to which his Vietnam policies condemned him. He continued to defend the wisdom of United States policies in Vietnam in essays, most recently when reviewing Robert McNamara's memoirs of the Vietnam War period. During the 1940s, well before he joined the Kennedy Rostow served in the Office of Strategic Services and the State Department, and, later, on occasion served as a government consultant. In a series of short works on various key episodes during this period, Rostow drew on these and on his personal knowledge of many of the leading figures involved, to produce an interesting series of monographs on "Ideas and Action." All contained a useful appendix of relevant documents, many at the time still unpublished. A common theme of these studies was the degree to which initially sensible, rational proposals were diluted, altered, or rejected through the imperatives of bureaucratic politics and institutional and personal pressures, an outlook that no doubt reflected Rostow's frustrations as a public official and Although further works in this series were promised, none has yet appeared, possibly because their author turned his energies to other projects. Process

of

Economic

Economic Growth

administrations. relegation

previously

administration,

experiences,

consultant.

When

with Rostow, one should never forget the which his academic preoccupations and his public service role were intertwined with and fed off each other. Overall, his oeuvre represents a fascinating combination of the professional economic historian, who attempted to influence the making of national and international policy through his specialized expertise and governmental connections, and the autobiographical recollections and reflections of the influential

degree

public

dealing

to

servant.

PRISCILLA M. ROBERTS

See also Economic; Industrial Revolution

Biography Walt Whitman Rostow Born New York City, 17 October 1916 Received BA, Yale University, 1936, PhD 1940 ; Rhodes Scholar, Oxford University. Taught at Columbia University, 1940-41, before war service: in Office of Strategic Services, 1941-45, as a major, US Army, 1943-45 , and as assistant chief, Division of German-Austrian Economic Affairs, Department of State , 1945-46 ; special assistant to executive secretary, Economic Commission for Europe , 1947-49 ; taught at Oxford University, 1946-47 ; Cambridge University, 1949-50 ; and Massachusetts Institute of Technology, 1951-61. At John F. Kennedy's election, returned to government service as deputy special assistant for National Security Affairs, 1961 , chairman, Policy Planning Council, Department of State, 1961-66, and special assistant to the president , 1966-69 ; then taught at University of Texas, Austin Married Elspeth Davies , 1947 (1 son, .

.

.

1

daughter).

Principal Writings British Economy of the Nineteenth Century: Essays , 1948 With Arthur D. Gayer et ai , The Growth and Fluctuation of the British Economy, 1790-1850 , 1953 The Process of Economic Growth , 1953 The Stages of Economic Growth: A Non-Communist Manifesto, 1960 ; 3rd edition 1990 Politics and the Stages of Growth , 1971 The Diffusion of Power, 1957-1972 , 1971 The World Economy: History and Prospect , 1978 Why the Poor Get Richer and the Rich Slow Down: Essays in the Marshallian Long Period , 1980 The Division of Europe after World War II: 1946 , 1981 Pre-lnvasion Bombing Strategy: General Eisenhower's Decision of March 25, 1944 , 1981 Europe after Stalin: Eisenhower's Three Decisions of March 22, 1953 1982 Open Skies: Eisenhower's Proposal of July 21, 19 ;;, 1982 Rich Countries and Poor Countries 1987 Essays of a Half Century: Ideas, Policies, and Action 1988 History, Policy, and Economic Theory 1990 ,

,

,

,

Further Reading "

Economic Development from the Beginning to Economic Literature 2.9 ( 1991 ), 573 91 Halberstam , David , The Best and the Brightest , New York : Random House , and London: Barrie and Jenkins, 1972 Kindleberger, Charles P. , and Guido di Telia , eds., Economics in the Long View: Essays in Honor of W. W. Rostow , 3 vols., London: Macmillan, and New York : New York University Press , 1982 " Supple , Barry, Revisiting Rostow," Economic History Review 37 Dorfman , Robert , Rostow,"

Journal of

-

.

( 1984 ), 107 14 -

Rothschild, Joseph US

(German-born)

1931-

historian of modern Eastern

Europe

Joseph Rothschild's works have concentrated both on specific aspects of Eastern European history, as well as broader trends in that region and the world. He has distinguished himself by in important gaps in the historiography of Eastern Europe. The Communist Party of Bulgaria (1959) and Pilsudski's Coup d'Etat (1966) were two important works in this regard. In the former, a topic on which there had been no serious work, Rothschild traced the formation of the Bulgarian Socialist party in 1891 through its split in 1903 into the Broads and the Narrows, to the foundation of the Bulgarian Communist party in 1919, and its subsequent history to 1936. Throughout, Rothschild pointed to the close relationship the Narrows had with Russia. Indeed, Bulgarian communists were in the first Russian Marxist circles. This analysis is instrumental for why the Bulgarian Communist party would later into Russia's most faithful ally. develop With Pilsudski's Coup d'Etat, Rothschild entered the debate about interwar developments in Poland. In this portrayal of Pilsudski, Rothschild made two points that drew particular attention. First, he argued that Pilsudski was the forerunner of East European dictators of the 1930s, although he did point out that Pilsudski's form of dictatorship was preferable to Second, Rothschild speculated that Pilsudski's importance for future Polish developments was crucial. He wrote: "Pilsudski must in justice be acknowledged as meriting primary credit for the fact that today the notion of Europe a Polish state is no longer conceivable." Detractors have considered this both an overly flattering portrait of the man, and an exaggeration of his importance. This work has been widely praised, however, as a case study of the mechanics of a seizure of power and the destruction of a parliamentary system. Rothschild has also written on broader issues dealing with Eastern Europe in both the interwar period and the post-1945 era. He discussed a variety of themes, such as the role of the bureaucracy and the intelligentsia, the political and problems of the peasantry, and the problems of national minorities. In discussing the earlier period, Rothschild brought out several points about interwar Europe. He rejected the desirability of old multinational states and judged that the history of the new nation-states in Eastern Europe in the period contributed to their development in the postwar period, although limited by the Cold War. He also firmly placed the blame for the failure of democratic institutions in the region on the Great Powers for not providing the economic aid to ensure stability. His discussion of these various aspects in East Central Europe Between the Two World Wars (1974), delivered a more balanced approach than the earlier work by Hugh Seton-Watson Eastern Europe Between the Wars,

filling

understanding

towards the latter years of the Cold War. Rothschild also pointed out that the tendency toward authoritarian regimes in the interwar period might be a bad omen for future in Eastern Europe, hinting that throwing off Soviet rule would not automatically lead to parliamentary democracy. Rothschild's ideas are encapsulated in Return to Diversity (1989). Both this, and his earlier work on the interwar period, are ideal surveys of the history of East Central Europe and provide a framework in which to explore the issues further. With the issue of national minorities in Eastern Europe as a starting point, Rothschild later developed his ethnicity concepts on a broader scale. In Etbnopolitics (1981) he argued that modernization mobilizes ethnic groups and turns them into political beings. His argument that modernization creates a feeling of alienation that leads to a reaffirmation of cultural identity has been disputed by historians who believe that class, rather than ethnicity, is a more dominant factor in political/ historical development.

developments

GARY S. BRUCE

See also Balkans; East Central

Europe

Biography

totalitarianism.

Born Fulda, Germany, 5 April 1931 ; emigrated to US, 1940, naturalized 1945 Received BA, Columbia University, 1951, MA 1952 ; PhD, Oxford University, 1955. Taught political science (rising to professor), Columbia University, from 1958 Married Ruth Nachmansohn , art historian , 1959 (1 son, 1 daughter).

without

Principal Writings

.

.

The Communist Party of Bulgaria: Origins and Development,

1883-1936

,

1959

Communist Eastern Europe , 1964 Pilsudski's Coup d'Etat , 1966 East Central Europe Between the Two World Wars , 1974 Etbnopolitics: A Conceptual Framework , 1981 Return to Diversity: A Political History of East Central Europe since World War II , 1989 ; revised 1993

socioeconomic

interwar

necessary 1918-1941 (1945).

Rothschild carried many of his themes of interwar Eastern Europe into the postwar period and up to the collapse of communism. His main concern here was to trace the trend of increasing diversification in the region toward the plurality that existed in the interwar period. The failure of Stalinism to bring about a uniform political culture in the region, he suggested, was partly responsible for the divisions that emerged

Rowbotham, Sheila

1943British socialist-feminist historian

Sheila Rowbotham women's

history helped

history

has been

figure

in the emergence of

1970s. For part of the radical

her, writing women's political activity that

was

in the a

a

central

early

British second wave feminism from the late 1960s, and her influence as a politically engaged writer and activist has been more considerable outside the discipline of history rather than within it. Rowbotham set out to challenge ways of seeing women, both within socialism and in society as a whole, by demonstrating that women had their own history. This included women's participation in the creation of radical political movements in the past. Along with several other female historians, including Sally Alexander and Anna Davin, she was part of the History Workshop movement that originated at Ruskin College in the 1960s. This sought to integrate the perspective of British Marxist historians with the labor movement tradition of to

create

workers' history. The emphasis on institutions of organized labor in traditional labor history was rejected in favor of research into popular movements of resistance. In spite of this, derisive incredulity was expressed at the History Workshop in 1969 when Rowbotham stood up to suggest a meeting of people working on women's history. This prompted the of the first national Women's Liberation conference in 1970, which has been seen as the formal beginnings of the

organization movement in Britain.

Inspired by this, by

women

and,

in

particular, working-class

women, in

of the first book, "Women, revolutionary and past. Her

Revolution (1972),

Resistance

was a

trail-blazing

exploration, primarily using secondary sources to uncover

women's

both historical and contemporary revolutionary movements. These stretched from the French Revolution to Maoist China. Hidden from History (1973), her best known work, was a Marxist analysis of the position of British women from the Puritans until 1930, in terms of industrialization, class, and the ongoing process of sexual discrimination. By concentrating on interpretation and analysis in structural terms rather than on the supporting detail, Rowbotham was able to trace a female consciousness through the complex webs of industrial and political change. The clarity and directness of her language, as well as her constant awareness of the contradictory nature of women's desires and needs, ensured she reached a broad audience outside academia. Rowbotham also challenged the theoretical resistance to feminism, and thus women's history, within Marxism. Socialists insisted that women's oppression was not separate from the oppression of the working classes, and that within sexual discrimination would not exist. In consequence of this, they asserted that any separate focus on women was a distraction. At the same time, women's domestic labor was not seen as part of the capitalist economy, as it did not produce surplus value. In Women's Consciousness, Man's World (1973), Rowbotham argued that women's domestic labor was a component of commodity production as it enabled the and reproduction of male labor. However, she also insisted the family was never just the mediator of capitalism's need for discipline and hierarchy but always a potential refuge from the commodification of human relationships. Child-rearing and shared needs for sexuality and being comforted cannot be reduced to service commodities. Having established a broad historical framework for women's history, Rowbotham moved on to look at earlier who had refused to accept a materialistic definition of society, or a limiting approach to sexuality and the body. Edward Carpenter, the late 19th-century socialist and sexual radical, saw becoming a socialist as a spiritual rebirth, while Stella contribution

to

potentially

communism

production

socialists

Browne, an early 20th-century socialist-feminist, campaigned for women's control over their fertility and insisted on the importance of sexual pleasure for women. Rowbotham asked how these people had lived and related to one another within their circles. Connecting these questions with their writing and other activities showed how new understandings emerged from a redefinition of aspects of life that had been

emotionally

previously either political personal but both. seen

as

feminism -

-

she began by writing about the role played

movements

all human beings for transformation. She wanted to avoid a simple category of woman, including the imposition of such a category on women of other cultures. Nonetheless, her own work has remained within Marxist paradigms, while the she helped to create has contributed to the destruction of those same theoretical certainties. This can be seen in The Past Is Before Us (1989), her chronicle of the British Women's Liberation movement over the last 25 years. Her sweeping up of changes such as equal pay legislation which were by other groups, and indeed by parliamentarians of another, older generation, into the embrace of the Women's Liberation movement is confusing. Although many of the questions that concern historians of women and gender in the 1990s were prefigured in her work during the 1970s, the wave of historical research in the field since then has meant that a mass of new information is now available. Yet Rowbotham's insistence on the importance of reproduction, sexuality, and domestic labor, as well as paid work, to the whole of society remains powerful. And Hidden from History remains a provocative historical synthesis of British women's experience over the last three centuries.

or

never

Rowbotham rejected the radical feminist concept of as essentialist and as denying the potential capacity of

patriarchy

initiated

HERA COOK

Biography Born Leeds, 27 February 1943 Educated at Hunmanby Hall , 1953-70 ; St. Hilda's College, Oxford, BA 1964 ; postgraduate work, Birkbeck College, University of London Taught part-time in further education colleges and Workers' Educational Associations , 1960 s and 1970s; visiting professor, Amsterdam , 1981-83 ; editor, Jobs for Change (Greater London Council newspaper) , 1983-86 ; consultant, UN World Institute for Development and Economic Research, Helsinki, from 1986 Founder member, History Workshop .

.

.

movement ,

1966 Has .

one son.

Principal Writings Women, Resistance and Revolution , 1972 Hidden from History: 300 Years of Women's Oppression and the Fight Against It , 1973 Women's Consciousness, Man's World , 1973 A New World for Women: Stella Browne, Socialist Feminist , 1977 With Jeffrey Weeks , Socialism and the New Life: The Personal and Sexual Politics of Edward Carpenter and Havelock Ellis , 1977 With Lynne Segal and Hilary Wainwright , Beyond the Fragments: Feminism and the Making of Socialism , 1979 " The Trouble with 'Patriarchy,' in Raphael Samuel , ed., People's and Socialist , History Theory 1981 Dreams and Dilemmas: Collected Writings , 1983 Friends of Alice Wheeldon , 1988 The Past Is Before Us , 1989 Women in Movement: Feminism and Social Action , 1992 Homeworkers Worldwide , 1993 Editor with Swasti Mitter, Dignity and Daily Bread: New Forms of the Economic Organizing among Poor Women in the Third World and the First , 1994 Editor with Swasti Mitter, Women Encounter Technology: Changing Patterns of Employment in the Third World, 1995 A Century of Women: The History of Women in Britain and the US, 1997 "

Further

Reading

"

Vedder-Schultz , Ν. , Hearts Starve as Well as Bodies: Ulrike Prokop's Production and the Context of Women's Daily Life," New German Critique , 13 ( 1978 ), 5 17 -

Winslow, Barbara , Temma Kaplan, Rosalyn Baxandall , and Bryan " D. Palmer, Women's Revolutions: The Work of Sheila Rowbotham, A Twenty-Year Assessment ," Radical History Review

63 ( 1995 ),

141

Rudé, George

-

65

1910–19 3

British social historian

George Rudé became a convinced Marxist long before he became a practicing historian. Converted by reading the works of Marx and Lenin, as well as by a tour he made of the Soviet Union in 1932, Rudé believed that history progressed through conflict of social classes that moved in a discernible pattern from lower to higher phases. Consequently he considered the common people as the basic force behind social change. Not until his forties, however, after he had taken a degree from Cambridge University in modern languages and spent several years teaching in public schools, did Rudé undertake to study history. At the University of London he began research for his doctorate on Parisian wage earners during the movements from 1789 to 1791. He studied the course of popular violence, asking specific and hitherto questions about the individuals who captured the Bastille and marched on Versailles. In the French archives he made extensive use of public records to uncover the ages, and behavior of participants. But Rudé did not publish his dissertation until he had continued his research into the period 1791-95. Appearing as The Crowd in the French Revolution (1959), his book proved a model of erudition and established him as a leading authority on the period. Along with his friends and contemporaries Albert Soboul and Richard Cobb, Rudé was strongly influenced by Georges Lefebvre, who had done pioneering work on crowd behavior. Together they developed the concept of "History from Below," concentrating their research on the struggles of the lower classes to secure economic, social, and political rights. During the 1960s Rudé began to explore popular in England. He applied the same methods of inquiry to the voluminous but largely neglected judicial records. In detailed studies of the Gordon riots of 1780 and the career of the radical John Wilkes, he threw fresh light on the popular agitation that shook 18th-century London. Into his writings Rudé incorporated material culled from land tax registers, city directories, petitions, and poll books to identify the social condition of both rioters and their better-off victims. Rudé's work on the popular classes stood in sharp contrast to the efforts of Lewis Namier and his followers, who on the elites. In his general synthesis, The Crowd in History (1964), Rudé compared popular disturbances, both rural and urban, on both sides of the Channel from the early 18th through the mid-19th centuries. He applied sociological methods to reveal the aims, structure, and conduct of "pre-industrial" crowds, analyzed their beliefs and motives, and why they triumphed or failed. He thus created a model for understanding the growth of a mass phenomenon that previous historians had largely neglected. Until the last few years of his life, when serious illness prevented him from working, Rudé produced a variety of a

insurrectionary unanswered

occupations,

movements

tumultuous

concentrated

scholarly

and

general

studies that demonstrated his mastery.

continually expanded understanding of crowds in history by conducting research into criminality and justice. In Captain Swing {1968), written in collaboration with E.J. Hobsbawm, he investigated the laborers' rising that swept across much of England in 1830. Two other investigations of crime and punishment, published while he himself was living "in exile" abroad, concerned the transportation of offenders to Australia. While making extensive use of court records and statistics to record offenses, Rudé nonetheless focused on the individuals who were condemned, and demonstrated noticeable sympathy for their unhappy fates. He turned his hand to strictly urban history in Hanoverian London (1971), which incorporated examples of popular unrest into a detailed account of the growing metropolis in its economic, social, political, and cultural aspects. Written for a general audience, the volume demonstrated Rudé's ability to distill primary sources into a readable, informative text that He

the human element. and Popular Protest (1980), he shifted from Ideology explaining the identity (the "who") of crowds to discussing their motives (the "why"). Employing concepts developed by the Italian Marxist Antonio Gramsci, Rudé traced the growth of class consciousness from medieval times to the mid-19th century. He contended that the ideology of common people was enriched by indoctrination, experience, and struggle that raised their awareness from lower to higher stages. Rudé's books on Old Regime and revolutionary Europe showed his talent for synthesis. In them he compressed years of research on crowds and placed them in the larger of class structure, economic conditions, and political change, He made one lone venture into biography, a life of Maximilien Robespierre, intended less as the study of a than as a "political portrait," a sympathetic study of the "first great champion of democracy and the people's rights." His final summation, The French Revolution (1988), a general history written to commemorate the 200th anniversary, brought him full circle. The book, which covered the period 1789-1848, indicated how far Rudé had matured as a scholar since he first entered the Parisian archives some forty years earlier. Marxist as his outlook remained, Rudé was neither dogmatic in his historical judgments nor worshipful toward Marx's writings. Rather, he always based his conclusions on solid archival research and wide reading. He eagerly adopted new ideas concerning social structure, mass psychology, and political theory. Although his methodology and conclusions were not universally accepted, especially by non-Marxists, he refrained from attacking his critics and never engaged in personal polemics. The volume and variety of his scholarly production ensure his place as a leading authority on "History from Below." concentrated

on

In

framework personality

JAMES

FRIGUGLIETTI

Australia; Britain: since 1750; Cobb; France; French Revolution; History from Below; Marx; Marxist Interpretation See also

Biography

George Frederick Elliot Rudé Bom Oslo, Norway, 8 February 1910 son of an engineer. Educated at Shrewsbury School ; Trinity .

,

ΒΑ 1931 ; University of London, ΒΑ 1948, PhD 1950. Worked for London Fire Service during World War II Teacher of modern languages and history in public schools,

College, Cambridge,

.

1931-59: Stowe School , 1931-35 ; St. Paul's School , 1936-49 ; Sir Walter St. John's School , 1950-54 ; and Holloway School , 1954-59 ; taught (rising to professor), University of Adelaide , 1960-67 ; University of Stirling, 1968 ; Flinders University of South Australia , 1968-70 ; and Concordia University, 1970-87 (emeritus); founded Inter-University Centre for European Studies. Member of British Communist party, 1935-59 Married Doreen de la Hoyde , 1940 Died Battle, England , 8 January 1993 .

.

.

Principal Writings The Crowd in the French Revolution , 1959 Wilkes and Liberty: A Social Study of 1763 to 1774 , 1962 The Crowd in History: A Study of Popular Disturbances in France and F,ngland, 1730-1848 , 1964

Revolutionary Europe, 1783-181 ;, 1964 Editor, The Eighteenth Century 1965 Editor, Robespierre: A Life in Brief 1967 With E.J. Hobsbawm Captain Swing: A Social History of the Great English Agricultural Uprising of 1830 1968 Paris and London in the Eighteenth Century: Studies in Popular ,

,

,

,

Protest , 1970 Hanoverian London,

1714-1808 1971 Flurope, 1815-1850 197z Europe in the Eighteenth Century: Aristocracy and the Bourgeois Challenge 1972 Robespierre: Portrait of a Revolutionary Democrat 1975 Protest and Punishment: The Story of Social and Political Protesters Transported to Australia, 1788-1868 1978 Ideology and Popular Protest 1980 Criminal and Victim: Crime and Society in Early NineteenthCentury England 1985 The French Revolution 1988 Debate

,

on

,

,

,

,

,

,

,

Further Reading Kaye Harvey J. ed., The Face of the Crowd: Studies in Revolution, Ideology, and Popular Protest: Selected Essays of George Rudé Atlantic Highlands, NJ: Humanities Press and London: Harvester Press, 1988 Krantz Frederick ed., History from Below: Studies in Popular Protest and Popular Ideology in Honour of George Rudé Montreal: Concordia University Press, 1985 ; Oxford : Blackwell 1988 ,

,

,

,

,

,

,

,

Runciman, Steven British historian of

1903-

Byzantium

an outstanding Byzantine historian. He received encouragement and some formal training in the fieid from the great British ancient historian J.B. Bury, who was one of the first historians to recognize the Byzantine empire's importance to western civilization. Bury also contributed to Runciman's view of history, a view Runciman succinctly summarized in the preface of his 3-volume A History of the Crusades (1951-54): "I believe that the supreme duty of the historian is to write history, that is to say, to attempt to record in one sweeping sequence the greater events and movements that have swayed the destinies of man." He bemoaned the trend among contemporary historians to let "criticism overpower creation." In his opinion historians

Steven Runciman is

significantly

too much effort analyzing the past in a futile effort "reduce history to a series of economic or sociological laws, and that however thoroughly you may analyze some special institution, or even some limited period, you must go further." That is, historians must study every aspect of their topic or risk losing some nuances of its sequence of cause and effect. Historians who bisect events either by applying theoretical models to an age, or by using quantitative methods, restrict our understanding of the past because these methods seek to reveal underlying forces that determine the course of history. Runciman feels that the number of variables possibly affecting the outcome of any given sequence of cause and effect are so numerous that no theoretical model can account for them all. Thus we can never predict even the immediate future because unforeseen events or "accidents" occur that alter the current "sequence of intelligible cause and effect." Accidents take civilization in different and unforeseen directions. Runciman argues that making sense of the past requires historians to study all available primary sources on their topic. After these sources carefully to determine their accuracy, the historian can reconstruct as completely as possible a segment of the past. In short, Runciman advocates striving for a total history as the only way to obtain accurate pictures of past events. Historians must also use narrative to write their total histories, rather than the jargon of social scientists. Although his theory of history has sparked controversy, Runciman has always practiced what he preached. He researches his topic thoroughly and subjects his primary sources to rigorous critical

expended to

scrutinizing

analysis. Examples of Runciman's total history, although only on a much smaller scale than the Crusades, are The Emperor Romanus Lecapenus and His Reign (1929) and The Fall of Constantinople, 1453 (1965). What both books have in common is a determination to remove the negative bias that surrounded Byzantine civilization before the 20th century. By considering the Byzantine empire in a favorable light, Runciman's writings have played a prominent role in attacking that prejudice. The first book, which Byzantine specialists consider his major contribution to the field, contains an account of the Byzantine empire during the 10th century's early decades. It also contributed greatly to the revival of interest in Byzantine studies. The second book's theme is the enthralling and occasionally thrilling story of the Byzantine empire's last days. Runciman presented it as a tragic struggle between the rising power of the Ottoman Turks and the of the Byzantine empire. Rather than merely analyze the military strategy and tactics of both sides, he offered a picture of war as involving primarily suffering and courage, even for the victors. In the end the old empire died with dignity. The most impressive example of Runciman's narrative history is his general history of the Crusades. They studied the entire era, and are a monument to his rejection of the cautiously limited topics so popular among historians reaching for the definitive work. He approached the Crusades from a political perspective, and saw them as a force affecting the balance of power in the Levant. Consequently, the volumes offered little on institutional, legal, ecclesiastical, economic, or social structures. The work clearly revealed his admiration for the Byzantine empire, whose magnificence he compared to the "intolerance and dishonorable barbarity of the

authoritative

feebleness

unfavorably

West." While this verdict corrected the

anti-Byzantine bias of previous studies, critics have charged that portraying Byzantium as the hero and the West as the villain oversimplified the subject. Runciman did not restrict his research to centuries when the Byzantine empire existed, but considered its legacy under the Ottoman Turks in The Great Church in Captivity (1968). This book was the first to pursue the fate of one of Byzantium's greatest cultural institutions, the Orthodox church, under the Ottoman Turks. It also filled a large gap in Greek history. ROBERT F. FORREST

See also Balkans; Crusades

Biography James Cochran Stevenson Runciman Born Northumberland, 7 July 1903 Educated at Eton College ; Trinity College, Cambridge, BA 1924 MA 1928 ; fellow, 1927-38 Press attaché, British Legation, Sofia 1940 ; and British Embassy, Cairo 1941 ; professor of Byzantine art and history, University of Istanbul 1942-45 ; represented British Council in Greece, 1945-47 Independent scholar since 1947, with many advisory positions. Knighted 1958 .

.

.

,

,

,

,

.

.

Principal Writings The Emperor Romanus Lecapenus and His Reign: A Study of

Tenth-Century Byzantium 1929 History of the First Bulgarian Empire 1950 Byzantine Civilisation 1933 The Medieval Manichee: A Study of the Christian Dualist Heresy ,

A

,

,

,

1947

History of the Crusades , 3 vols., 1951-54 The Eastern Schism: A Study of the Papacy and the Eastern Churches during the Xlth and XIIth Centuries , 1955 The Sicilian Vespers: A History of the Mediterranean World in the Later Thirteenth Century, 1958 The White Rajahs: A History of Sarawak from 1841 to 1946 , i960 The Fall of Constantinople, 1453 , 1965 The Great Church in Captivity: A Study of the Patriarchate of Constantinople from the Eve of the Turkish Conquest to the Greek War of Independence, 1968 The Last Byzantine Renaissance , 1970 The Orthodox Churches and the Secular State , 1971 Byzantine Style and Civilization , 1975 The Byzantine Theocracy , 1977 Mistra: Byzantine Capital of the Peloponnese, 1980 A

power

over

the

king's

revenue, but argues that this power

was

persuasive rather than coercive. The monarch had other means of getting money, such as forced loans, the sale of monastic lands, and the revenues that were granted for life, such as and tonnage and poundage, and therefore had little need of Parliament's approval, except in times of great need, such as during war. Inflation strained this financial and administrative system, but it did not break down until the political crisis between king and Parliament arose in 1640. Russell asserted that historians such as Wallace Notestein have overestimated Parliament's strength and influence in the early 17th century. Parliament was not a dynamic force trying to push for its own political goals in this time, but a tool of the king and his ministers. The constitutional conflict of the mid-17th century arose as a result of the political and social conflict, not vice versa. Because Parliament did not have much power on its own, its members tried to ally themselves with the king and his court in order to govern by cooperation rather than coercion. They did not cause the events leading up to the English Civil War, but reacted to them. The local provinces and outside influences such as Scotland, Ireland, and Spain did far more to cause war in England than Parliament did. Russell also moves away from discussing the Royalists and Parliamentarians as distinct, cohesive groups, arguing that ideological and class divisions do not hold up when members of the two sides are examined closely. Russell has made an important contribution to historical theory by clearly explaining his revisionist philosophy, as well as his contributions to our understanding of the Civil War. Revisionism, according to Russell, is an attack on hindsight and teleology in history. It is an attempt to restore the political narrative to historical study and a resistance to the idea of English exceptionalism. It is also more complex than earlier history, he argues, because it does not rely on dualistic concepts such as court/country opposition. This view is currently being contested by historians such as Richard Cust and Ann Hughes, most notably in their edited collection of essays Conflict in customs revenue

Early

Stuart

England (1989). KRISTEN D. ROBINSON

See also Britain: 1485-1750;

Gardiner;

Political

Biography

Russell, British

Conrad 1937historian of early modern England

Conrad Sebastian Robert Russell , 5th Earl Russell. Born in Sussex, 15 April 1937, son of mathematician/philosopher Bertrand Russell, Studied at Merton College, Oxford, ΒΑ 1958, MA 1962 Taught at Bedford College, London , 1960-79 ; Yale University, 1979-84 ; University College, London , 1984-90 ; and King's College, London , from 1990 Married Elizabeth Franklyn Sanders , 1962 (2 sons). Succeeded to the family title , 1987 ; sits as Liberal Democrat, House of Lords .

.

Conrad Russell has achieved fame as a revisionist historian of 17th-century Britain. He sees the English Civil War not as an inevitable result of constitutional conflict between the Parliament and the king, but as a result of inherent mistrust between the two sides, and of financial crisis, foreign affairs, religious conflict between Puritans and Arminians, and the attempt to unify England, Scotland, and Ireland in one nation. His focus is essentially political, although social factors do figure into his account. Russell's argument gives much less power to Parliament than do previous historians' He links parliamentary power primarily to its financial

coercive arguments.

.

Principal Writings The Crisis of Parliaments: English History, 1509-1660 , 1971 Editor, The Origins of the English Civil War , 1973 " Parliamentary History in Perspective, 1604-1629," History 61

( 1976 ), 1 27 Parliaments and English Politics, 1621-1629 , 1979 The Causes of the English Civil War , 1990 -

Unrevolutionary England, 1603-1642 1990 of the British Monarchies, 1637-/642 ,

The Fall

,

1991

Further Reading

A.A. Shakhmatov

Cust , Richard , and Ann Hughes , eds., Conflict in Early Stuart England: Studies in Religion and Politics, 1603-1642 , London and New York : Longman , 1989 " Wende , Peter, Grundsatzkonflikt in der Konsensgesellschaft: Conrad " Russells Analyse der englischen Krise des 17. Jahrhunderts ( Basic Conflict in a Consensus Society: Conrad Russell's Analysis of the English Crisis of the 17th Century, Historische Zeitschrift 256 ( 1993 ), 387 95 -

who established its multiple century of time. This debate over origins fueled the first academic discussions in the Russian Academy of Sciences with opposition mounted by Mikhail Lomonosov (1711-65), who stressed Slavonic influences. Nikolai Karamzin's Istorila gosudarstva rossiiskogo (History of Russian State, 1818-29) further developed the picture of the political development of Russia from the end of the 9th century up to the beginning of the 17th century, based on already familiar as well as on manuscripts opened in the late 18th and early

authorship

(1864-1920),

over a

chronicles 19th

Russia: Medieval Medieval Russian history is generally subsumed between the period prior to the establishment of the Kievan state in the 11th century and the beginning of the reign of Peter the Great at the end of the 17th. Within this span of time, most historians have discerned five distinct periods, although their conceptualization sometimes varies. These five include, first, the foundation of the first notable state in the area known as Rus', Kievan Russia, which centered around the city of Kiev and flourished between the 9th and nth centuries. The second was a period of disintegration following the decline of Kiev. Sometimes referred to as the "Period of Feudal Partition" it reached from the 12th to the 14th centuries, and was characterized by strong boyar (noble) who went their own way, the predominance of the city of Novgorod, and by the pressures inflicted by the establishment of the "Golden Horde," under the descendants of Genghis Khan. It should be stressed that "feudalism" is too strong a term to describe either the Kievan state or its successors. Social organization still revolved around the clan and was more elastic than a feuda! system might suggest. This era also saw caused by invasions from the Mongol empire in the East, although the long-term impact was negligible. The third era (roughly the 14th and 15th centuries) saw first the organization of the Muscovite centralized state, its disintegration during the "Time of Troubles," and the enserfment of the peasants. Notable monarchs included Ivan III [the Great], Ivan IV [the Terrible], and Boris Godunov. The fourth period saw the of the Romanov monarchy in the 15 th and 16th centuries, while the fifth encompassed the formation of the autocratic state in the 16th and 17th centuries. Very little formal study of medieval Russian history emerged until the establishment in 1725 of the Russian Academy of Sciences. Early academicians included Gerard Fridrikh Miller (1705-83), August Ludwig Schlözer (1735-1809), and Theophilus Siegfried Bayer (1694-1738) all German by origin. They employed linguistic criticism and investigated various sources in order to create a chronicle of the Russian past from extant historical documents. This led to the Normanist which sought an explanation for the emergence of early Rus' society. Some historians saw its origins in the eastern Slavic tribes which had predominated in the area, while others located the growth of some sort of state in the incursions of the Swedish Varangians (or Normans), who, it has been argued, were seeking to extend trade routes to the Byzantine empire in the 9th and 10th centuries. Studies of this question have been rooted in close textual examination of Povest' vremennykh let (The Primary Chronicle), especially by

chronologically

families

disruption

establishment

-

Controversy,

centuries.

However,

Karamzin's

reputation

rests more on

his strength as a narrative historian than his insight as an one; he has been described as the last Russian chronicler. Subsequent debate has focused on the origins of the Rus' with George Vernadsky (1887-1973) trying to reconcile Normanist and anti-Normanist positions and Soviet scholars clinging to an eastern Slav explanation. After Karamzin historical debate on medieval Russia centered on the developmental aspects of the state. The tension replicated the more general intellectual trend to divide between Westernizers (supporters of Western civilization who saw its methods as necessary for Russian survival) and Slavophiles (those who wished to accentuate the internal or eastern

analytical

themselves,

influences development on

Russian

and

to

stress Russian

originality). Although particularity interrogated

this debate did not emerge and from historical study, it shaped the way historians sources on the Kievan and Muscovite states, among other things. These questions became unavoidable: how did the Russian Middle Ages basically differ from its Western and were the peculiarities of Russian history exceptions to general historical laws or were they typical? In concert with this historians began to look beyond the elite to understand the growth of the state. A second debate on the period searches for the origins of the Kievan state. Most historians long ago rejected the polarizing Normanist debate and have, like B.D. Grekov (1881-1953), found that the answer lies in the Varangian influence speeding processes already underway. Economic historians such as Kliuchevskii examined the importance of expanding trade in the development of the Kievan state, and argued that the inhabitants of Rus' were not primarily agriculturalists, but huntsmen and merchants. Grekov and others, however, and posited an agrarian society, whose growth had to do with agricultural prosperity. They discounted the importance of foreign trade, and recent archaeological evidence tends to confirm this part of Grekov's assessment. Historians have been less persuaded by his argument that a ruling class had been established within this framework. The extent to which medieval Russian society can be termed feudal follows on from this debate. Although clearly there were already large-scale landowners, most historians have failed to find the type of social relations that characterize feudal One of the first scholars to turn to the role of the common man was Nikolai Polevoi (1796-1846). In his work Istorila russkogo naroda (The History of Russian People, 1829-30) he considered the question of whether Russian feudalism was similar to Western feudalism, or something very different. He concluded that the two were similar, but his conclusions exerted little influence on the historical Other areas that have sparked historical debate around

counterparts?

networks

disagreed

organization.

establishment.

this era include the beginnings of Russian Christianity, the "Golden Age" of Kievan culture, which began during the age of Iaroslav the Wise, and the state's decline after Iaroslav's death in 1054. The decline of Kiev coincided with a period of external threat for the Rus'. On the one hand, the Mongol invasions loomed from the East, but the growth of the Crusades also saw Scandinavians and Teutonic knights moving through the region. Historians have focused on personalities such as Alexander Nevsky, who emerged to lead the military forces of Rus' in these years, as well as on the eventual rise of the Muscovite state.

The shift of power from Kiev to Moscow has evoked several explanations. Karamzin ascribed it to the influence of the Khanate of the Golden Horde. Pogodin saw geographical grounds as paramount. Solov'ev focused on Moscow as a of the communication network. Kliuchevskii stressed the commercial advantages and joined with P.N. Miliukov, S.F. Platonov, and others in stressing the forceful personalities of Muscovite princes. M.K. Liubavskii emphasized that as a center of migration, Moscow attracted a variety of people and this strengthened the population. Pokrovskii argued that a concentration of investment capital strengthened Moscow's position. Finally, Soviet historians stressed the breakdown of an inefficient feudal system. The Muscovite state was severely challenged during the Time of Troubles, which was a direct result of the contradictory policies evolved under Ivan IV. He succeeded in destabilizing the existing aristocracy through his oprichnina (administrative elite), which Platonov treated at great length in his Smutnoe vremia (1923; The Time of Troubles, 1970). Sergei Solov'ev and other representatives of the "State school" of Russian historiography such as Konstantin Kaveün (1818-85) and Boris Chicherin (1828-1904) also turned to the questions of medieval history of Russia. They were seeking to adduce historical laws which might explain long-term change both in Russia and in other countries. Their conclusion was that the shape of the contemporary Russian state was derived from what they termed the "ancestral state." This in turn was affected by the shifts in relationships between the tsar and his formal advisers, which had originally been rooted in personal relationships, sometimes based on family, but had come to be more formalized under Peter the Great. Solov'ev's own work stressed the importance of bringing the great estates under the control of the monarch, while V.O. Kliuchevskii and his students investigated the role of geography and the state. In the late 19th and early 20th centuries analyses began to shift toward a Marxist approach that emphasized the economic structures of society in the work of Mikhail Pokrovskii (1868-1932) and Nikolai Rozhkov (1868-1927), although Grekov was probably the most influential of these historians.

crossroads

They

were

subsequently joined by

Lev

Cherepnin (1905-77),

who focused on the Kievan state, Vladimir Pashuto (1918-79), who emphasized its foreign policy, and Mikhail Tikhomirov (1893-1965), who focused on the late medieval state. DMITRY A. GOUTNOV

See also Eastern

Orthodoxy; Karamzin; Kliuchevskii; Miliukov; Platonov; Schlözer; Solov'ev

Further Reading Bakhrushin Sergei Vladimirovich Ocherki po istorii remesla, torgovli i gorodov russkogo tsentralizovannogo gosudarstva XVl-nachala XVII vv (Studies on the History of Handcraft, Trade, and Cities in the Russian Centralized State from the i6th to the beginning of the 17th century ), Moscow : Akademii nauk ,

,

SSSR , 1952

Cherepnin Lev Vladimirovich Obrazovanie russkogo tsentralizovannogo gosudarstva ν XIV-XV vv ( The Formation of the Russian Centralized State in the 14th and 15th Centuries ), ,

,

Moscow : Sotsial'no-ekon.

lit-ry

,

i960

Cherepnin Lev Vladimirovich Vladimir Terent'evich Pashuto and Anatolii Petrovich Novosel'tsev Futi razvitiia feodalizma: Zakavkazie, Sredniaia Aziia, Rus, Pribaltika ( Paths of Feudal Development in the Caucasus, Middle Asia, Kievan Russia, and the Baltic Countries ), Moscow : Nauka 1972 Cherepnin Lev Vladimirovich Zemskie sobory ν russkogo gosudarstva ν XVI-XVH vv ( Elective High Councils in the Russian State in the 16th and 17th Centuries ), Moscow : Nauka 1978 Chicherin Boris Nikolaevich Opyty po istorii russkogo prava ( Experiences in the History of Russian Law ), Moscow : Barfknecht 1858 ,

,

,

,

,

,

,

,

,

,

,

Chistiakova , Elena Viktorovna , Gorodskie vosstaniia ν Rossii ν pervoi polovine XVII ν ( Early 17th-century Russian Town Revolts ), Voronezh : Izd-vo Voronezhskogo universiteta , 1975 Crummey, Robert O. , The Formation of Muscovy, 1304-1613 , London and New York : Longman , 1987 Fennell , John L. I. , The Emergence of Moscow, 1304-1359 , Berkeley : University of California Press , and London: Seeker and Warburg,

1968 Fennell , John L.I. , The Crisis of Medieval Russia, 1200-1304 , London and New York : Longman , 1983 Froianov, Igor' lakovlevich , Kievskata Rus' ( Kievan Russia ), 2 vols., Leningrad : Izd-vo Leningradskogo universiteta , 1974-80 Grekov, Boris Dmitrievich , Kievskata Rus' , Moscow : Akademii nauk SSSR , 1939 , originally published as Feodal'nye otnosheniia ν ktevskom gosudarstve , 1936 ; in English as Kiev Rus , Moscow : Foreign Languages Publishing House , 1959 Grekov, Boris Dmitrievich , Krest'iane na Rusi s drevneisbikh vremen do XVII veka (Peasants in Russia from Ancient Times to the 17th century ), 2 vols., Moscow : Akademii nauk SSSR , 1952-54 Karamzin , N. M. , Istorita gosudarstva rossiiskogo (History of the Russian State ) 12 vols., St. Petersburg : Voennaia , 1818-29 Kavelin , Konstantin Dmitrievich , Vzgliad na istoricbeskoe razvitie russkogo poriadka zakonnago nasledovaniia ( An Overview of the Historical Development of the Russian Lawful Order of Inheritance .), St. Petersburg : Wolf , 1860 Kliuchevskii , V. O. , Boiarskaia duma drevnei Rusi (The Boyar Duma in Old Rus ) Moscow, 1882 Kliuchevskii , V. O. , Kurs russkoi istorii , vols. 1-3, Moscow : Sinodal'naia , 1904-21 ; vol. 3 in English as A Course in Russian History: The Seventeenth Century, Chicago : Quadrangle , 1968 , and as The Rise of the Romanovs , London : Macmillan , 1970 Kochin , Georgii Evgen'evich , Sel'skoe kboziaistvo na Rusi ν periode obrazovaniia russkogo tsentralizovannogo gosudarstva, konets XM-nachala XVI vv ( Agriculture in Russia from the 13th to the 16th Centuries ), Leningrad : Nauka , 1965 Liubavskii , Matvei Kuz'mich , Lektsii po drevnei russkoi istorii ( Lectures on Russian History ), Moscow, 1918 Mavrodin , Vladimir Vasil'evich , Obrazovanie drevnerusskogo gosudarstva i formirovanie drevnerusskoi narodnosti ( Foundation of Ancient Russian State and Forming Ancient Russian Nationality ), Moscow : Vyssh. shkola , 1971 Miliukov, Pavel , Ocberki po istorii russkoi kul'tury , 3 vols., St. Petersburg : Mir bozhii , 1896-1903 ; in English as Outlines of Russian Culture , 3 vols., Philadelphia : University of Pennsylvania Press , 1942 ; abridged as The Origins of Ideology , Gulf Breeze, FL : Academic International , 1974 , and Ideologies in Conflict , Academic International , 1975 .

.

.

.

.

.

Pashuto , Vladimir Terent'evich , Vneshnaia politika drevnei Rusi ( Foreign Policy of Ancient Russia ), Moscow : Nauka , 1968 Pavlov-Sil'vanskii , Nikolai Pavlovich , Feodaiizm ν drevnei Rusi ( Feudalism in Ancient Russia ), St. Petersburg : Brokgauz-Efron , 1 907 ; revised 1924 Pavlov-Sil'vanskii , Nikolai Pavlovich , Feodaiizm ν udel'noi Rusi: izsledovanie ( Feudalism in Apanage Russia ), St. Petersburg : Stasiulevich , 1910 Platonov, S. F., Boris Godunov , Petrograd : Ogni , 1921 ; in English as Boris Godunov, Tsar of Russia , Gulf Breeze, FL : Academic International Press , 1973 Platonov, S. F., Ivan Groznyï, Petrograd : Brokgauz-Efron , 1923 ; in English as Ivan the Terrible , Gulf Breeze, FL : Academic International Press , 1974 Platonov, S. F. , Smutnoe vremia , Petrograd : Vremia , 1923 ; in English as The Time of Troubles: A Historical Study of the Internal Crisis and Social Struggle in Sixteenth- and Seventeenth-Century Muscovy , Lawrence : University of Kansas Press , 1970 Pogodin , Mikhail I'etrovich , Drevniaia russkaia istorila, do mongol'skago iga ( Russian History to the Mongol Invasions ), 3 vols., Moscow : Synolda'noi , 1871 ; reprinted The Hague: Mouton, 1971 Pokrovskii , Mikhail N. , Russkaia istorila s drevneishikh vremen , 5 vols., Moscow : Mir, 1910-13 ; abridged in English as History of Russia, from the Earliest Times to the Rise of Commercial Capitalism , New York : International Publishers , and London:

Lawrence,

1931

Polevoi , Nikolai Alekseevich , Istorila russkogo naroda ( The History of Russian People ), 6 vols., Moscow : Semena, 1829-30 Romanov, Boris Aleksandrovich , Liudi i nravy drevnei Rusi ( People and Dispositions of Ancient Russia ), Leningrad : Izd-vo Leningradskogo gos. ordena Lenina universiteta , 1947 Rozhkov, Nikolai Aleksandrovich , Russkaia istorila ν sravnitel'noistoricheskom osveshcbenii ( Russian History in Comparative Perspective ), 12 vols., St. Petersburg : Kniga , 1919-26 Rybakov, Boris Aleksandrovich , Kievskaia Rus' i russkie kniazbestva Xll-Xlll vv , Moscow : Nauka , 1982 ; in English as Kievan Rus , Moscow : Progress , 1989 Shakhmatov, Aleksei Aleksandrovich , Izsledovanie o iazyke novgorodskikh gramot XIII-XIV vv (Studies of the Language of 13th- and 14th-century Novgorodian Deeds ), St. Petersburg , 1887 Shmidt , Segurt Ottovich , Stanovlenie rossiiskogo samoderzhavstva ( Foundation of Russian Serfdom ), Moscow : Mysl , 1973 Skrynnikov, Ruslan G. , The Time of Troubles: Russia in Crisis, 1604-1618, edited and translated by Hugh F. Graham , Gulf Breeze, FL : Academic International Press , 1988 Smirnov, Ivan Ivanovich , Arkadii Georgievich Mankov, E. P. Podiapolskaia , and Vladimir Vasil'evich Mavrodin , Krest'ianskie votny ν Rossii XVll-XVUl vv ( Peasant Wars in 17th- and 18thCentury Russia ), Moscow : Nauka , 1966 Solov'ev, S. M. , Istorila Rossii s drevneishikh vremen , 29 vols., Moscow : Soldatenkova , 1851-79 ; in English as History of Russia , 48 vols, planned, Gulf Breeze, FL : Academic International Press ,

1976

-

Tikhomirov, Mikhail Nikolaevich , Rossiia ν XVI stoletii ( Russia in the 16th Century), Moscow : Akademii nauk SSSR , 1962 Tikhomirov, Mikhail Nikolaevich , Russkoe letopisanie ( Russian Chronicles ), Moscow : Nauka , 1979 Vernadsky, George , Ancient Russia , New Haven : Yale University Press , 1943

Vernadsky George The Origins of Russia Oxford : Oxford University Press 1959 ,

,

,

,

Veselovskii , S. B. , Feodal'noe zemlevladenie ν severo-vostochnoi Rusi ( Feudal Landowning in Northeast Russia ), Moscow : Akademii nauk SSSR , 1947 Zimin , Aleksandr Aleksandrovich , Rossia na poroge novogo vremeni: ocherki politicheskoi istorii Rossii ν pervoi treti XVI ν ( Russia on the Threshold of Modem Time: Studies on the Political History of Russia in the First Third of the 16th century ), Moscow :

Mysl'

,

1972

Russia:

Early Modern

(1462–189)

Russia's nation-state emerged with the end of Mongol suzerainty in 1480 and its expansion over the northern and central regions of European Russia under grand prince Ivan III (1462-1505). The Muscovite period lasted until the reign of Peter I (1689-1725) and the inception of the imperial era of St. Petersburg. Gustave Alef assessed the

beginning

of the Muscovite

state

in The

Origins of Muscovite Autocracy (1986). Alef attributed political power to the wisdom of Ivan III (1462-1505) and his manipulation of the old boyars (aristocrats) at court. The account of the reign of this grand prince remains that of John L.I. Fennell, Ivan the Great of Moscow (1961). Stressing Ivan's role as gatherer of the Russian lands, he provided a sound overview of events with an emphasis on territorial expansion. Nancy Shields Kollmann, in Kinship and Politics (1987), argued that primary ties of kinship were fundamental in shaping the nature of aristocratic and monarchical power in the rise of Muscovy.

standard

The roots of Muscovite autocracy have stimulated much discussion. George Vernadsky, in two volumes of his A History of Russia, Mongols and Russia (1951) and Russia at the Dawn of the Modem Age (1969), catalogued the political legacies of the Mongol state within Muscovy. Charles J. Halperin, in Russia and the Golden Horde (1985), surveyed the Mongol and post-Mongol periods and described the effects of that alien domination on the emergence of Muscovite institutions. Robert Croskey, in Muscovite Diplomatic Practice in the Reign of Ivan III (1987), showed that the new Russian court was neither Western nor Oriental in its dealings with others, adopting Western forms when dealing with European powers, and Eastern forms when dealing with Oriental nations. Nevertheless, Croskey noticed that the diplomatic ritual of Moscow's traditional submission to Tatar rulers took a long time to overcome. Yet Moscow's adoption of an imperial ideology would justify Ivan IV's conquest of Tatar Kazan in the mid-16th century. Such a theme was developed by Jaroslaw Pelenski in Russia and Kazan (1974). Dmitri Obolensky's Byzantium and the Slavs (1971) the Byzantine school. Church institutions appeared fundamental in his account, as also in James H. Billington's, The Icon and the Axe (1966), Billington likened Ivan the Terrible's arbitrariness to a perverse imitation of an abbot's rule over his monks. S.M. Solov'ev, in his account of the late 15th century in his mammoth Istorila Rossii s drevneishikh vremen (1851-79; History of Russia, 1976-), devoted space to the Byzantine court influence of Sophia

represented

considerable

Paleologue. Michael Cherniavsky's seminal essay, "Khan or Basileus" (1959) showed the continuity of both images of authority, Tatar and Byzantine, throughout the reign of Ivan IV, stressing the point that such images were not synthesized, but remained separate and powerful. Notwithstanding the Mongol and Byzantine influences, most historians, when discussing the instruments of autocracy, followed the classic 19th-century historians Solovi'v and Vasilii Osipovich Kliuchevskii, Kurs Russkoi istorila (1904-10; A History of Russia, 1911-31). Discussion has focused on the opricbnina (administrative elite, and the territory assigned to this elite) of Ivan IV as the ultimate instrument of autocracy.

Solov'ev found Ivan's

progressive

in

policies, despite

centralizing the

state

his

personal aberrations,

against divisive

aristocratic

interests; but to Kliuchevskii the oprichnina was a product of Ivan's disordered mind. Sergei Fedorovich Platonov's Ivan Groznyï (1923; Ivan the Terrible, 1974) and A.A. Zimin's Oprichnina Ivana Groznogo {Oprichnina of Ivan the Terrible, 1964), adhered to Solov'ev's conclusion and, while admitting some irrational behavior in the tsar, accepted his rationale for state welfare. Others followed the Kliuchevskii school, such as S.B. Veselovskii in lssledovaniia po istorii opricbniny (Investigations into the History of the Oprichnina, 1967), who regarded this institution as mainly designed to protect the person of Ivan IV. Robert O. Crummey's, Reform in Russia and the USSR (1989), applauded the governmental reforms of tsar Ivan but rejected the oprichnina as anything visionary, finding it rooted in Ivan's diseased mind. Debates about the rule of Boris Godunov and his alleged involvement in the murder of tsarevich Dmitrii in Uglich have continued without resolution. Historians of the 19th century accepted the traditional version of the early Romanovs that Boris had sent agents to kill the tsarevich. However, Sergei Fedorovich Platonov in Boris Godunov (1921; English 1973) defended Boris against that accusation and viewed his state policies as westernization. Ruslan G. Skrynnikov's Boris Godunov (1978; English translation, 1982) depicted his career similarly, and G. Edward Orchard, in his article "Boris Godunov" (1977), argued for the reliability of the investigating commission to Uglich dispatched by Godunov. The resulting Time of Troubles from 1605 to 1613 was viewed by historians of the 19th century (Karamzin, Solov'ev, and Kliuchevskii) as introducing a new period of Russian that revealed how previous state policies were successful in forming a popular conception of statehood. Platonov and Skrynnikov provided thorough accounts, the former in Smutnoe vremia (1923; Time of Troubles, 1970), and the latter in The Time of Troubles (1988). Platonov gave due respect to the class conflicts which he perceived in that turmoil. Skrynnikov's pages were nationalistic, critical of the aristocracy, and favorable to

translation,

history

the

common

people.

Literature remains thin on the early Romanovs, and readers are largely left with the classic history of Kliuchevskii (Kurs russkoi istorii) whose account of the 17th-century was well told in a modern translation, A Course in Russian History: The Seventeenth Century (1968). Michael's reign was covered well in John L.H. Keep's essay in The New Cambridge Modern History {1970), wherein the author the revival of autocracy. Tsar Alexis (1645-76) was the subject of Philip Longworth's Alexis, Tsar of all the Russias (1984), a work that explained the nature of the tsar's struggle with patriarch Nikon, and Russia's territorial expansion. Sophia (1657-1704) received attention in the work by Lindsey A.J. Hughes' Sophia, Regent of Russia (1990), which exposed a number of myths about this older sister of Peter I and noted that she was less of a westerner than sometimes thought. The boyars and dvoriane (service class) have been the subject of numerous analyses, particularly as they shed light on the nature of the autocracy, their promotion of peasant bondage, and their comparison with Western aristocratic counterparts. Works by Alef and Kollman, cited above, have delineated the

developments chronicled

personal relationships and rivalries among the aristocracy in the early Muscovite era. Crummey's Aristocrats and Servitors (1983) traced similar themes among Moscow nobles in the 17th century, noting how time altered those arrangements. Biographical work remains scant on individual noblemen, but Hughes' Russia and the West (1984) provided an intriguing story of an influential figure in the diplomatic service of the regency, noting that prince Golitsyn's love affair with Sophia enabled him to become powerful. The dvoriane was treated in connection with the evolution of peasant bondage. Richard Hellie argued in Enserfment and Military Change in Muscovy (1971) that the "middle" service class, fearful of peasant flight when they were at war, the state to adopt the "Forbidden Years" prohibiting peasant departures. Surveys of the peasant question remain provocative for the Muscovite period. Jerome Blum's Lord and Peasant in Russia from the Ninth to the Nineteenth Century (1961) traced the similarity of Russian peasant bondage to the evolution of serfdom in Western Europe, arguing that was incidental and that serfdom would have developed even under different political conditions an argument that has not gone unchallenged. Another study by Hellie, Slavery in Russia, 1450-1715 (198z), traced the evolution of serfdom into slavery, but noted that slaves had legal rights in the code of 1649. Much energy has been devoted to town life in the Muscovite era. Samuel H. Baron asked "Who were the Gostii" (1973). Baron concluded that there was little perception of an spirit. Few great merchant families survived more than two or three generations and were often victims of and destructive policies of the ruler. Paul Bushkovitch, in The Merchants of Moscow (1980), indicated that the gosti were a viable economic group within the Eastern European perspective but admitted that they never had the bargaining powers of Western merchant guilds. J. Michael Hittle in The Service City (1979) developed the thesis that Russian urban development was different from the European phenomenon in that Russian towns were more administrative and military centers than economic ones, and consequently more directly affected by actions of the monarch. Most Soviet writers, such as Pavel Petrovich Smirnov in Posadskie liudi i ikh klassovaia bor'ba do serediny XVII veka (The Urban Classes and Their Class Struggles until the Mid-i7th Century, 1947-48), clung to the position that Russian towns had freed themselves from the feudal yoke, gaining special juridical status. The standard account of religious history of Russia is still that of P.N. Miiiukov in Ocherki po istorii russkoi kul'tury (1896-1903; Outlines of Russian Culture, 1942). Church institutions, religious ideology, and the schism of the 17th century were covered in this volume. Paul Bushkovitch's Religion and Society m Russia (1992) described the nature of the church and how the reforms of Peter I were prepared for by developments in this earlier period. Monastic authority, elite spirituality, public versus private religiosity, canonization, and rise of sermon are some of the topics that he discussed. David Goldfrank clarified the "Tale of the White Cowl" and its into the doctrine of "Moscow, the Third Rome" (1981). Cherniavsky's "The Old Believers and the New Religion" (1970) described how the political theology of the Raskol was a response to secularist trends. Jack E. Kollman Jr. in "The

pressured

autocracy -

entrepreneurial

arbitrary

evolution

Council and Parish Priests" (1980) wrote about efforts reform clerical education, clerical marriages, appointments, income, and responsibilities in the i6tb century. Georges

Stoglav

Further Reading

to

Alef, Gustave , Rulers and Nobles in Fifteenth-Century Muscovy , London : Variorum , 1983 Alef, Gustave , The Origins of Muscovite Autocracy: The Age of Ivan III , Wiesbaden : Harrassowitz , 1986 Baron , Samuel H. , " Who Were the Gostii ," California Slavic Studies 7 ( 1973 ), 1 40 Baron , Samuel H. , Muscovite Russia: Collected Essays , London : Variorum , 1980 Baron , Samuel H , Explorations in Muscovite History , Aldershot : Variorum , 1991 Bater, James H. , and R. A. French , eds., Studies in Russian Historical Geography , 2 vols., London and New York : Academic Press , 1983 Billington , James H. , The Icon and the Axe: An Interpretive History of Russian Culture , New York : Knopf , and London: Weidenfeld and Nicolson, 1966 Blum , Jerome , Lord and Peasant in Russia from the Ninth to the Nineteenth Century, Princeton : Princeton University Press , 1961 Brown , William Edward , A History of Seventeenth-Century Russian Literature , Ann Arbor : Ardis , 1980 Bushkovitch , Paul , The Merchants of Moscow, 1580-1650 , Cambridge and New York : Cambridge University Press , 1980 Bushkovitch , Paul , Religion and Society in Russia: The Sixteenth and Seventeenth Centuries , New York : Oxford University Press ,

Florovsky in Futi russkogo bogosloviia (1957; Ways of Russian Theology, 1979) addressed the matter of church silence concerning theological questions, relating it in part to the timing of Russia's adoption of Christianity in the 10th century. Edward V. Williams' The Bells of Russia (1985) addressed a subject when he demonstrated significant ties between Muscovite technology and religion. Several specialized studies have broken new ground. Eve Levin's Sex and Society in the World of the Orthodox Slavs, 900-1700 (1989) treated women's history from a broad chronological perspective, analyzing church influence, or the lack thereof, on a range of subjects affecting sexuality and marriage. Alexander A. Sydorenko's The Kievan Academy in the Seventeenth Century (1977) traced the academy's on both Ukrainian and Muscovite intellectual life. And Linda Gordon's Cossack Rebellions (1983) showed how economically unstable were Ukrainian and Cossack societies before the Khmelnytsky upheaval. Imperialism was the subject of George V. Lantzeff's Siberia in the Seventeenth Century (1943). The author studied both central and local administrations and their interrelations with church and commerce. Lantzeff and Richard A. Pierce's Eastward to Empire {1973) explored some of the same themes but with greater attention to the role that individuals played in the Asiatic expansion. A challenging literary controversy was begun by Edward L. Keenan, Jr. in The Kurbskii-Groznyi Apocrypha (1971). Arguing from linguistic evidence, he concluded that these supposedly 16th-century texts were written in the 17th century as either political or literary exercises, perhaps by one Semen Shakhovskii. Soviet scholars defended the authenticity of that correspondence. See, for example, Skrynnikov's Perepiska Groznogo i Kurbskogo (The Correspondence of Ivan the Terrible and Prince Kurbsky, 1973)· Ann M. Kleimola's Justice in Medieval Russia (1975) drew attention to emerging and evolving legal due process, including the role of testimony and written evidence in early Muscovite justice. She concluded that the system of law was workable and rational. Specific codes of Ivan III and IV were analyzed by Daniel Kaiser in The Growth of Law in Medieval Russia (1980), and that of Alexei by Hellie in "Early Modern Russian Law" (1988). In the realm of popular culture historians are indebted to Russell Zguta's Russian Minstrels (1978). Zguta showed Skomorokhi contributions to Russian music, dance, and theater, including the puppet theater. Tsar Alexei banned their use of masques in dramatic presentations since they were thought to weaken moral and religious foundations within society. While historians of early modern Russia have their themes of investigation, most social and even cultural studies continue to reflect the dominant concern with the phenomenon of the Russian state. This trend, no doubt, will continue. new

sometimes

influence

broadened JOHN

D. WINDHAUSEN

Blum; Karamzin; Kliuchevskii; Obolensky; Platonov; Solov'ev; Vernandsky

See also

-

,

1992 " Khan , , Medieval Political Theory,"

Cherniavsky Michael

( 1959 ), 459 76 Cherniavsky Michael

or

Basileus: An Aspect of Russian

Journal of the History of Ideas

10

-

,

" ,

in his The Structure

The Old Believers and the New Religion," of Russian History: Interpretive Essays New ,

York : Random House , 1970 Clements , Barbara Evans , Barbara Alpern Engel , and Christine D. Worobec , eds., Russia's Women: Accommodation, Resistance, Transformation, Berkeley : University of California Press , 1991 Croskey, Robert , Muscovite Diplomatic Practice in the Reign of Ivan III , New York : Garland , 1987 " Crummey, Robert O. , Ivan the Terrible ," in Samuel H. Baron and Windows on the Russian Past: Essays Heer Whittier , eds., Nancy on Soviet Historiography stnce Stalin , Columbus, OH : American Association for the Advancement of Slavic Studies , 1977 Crummey, Robert O. , Aristocrats and Servitors: The Boyar Elite in Russia, 1613-1689 , Princeton : Princeton University Press , 1983 Crummey, Robert O. , The Formation of Muscovy, 1304-1613 , London and New York : Longman , 1987 " Crummey, Robert O. , Constitutional Reform during the Time of Troubles" and "Reform under Ivan IV: Gradualism and Terror," in Crummey , ed., Reform in Russia and the USSR: Past and : University of Illinois Press , 1989 Prospects , Urbana " Domar, Evsey, The Causes of Slavery or Serfdom: A Hypothesis ," Journal of Economic History 30 ( 1970 ), 18 32 Fennell , John L.I. , Ivan the Great of Moscow , London: Macmillan, and New York : St. Martin's Press , 1961 Florovsky, Georges , Puti russkogo bogosloviia , Paris : YMCA Press , 1957 ; in English as Ways of Russian Theology , Belmont, MA : Nordland , 1979 Goldfrank , David , Moscow, the Third Rome ," in Joseph L. Wieczynski , ed., A Modern Encyclopedia of Russian and Soviet History , vol. 23 , Gulf Breeze, FL : Academic International Press , -

"

1981 Gordon , Linda , Cossack Rebellions: Social Turmoil in the SixteenthCentury Ukraine , Albany : State University of New York Press , 1983 Grobovsky, Antony N. , The "Chosen Council" of Ivan IV: A Reinterpretation , Brooklyn, NY: Gaus , 1969 Halecki , Oskar, Borderlands of Western Civilization: A History of East Central Europe , New York : Ronald Press , 1952 Halperin , Charles J., Russia and the Golden Horde: The Mongol Impact on Medieval Russian History , Bloomington : Indiana University Press , 1985 ; London: Tauris, 1987

Hamilton , George Heard , The Art and Architecture of Russia , Harmondsworth and Baltimore : Penguin , 1954 ; 3rd edition 1983 Hellie , Richard , Enserfment and Military Change in Muscovy , Chicago : University of Chicago Press , 1971 Hellie , Richard , " The Stratification of Muscovite Society: The Townsmen ," Russian History 5 ( 1978 ), 119 75 Hellie , Richard , " Muscovite Slavery in Comparative Perspective," Russian History , 6 ( 1979 ), 133 209 Hellie , Richard , Slavery in Russia, 1450-171 ;, Chicago : University of Chicago Press , 1982 Hellie , Richard , " Early Modern Russian Law: The Ulozhenie of 1649," Russian History 15 ( 1988 ), 155 80 Hittle , J. Michael, The Service City: State and Townsmen in Russia, 1600-1800 , Cambridge, MA : Harvard University Press , 1979 Howes , Robert Craig, ed, and trans., The Testaments of the Grand Princes of Moscow , Ithaca, NY : Cornell University Press , 1967 Hrushevsky, Mykhailo , A History of Ukraine , New Haven : Yale University Press , 1941 ; reprinted Hamden, CT: Archon, 1970 Hughes , Lindsey A.J. , Russia and the West: The Life of a Seventeenth Century Westernizer, Prince Vasily Vasil'evich Golitsyn (1643-1714) , Newtonville, MA : Oriental Research Partners , 1984 Hughes , Lindsey A.J. , Sophia, Regent of Russia, 1657-1704 , New Haven : Yale University Press , 1990 Kaiser, Daniel J. , The Growth of Law in Medieval Russia , Princeton : Princeton University Press , 1980 " Kami-ski , Andrzej, The Cossack Experiment in Szlachta Democracy in the Polish-Lithuanian Commonwealth: The Hadiach (Hadziacz) Union ," Harvard Ukrainian Studies 1 ( 1977 ), -

-

-

178

-

97

Karamzin , N. M. , Istorila gosudarstva rossiiskogo ( History of the Russian State ) 12 vols., St. Petersburg : Voennaia , 1818 -29 Kashtonov, S.M. , " The Centralised State and Feudal Immunities in Russia ," Slavonic and East European Review 49 ( 1971 ), 235 54 Keenan , Edward L. , Jr. , The Kurbskii-Groznyi Apocrypha: the Seventeenth-century Genesis of the "Correspondence" Attributed to Prince A. M, Kurhskit and Tsar Ivan IV, Cambridge, MA : Harvard University Press , 1971 Keenan , Edward L. , Jr. , " The Trouble with Muscovy: Some Observations upon Problems of the Comparative Study of Form and Genre in Historical Writing," Medievalia et Humanística: Studies in Medieval and Russian Culture new series 5 ( 1974 ), -

103 26 -

"

Keep John L.H. Russia, 1613-45 ," 'n J P Cooper ed., The New Cambridge Modern History vol. 4 Cambridge : Cambridge University Press 1970 Kleimola Ann M. Justice in Medieval Russia: Muscovite Judgment Charters of the Fifteenth and Sixteenth Centuries Philadelphia : American Philosophical Society 1975 (Transactions of the American Philosophical Society, new series, 65 ) Kliuchevskii V. O. Kurs russkoi istorii 5 vols., Moscow 1904-10; in English as A History of Russia 5 vols., London : Dent and New York: Dutton, 1911-31 ; selections as A Course in Russian History: The Seventeenth Century Chicago : Quadrangle 1968 Kollman Jack E. Jr. The Stoglav Council and Parish Priests ," Russian History 7 ( 1980 ), 65 91 Kollmann Nancy Shields Kinship and Politics: The Making of the Muscovite Political System, 1345-1547 Stanford, CA : Stanford University Press 1987 Lantzeff George V. Siberia in the Seventeenth Century: A Study of the Colonial Administration Berkeley : University of California Press 1943 ; reprinted New York: Octagon, 1972 Lantzeff George V. and Richard A. Pierce Eastward to Empire: Exploration and Conquest on the Russian Open Frontier to 1750 Montreal : McGill-Queen's University Press 1973 Lazarev Viktor Nikitich Old Russian Murals and Mosaics from the Eleventh to the Sixteenth Century London : Phaidon 1966 ,

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,

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,

,

,

,

,

,

,

,

,

,

,

,

,

"

,

,

-

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

Mancali , Mark , Russia and China: Their Diplomatic Relations to 1718 , Cambridge, MA : Harvard University Press , 1971 Marker, Gary, " Literacy and Literacy Texts in Muscovy: A Reconsideration ," Slavic Review 49 ( 1990 ), 74 89 Mazour, Anatole G. , An Outline of Russian Historiography , Berkeley : University of California Press , 1939 ; revised as Modern Russian Historiography , Princeton, NJ: Van Nostrand , 1958 ; revised Westport, CT: Greenwood Press, 1975 Miasnikov, Vladimir Stepanovich , Imperila Tsin i russkoe gosudarstvo ν XVII veke , Moscow : Nauka , 1980 ; in English as The Ch'ing Empire and the Russian State in the Seventeenth Century, Moscow : Progress , 1985 Miliukov, Pavel , Ocherki po istorii russkoi kul'tury , 3 vols., St. Petersburg : Mir bozhii , 1896-1903 ; in English as Outlines of Russian Culture , 3 vols., Philadelphia : University of Pennsylvania Press , 1942 ; abridged as The Origins of Ideology , Gulf Breeze, FL : Academic International , 1974 , and Ideologies in Conflict , Academic International , 1975 Obolensky, Dimitri , Byzantium and the Slavs: Collected Studies , London : Variorum , 1971 O'Brien , Carl Bickford , Russia under Two Tsars, 1681-1689: The Regency of Sophia Alekseevna , Berkeley : University of California -

Press , 1952

Orchard , G. Edward , " Boris Godunov," Modern Encyclopedia of Russian and Soviet History , vol. 5 , Gulf Breeze, FL : Academic International Press , 1977 Pallot , Judith , and Dennis J. B. Shaw , Landscape and Settlement in Romanov Russia, 1613-1917 , Oxford and New York : Oxford University Press , 1990 Pelenski , Jaroslaw, Russia and Kazan: Conquest and Imperial Ideology, 1438-1560s, The Hague: Mouton , 1974 Pelenski , Jaroslaw, " The Origins of the Official Muscovite Claims to the Kievan Inheritance ," Harvard Ukrainian Studies 1 ( 1977 ), -

Folkways ," Russian

-

,

,47-1157-129

Longworth Philip The Cossacks New York : Holt Rinehart and London: Constable, 1970 Longworth Philip Alexis, Tsar of all the Russias New York : Watts and London: Seeker and Warburg, 1984

29 52

Keenan , Edward L. , Jr. , " Muscovite Political Review 45 ( 1986 ), 115 81

,

Levin , Eve , Sex and Society in the World of the Orthodox Slavs, 900-1700 , Ithaca, NY : Cornell University Press , 1989 " Lewitter, L. R. , Poland, the Ukraine, and Russia in the Seventeenth and East European Review 27 ( 1948-49 ), Slavonic Century,"

,

,

,

,

"

, Werner, Russia, the Beginning of Westernization ," in J. S. Bromley, ed., The New Cambridge Modern History , vol. 6 : The Rise of Great Britain and Russia, 1688-171/25 , Cambridge : Cambridge University Press , 1961 Pipes , Richard , Russia under the Old Regime, New York : Scribner, and London: Weidenfeld and Nicolson, 1974 Platonov, S.F. , Boris Godunov , Petrograd : Ogni , 1921 ; in English as Boris Godunov, Tsar of Russia , Gulf Breeze, FL : Academic International Press , 1973 Platonov, S. F., Ivan Groznyi , Petrrograd : Brokgauz-Efron , 1923 ; in English as Ivan the Terrible , Gulf Breeze, FL : Academic International Press , 1974 Platonov, S. F., Smutnoe vremia , Petrrograd : Vremia , 1923 ; in English as The Time of Troubles: A Historical Study of the Internal Crises and Social Struggle in Sixteenth- and Seventeenth-Century Muscovy , Lawrence : University Press of Kansas , 1970 Presniakov, Aleksandr Evgen'evich , Moskovskoe tsarstvo , Petrograd : Ogni, 1918 ; in English as The Tsardom of Muscovy , Gulf Breeze, FL : Academic International Press , 1978 Pushkarev, Sergei Germanovich , Dictionary of Russian Historical Terms from the Eleventh Century to 1917, New Haven : Yale University Press , 1970 Pushkarevna , Natalia Lvovna , Women in Russian History: From the Tenth to the Twentieth Century, Armonk, NY: Sharpe , 1997 " Rowland , Daniel , The Problem of Advice in Muscovite Tales about the Time of Troubles ," Russian History 6 ( 1979 ), 259 83

Phillip

-

Skrynnikov Ruslan

G. ,

,

Perepiska Grozitogo

i

Kurbskogo: paradoksy

Edvarda Kinana ( The Correspondence of Ivan the Terrible and Prince Kurbsky: The Paradoxes of Edward Keenan ), Leningrad : Nauka , 1973 Skrynnikov, Ruslan G. , Ivan Groznyï , Moscow : Nauka , 1975 ; in English as Ivan the Terrible, Gulf Breeze, FL : Academic International Press , 1981 Skrynnikov, Ruslan G. , Boris Godunov , Moscow : Nauka , 1978 ; in English as Boris Godunov, Gulf Breeze, FL : Academic International Press , 1982 Skrynnikov, Ruslan G. , The Time of Troubles: Russia in Crisis, 1604-1618 , edited and translated by Hugh F. Graham , Gulf Breeze, FL : Academic International Press , 1988 Smirnov, Pavel Petrovich , Posadskie liudi i ikh klassovaia bor'ba do serediny XVII veka (The Urban Classes and Their Class Struggles until the Mid-17th Century), 2 vols., Moscow : Academy of Sciences , 1947-48 Smith , Robert E.F. , Peasant Farming in Muscovy , Cambridge and New York : Cambridge University Press , 1971 Solov'ev, S. M. , Istorila Rossii s drevneishikh vremen , 29 vols., Moscow : Soldatenkova , 1851-79; in English as History of Russia, 48 vols, planned, Gulf Breeze, FL : Academic International Press ,

1976 Subtelny

-

Orest , Ukraine: A

,

History Toronto : University of Toronto ,

Press 1988 Sydorenko Alexander Α. The Kievan Academy in the Seventeenth Century Ottawa : University of Ottawa Press 1977 Sysyn Frank E. Between Poland and Ukraine: The Dilemma of Adam Kysil, 1600-1653 Cambridge, MA : Harvard Ukrainian Institute 1985 Trubetzkoy Nikolai Sergeevich The Legacy of Genghis Khan and Other Essays on Russia's Identity Ann Arbor : Michigan Slavic ,

,

,

,

,

,

,

,

Publications , 1991

Vernadsky George A History of Russia 5 vols., New Haven : Yale University Press 1943-69 Vernadsky George Russian Historiography: A History Belmont, MA : Nordland 1978 Veselovskii S. B. Issledovaniia po istorii oprichniny ( Investigations into the History of the Oprichnina ), Moscow : Nauka 1967 Vipper Robert Iur'evich Ivan Groznyi Moscow : Del'fin 1922 ; in English as Ivan the Terrible Moscow: Foreign Languages Publishing House 1947 Volotskii Iosif Dukhovnaia gramota prepodobnogo igumena losifa o monastyrskom ·, in English as Monastic Rule of Iosif Volotskii Kalamazoo, MI : Cistercian 1983 Vucinich Alexander Science in Russian Culture, vol. 1: A History to i860 Stanford, CA : Stanford University Press 1963 Williams Edward V. The Bells of Russia: History and Technology Princeton : Princeton University Press Γ985 Zguta Russell Russian Minstrels: History of the Skomorokhi Philadelphia : University of Pennsylvania Press 1978 Zimin Aleksandr Aleksandrovich Oprichnina Ivana Groznogo Moscow : Mysl 1964 ; in English as Oprichnina of Ivan the ,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

Terrible , 1964

Since the late

-

-

indigenous

continuities:

improvisations financial

translated

examined

Russia: Modern (since 1690) experienced

critics,

-

,

,

constituted

outgrowth

,

,

ethnic state, and on the difficulty of establishing democratic institutions in such a social-historical context. For over two centuries the reign of Peter the Great has a touchstone of historical scholarship. Peter's early such as the conservative gentry historian M.M. Shcherbatov writing in his treatise O povrezhdenii nravov ν Rossii (written 1780, published 1858; On the Corruption of Morals in Russia, 1969), accused Peter of violently destroying Russia's indigenous national culture for the sake of importing Western ways. Early for example, V.N. Tatishchev, writing in Istorila admirers treated Peter's reforms rossiiskaia (Russian History, 1760-) as critical contributions to Russia's welfare; M.P. Pogodin's Istoriko-kriticheskie otryvki (Historical-Critical Fragments, 1846-57) credited Peter with imaginatively building on institutions and on borrowed foreign models to create qualitatively new, stable political and social institutions. Mid19th-century liberal historians, such as B.N. Chicherin and S.M. Solov'ev, emphasized not so much the discontinuities attending the Petrine reforms as their historical and social Chicherin's Oblastnye uchrezhdeniia Rossii ν XVII-m veke (Provincial Institutions of Russia in the 17th Century, 1856) declared that Peter's reformism was an organic of Muscovite state-building; Solov'ev's Publichnye chteniia o Petre Velikom (Public Lectures on Peter the Great, 1872.) asserted that the Petrine reforms were organic in two senses as the logical outcome of 17th-century trends, and as a rational response to demands by Peter's own contemporaries. Virtually every Russian historian before 1890 credited Peter with strengthening Russia's military forces and using them to extend the empire's borders. Late 19th-century historians were generally far more critical of Peter than their predecessors had been. V.O. Kliuchevskii's masterful portrait of Peter in lectures 64-79 of Kurs russkoi istorii (1904-21; A History of Russia, 1911-31; and Peter the Great, 1958) suggested that Peter's reforms were mostly adopted in response to particular military and emergencies. P.N. Miliukov's Gosudarstvennoe khoziaistvo Rossii ν pervoi chetverti XVIII stoletiia i reforma Petra Velikogo (Russia's State Economy in the First Quarter of the 18th Century and the Reform of Peter the Great, 1890-92) and Ocherki po istorii russkoi kul'tury (1896-1903; partially as The Origins of Ideology, 1974, and Ideologies in Conflict, 1975), developed this argument further. Under Peter, he asserted, the government taxed the peasantry more onerously than before in order to finance Peter's military undertakings. The Petrine empire was built on the backs of peasant laborers. Early Marxist historians, such as M.N. Pokrovskii, the Petrine reforms from a materialist perspective: thus, Pokrovskii's Russkaia istorila ν samom szhatom ocberke (1923; Brief History of Russia, 1933) saw Peter's economic reforms as an attempt to collaborate with the Russian bourgeoisie in the rapid creation of a mercantile economy capable of competing with other European economies. The determinist tinge of Pokrovskii's work failed to satisfy B.I. Syromiatnikov, whose

century perhaps no European nation has political instability than Russia. Periods of totalitarian rule have been punctuated by

17th

more

authoritarian and dramatic reforms from above, by four revolutions from below, by foreign invasions, and by almost incessant peripheral wars. Historical writing on modern Russia has therefore focused broadly on the tension between the centralized state and its opponents, on the costs of empire and modernity in a multi-

"Reguliarnoe" gosudarstvo

Petra pervogo i ego

ideologtia Ideology, 1943), treated Peter as a Russian Napoleon before the fact, whose "balancing" between declining gentry and rising bourgeoisie enabled him to chart a course largely independent of either social class. After 1934, Stalinist historians praised Peter as military leader and ("Regular"

State of Peter I and Its

empire builder, but decried his exploitation of the Russian According to this line, Peter was simultaneously a heroic leader and an "enemy of the people." Perhaps the most

peasantry. from and balanced of comprehensive within the tradition Pavlenko's treatment

Soviet

historiographical

Peter to emerge was N.I.

Petr velikii (Peter the Great, 1990). Pavlenko authoritatively analyzed Peter's social-economic reforms in the context of his

building, his successful extension of the empire, and his foreign policy. After 1945 the "Peter question" occupied several important state

Western historians. Reinhard Wittram's Peter I: Czar und Kaiser (Peter I: Tsar and King, 1964) has been the standard biography

for the past generation. In a series of books, especially his The Well-Ordered Police State (1983), Marc Raeff has argued that Peter was trying self-consciously to introduce into Russia a Polizeistaat of the Central European type; the absence in Russia of gentry institutions that could check the authority of the central bureaucracy ultimately led, in Raeff's opinion, to Russia's subsequent failure to develop into a Rechtsstaat. James Cracraft's The Church Reform of Peter the Great (1971) showed how Peter engineered the abolition of the patriarchate and broueht about the bureaucratic submission of church to state. The most lively recent work on Peter has come from E.V. Anisimov, whose book Vremia petrovskikh reform (1989; The Reforms of Peter the Great, 1993) depicted Peter as a on the throne," a dreamer who broke with his country's past in order to realize an unrealizable utopia. Anisimov provocatively included Peter in the line of rulers extending from Ivan the Terrible to Stalin. Anisimov also rejected what other historians had considered Peter's greatest achievement the extension of the empire. Until recently, the period from 1725 to 1762. was perhaps the most underworked era in Russian historiography. The most authoritative survey of politics and foreign policy was written over a century ago by S.M. Solov'ev, in volumes 19 to 24 of his Istorila Rossii s drevneishikb vremen {History of Russia since Ancient Times, 1869-74); V.O. Kliuchevskii's lectures 70-73 in Kurs russkoi istorii were perceptive popularizations based on Soiov'ev's exhaustive labors. The mid-18th century interested Soviet historians insofar as they could locate there the roots of later peasant rebellions. Thus, P.K. Alefirenko's Krest'ianskoe dvizhenie i krest'ianskii vopros υ Rossii ν 30-50e gg. XVIII veka (Peasant Movement and Peasant Question in Russia from the 1730s to the 1750s, 1958) and V.V. Mavrodin's Klassovaia bor'ba i obsbchestvenno-politicheskaia mysl' ν Rossii ν XVIII veka (Class Struggle and Social-Political Thought in 18th-Century Russia, 1964) examined peasant protests and serfdom and the reaction of educated society to those protests. A revisionist picture of the period has been by E.V. Anisimov. His Rossiia bez Petra (Russia Without Peter, 1994) argued that, in 1730, court nobles missed a real chance to abolish the autocracy; his analysis of political crimes under Anna Ivanovna and her favorite Biron demonstrated that the number of prisoners did not much exceed that in other decades of the century. Anisimov's Rossiia ν seredine XVIII veka (Russia in the mid-i8th Century, 1986); as Empress Elizabeth, 1995) examined court politics and imperial affairs

"revolutionary "totalitarian" -

provided

under Flizaheth. Two Western scholars have written important monographs on the period: Brenda Meehan-Waters' Autocracy and Aristocracy

(1982) argued that the Muscovite elite reforms, but accepted and learned

Petrine

P. LeDonne

departed sharply

not to

only survived the

profit by them. John

from the dominant Western

and the educated public that portrayed the paradigm often hostile social formations. state

as

independent, mutually

LeDonne's

Absolutism and

Class

asserted that,

(1991) Ruling despite differences rank, title, and landownership, the noble in service

service

elite constituted a coherent ruling class that largely determined Russia's political course through the earlv imperial period. Scholarship on Russia from 1762. to 1801 has focused on Catherinian politics and on various dimensions of social life in the countryside. S.M. Solov'ev's Istorila Rossii s drevneishikh vremen, vols. 25-29 (1875-79) interpreted the first half of Catherine IPs reign as a time of comparative political marred by the increasingly harsh social realities attendant on serfdom. David Ransel's The Politics of Catherinian Russia (1975) considered Nikolai Panin's 1762 attempt to modify tsarist administration through the creation of an imperial council; Ransel contended that Panin acted in the interest of a court "party" rather than out of an abstract desire to limit

toleration

autocracy.

The 1773-74 Pugachev rebellion, which terminated Catherine's "enlightened" period, was first analyzed by the great poet A.S. Pushkin in his Istoriia Pugacbeva (History of Pugachev, 1833). Pugachev's so-called "peasant war" against serfdom received its canonic treatment in Soviet historiography from V.V. Mavrodin, in Krest'ianskaia voina ν Rossii ν 1773-1775 godakh: vosstanie Pugacheva (Peasant War in Russia from 1773 to 1775: The Rebellion of Pugachev, 1961-65). Whereas Mavrodin interpreted the Pugachevshchina as a class-based revolt against serfdom, Marc Raeff's "Pugachev's Rebellion" (1970) read the episode as a "frontier" conflict in which various groups tried to preserve their rights from encroachment by the central government. The lamentable plight of the Russian peasantry under Catherine was analyzed exhaustively by the populist historian V.I. Semevskii in his Krest'iane ν tsarstvovanie imperatritsy Ekateriny II (Peasants in the Reign of Empress Catherine II, 1881-1901). Michael Confino's classic study of the seigneurial economy, Domaines et seigneurs en Russie vers la fin du XV11le siècle (Estates and Masters in Russia at the End of the 18th Century, 1963) looked at efforts by the nobility to improve agriculture and modernize the rural economy; his sequel

traditional

volume, Systèmes agraires et progrès agricole (Agrarian Systems and Agricultural Progress, 1969) traced the overall failure of these efforts to a structural impediment namely, the prevalence of the three-field system which was well-suited -

to

seigneurial

economy.

The origins of Catherine's provincial reforms have been by Iurii V. Got'e, whose Istorila oblastnogo upravleniia ν Rossii ot Petra I do Ekateriny II (History of Provincial Administration in Russia from Peter I to Catherine II, 1913-41) sought, without much success, to find glimmerings of provincial autonomy in the 18th century. Late Catherinian politics has been studied by Isabel de Madariaga, whose Russia in the Age of Catherine the Great (1981) authoritatively treated the increasingly conservative domestic policies. The N.I. Eidel'man's Mgnoven'e slavy nastaet: god 1789-i (The Moment of Freedom Is At Hand: The Year 1789, 1989) looked at the collapse of Russian dreams of freedom during

investigated

government's

freewheeling

the

French

Revolution.

Many historians have followed Imperator Pavel pervyi (Emperor Paul I, 1901), which portrayed Catherine's successor as a mad despot. However, the revisionists of Shil'der have had perhaps the better case. M.N. Klochkov's Ocherki pravitel'stvennoi deiatel'nosti vremeni Pavla I (Outlines of Government Activity under Paul I, 1916) and Eidel'man's brilliant Gran' vekov (Turn of the Century, 1982) both credited Paul with feeling his way toward social policies more generous to the peasantry than those embraced by Catherine. N.K. Shil'der's

Out of the political and economic crisis of the late 18th century, there emerged powerful cultural forces that would shape Russia's future. Marc Raeff's Origins of the Russian Intelligentsia (1966) argued that the Petrine nobility's "service mentality" was slowly transformed after 1762. into an abstract commitment to serve the Russian nation. The Soviet jurist P.S. Gratsianskii's Politicheskaia i pravovaia mysl' Rossii vtoroi poloviny XVIII veka (Political and Legal Thought of Russia in the Late 18th Century, 1984) made the case that A.N. Radishchev's desire to abolish serfdom and institute a Russian republic issued from Enlightenment ideals discussed by Russian nobles from the 1760s onward. The linkage of the nobility to cultural progress is explicit in Priscilla Roosevelt's Life on the Russian Country Estate (1995) and lu. M. Lotman's Besedy o russkoi kul'ture (Conversations on Russian Culture, 1994). This last book contended flatly that the Russian nobility gave birth to "Russian national culture." Scholarship on the period from 1801 to 1861 has the struggle in the government between reformers and conservatives, the development of the Russian intelligentsia, and the slow genesis of the peasant emancipation. Throughout the first half of the 19th century, enlightened bureaucrats pressed the government to reform itself and abolish serfdom. In the first years of his reign, Alexander I seriously considered how peasant emancipation might gradually be effected a point made by Janet Hartley in Alexander I (1994) and by A.N. Bokhanov in Rossiiskie samoderzhtsy 1801-1917 (Russian Autocrats, 1801-1917, 1993). In 1803 Alexander's visionary adviser, M.M. Speranskii, urged the tsar to free the peasants, a recommendation he later withdrew. According to Raeff's 1957 biography, Speranskii's famous 1809 legislative reform project was a cautiously reformist, even conservative plan calculated to preserve imperial authority while granting the formation of a consultative State Duma. Documents published by S.N. Valk in M.M. Speranskii's Proekty i zapiski (Legislative Drafts and Notes, 1961) have suggested that Speranskii was committed to a real limitation of the Recently, N.V. Minaeva's Pravitel'stvennyi konstitutsion alizm i peredovoe obshchestvennoe mnenie Rossii ν nachale XIX veka (Governmental Constitutionalism and Progressive Public Opinion in Early 19th-century Russia, 198z) has portrayed Speranskii precisely as a progressive with ties to the future Decembrists. Alexander's early reformism was a of forceful conservative opposition, such as that analyzed in Richard Pipes' outstanding essay on N.M. Karamzin in his translation of A Memoir on Ancient and Modern Russia (1959). It was also frustrated by international events, by the Napoleonic invasion of 1812 a traumatic event impressively analyzed by E.V. Tarlé in Nashestvie Napoleona na Rossiiu: 1812 god (Napoleon's Attack on Russia: The Year

investigated

-

autocracy.

casualty

particularly -

1812, 1938) and L.G. Beskrovnyi in Otecbestvennaia voina 1812 goda (Patriotic War of 1812, 1962). Russia's success in overcoming Napoleon left Alexander the master of Europe, but also more uncertain than ever about his domestic policy. S.V. Mironenko's Samoderzbavie i reformy: politicheskaia bor'ba ν Rossii ν nachale XIX v. (Autocracy and Reforms: Political Struggle in Early 19th-century Russia, 1989) showed that, after 1812, Alexander again considered serfdom and limiting his own authority by creating a State Duma; however, after authorizing N.N. Novosil'tsov to draft plans, the tsar changed his mind. The public's frustration with Alexander contributed to the Decembrist uprising, which has been variously analyzed. Anatole G. Mazour's The First Russian Revolution 1825 (1937) portrayed the Decembrists in St. Petersburg mostly as moderate liberals, who favored limited monarchy and abolition of serfdom; the standard Soviet by M.V. Nechkina, Dvizbenie dekabristov (Movement of the Decembrists, 1955), saw the Decembrists' center of gravity in the Jacobin-inspired Southern Society led by Pestel'. Although most historians have regarded the Decembrists as quixotic politicians, Mironenko has argued that their coup d'état almost succeeded. Soviet historians universally followed Aleksandr Herzen's famous memoirs, My Past and Thoughts (1921, 1924-26), in categorizing Nicholas I as a reactionary. A more balanced view informed W. Bruce Lincoln's Nicholas I (1978): Lincoln showed that in the early 1840s Nicholas the need to abolish serfdom but hesitated publicly to authorize the fateful step. Iuri M. Lotman's "Dekabrist ν povsednevnoi zhizni" (1975, The Decembrist in Everyday Life, 1985) claimed that the as a psychological type appeared between 1812 and 1825. Isaiah Berlin's influential essays in Russian Thinkers (1978) put the origins of the intelligentsia in the "marvelous decade" from 1838 to 1848 that is, in the middle of Nicholas I's reign. Berlin deplored the intelligentsia's tendency to reject autocracy in the a tendency he found name of some mastering, unitary theory absent only in Aleksandr Herzen. Aileen Kelly's book Mikhail Bakunin (1982) demonstrated the unattractiveness of Utopian thinking in the case of the famed Russian anarchist. Andrzej Walicki's The Slavophile Controversy (1964, translated 1975) argued that the period from 1812 to 1848 also gave rise to a retrospective, "conservative utopia" in the form of Slavophilism a worldview that was anti-Westernism, antirevolutionary, and anticapitalist. Oddly enough, despite their anti-Westernism, the Slavophiles strongly agreed with the radical intelligentsia that serfdom should be abolished. The legal emancipation of the serfs in 1861 has been bitterly debated by historians. The canonic Soviet interpretation by M.V. Nechkina, editor of a multivolume collaborative study Revoliutsionnaia situatsiia υ Rossii ν gg. Situation in Russia from 1859 to 1861, 1960-86), argued that the emancipation was prompted by a structural economic crisis that generated the threat of a peasant led radicals to criticize the serf order, and caused the ruling class to lose confidence in the existing political order. Both RA. Zaionchkovskii's Otmena krepostnogo prava ν Rossii (Abolition of Serfdom in Russia, 1954; revised 1968) and L.G. Zakharova's Samoderzbavie i otmena krepostnogo prava ν Rossii, 1S56-1S61 (Autocracy and the Abolition of Serfdom in Russia, 1856 to 1861, 1984) pointed out that Nechkina

abolishing

monograph

translated

recognized

intelligent -

-

-

(Revolutionary 1859-186

revolution,

exaggerated the impact of radicalism

on

the

monarchy.

The

American historian Terence Emmons' The Russian Landed

book The Tsar's Viceroys (1987) applied Zaionchkovskii's prosopographical techniques and archival mastery to Russian

Gentry and the Peasant Emancipation of 1861 (1968) asserted that gentry liberalism had more to do with the emancipation than Nechkina acknowledged. Daniel Field's The End of Serfdom (1976) attributed the initiative for the reform squarely to the autocracy a view also shared by W. Bruce Lincoln's In the Vanguard of Reform (1982). Recent documents published by Zakharova in 1857-1861: perepiska Imperatora Aleksandra II s Velikim Kniazem Konstantinom Nikolaevichem; Dnevnik Velikogo Kniazia Konstantina Nikolaevicha (1857-1861: Correspondence of Emperor Alexander II with Grand Duke Konstantin Nikolaevich; Diary of Grand Duke Konstantin Nikolaevich, 1994) have proven that the royal family's concern over Russia's international prestige and competitiveness also drove the peasant reform. Scholarship on Russia from 1861 to 1917 attempted to explain the growing tension between the government and educated society tension that exploded in revolutions in 1905 and 1917. Liberal historians, such as B.N. Chicherin writing in his Rossiia nakanune dvadtsatogo stoletiia (Russia on the Eve of the 20th Century, 1900) and A.A. Kornilov writing in Kurs istorii Rossii XIX veka (Course of Russian History in the 19th Century, 1912.-14; revised 1918), blamed extremists in the government and among radical youth for undermining Alexander Il's "great reforms." The distinguished French observer Anatole LeRoy-Beaulieu, in L'Empire des tsars et les Russes (1881-96; Empire of the Tsars and the Russians, 1897-98), blamed the government's pro-Russian nationality policy and religious persecutions of non-Orthodox minorities for driving a wedge between the regime and society. Not until the appearance of P.A. Zaionchkovskii and the socalled "Zaionchkovskii school" after 1945 did serious archival work on Russian internal policy occur. Zaionchkovskii himself published three classic books: Krizis samoderzhavtia na rubezhe (1964; The Russian Autocracy in Crisis, 1979) examined

provincial government. Works of the Zaionchkovskii school generally suggested that Russian officials were sharply divided

the

Iurii V. Martov's Obshchestvennoe dvizhenie ν Rossii s nachala XX-ogo veka (Social Movement in Russia since the Beginning

-

-

government's vacillating reactions to Russian terrorism; Rossiiskoe samoderzhavie ν kontse XIX stoletiia (1970; Russian Autocracy under Alexander III, 1976) traced Alexander Ill's "counter-reforms"; and Pravitel'stvennyi apparat samoderzbavnoi Rossii ν XIX v. (Governmental Apparatus of Autocratic Russia in the 19th Century, 1978), which was the first prosopographical analysis of the state bureaucracy. Two of Zaionchkovskii's Soviet students explored additional of internal politics: L.G. Zakharova's Zemskaia kontr reforma 1890 g. (Zemstvo Counter-Reform of 1890, 1968) looked at the interplay between state policy and the landed nobility; and V.A. Tvardovskaia's Ideologiia poreformennogo samoderzhavtia: M.N. Katkov i ego izdaniia (Ideology of the Reformed Autocracy: M.N. Katkov and His Publications, 1978) studied the ultra-nationalist Mikhail Katkov and his baneful influence on the regime. Zaionchkovskii also influenced the younger generation of Leningrad historians B.V. Anan'ich, R. Sh. Ganelin, and V.S. Diakin. Their collective history, Krizis samoderzhavtia ν Rossii, 1895-1917 (Crisis of Autocracy, 1895-1917, 1984), was the first serious internal history of policy under Nicholas II. It is worth noting that an entire generation of American scholars was inspired by Zaionchkovskii. Emmons' and Field's books on the peasant emancipation were written under his direction. Richard Robbins

dimensions

-

government

on

questions of internal policy between liberal reformers and authoritarians, and that neither group

Russian nationalist

developed

effective strategy to preserve social peace in a country rapidly developing industrial institutions. A major consequence of the regime's failure to govern wisely was the alienation of the elites, although scholars have debated the degree and permanence of such alienation. N.M. Pirumova's Zemskoe liberal'noe dvizketiie (Zemstvo Liberal Movement, 1977) showed how a small portion of the landed nobility moved sharply to the left at the end of the 19th century. Terence Emmons, in The Formation of Political Parties and the First National Elections in Russia (1983), demonstrated that the social base of the Russian constitutional movement included both liberal gentry and many educated urbanités. However, Roberta Manning's Crisis of the Old Order in Russia. Gentry and Government (1982) suggested that the violence of 1905 provoked a conservative reaction among rural elites and a realignment of gentry and government under prime minister Stolypin. Manning wanted to understand the post-1905 rural gentry as Russia's ruling class. Thomas Owen's Capitalism and Politics in Russia (1981) suggested that Moscow's pre-1905 merchant elites were often politically conservative, but Robert Thurston's Liberal City, Conservative State (1987) saw the post1905 merchantry as reformist and frustrated by the central government's conservative internal policies. Samuel Kassow's Between Tsar and People (1991) asserted that before 1917 the educated elites in Russia were beginning to coalesce in a class" of sorts, and that the mood of civil society had turned an

"middle oppositional. The social

roots

sparked scholarly Marxist scholars,

of the

revolutionary

movement

have

interest since the turn of the century. Early such as the Menshevik historians writing in

of the zoth Century, 1908-11), traced social tensions to class antagonisms; this was the first publication systematically to examine the history of strikes and peasant disturbances in Russia. Historians during the Soviet period laid a broad foundation for understanding conflicts between and the regime; here the multivolume series Krest'ianskoe dvizhenie ν Rossii (Peasant Movement in Russia, 1959-68), covering the entire century before 1905, was the landmark publication. P.N. Pershin's Agrarnaia revoliutsiia ν Rossii (Agrarian Revolution in Russia, 1966) argued that peasant rebellion against the old regime between 1905 and 1917 was an essential component of the revolutionary process in Russia. Theodore von Laue's Sergei Witte and the Industrialization of Russia (1963) and Why Lenin? Why Stalin? (1964) argued that Russia's rapid industrialization entailed oppression of the

documentary peasants

peasantry, oppression which, in turn, provoked peasant violence against the regime. Laue saw Russia's social disorder as a historically determined result of global modernization. Labor historians of Russia focused on the nexus between poverty and political mobilization in the cities. Allan Wildtnan's Making of a Workers' Revolution (1967) and Reginald Zelnik's Labor and Society in Tsarist Russia (1971)

pioneering attempts to analyze the origins of the working class in St. Petersburg, workers' participation in strikes, and their involvement in radical politics. Walter Sablinsky's The Road to Bloody Sunday (1976) and Gerald Suhr's 1905 in St. Petersburg (1989) studied the roots of St. Petersburg labor violence in 1905. Laura Engelstein's Moscow, 1905 (1982) linked Moscow's urban geography and workers' political organization. Charters Wynn's study of the Donbass, Workers, Strikes, and Pogroms (1992), argued that targets of worker violence were sometimes determined by ethnic and religious differences an argument bolstered by evidence in Robert Revolution of 1905 in Odessa (1993). Weinberg's Scholarship on the 1917 revolutions has been marked from the beginning by partisan divisions. The liberal P.N. Miliukov's Istorila vtoroi russkoi revoliutsii (1921-24; The Russian Revolution, 1978-87) heralded the March 1917 overthrow of the tsarist government as a great act of statecraft, but blamed the October revolution on left utopianism. The Menshevik internationalist N.N. Sukhanov's Zapiski o revoliutsii (Notes on the Revolution, 1922-23) read the revolution as a workers' revolution which Lenin captured in the Bolsheviks' name. Leon Trotskii's Istorila russkoi revoliutsii (1931-33; The History of the Russian Revolution, 1932-33) argued that Bolshevik victory was the historically inevitable result of capitalism's sudden appearance in Russia and of the heroism of Lenin. The Bolshevik Central Committee's History of the Communist Party of the Soviet Union: Short Course (1939) credited Lenin and Stalin for the Bolshevik victory. The anti-Bolshevik S.P. Mel'gunov argued in his Kak bol'skeviki zakhvatili vlast' (1953; The Bolshevik Seizure of Power, 1972) that the October Revolution was a Leninist coup d'état without popular support. Only in the wake of the XX Party Congress in 1956 did it become possible to move away from partisan scholarship on 1917. The Soviet historian E.N. Burdzhalov's Vtoraia russkaia revolutsiia {1967-71; Russia's Second Revolution, 1987) hinted that the February 1917 Revolution had not been inspired by the Bolsheviks after all. Burdzhalov's position was the starting point for T. Hasegawa's The February Revolution: Petrograd 1917 (1981) which captured the dynamics of street protests in the capital in their interplay with party politics. Alexander Rabinowitch's Prelude to Revolution (1968) and The Bolsheviks Come to Power (1976) showed that in the July and October crisis the Bolshevik party was not the united force that revolutionary historians had once depicted. Rabinowitch explained the Bolshevik Revolution as the result of a complex interplay of worker radicalism, Bolshevik extremism, and Lenin's revolutionary intuition. Meanwhile, the Soviet historian V.l. Startsev emphasized that the Bolsheviks were not the only revolutionary actors in 1917: Startsev's Krakh Kerenshchiny (Collapse of the Kerenskii Regime, 1982.) and Oktiabrskaia bur'ia (October Storm, 1987) implicitly challenged the October Revolution's inevitability. Stephen Smith's Red Petrograd (1983) and Diane Koenker's Moscow Workers and the 1917 Revolution (1981) moved the debate from party mobilization to the will of workers themselves. By the late 1980s the consensus held that an internally divided Bolshevik party took advantage of labor radicalism and weak political to make a revolution that was at once popular and However, Richard Pipes' The Russian Revolution (1990) were

-

spontaneous

emerging opposition partisan.

rejected this neo-orthodoxy by returning to something like the Mel'gunov line. Predictably, Pipes' revision stirred up a wave of protest, because he seemed to abandon any belief in labor activism as a major factor in the Revolution's origins. The history of the Soviet regime has yet to assume shape, partly because archives were inaccessible until 1991 and partly because Soviet historians were themselves subjected to stringent political oversight by the Communist party. the finest histories of the Soviet period to date Consequently, have been written by Russian émigrés, by Westerners, and by political dissidents a fact noted with embarrassment and not a little irritation by the Russian historical establishment. The most compendious history of the 1920s and early 1930s was written by E.H. Carr and R.W. Davies. The Carr-Davies history was an unapologetic "history of the victors," valuable for its massive documentation from published sources. A trenchant attack on the Soviet system based partly on (former) insiders' access to little-known documents was written by Aleksandr Nekrich and Mikhail Geller, Utopiia u vlasti (1982; Utopia in Power, 1986). Martin Malia advertised his The Soviet Tragedy (1994), as the first history of the regime from its inception to its collapse. Like Nekrich and Geller, Malia assumed that Soviet socialism was inherently Utopian, and hence that its tragic conseauences and eventual collapse were foreordained. The threshold question in historiography on the Soviet period has been the link between Leninism and Stalinism. Leonard Schapiro's The Origin of the Communist Autocracy {1956) and The Communist Party of the Soviet Union (1960) argued that Lenin established the Soviet dictatorship and that Stalin and perfected it. Robert Conquest's Great Terror (1968), Harvest of Sorrow (1986), and Stalin (1993) all make a similar assumption. Richard Pipes' Russia under the Bolshevik Regime (1993) and his edition of unpublished documents from Lenin, The Unknown Lenin (1996) were intended to prove Lenin's responsibility for constructing the Soviet state terrorist In the Russian literature, the most devastating indictment of Lenin can be found in Aleksandr Solzhenitsyn's The Gulag Archipelago, 1918-1956, 1973-76) a book meant to destroy the intellectual and moral foundations of the Soviet regime. In Lenin (1994) D.A. Volkogonov came reluctantly to the that Lenin, like Stalin, had been a tyrant. To some historians, the nexus between Lenin and Stalin has seemed not so straightforward. Moshe Lewin's Le Dernier Combat de Lénine (1967; Lenin's Last Struggle, 1968) made the case that, in the last year of his life, Lenin desperately tried to block Stalin's ascendancy in the party. R.A. Medvedev, in Let History Judge (1971) and On Stalin and Stalinism (1979), asserted a fundamental distinction between Leninism and Stalinism. Stephen F. Cohen's Bukharin and the Bolshevik Revolution (1973) argued that, before 1929, the party was far from monolithic and that Bukharin's gradual path to socialism represented a genuine Leninist alternative to Stalinism. Robert Tucker's multivolume biography of Stalin followed Cohen's line his on Stalinism, but added that quirks in Stalin's personality need to be seen as a hero and his paranoia about opposition were important in distinguishing Stalinism from Leninism. The debate over Stalinism was part of a larger debate on whether the Soviet Union was a totalitarian society. The impetus for this debate came from various sources, chief among them being Hannah Arendt's Origins of Totalitarianism (1951)

definitive

-

inherited

apparatus. -

conclusion

-

-

Brzezinski and Carl J. Friedrich's Totalitarian and Autocracy (1956), which compared the Soviet Dictatorship and Nazi dictatorships. After Arendt and Brzezinski, it quickly became a hallmark of the totalitarian interpretation to insist on a fundamental continuity between Leninism and Stalinism. Thus, since 1985, when Stephen Cohen's Rethinking the Soviet Experience was published, many scholars have categorized Schapiro, Pipes, Conquest, and Malia as representatives of a so-called "Cold War school" of historiography; whereas Lewin, Tucker, and Cohen himself have considered themselves Recently, two historians have rethought the question of Soviet totalitarianism: in Totalitarianism: The Inner History of the Cold War (1995), Abbott Gleason showed that the history of the term "totalitarianism" has not been understood by those historians who have brandished it as a weapon of struggle; in Marxism and the Leap to the Kingdom of Freedom (1995), Andrzej Walicki treated as that phase in early Soviet history when the Bolshevik party leadership attempted to realize the communist utopia. The effect of Gleason and Walicki may be to de-couple the Leninism-Stalinism debate from the wider controversy over totalitarianism. Meanwhile, one of the most significant historians of the Soviet period, Sheila Fitzpatrick, has refused to accept the very terms of debate defining the field. Fitzpatrick has been far less interested in Lenin's and Stalin's personal contributions to the Soviet experiment than in cultural and institutional changes that occurred during the 1920s and 1930s. Her works shifted the focus from state terror to Soviet culture and to the of the first generation of Soviet citizens. There have been relatively few good books by historians on the Soviet experience since 1939. The most reliable military history of the war against Nazism was written by John Erickson in Stalin's War with Germany (1975) and The Road to Berlin (1983). The German historian Omer Bartov's The Eastern Front, 1941-1945 (1985) explained why the NaziSoviet war was decided not by the technical superiority of one side but by an elemental, almost atavistic struggle. Alexander Nekrich's The Punished Peoples (1978) showed that among the casualties of the war must be numbered the Soviet which attracted Stalin's wrath for their alleged with Hitler. John Barber and Mark Harrison in The Soviet Home Front (1991) provided an excellent brief account of the much-neglected domestic impact of the war. Nina Tumarkin's The Living and the Dead (1994) demonstrated the ways that authorities manipulated memories of the war to strengthen the Soviet regime. To date, shockingly, there have been no firstrate studies of the Holocaust on Soviet territory. John Gordon Garrard's Bones of Berdichev (1996) demonstrated that some Soviet intellectuals were aware of Hitler's war against the Jews, but Garrard could not deal with the dimensions of this tragedy and

Zbigniew

"revisionists."

intellectual

sufficiently totalitarianism

formation

minorities collaboration

on

the scale it deserved.

legacy has been analyzed in David Holloway's Stalin and the Bomb (1994), which showed how the USSR became a superpower, and R.A. Medvedev's Khrushchev (1982), which explained Khrushchev's partly successful attempt to demolish state terrorism without destroying socialism. Meanwhile, Murray Feshbach's The Soviet Union (1982) and Ecocide in the USSR (1992) suggested that, from beginning to end, the Soviet experiment was a demographic and ecological disaster. Stalin's

In view of the

Chernobyl catastrophe of 1986, analyzed in by Grigorii Medvedev in The Truth about

detail

scrupulous Chernobyl (1991),

Feshbach's pessimistic account of Soviet history seemed fully justified. G.M. HAMBURG and THOMAS SANDERS See also Berlin; Carr, E.; Conze; Davies, R.;

Deutscher; Kliuchevskii;

Lewin; Medvedev; Miliukov; Pipes; Raeff; Solov'ev; Zaionchkovskii Further

Reading

Alefirenko , Pelageia Kuz'minichna , Krest'ianskoe dvìzhenie i krest'ianskii vopros ν Rossii ν 30-50-e gg. XVIII veka ( Peasant Movement and Peasant Question in Russia from the 1730s to the 1750s ), Moscow,

1958

Anan'ich , B.V. , R. Sh Ganelin , and V.S. Diakin , Krízis samoderzhaviia ν Rossii, 1895-7917 ( Crisis of Autocracy, .

1895-1917), Leningrad 1984 Evgenii Viktorovich Rossiia υ seredine XVIII veka: bor'ba za nasledie Petra Moscow 1986 ; in English as Empress Elizabeth: Her Reign and Her Russia, 1741-1761 1995 Anisimov Evgenii Viktorovich Vremia petrovskikh reform Leningrad 1989 ; in English as The Reforms of Peter the Great: Progress Through Coercion in Russia Armonk, NY: Sharpe 1993 Anisimov Evgenii Viktorovich Rossiia bez l'etra ( Russia Without Peter ), St. Petersburg 1994 Arendt Hannah The Origins of Totalitarianism New York : Harcourt Brace 1951 ; as The Burden of Our Time London : Seeker and Warburg 1951 Barber John and Mark Harrison The Soviet Home Front, 1941-1945: A Social and Economic History of the USSR in World War 11 London and New York : Longman 1991 Bartov Omer The Eastern Front, 1941-1945: German Troops and the Barbarisation of Warfare Basingstoke: Macmillan, 1985 ; New ,

Anisimov,

,

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York : St. Martin's Press , 1986 Berlin , Isaiah , Russian Thinkers , edited by Henry Hardy and Aileen Kelly, New York : Hogarth Press , and London: Viking, 1978 Beskrovnyi , Liubomir Grigorevich , Otechestvennaia voina 1812 ), Moscow, 1962 goda ( Patriotic War of 1812 Bokhanov, Aleksandr Nikolaevich , Rossiiskie samoderzhtsy, 1801-1917 (Russian Autocrats 1801-1917 ), Moscow : Mezhdunarodyne otnosheniia , 1993 Bolshevik Central Committee , History of the Communist Party of the Soviet Union: Short Course , Moscow: Foreign Language House, 1938 ; New York : International Publishers , 1939 ; London:

Cobbett,

1943

Brzezinski , Zbigniew, and Carl J. Friedrich , Totalitarian Dictatorship and Autocracy, Cambridge, MA : Harvard University Press , 1956 Burdzhalov, Eduard Nikolaevich , Vtoraia russkaia revoliutsiia , 2 vols., Moscow, 1967-71 ; in English as Russia's Second Revolution: The February 1917 Uprising in Petrograd , Bloomington : Indiana University Press , 1987 Carr, E. H. , The Bolshevik Revolution, 1917-1915 , 3 vols., London and New York : Macmillan , 1950-53 Carr, E.H. , The Interregnum, 1923-1924 , 2 vols., London: Macmillan, and New York : St. Martin's Press , 1954 Carr, E. H. , Socialism in One Country, 1924-1926 , 3 vols., London and New York : Macmillan , 1958-64 Carr, E.H. , and R. W. Davies , Foundations of a Planned Economy, 1926-1929 , 2 vols., London and New York : Macmillan , 1969-78 Chicherin , Boris Nikolaevich , Oblastnye uchrezhdeniia Rossii ν XVlI-m veke ( Provincial Institutions of Russia in the 17th Century), Moscow, 1856 Chicherin , Boris Nikolaevich , Rossiia nakanune dvadtsatogo stoletiia ( Russia on the Eve of the 20th Century ), Berlin : Shteinits , 1900 Cohen , Stephen F., Bukharin and the Bolshevik Revolution: A Political Biography, 1888-1938 , New York : Knopf , and Oxford: Oxford University Press, 1973

Cohen , Stephen F. , Rethinking the Soviet Experience: Politics and History since 1917 , Oxford and New York : Oxford University Press , 1985 Confino , Michael , Domaines et seigneurs en Russie vers la fin du XVIIle siècle: étude des structures agraires et de mentalités économiques ( Estates and Masters in Russia at the End of the 18th Century ), Paris : Institut d'Etudes Slaves de l'Université de Paris , 1963 Confino , Michael , Systèmes agraires et progrès agricole: l'assolement triennal en Russie aux XVIIIe-XIXe siècles ( Agrarian Systems and Agricultural Progress ), Paris : Mouton , 1969 Conquest , Robert, The Great Terror: Stalin's Purge of the 1930s , New York and London : Macmillan , and New York: Macmillan, 1968 ; revised 1973 Conquest , Robert , The Harvest of Sorrow: Soviet Collectivization and the Terror-Famine , New York : Oxford University Press , and London: Century Hutchinson, 1986 Conquest , Robert , Stalin: Breaker of Nations , New York : Viking , 1991 ; London: Weidenfeld and Nicolson, 1993 Cracraft , James , The Church Reform of Peter the Great , London: Macmillan, and Stanford, CA : Stanford University Press , 1971 Eidel'man , Natan Iakovlevich , Gran' vekov: poUticheskaia bor'ba ν Rossii: konets XVIII-nachalo XIX stoletiia ( Turn of the Century), Moscow, 1982 Eidel'man , Natan Iakovlevich , Mgnoven'e slavy nastaet: god 1789-1 ( The Moment of Freedom Is at Hand: The Year 1789 ),

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Petersburg : Sushchinskago 1881-1901 ,

Shcherbatov, Mikhail Mikhailovich , O povrezhdenii nravov ν Rossii, written 1780 , published London : Trübner, 1858 ; in English as On the Corruption of Morals in Russia , London : Cambridge

University Press , 1969 Shil'der, N. K. , Imperator Pavel pervyi (Emperor Paul I ), St. Petersburg : Surovina , 1901 Smith , S. A. , Red Petrograd: Revolution in the Factories, 1917-1918 , Cambridge and New York : Cambridge University Press , 1983 Solov'ev, S. M. , Istoriia Rossii s drevneishikh vremen , vols. 19-29, 1869-74 ; in English in History of Russia , 48 vols, planned, Gulf Breeze, FL : Academic International , 1976 Solov'ev, S. M. , Publichnye chteniia o Petre Veltkom (Public Lectures on Peter the Great ), Moscow : University Press , 1872 -

Solzhenitsyn Aleksandr Arkbipelag Gulag, 1918-1956: Opyt kbudozbestvennogo issledovaniia 3 vols., Paris : YMCA Press 1973-76 ; in English as The Gulag Archipelago, 1918-1956: An Experiment in Literary investigation London : Collins and New York: Harper, 1974-78 Speranskii Mikhail Mikhailovich Proekty i zapiski ( Legislative Drafts and Notes ), Moscow : Akademiia 1961 Startsev Vitalii Ivanovich Krakh Kerenshchiny ( Collapse of the Kerenskii Regime), Leningrad : Nauka 1982 Startsev Vitalii Ivanovich Oktiabrskaia bur'ia ( October Storm ), Moscow : Molodaia gvardiia 1987 Suhr Gerald Dennis 1905 in St. Petersburg: Labor, Society, and Revolution Stanford, CA : Stanford University Press 1989 Sukhanov N. N. Zapiski o revoliutsii 7 vols., Berlin : Grzhebina 1912-23 ; abridged in English as The Russian Revolution, 1917: A Personal Record New York and Oxford : Oxford University ,

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,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

Press , 1955

Syromiatnikov B. I. "Reguliarnoe" gosudarstvo Petra pervogo i ego ideologiia (" Regular" State of Peter I and Its Ideology ), Moscow : ,

,

Akademiia nauk SSSR , 1943 Tarlé , E.V. , Nasbestvie Napoleona na Rossiiu: 1812 god (Napoleon's Attack on Russia: The Year 1812 ), Moscow, 1938 Tatishchev, Vasilii Nikitich , Istorila rossiiskaia ( Russian History ), 5 vols., Moscow : Izd-vo Moskovskogo universiteta , 1760-1848 Thurston , Robert , Liberal City, Conservative State: Moscow and Russia's Urban Crisis, 1906-1914 , New York : Oxford University Press ,

1987

Trotskii , Leon , Istoriia russkoi revoliutsii , 3 vols., Berlin : Granit , 1931-33 ; in English as The History of the Russian Revolution , London: Goilancz, and New York : Simon and Schuster , 1932-33

Tucker, Robert W. , Stalin as Revolutionary, 1879-1929: A Study in History and Personality , New York : Norton , 1973 Tucker, Robert W. , Stalin in Power: The Revolution from Above, 1928-1941 , New York : Norton , 1990 Tumarkin , Nina , The Living and the Dead: The Rise and Fall of the Cult of World War II in Russia , New York : Basic Books , 1994 Tvardovskaia , Valentina Aleksandrovna , Ideologiia poreformennogo samoderzhaviia: M.N. Katkov i ego izdaniia ( Ideology of the Reformed Autocracy: M.N. Katkov and His Publications ), Moscow : Nauka , 1978 Volkogonov, D. A. , Lenin: A New Biography, New York : Free Press , 1994

Walicki , Andrzej, W kregu konserwatywnej utopii: strutura, przemiany rosyjskieko slowianofilstwa , Warsaw : Naukowe , 1964 ; in English as The Slavophile Controversy: History of a Conservative Utopia in Nineteenth-Century Russian Thought, Oxford : Oxford University Press , 1975 Walicki , Andrzej, Marxism and the Leap to the Kingdom of Freedom: The Rise and Fall of the Communist Utopia, Stanford, CA : Stanford University Press , 1995 Weinberg , Robert , Revolution of 1905 in Odessa: Blood on the Steps , Bloomington: Indiana University Press , 1993 Wildman , Allan , Making of a Workers' Revolution: Russian Social Democracy, 1891-1903 , Chicago : University of Chicago Press ,

1967 Wittram , Reinhard , Peter I: Czar und Kaiser ( Peter I: Tsar and King), 2 vols., Göttingen : Vandenhoeck & Ruprecht , 1964 Wynn, Charters , Workers, Strikes, and Pogroms: The DonbassDnepr Bend in Late Imperial Russia, 1870-1905 , Princeton : Princeton University Press , 1992 Zaionchkovskii , P.A. , Otmena krepostnogo prava ν Rossii , Moscow : Polit lit-ry , 1954 , revised 1968 ; in English as The Abolition of Serfdom in Russia , Gulf Breeze, FL : Academic International Press ,

1978 Zaionchkovskii , P. A. , Krizis samoderzhaviia na rubezhe 1878-1882, Moscow : Izd-vo Moskovskogo universiteta , 1964 ; in English as The Russian Autocracy in Crisis, 1878-1882 , Gulf Breeze, FL : Academic International Press , 1979

Zaionchkovskii , P. A. , Rossiiskoe samoderzhavie ν kontse XIX stoletiia , Moscow : Mysl' , 1970 ; in English as Russian Autocracy under Alexander III , Gulf Breeze, FL : Academic International Press , 1976 Zaionchkovskii , P.A. , Pravitel'stvennyi apparat samoderzbavnoi Rossii ν XIX v (The State Machinery in 19th-century Russia ), .

Moscow :

Mysl' 1978 Zakharova Larisa Georgievna Zemskaia kontrreforma 1890 g ( Zemstvo Counter-Reform of 1890 ), Moscow : Izd-vo Moskovskogo uni versiteta 1968 Zakharova Larisa Georgievna Samoderzhavie i otmena krepostnogo prava ν Rossii, 1856-1861 ( Autocracy and the Abolition of Serfdom in Russia, 1856-1861 ), Moscow : Izd-vo Moskovskogo universiteta 1984 Zakharova Larisa Georgievna 1857-1861: perepiska Imperatora Aleksandra II s Velikim Kniazem Konstantinom Nikolaevichem; Dnevnik Velikogo Kniazia Konstantina Nikolaevicba (1857-1861: Correspondence of Emperor Alexander II with Grand Duke Konstantin Nikolaevich; Diary of Grand Duke Konstantin Nikolaevich ), Moscow : Terra 1994 Zelnik Reginald Labor and Society in Tsarist Russia: The Factory Workers of St. Petersburg, 1855-1870 Stanford, CA : Stanford University Press 1971 ,

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,

Russia: Russian Revolution The Russian Revolution remains a pivotal event in the history of Russia and the world in the 20th century. The claimed to be international socialists concerned to change not just Russia but the world. However by the 1930s a brutal dictatorship was in power which pursued a nationalist program under the guise "socialism in one country." Whether this was any genuine kind of socialism and whether the regime that developed was a product of "continuity" or "discontinuity" with 1917 remains the basic frame of reference within which detailed debates about the Revolution take place. The Russian Revolution began when the strain of World War I led to a general strike in February 1917 in Petrograd, overthrowing the tsarist dynasty and enabling the creation of a self-appointed bourgeois-liberal Provisional Government. When the Provisional Government vacillated over major reforms and delayed the calling of the Constituent Assembly it lost support, and in October 1917 it too was overthrown and a Bolshevik government took power, claiming legitimacy from its support in the factory committees and soviets that had grown up as organs of popular power in 1917. The perspectives were to halt the war and to link up with the widely expected revolution in the West while beginning a process of revolutionary change in Russia itself. But it proved no less difficult to stabilize the post-October situation; the Left Socialist revolutionaries split from the government and open conflict broke out between the Bolsheviks and opponents of the Revolution, who were backed by Western governments. A catastrophic civil war developed which the revolutionaries won by 1921. Unfortunately in the process their urban workingclass base had crumbled and there had been no successful in the West. Although many accounts of the Russian Revolution on 1917 itself, fuller accounts continue the analysis to at least 1921. How far the Revolution is seen as continuing after this date depends on the discontinuity-continuity debate.

revolutionaries

development

immediate

revolution concentrate

Discontinuity theorists tend to argue that the Revolution ended with the triumph of Stalin, whereas continuity theorists on both the left and the right argue that elements of the dynamic continued to be in place, sometimes up to the collapse of the USSR in 1991. Here, however, we will focus on the narrower period 1917-21. In Russia the Revolution and civil war period gave little for reflective works on events. Early pro-revolutionary accounts tended to propagandize, stressing the popular nature of the October Revolution and the centrality of popular power. The end of the civil war allowed more proper historical work to begin. Major documentary and memoir collections were made in the 1920s which are still a vital resource for historians. But almost immediately the interpretation of the Revolution became embroiled in debates about its future, Trotsky and the left argued that the Revolution had been underpinned by internationalist aims, the drive for power from below and flexibility and debate within the Bolshevik party in which the leadership that came to power after Lenin's death in 1924 (and most notably Stalin) had not always distinguished themselves. As the power of Stalin and his supporters was consolidated they imposed a top-down view of the Revolution where Lenin (with Stalin's help) led the Revolution through a united Bolshevik party and a working class that answered its call. In the 1930s this view became official Earlier revolutionary leaders and historians who might have contested it now lost their lives in the purges, the archives were closed, library stock removed to closed sections, and evidence selectively published or blatantly falsified to bolster the official view, which found crude canonical authority in History of the Communist Party of the Soviet Union: Short Course, (1938). In 1956 Khrushchev denounced Stalin's crimes in his secret speech and this allowed a slightly more open discussion to develop, but the regime was anxious to limit any critique to Stalin and "the cult of personality." In a more relaxed historians no longer feared arrest if they challenged these limits unless they moved to more open political opposition, as did some later dissidents. However, those who strayed too far could find their careers seriously damaged, as were those of E. Burdzhalov in 1956 and P.V. Volobuev in 1972, and until the development of glasnost' under Mikhail Gorbachev there were powerful pressures to conform to a modified version of the orthodoxy established under Stalin. Valuable documentary collections were again published after 1956 and important work was done in less political areas such as studies of the social composition of the working class by Rashin, Gaponenko, and others, but these still remained marked by the regime and had to be carefully sifted bv Western historians. The major debates on the Russian Revolution before the 1990s were therefore carried out in the West. Here, too, issues were in the foreground. Many Western observers in Russia in 1917 fell under the spell of the Revolution, with John Reed's Ten Days That Shook the World (1919) being perhaps the greatest eyewitness account of any revolution. Originally an inspiration to Western communists, accounts like that of Reed became anathema as Stalinist history also came to dominate most left-wing thinking in the West. It was left to Trotskii, now in exile, to uphold the earlier interpretation in his historical masterpiece Istorila russkoi revoliutsii (1931-33; The History of the Russian Revolution, 1932-33) before he too was silenced by Stalin's assassin.

revolutionary

opportunity

policy.

atmosphere

perspectives

political

The main interwar years debate was dominated by émigré which were united in condemning the illegitimacy of the October Revolution but offered individually and politically self-serving accounts of the Revolution as the earlier battles continued to be fought from the main exile centers of Paris, Berlin, and Prague. But much of interest was produced by the defeated first and second rank leaders of 1917, and some important archive collections of memoirs were published. Aleksandr Kerenskii and some others continued this battle into the post 1945 period, but perhaps his most enduring was to produce a major documentary collection with Robert Paul Browder's The Russian Provisional Government, 1917 (1961). Three more considered historical works remain from this early period. M.T. Florinsky analyzed the background to the February Revolution in The End of the Russian Empire (1931), part of a wider investigation into the impact of World War I. This was complemented by Bernard Pares' The Fall of the Russian Monarchy (1939), which focused much more on the top layers of Russian society. William Chamberlin, a Western journalist in Russia, published his The Russian Revolution, 1917-1921 (1935), a work which, if it does not quite deserve the accolade of "a model of objectivity," remains a source for its period. It was only at the end of the 1930s that an attempt was made by Crane Brinton in his Anatomy of Revolution (1938) to put the events in Russia into a wider theoretical and comparative perspective. After 1945 discussion of the Revolution came closer to the concerns of mainstream historians, but their approach was now heavily conditioned by the development of the Cold War. The Soviet Union was seen as the embodiment of "totalitarianism" with the Revolution prefiguring this. Accounts emphasized the manipulative dominance of Lenin and the Bolshevik party with workers, soldiers, and peasants forming at best a stage army and at worst an anarchic mob. Ironically although Western historians were aware of the distortions of Stalinist accounts in Russia, their interpretation had much in common with the official Soviet view save that what this saw as a triumph of "socialism" Western accounts saw as a triumph of a small unpopular minority by means of a coup d'état. Although there were always historians who disagreed with the dominant perspective, it was only at the end of the 1960s that they began to gain a wider hearing, and even then they remained trapped within many of the early approaches. Alexander Rabinowitch produced a powerful study of the Bolshevik party and in France, Marc Ferro, a historian of the Annales school, accounts

contribution

fundamental

produced

the

two

insightful

but eclectical and

uneven

volumes

the February and October revolutions. In the 1970s and 1980s a new generation of historians began to develop what has been called "the social interpretation of the Russian Revolution." Their inspiration came in part from the analysis of the French Revolution, in part from the work of E.P. Thompson and the development of history from below, and in part from a more sympathetic approach to popular protest that emerged as a result of the upheavals of 1968 in Europe and the protests against the Vietnam War in America. Within a short period doctorates, articles, and books began to pour out exploring the experience of groups of workers, peasants, and women, by town and region, which stressed not only the popular nature of 1917 but the richness of the on

soldiers,

institutional life, especially in the working class. Much of this was helpfully summarized in Daniel Kaiser in The Workers' Revolution in Russia, 1917 (1987). Although this work did not entirely displace the more hostile view of the Revolution, it forced more traditional historians to redefine their arguments. However, even as many of these works were being published in the late 1980s, confidence in this perspective was beginning to be undermined. One aspect of this was the attraction of postmodernist theories that began to flourish in some circles as the optimistic radicalism of the 1970s proved unfounded. The other was the collapse of the Soviet system in Eastern Europe in 1989 and in Russia in 1991. In Russia itself the new-found freedom led many historians to insist on continuity between the Russian Revolution and the later development of Stalinism, often demonstrating a barely concealed distaste for what many thought of as a lumpen working class in 1917. Hostile Western accounts found a ready market in Russia, most notably the work of Richard Pipes, which had a more sympathetic audience than in the West. The result is that the immediate future direction of the of the Russian Revolution remains problematic. For the first time since the 1920s the center of debate is likely to move to Russia, but it will be some time before a less overtly politicized history of the Revolution will be possible, in East or West,

various academic

historiography

MICHAEL HAYNES

Carr, E.H. , The Bolshevik Revolution, 1917-1925 , 3 vols., London and New York : Macmillan , 1950-53 Chamberiin , William Henry, The Russian Revolution, 1917-1921 , 2 vols., London and New York : Macmillan , 1935 Ellison , Herbert J. , " Soviet Historians and the Russian Revolution " in Lyman Howard Legters , ed., Russia: Essays in History and Literature , Leiden : Brill , 1972 Ferro , Marc , La Révolution de 1917 , 2. vols., Paris : Aubier, 1967-76 ; vol. ι in English as The Russian Revolution of February 1917 , Englewood Cliffs, NJ: Prentice Hall , 1972 Florinsky, Michael T. , The End of the Russian Empire, New Haven : Yale University Press , and London: Oxford University Press, 1931 Kaiser, Daniel H. , ed., The Workers' Revolution in Russia, 1917: The View from Below , New York and Cambridge : Cambridge University Press , 1987 " Karpovich, Michael , The Russian Revolution of 1917 ," Journal of Modern history , 2 ( 1930 ), 258 80 Katkov, George , Russia 1917: The February Revolution , London : Longman , and New York: Harper, 1967 Pares, Bernard , The Fall of the Russian Monarchy: A Study of Evidence , London: Cape, and New York : Knopf, 1939 Pipes , Richard , The Russian Revolution , New York : Knopf, and London: Collins, 1990 ; concise version, 1995 Rabinowitch , Alexander, Prelude to Revolution: The Petrograd Bolsheviks and the July 1917 Uprising, Bloomington: Indiana University Press , 1968 Reed, John , Ten Days That Shook the World , New York : Boni and Liveright , 1919 ; London: Modern Books, 1928 Smith , Steve, " Writing the History of the Russian Revolution after the Fall of Communism ," Europe-Asia Studies 46 ( 1994 ), 563 78 Sukhanov, N. N. , Zapiski o revoliutsii , 7 vols., Berlin : Grzhebina , 1922-23 ; abridged in English as The Russian Revolution, 1917: A Personal Record , New York and Oxford : Oxford University Press , 1955 " Suny, R. G. Toward a Social History of the October Revolution ," American Historical Review 88 ( 1983 ), 31 52 " Suny, R. G. Revision and Retreat in the Historiography of 1917: Social History and its Critics ," Russian Review 53 ( 1994 ), 165 82 ; and response in Russian Review 54 ( 1995 ), 260 64 Trotskii , Leon , Istoriia russkoi revoliutsii , 3 vols., Berlin : Granit , 1931-33 ; in English as The History of the Russian Revolution , London: Gollancz, and New York : Simon and Schuster , 1932-33 " Warth , Robert D. , On the Historiography of the Russian Revolution ," Slavic Review 26 (1967 ), 247 64 " White , James D. , Historiography of the Russian Revolution in the Twenties ," Critique [Glasgow] 1 ( 1973 ), 42 53 .

-

-

See also Broué; Carr, E.; Davies, R.;

Pipes

Further Reading Acton Edward Rethinking the Russian Revolution London : ,

,

,

Arnold , 1990

-

"

BilHngton , James H. , Six Views of the Russian Revolution ," World Politics 18 ( 1966 ), 452 73 Bolshevik Central Committee , History of the Communist Party of the Soviet Union: Short Course , Moscow: Foreign Language House, 1938 ; New York : International Publishers , 1939 ; London: -

Cobbett, 1943 Brinton , Crane , Anatomy

of Revolution , New York : Norton , 1938 , London: Allen and Unwin, 1939 ; revised 1965 Browder, Robert Paul , The Russian Provisional Government, 1917 , 3 vols., Stanford, CA : Stanford University Press , 1961

-

-

-

-

S Said, Edward US

W.

display of bad

1935-

(Palestinian-born) literary

critic and historian

Edward Said has been profiled in Time as the leading ArabAmerican intellectual, and even mentioned as possible of an independent Palestine. Much of his reputation rests on his bestselling Orientalism (1978), which has become part of the very fabric of postcolonial scholarship. Born in Jerusalem and educated in the Middle East's leading secondary school, Victoria College in Cairo, before attending Princeton, Said is notable for his panache and style. His to historians rests in his leadership of one side in the bitter divide between partisans of what was once called or Western history and proponents of greater immersion in the culture of a neglected "third world." His opponents accuse him of a blind enthusiasm for multiculturalism and political correctness that has skewed the historical record. Said, on the other hand, has unrepentantly and frequently returned to the themes which in Orientalism he made famous and which have made him famous. In his view, first and foremost is the need for recognizing imperialism for what it is and furthering decolonization. Said's views are challenged by authorities such as Paul Johnson, Lewis Gann, and Peter Duignan, who believe that the bad side of colonialism has been grossly overstated.

president

relevance mainstream

An

ardent

anti-victimizer,

Said

Said's part: "Ernest Gellner is an his little feet For someone who, like Gellner, practices anthropology of a antiquated and, yes, colonial kind, to make fun of 'lit crit' is symptomatically to exhibit that patronizing bad faith and complicity with imperial power which many, and a great deal more serious, anthropologists today, are trying to come to terms with in the history of their discipline. Not Gellner though, who can only resort to the puerile anti-American joke and piffling trivia of the Common Room." Despite the impact of Orientalism, and despite virulent opposition by Said to positive statements about colonialism, there are signs of renewed discussion about the proposition that all cultures are not equal. Moreover, another difficulty with Said's sometimes shrill position is that "the West", to which he refers at times with a disdain as if it were a Dark Force, is a constantly changing phenomenon. Additions are made all the time to its canon; Western culture is eclectic. For all of one's admiration for Said's accomplishments, the fact remains that the attack he has ably led seems to be faltering. That his opponents have regained their is typified by Johnson's bald announcement in the National Review (14 December 1992) that "It's time to stop singing those 20th-century blues and start considering ways to secure global stability and extend prosperity. The first step: Western imperialism." Clearly the debate is not over. academic

has

attracted

attention

because of an exaggerated empathy for the marginal and he claims to represent. He has sought legitimacy for a plethora of nondescript noncanonical works. Or so this seems to his enemies. He warned in Culture and Imperialism (1993) that "The images of Western imperial authority remain haunting, strangely attractive, compelling: Lawrence of Arabia, at the head of his Arab warriors, living the romance of the desert, inventing guerrilla warfare, hobnobbing with princes and statesmen, translating Homer, and trying to hold on to Britain's 'Brown Dominion'; Cecil Rhodes, establishing estates, funds as easily as other men might have children or start businesses The list is long and its treasures

temper

on

Rumpelstiltskin, stamping

.

.

.

particularly

self-confidence

reestablish Paul

anomalous

See also Iieto; Imperial; Indigenous; Lewis, Orientalism; Women's History: Asia

John

Rich

B.; Nationalism;

-

countries, .

.

.

massive."

Said is extremely outspoken. The New York Times (9 March 1993) has taken him to task for a "hectoring tone" by "angry, paranoid digressions about the Gulf war and America's imperial ambitions," as well as for "trying to

accompanied

shoehorn examples into a rigid theoretical structure." Ernest Gellner's review of Culture and Imperialism in the Times Literary Supplement (19 February 1993) brought forth a telling

Biography Jerusalem, 1 November 1935, son of a prosperous businessman. Attended St. George's School, before the family moved to Cairo , 1947 ; attended American School then Victoria College , before being sent to the Mount Hermon School, Massachusetts ; received BA in English literature , Princeton University, 1957 ; MA, Harvard University, i960 , PhD 1964 Taught (rising to professor), Columbia University, from 1963. Member, Palestine National Council, from 1977. Married 1) Maire Jaanus, 1962 (marriage dissolved); 2) Mariam Cortas , 1970 (1 son, 1 daughter). Born

.

Principal Writings Orientalism , 1978 The Question of Palestine , 1979 The World, The Text, and the Critic, 1983 After the Last Sky: Palestinian Lives , 1986

SAID

Editor with Christopher Hitchens , Blaming the Victims: Spurious Scholarship and the Palestinian Question , 1988 Culture and Imperialism, 1993 Representation and the Intellectual, 1994

Further Reading Rich Paul John The Invasions of the Gulf: Radicalism, Ritualism and the Shaikhs Cambridge : Alborough 1991 Sprinker Michael ed., Edward Said: A Critical Reader Oxford and Cambridge, MA : Blackwell 1992 ,

,

,

,

,

,

,

,

Sallust has no concern for what might be the legitimate complaints of the veterans and peasants, instead concentrating on the avarice and corruption of Cataline and orator Cicero.

his followers. Sallust's second work, The War with Jugurtha, written c.41-40, is based on Carthaginian sources and Sallust's personal experience as governor of Numidia, where Jugurtha ruled. Surprisingly, Sallust reveals his ignorance of the geography and local chronology of Numidia. Once again his emphasis is on party politics in Rome. The rise of Gaius Marius, a new man, like Sallust and Cicero, was portrayed as contributing to conflict detrimental to Rome's traditional institutions and morality. Marius was the enemy of Sallust's father-in-law, Sulla. The surviving fragments of the Histories are Sallust's most important work. The work was originally five books or scrolls, covering Roman history from 78 BCE, and seems to have Sallust's theme of class and political conflict arising from personal corruption and avarice. Traditionally an ancient author set out in his first sentence the genre of his work, history, literary criticism, etc. Sallust's opening lines of The War withJugurtha ("Men have no right to complain that they are naturally feeble and short-lived, or that it is chance and not merit that decides their destiny") and The War with Catiline ("Every man who wishes to rise superior to the lower animals should strive his hardest to avoid living all his days in silent obscurity, like the beasts of the field, creatures which go with their faces to the ground and are the slaves of their bellies") have puzzled scholars. These lines, as translated by S.A. Handford, seem to indicate that a philosophical work Did Sallust mean to announce he was writing not history but philosophy? If Sallust meant his work to be taken as posterity has not remembered him as a philosopher. What is remembered is that Sallust's writings strongly and sincerely reflected personal views. Like many Romans of his day he saw a gap widening between Rome's perceived Golden Age of the past and its condition in the late years of the republic and early years of the empire. Sallust's works convey the view that Rome suffered a moral crisis in the 2nd century BCE. When Rome defeated Carthage and no longer had a strong external enemy, the Roman people became weak and corrupt. Sallust believed that a man or nation without a purpose could feel little satisfaction in any activity. Influenced by Thucycides and Polybius, Sallust searched for the causes of decadence and did some analysis of the general fate of empires as it was mirrored in the fate of Rome. History for Sallust was a didactic enterprise meant to set forth to be imitated and to be avoided.

political

Sallust

86–35

BCE

Roman historian

Jugurtba),

histories Bellum Jugurthinum (The War with Bellum Catilinae (The War with Catiline) and

Historiae

(Histories) emphasize political biography, political

Sallust's

and personal corruption, and party strife. The quality of these works ranks Sallust with the other two great Roman historians, Livy and Tacitus. Sallust was once credited with developing the style of the historical monograph. Today Lucius Coelius Antipater, who wrote historical monographs at the end of the 2nd century BCE, is credited as the founder of the genre, but Colelius' works are lost. Sallust's analytical historiography made his influence on later Roman historiography and greater than that of any other author. Livy reacted against his style. Tacitus refined it. Certainly, Sallust established the template for all Roman historical and biographical writers until Tacitus. Quintilian (c.34-C.100CE), a tutor of the Flavian emperors and a renowned orator, praised Sallust's work by comparing it to that of Thucycides, Martial the Roman epigrammist Sallust the "foremost" Roman historian. St. Augustine influenced generations of scholars by praising, erroneously, the accuracy of Sallust. Erasmus recommended him over Livy or Tacitus in 1511. Criticism of Sallust's work has been directed at his strong expression of personal political views and his notion that Rome's perceived moral crisis arose spontaneously in the 2nd century BCE. He argued that the crisis had no roots in the past as he believed that the aristocratic or senatorial class, the knights or equestrians, and the common people or plebeians had worked in harmony, controlled by traditional virtues, such as self control and belief in the common good. Sallust is responsible for the popular notion that Roman politics was governed on the premise of two political parties, the Optimates and the Populares. This idea owes more to later interpreters' knowledge of the structure of politics in the 18thcentury British parliament than to actual practice in ancient

biography

pronounced

probably

continued

philosophy,

follows.

philosophy,

examples

NANCY PIPPEN ECKERMAN

See also

Livy;

Machiavelli

Rome.

The War with Catiline, covering events of 66 to 63, was 42/1 and established Sallust's favorite theme, the change in Rome's mentality and disturbing changes in Roman politics and personal morality. The conspiracy of Lucius Sergius Catilina is the first recorded threat to Roman stability by an internal enemy. Catiline rallied aristocrats deeply in debt, army veterans unhappy with their settlements, and impoverished peasants against the aristocracy in the Senate led by the famous written in

Biography Gaius Sallustius Crispus Born Amiternum (now San Vittorino, Italy), 86 BCE, to a family of equestrian rank Became involved in imperial politics; supporter of the Populares ; tribune, 52; expelled from the Senate, 50 ; joined Caesar and commanded a legion, 49 ; governor of Africa Nova, 46; on return to Rome charged with corruption, graft, and oppression as an administrator, but never tried ; retired, 43 Married Fausta, daughter of Sulla. Died .

.

.

Rome,

35.

SALVEMINI

At this time he

Principal Writings Bellum Catilinae, c.42/1 ; in English as The War with Catiline Bellum Jugurthinum, c.41-40 ; in English as The War with Jugurtha Historiae ; as The Histories , translated by Patrick McGushin , 2 vols., 1992-94

Works ( Loeb edition; includes The War with Catiline, The War with Jugurtha, Orations and Letters from the Histories, PseudoSallustian Works ), translated by J. C. Rolfe , 1920

Historiography:

Ancient, Medieval, and Modern , Press , 1983 ; revised 1994

Chicago : University of Chicago

Büchner, Karl , Sallust , Heidelberg : Winter, 1960 Earl , Donald C. , The Political Thought of Sallust , Cambridge :

Cambridge University Grant , Michael ,

Press ,

ed., Readings

1961 in the Classical Historians , New

York : Scribner, and London: Maxwell Macmillan, 1992 e la rivoluzione romana ( Sallust and the Roman Revolution ), Milan : Feltrinelli , 1968 Latte , Kurt , Sallust , Leipzig : Teubner, 1935 Luce , T. James , ed., Ancient Writers: Greece and Rome , 2 vols., New York : Scribner, 1982 McGushin , Patrick , Sallust, The Conspiracy of Catline: A Companion to the Penguin Translation of S. A. Handford , Bristol : Bristol Classical Press , 1987 Scanlon , Thomas Francis , The Influence of Thucydides on Sallust , Heidelberg : Winter, 1980 Syme , Ronald , Sallust , Berkeley : University of California Press , La Penna , Antonio , Sallustio

1964

Salvemini, Gaetano

1873–1957

Italian economic historian first appointed to a university in Messina in 1901 at the age of 2.8. He then taught at the University of Pisa and in 1916 succeeded his mentor, the Pasquale Villari, to the chair of history at the University of Florence. He taught there until 1925, when he renounced his university position and chose to live abroad as an active refugee. In 1934 he was offered a lectureship in Italian Civilization at Harvard, where he remained until his retirement, although in 1949 he returned to Florence to teach for a few years. Salvemini combined a career as a distinguished historian with an active, even passionate involvement in politics, first as a socialist, then as a democratic radical and an antifascist close to "Giustizia e Libertà" the movement created by his friend Carlo Rosselli. At times his politics and his research sat together uneasily, and Salvemini, with characteristic frankness, was the first to recognize this. In his best work, however, he managed to convey the strength of his convictions through an accurate analysis of the past. His early scholarship was devoted to the Middle Ages, and in 1899 he published Magnati e popolani in Firenze dal 1280 al 1295 (Prince and People in Florence, 1180-1295),in which he focused on the class struggle between the nobility allied to the wealthy bourgeoisie and the emerging middle classes, tied to the corporations of the Commune. Salvemini thus turned a conventional academic assignment into a refreshing work of social and economic history, which soon acquired a influence on the younger generations of historians. Gaetano Salvemini

under the influence of

a

somewhat basic

historian

idealistic

Further Reading Breisach , Ernst ,

was

Marxism, and it was noted, particularly by the Russian Nicola Ottokar, in Il Comune di Firenze alla fine del Dugento (The Commune of Florence at the End of the 13 th Century) (1926) that some of his causal connections were simplistic and inaccurate. Marxists have charged him with an insufficient theoretical grounding echoing a similar accusation levelled against him by Benedetto Croce, the doyen of the school. Salvemini was quite unmoved, since he always prided himself on being ill at ease in philosophical matters. Having moved to the study of modern history, Salvemini produced two important works on the French Revolution and on Mazzini. The first, La rivoluzione francese, 1788-1791 (1905; The French Revolution, 1954) covered the causes and the outbreak of the Revolution. Through what was basically

was

lectureship celebrated antifascist

pathbreaking

advanced textbook reliant on published sources Salvemini nevertheless able to fill a serious gap in current Italian historiography, given that the standard books on the topic were still the French classics by Thiers, Tocqueville, and Michelet. In the process he also advanced a reformist interpretation of the Revolution, claiming that the excesses of the Jacobins could have been avoided if the monarchy and the privileged classes had been less selfish in the defence of their interests. Salvemini had moved away from his youthful materialism and was now prepared to make room for the role of elites and ideas in shaping events. According to Stuart Hughes, Salvemini's book was also a coded warning to the ruling classes in Italy that they should accommodate reform rather than resist it. Salvemini's book on Mazzini was a collection of essays, falling short of a full-scale biography. It was written for the centenary of Mazzini's birth, but it was far from an Salvemini had very little time for Mazzini's spiritualism, and he regarded his thinking as steeped in regressive antiEnlightenment values. No wonder, Salvemini later remarked, Gentile had been able to hail Mazzini as Mussolini's precursor. On the other hand, he admired Mazzini as a leader and the part he had played in bringing about Italian Salvemini's hero in the Risorgimento, however, was not Mazzini, but Carlo Cattaneo, a selection of whose works he edited in 1922. In the last years of his stay in Italy, Salvemini concentrated on the history of Italy's foreign policy after unification. He was, according to Sestan, the first professional historian to engage fully in this field. His main aim was to paint a critical portrait of Italy's engagement in the Triple Alliance, which he believed had served as a pillar of reaction and conservatism. His research was never completed although extracts of it were published on various occasions. Once a refugee, Salvemini concentrated on writing about fascism for a British, American, and French audience. He produced a stream of books in all languages, which although engaging, occasionally witty, and always well documented, often fell short of proper historical standards, due to the scarcity and biased nature of the sources he was able to draw upon, as well as to the polemical purpose of his work, which was designed primarily to counter the propaganda emanating from the fascist regime. Nevertheless, as Roberto Vivarelli has pointed out, there is much that is lasting and fruitful in his analysis. Under the Axe of Fascism (1936), for example, is a very detailed reconstruction of fascist corporatism, which not an

was

hagiography. recognized

unification.

only successfully punctured the myth of the "Third Way," but developed a subtle understanding of the oligarchical powerstructure underpinning the regime. Equally, Prelude to World War II (1953) a scathing critique of appeasement, is full of valuable insight into the relationship between ideology and diplomacy during the 1930s. Among Salvemini's lesser known works is Historian and Scientist (1939) in which, joining the contemporary AngloSaxon debate on the status of the social sciences, he staked out his neo-empiricist position. The historian, argued Salvemini, should be an empiricist, conducting experiments, and not a seeking to uncover grand designs in history. According to Bobbio, Salvemini represented the best of a positivist that challenged the idealism prevailing in Italian culture. Most Italian intellectuals, Salvemini argued, are more prepared to dispute concepts rather than engage with positive facts.

theologian, tradition

RUGGERO RANIERI

Further Reading Artifoni , Enrico , Salvemini e il Medioevo: storici italiani tra Otto e Novecento ( Salvemini and the Middle Ages: An Essay on Italian Historians Between the18th and 20th Centuries ), Naples :

Liguori

1990

,

Associazione mazziniana italiana , Gaetano Salvemini nella cultura e nella politica italiane ( Gaetano Salvemini Within History's Cultural and Political Life ), Rome : Edizioni della Voce , 1968 Associazione mazziniana italiana , Convegno di studi su Gaetano Salvemini, Faenza, 28-29 aprile 1973 , Faenza : Lega , 1973 " Biscione , Michele , Gaetano Salvemini e la polemica sulla storia come " scienza ( Gaetano Salvemini and the Dispute on History as Science ), Rivista di storia della storiografia moderna 1 ( 1980 ), 29 44 " " Bobbio , Norberto , Salvemini e la democrazia ( Salvemini and 21 Il Ponte ( 1975 ), 1254 78 ; reprinted in his Democracy ), Maestri e compagni: Piero Calamandrei, Aldo Capitini, Eugenio Calorni, Leone Ginzburg, Antonio Giuriolo, Rodolfo Mondolfo, Augusto Monti, Gaetano Salvemini , Florence : Passigli , 1984 " " Carocci , Giampiero , Salvemini e la politica estera del fascismo Salvemini and Fascism's Studi Storici ( Foreign Policy ), 9 ( 1968 ), -

-

218 32 -

See also

Italy:

since the Renaissance; Pieri

Cingari Gaetano ed., Gaetano Salvemini tra politica e storia ( Gaetano Salvemini; Between Politics and History ), Rome : Laterza 1986 Cotroneo Girolamo Croce e Salvemini: una polemica sulla storia ( Croce and Salvemini: A Polemic on the Nature of History ), Rivista di studi crociani 17 ( 1980), 45 61 Croce Benedetto Terze pagine sparse ( Essays and Notes ), 2 vols., ,

,

,

"

,

Biography Born Molfetta , Bari , 8 September 1873, from a poor family. Studied with Pasquale Villari and Cesare Paoli at University of Florence, PhD 1894 Taught at Teachers College, Palermo, 1895-96; Lyceum of Faenza , 1896-97 ; Lyceum of Lodi , 1898 1900 ; Lyceum of Florence , 1900-01 ; University of Messina , 1901-10 ; University of Pisa, 1910-16 ; University of Florence , 1916-25 ; and after exile by fascist government in 1925 , Harvard University, 1930 , 1933-48 Lost his wife and five children in Messina earthquake, 1908; married 2) Fernande Dauriac, 1916. Died Capo di Sorrento, 6 .

-

.

September

1957.

Principal Writings Magnati e popolani in Firenze dal 1280 al 1295 ( Prince and People in Florence, 12.80-1295 ), 1899 I partiti politici milanesi nel secolo XIX ( Political Parties in Milan in the 19th Century), 1899 Studi Storici ( Historical Studies ), 1901 Il pensiero religioso, politico sociale di Giuseppe Mazzini ( Mazzini's Religious, Political, and Social Thought ), 1905 La rivoluzione francese, 1788-1791 1905 ; revised in English as The French Revolution, 1788-1792 1954 Mazzini 1915 ; translated 1956 Editor, Le Piu' belle pagine dt Carlo Cattaneo ( The Best Pages by Carlo Cattaneo ), 1922 L'Italia politica nel secolo XIX ( Italian Politics in the 19th Century) in D. Donati and F. Carli eds., L'Fluropa nel secolo ,

,

,

"

"

,

XIX , 1925 The Fascist Dictatorship in Italy , 1927 Mussolini diplomate , 1932 Under the Axe of Fascism , 1936 Italian Fascism , 1938 Historian and Scientist: An Essay on the Nature of History and the Social Sciences, 1939 La politica estera dell'Italia dal 1871 al 1915 ( Italy's Foreign Policy Between 1871 and 1915 ), 1944 Prelude to World War II , 1953 Opere di Gaetano Salvemini (Works), 20 vols, to date, Milan : Feltrinelli , 1961 The Origins of Fascism in Italy , edited by Roberto Vivarelli , 1973 Medioevo, risorgimento, fascismo: antologia dt scritti storici ( The Middle Ages, The Risorgimento, and Fascism: An Anthology of Historical Writings ), edited by Enzo Tagliacozzo and Sergio Bucchi , Bari : Laterza 1992 [selected works] -

"

,

-

,

,

Bari : Laterza , 1955 Renzo, Le interpretazioni de fascismo , Bari : Laterza , 1969 ; in English as Interpretations of Fascism , Cambridge, MA : Harvard University Press , 1977 Garrone , A. G. , Salvemini e Mazzini (Salvemini and Mazzini ), Messina : D'Anna , 1981 Hughes , H. Stuart, The Sea Change: The Migration of Social Thought, 1930-1965 , New York : Harper, 1975 " Maturi , Walter, Gaetano Salvemini ," in his Interpretazioni del Risorgimento: lezioni di storia della storiografia , Milan : Einaudi , De Felice ,

1962 Origo Iris

"

Gaetano Salvemini: The Man Who Would Not Conform in her A Need to Testify: Portraits of Lauro de Basis, Ruth Draper, Gaetano Salvemini, Ignazio Silone and an Essay on Biography, London : Murray , and San Diego: Harcourt Brace, ,

,

"

1984 Ottokar, Nicola , Il Comune di Firenze alla fine del Dugento ( The Commune of Florence at the End of the Thirteenth Century), Florence : Vallechi , 1926 " Puzzo , Dante Α. , Gaetano Salvemini: An Historiographical Essay," Journal of the History of Ideas 20 ( 1959 ), 217 35 " " Ragionieri, Ernesto , Gaetano Salvemini storico e politico ( Gaetano Salvemini's History and Politics ), Belfagor 5 ( 1950 ), 514 36 " Rodolico , Niccolao , Gaetano Salvemini (1873-1957)," Archivio Storico Italiano 115 ( 1957 ), 378 79 Salvadori , Massimo L. , Gaetano Salvemini , Turin : Einaudi , 1963 Sestan , Ernesto et al. , Gaetano Salvemini , Bari : Laterza , 1959 " Sestan , Ernesto , Salvemini storico del Medioevo ( Salvemini Historian of the Middle Ages ) in Ernesto Sestan, ed., Atti del convegno su Gaetano Salvemini, Firenze 8-10 Novembre 1975 , Milan : Saggiatore , 1977 Tagliacozzo , Enzo , Gaetano Salvemini nel cinquantennio liberale ( Gaetano Salvemini During the Fifty Years of Liberal Italy ), Florence : La Nuova Italia , 1959 " " Venturi , Franco , Salvemini storico (Salvemini the historian ), Il -

-

-

"

Ponte 13

( 1957 ),

1794 1801 -

"

" Vivarelli , Roberto , Salvemini e il fascismo ( Salvemini and fascism ), in Ernesto Sestan, ed., Atti del convegno su Gaetano Salvemini, Firenze 8-10 Novembre 197s , Milan : Saggiatore , 1977 " " Vivarelli , Roberto , Salvemini e Mazzini (Salvemini and Mazzini ), and A. G. Garrone , "Mazzini e Salvemini: a Roberto Vivarelli," Rivista Storica Italiana 97 (1985 ), 42 85 -

Samuel, Raphael

1934–19 6

British social historian British social historian and the movement which he co-founded. Samuel's concerns as a historian and political activist were to open up the history of ordinary people and their lives in the last two centuries, experiences that he with a warm empathy. His career was truly unique. Committed to history as a collaborative process, he wrote only one major monograph of his own (Theatres of Memory, 1994) but his output was vast, ranging from articles and theoretical interventions to a number of important oral He enlarged the possibilities of people's history, building on the work of left-wing historians such as E.P. Thompson and Eric Hobsbawm. Like them, he was passionately with the politics of history, arguing not only about what kind of history should be written but also how it should be

Raphael

Samuel

was a

leading

inspiration behind the History Workshop

examined

histories.

concerned taught. In

a

poignant

series of articles in the New

Left Review, upbringing that began with

Samuel described his communist his mother and included his early activism in the party. At a young age, he joined the Communist Party Historians Group but left the party over the Soviet invasion of Hungary in 1956 and went on to become a leading figure in the New Left of the 1960s. Samuel taught at Ruskin College, Oxford (the trade union-backed college for mature students which trained them for university access). His students included Sally Alexander and Alun Howkins, who later became historians themselves, as well as John Prescott, the future Labour deputy prime minister. Adult education was Samuel's passion and the spur for the way in which he saw history. His teaching always began with primary sources rather than textbooks (in the 1960s, a radical departure) and his lecturing technique involved sharing his gleanings from archives with a generous delight. His publications had a similar quality in which example was followed by example sometimes in a rather unstructured way. Samuel would often talk about the way in which people found a voice, explaining his attraction to oral history. It was in this spirit that he co-founded History Workshop whose purpose was to give voice to those whose experiences had been silenced by authority (particularly women, blacks, and the

working class). As

a

historian, Samuel had wide interests. He was at home history but distrusted histories that

in economic and labor

concentrated on institutions such as trade unions. Perhaps his most influential piece was the 1977 article "Workshop of the World." This was one of the earliest of a revisionist position on the British Industrial Revolution. Samuel documented the persistence of hand in the age of steam, showing how the factory did not displace artisan modes of production until well after the mid19th century. His research was characterized by a deep sense of place and love of community. This was true of the oral histories, Village Life and Labour (1975), Miners, Quarrymen and Roughs (1977), and East End Underworld (1981). The last was a superb evocation of the life of Arthur Harding, a gangster with whom Samuel collaborated. He had a huge knowledge of London and its history. His final project before

simply

statements

he died was the creation of an institute for the study of East End history at the University of East London which granted him a professorship. This love of community was evident in his earliest research on the Irish in Britain but was also there in the oral history of the miners strike of 1984-85, published under the ironic title, The Enemy Within (1986). Samuel's voice was at its most distinctive in his editorials and prefaces to History Workshop publications. He insisted that Britain's greatest contribution to Marxist thought was in the field of history, and yet was always concerned to reflect on new intellectual developments such as poststructuralism. He was particularly concerned with welcoming new theories about gender and race and provided a space for them. Curiously, for one so interested in theory, his own work often had an flavor to it. In the 1980s, he was both appalled and fascinated by Thatcherism and its appeals to national identity. It was in this spirit that he convened a History Workshop conference on national identity in 1984 and turned it into a 3-volume Patriotism (1989), each prefaced by his lengthy He was particularly concerned during the Falklands crisis of 1982 at the apparent absence of the oppositional Englishness that had once protested against the Boer War and supported the Campaign for Nuclear Disarmament. Yet he was determined to understand the historical varieties of national identity which he treated with great sensitivity and respect. Theatres of Memory, his most substantial book, should be read as a summary of his attempts to celebrate people's culture and to give it dignity. It was also the most sustained of the recent attempts of the left to think about the heritage industry. In the 1980s, most left-wing writers tended to attack the whole notion of heritage as intrinsically conservative. Samuel disagreed. His book celebrated the historical culture of ordinary people and argued that Britain in the 1990s was enjoying an expanding culture in which the past was being rendered accessible in all sorts of new ways. He documented the roots of the heritage industry, showing that it lay with progressive youth culture in the 1960s rather than Thatcherism in the 1980s. A sequel, Island Stories, was published in 1997. Samuel was sometimes criticized for his deep romanticism about the working class. Though not naive, he did

antiquarian

collection, introductions.

historical modern

nevertheless understanding ordinary place high premium the sustained of working-class experience. on

a

He

never

wrote

treatment

history of the sort produced by Thompson or Hobsbawm and of which he was capable. What he did do was just as He acted as an enabler so that other people could find their voices and expanded the range of history so that it was forced to take seriously the history of everyday life. He was not only one of the important historians in postwar Britain; he was also one of its most significant democrats.

important.

ROHAN MCWILLIAM

technology

See also Britain: since 1750;

History Workshop;

Oral

Biography Born London, 26 December 1934. Educated at King Alfred's School Hampstead ; Balliol College, Oxford. Taught at Ruskin College Oxford 1961-96 ; professor, University of East London 1996 Married Alison Light, historian and literary critic, 1987. Died London, 9 December 1996. ,

,

,

.

,

Principal Writings

After "

Dyos and Michael Wolff eds., The Victorian City: Images and Realities vol. 1 1973 Editor, Village Life and Labour 1975 Editor, Miners, Quarrymen and Roughs 1977 Workshop of the World: Steam Power and Hand Technology in Mid-Victorian Britain ," History Workshop Journal 3 ( 1977 ), 6 72 British Marxist Historians, 1880-1980," New Left Review 120 ( March-April 1980 ), 21 96 Editor, East End Underworld: Chapters in the Life of Arthur Harding 1981 Editor, People's History and Socialist Theory 1981 The Lost World of British Communism ," New Left Review 154 ( 1985 ), 3 53 The Roman Catholic Church and the Irish Poor," in Roger Swift and Sheridan Gilley eds., The Irish in the Victorian City 1985 Editor with Ewan McColl and Stuart Cosgrove Theatres of the Workers' Theatre Movements in Britain and Left, 1880-1935: America 1985 Editor with Barbara Bioomfield and Guy Boanas The Enemy Within: Pit Villages and the Miners' Strike of 1984-5 1986 Editor, Patriotism: The Making and Unmaking of British National Identity 3 vols., 1989 Editor with Paul Thompson The Myths We Live By 1990 Reading the Signs," History Workshop Journal 32 ( 1991 ), 88 109 ; and 33 ( 1992 ), 220 51 The Discovery of Puritanism, 1820-1914: A Preliminary Sketch ," in Jane Garnett and Colin Matthew eds., Revival and Religion since 1700: Essays for John Walsh 1993 Theatres of Memory: Past and Present in Contemporary Culture "

Comers and Goers

in H.J.

,

,

,

,

,

"

-

"

-

,

,

"

-

"

,

,

,

,

,

,

,

,

,

"

-

-

"

,

,

,

1994

Island Stories: Unravelling Britain , 1997

Further Reading Thompson Paul Raphael Samuel, 1934-96: An Appreciation," Oral History 25 ( 1997 ), 30 37 "

,

,

-

Sánchez-Albornoz, Claudio Spanish

1893–1984

medievalist

Claudio Sánchez-Albornoz, despite a career that involved him in the troubled politics of the Republican period of the 1930s and a long period in exile in Argentina, established himself as and remained for several decades the dominant figure in the study of Spanish medieval history, from the Visigothic period to the 12th century. His own training, which he frequently acknowledged, was at the hands of several of the leading medievalists of the preceding generation, including Eduardo Hinojosa and the German scholar Alfons Dopsch. His earliest work established many of the themes, primarily the legal and administrative history of the Asturian, Leonese, and early Castilian kingdoms, that he would pursue for the rest of his career. In particular his studies and publications of documents relating to the processes of the repopulation of areas of northern Spain in the centuries after the Arab conquest remain central to continuing debates on the subject. Similarly, although it is now, rather oddly, treated within Spanish universities as an aspect of ancient rather than medieval history, his work throughout his life on the previously neglected Visigothic period established its importance for the understanding of many of the institutional features of the kingdoms that followed it.

a

first

publication

in 1914 and the

production

of

some

early 1920s, he became professor and the University of Madrid, and subsequently its

important articles

in the

then dean in rector. He founded and edited the Anuario de Historia del Derecho Español, which remains the most important journal of Spanish medieval legal history. His involvements as minister of education and then ambassador to Portugal made the 1930s almost completely unproductive as far as research was concerned, and in 1939 he went into exile. After a brief period in France he moved to Argentina, where he established the Instituto de Historia de España, which was effectively a personal fiefdom within the University of Buenos Aires. From it he published the Cuadernos de Historia de España (CHE), which for over four decades was the most regular and medieval history journal in the Spanish-speaking world. Although Sánchez-Albornoz was now far removed from the original sources for medieval research, his compendious notes taken during his work in Spanish archives in the 1910s and 1920s enabled him to renew his own scholarly output. He published numerous articles in CHE, as well as maintaining earlier contacts with French and Italian historians. With Spain itself largely isolated in Europe after World War II, he became the acceptable and authoritative face of the Spanish tradition as far as Europe was concerned, appearing frequently at conferences in Italy. Through the Instituto he trained a new generation of pupils in South America, including Hilda Grassotti and Reyna Pastor de Togneri, who like most of his earlier Spanish disciples, continued to work in the areas and with the methods that he advocated. In the later 1940s and 1950s the Spanish scholars who had studied under him before the Civil War were also coming to the fore as the leading medieval historians in Spain, fully acknowledging their debts to him. Despite his political attachments in the 1930s, the late 19th century tradition of Spanish historiography to which he belonged, which was concerned pre-eminently with the rise of Castile and with the development of centralizing government and its institutions, was entirely acceptable to the Franco regime. Thus SánchezAlbornoz continued to receive personal recognition and to exert an intellectual leadership in medieval historical studies in his homeland, which led in due course to his being able to make a triumphant return to Spain and to receive numerous honors there in the years leading up to his death in 1984. His most famous, though ultimately least significant work of the Buenos Aires period was his z-volume España: un enigma histórico (1956; Spain: A Historical Enigma, 1975), which challenged the broad interpretation advocated by Américo Castro of Spanish history as the fusion of different cultures. For Sánchez-Albornoz an essential "Spanishness" or "Hispanidad" transformed most of the alien cultural elements that entered the Iberian peninsula. His opinions on those, such as the Jews, whom he saw as resisting such hispanization, led to his later being accused of anti-Semitism. While the conflict between Sánchez-Albornoz and Castro was of major interest in the Spanish world for many years, with victory being accorded in Spain at least to the former, the presuppositions of his arguments now appear dated and irrelevant. He was notorious as a polemicist. Intellectually his attitude to his former pupils, however personally warm, was always condescending. As numerous of his polemical articles show, in

influential

historiographical

argument, such as that with Antonio Ubieto the Jimeno dynasty, if his opponent was a former pupil or even the pupil of a former pupil, this in itself was for Sánchez-Albornoz an argument against them how could the pupil know better than the master? His style of debate in such published controversies was often highly patronizing, an arrogance and a lack of openness to new ideas that can amaze the dispassionate reader. To his credit, he was also prepared to enter into debates in areas where caution might have kept him out. Thus, although not knowing the language, he stoutly defended his interpretations of the compositional history of such Arab historical texts as the Ajbar maymu'a against the criticisms of professional orientalists such as Evariste Lévi-Provençal and Pedro Chalmeta in some of the most polemical articles he ever wrote. More significant and with enduring value are his numerous articles, some of considerable length, on medieval and governmental and social institutions. Many of these were reprinted several times over in a variety of combinations quite bewildering to anyone trying to establish a bibliography of Sánchez-Albornoz's works. In such articles he often published texts taken from his early archival studies, which, unlike many of the footnotes in his work, prove to be accurate and exact. Although, like his predecessors, he remained wedded to a view that saw the medieval and modern Spanish state as the direct heir of an almost exclusively Castilian inheritance, his own partly Basque descent led him into publishing a small but significant corpus of articles on the then much neglected kingdom of Navarre. Here he was followed by his foremost Spanish pupil José Maria Lacarra. Unlike Lacarra, Sánchez-Albornoz never turned his attention to Aragón, let alone Catalonia. One consequence of this has been that in the post-Franco decades when there has been a marked shift away from the study of the centralizing Castilian tradition and towards regional studies, much of his work has gone out of fashion and hence out of print. In part, too, this is due to the appreciation by Spanish medievalists of new and more sophisticated methodologies, such as those offered by the French Annales school. However, through conferences and their publications the Fundación Sánchez-Albornoz in Avila continues to promote the study of many of the topics and periods that were his main interest. any

scholarly

Arteta

over

-

displaying

historiography

remarkably

ROGER COLLINS See also

Halperín-Donghi;

Menéndez

Pidal; Spain: Islamic; Spain:

Medieval

Biography

Claudio Sánchez-Albornoz y Meduiña. Born Madrid, 7 April 1893. Taught at University of Barcelona 1918-20 ; and University of Madrid, 1920-32: rector, 1932-33 Member, Chamber of Deputies 1931-35 ; foreign minister 1933 ; ambassador to Portugal, 1936. Taught at University of Bordeaux, 1937-40; and University of Buenos Aires 1940-83 Exiled from Spain during the Franco era ; returned 1983. Died Avila, 8 July 1984. ,

.

,

,

,

.

Principal Writings La curia regia portuguesa, siglos XII y XIII ( The Portuguese Curia in the 12th and 13th Centuries ), 1920 El "Ajbar maymu'a" cuestiones historiograficas que suscita ( Historical Questions Raised by the Ajbar maymu'a), 1944

Royal

La España musulmana: según los autores islamitas y cristanos medievales ( Muslim Spain According to Medieval Christian and Moslem Authors ), 2 vols., 1946 Una ciudad hispano-cristiana hace un milenio, estampas de la vida en León ( A Spanish Christian City a Millennium Ago: Aspects of Life in León ), 1947 ; 10th edition as Una ciudad de la España cristiana hace mil años , 1984 España: un enigma histórico , 2 vols., 1956 ; in English as Spain: A Historical Enigma , 2 vols., 1975 Estudios sobre las instituciones medievales españolas ( Studies on Medieval Spanish Institutions ), 1965 La España cristiana de los siglos VIII al XI (Christian Spain from the 8th to the nth Centuries ), vol. 1 : El reino Astur-Leonés (772 a

1037) 1980 ,

Further Reading Carmen Carié , María del , Hilda Grassotti , and German Orduna ,

eds., Estudios en homenaje a Don Claudio Sánchez Albornoz en sus 90 anos ( Studies in Honor of Claudio Sánchez Albornoz on his 90th Birthday), 6 vols., Buenos Aires : Instituto de Historia de España 1983-90 Clemente Ramos Julián Entre el determenismo y la libertad: ,

"

,

,

teoria histórica y contradicciones internas en el systema " albornociano ( Between Determinism and Liberty: Historical Theory and Internal Contradictions in the System of Claudio Sánchez Albornoz ), Cuadernos de Investigación Histórica 10

( 1986 ),

31 40 -

Sanctis, Gaetano de

1870–1957

Italian historian of Greece and Rome Gaetano de Sanctis has been described as the most important Italian historian of antiquity since Carlo Sigonio, with whom he shared a vast historical vision, total control of the varied categories of sources, and a marvelous ability to bring the ancient world to life. Few historians have left us as vivid an account of the formative influences on their lives as he did in his Ricordi della mia vita (Memoirs, 1970). He has also been called by Aldo Ferrabino "the man of contradictions," which began with his own birth into a fiercely papal family in 1870, just after the capture of Rome. As with his own life, for de Sanctis history was full of contradictions which he attempted to reconcile (notably between the forces for freedom and as opposed to those for unity and hegemony). Life was for him the guide to history, not the other way around. He is best remembered for Storia dei Romani (History of the Romans, 1907-64). The first two volumes, on the conquest of Italy, appeared in 1907, just after Theodor Mommsen's death. Trained by Beloch, de Sanctis attempted to devise and apply a "scientific" historiography. His own fundamental approach was conservative, but he was capable of bold views: he revived Perizonius' "ballad theory," used also by Niebuhr, which saw in songs the missing link in the earliest sources; he rejected the of the monarchy by revolution and modified Beloch's view of the dictator as the link between monarchy and republic to postulate a three-man college of praetors. In the unification of the peninsula, Rome was seen as engaged in a struggle for against inferior cultures such as the unoriginal Etruscans and even the Greeks; the battle of Sentinum (295 BCE) de Sanctis compared with Solferino (1895). His concept of a free state was admittedly founded on the formation of the modern Italian state.

independence

overthrow

existence

The third volume

on the Punic Wars, was written of World War I, in which de Sanctis had been a fierce upholder of Italy's neutrality and loyalty to the Triple Alliance. Less pleasant aspects of his thought became apparent. He approved of Carthage's destruction, just as he approved of Italy's African imperialism in the 19th and 20th centuries, and there was a strange combination of Providence, xenophobia, and Hegelian necessity in his explanation of the defeat of this "parasitic" culture. He spoke of victories of Indo-

against

the

Europeans

(1916),

background

over

history remains the classic 20th-century account of the republic. It was composed as the Italians tried to create their and De Sanctis' school at Rome, along own historical school with Pavia in the north retain their positions as the most in the country. De Sanctis' opposition to both Marxists, and popularizers such as Ferrero, was rooted in his belief that documents do not speak until the historian invests them with life. Perhaps, then, his most important legacy is the opinion that "where there is no freedom, there is no history." -

influential

RONALD T. RIDLEY

Semites.

The fourth volume (1923) was a turn to moral history: the Roman conquest of the East. This in de Sanctis' view was a fatal mistake. Rome should have directed her energies to conquering the backward West, instead of ending the brilliant Hellenistic age. The result was also the failure of the ruling aristocracy to address the various internal crises, so the middle class was destroyed, the citizen army was replaced by and loyalty to the state by loyalty to military leaders, de Sanctis recognized the fate of his modern-day Italy. Here were his fatal contradictions, however, most notably the failure to see that his much loved struggle for freedom applied just as much to the Carthaginians and Spaniards as to the Romans. His notions of national unity were derived from the 19th

"mercenaries,"

century. No further volumes of the history were to appear for 20 years. In the meantime, in 1931 de Sanctis was stripped of his chair for refusal to take an oath of loyalty to the regime, and during the 1930s he went blind. He became editor of the section of the Enciclopedia Italiana (Italian Encyclopedia). Yet he had been at work on the Gracchi as early as 1920. They were revolutionaries, but for him the real destroyers of the republic were the reactionaries who could provide no constructive alternative. Finally, just before de Sanctis' death appeared his description of Roman culture in the 2nd century BCE: literature, art, religion, and law. Chapters on the Social War published in 1976 show that he viewed that war as a turning point: Roman victory ensured decadence, then Sulla trampled on every constitutional norm. After crushing the freedom of others, the Romans necessarily lost their own. De Sanctis also wrote on Greek history. Atthis (History of Athens, 1898), his first major work, and still of great value, traced the city's history from the remote tribal past down to the 5th century. It was, as even he admitted, too philological (utilizing the newly discovered Constitution of the Athenians) and neglectful of archaeology. Storia dei Greci (History of the Greeks, 1939) addressed the conflict in Greek history between the freedom of the city-state and the pursuit of national unity, as de Sanctis wrote on the eve of World War II. Within the city-state there was another tension: between the individual and the laws, de Sanctis obviously identified strongly with Socrates: the same tensions had been played out in his own life. His attempt to fit the very varied Greek states into a pattern was difficult. His Perikle (Pericles, 1944) studied the ruin brought to Athens through imperialism and war. The contemporary relevance was obvious. The great problem for de Sanctis was how any state could succeed, if Athens had failed, considering the level of her cultural achievements? The main influences on de Sanctis could be summarized as his fervent Catholicism, his teacher Beloch, and the French philosopher Henri Bergson. As for his legacy, his Roman

classical

See also Beloch; Greece: Ancient;

Momigliano

Biography Rome, 15 October 1870. Studied at the Apollinare and at University 1883-92 Professor of ancient history, Turin University 1900-29 ; and of Greek history, Rome University 1929-31 ; dismissed for refusal to take oath to fascist regime, 1931 Edited the classical articles of the Enciclopedia Italiana Restored to his professorial chair, 1944 President of the Institute of the Italian Encyclopedia, 1947-54 Senator, 1950 Married Emilia Rosmina di Mondovi. Died Rome, 9 April 1957. Born

Rome

.

,

,

.

.

.

.

.

Principal Writings Atthis: storia della Repubblica Ateniese dalle origini alla riforma di distene (History of Athens) , 1898 Storia dei Romani ( History of the Romans ), 7 vols., 1907-64 Problemi di storia antica ( Problems in Ancient History ), 1932 Storia dei Greci ( History of the Greeks ), 2. vols., 1939 Perikle (Pericles ), 1944 Studi di storia della storiografia greca ( Studies in Greek

historiography), Ricerche sulla

1951

storiografia

siceliota ( Researches in Sicilian history),

1958 Scritti minori (6 vols.), 1966-83 Ricordi della mia vita ( Memoirs ), 1970 La guerra sociale ( The Social War ), edited

by

Leandro Polverini ,

1976 Further Reading Cagnetta Mariella

"

Gaetano de Sanctis ," in Ward W Briggs and , , William M. Calder III , eds., Classical Scholarship: A Biographical Encyclopedia , New York : Garland , 1990 " Treves , Piero , Gaetano de Sanctis ," Dizionario biografico degli italiani , 39 ( 1991 ), 297 309 [includes bibliography) ,

-

Sarpi, Paolo Italian

political

15 2–1623

and ecclesiastical historian

Author of a landmark in European post-Renaissa nee Paolo Sarpi was also a distinguished scholar and polemicist, as well as a scientist. While he conceived the writing of history as part of his vigorous and active antagonism to the Counter-Reformation church, his innovative method and style broke with the humanist tradition and inaugurated historiography," with its monographic approach to single issues. As a Servite friar, Sarpi promoted some reforms within his Order; later, as theologian canonist and juridical adviser of the Venetian government for 17 years, he led the republic's resistance to the temporal claims of the papacy. As a historian,

historiography,

"problematic

Sarpi enjoyed more freedom than as a spokesmen of the republic, and could learn from contemporary

Venetian

historians less than from Guicciardini. historical works His

no

be read in the context of the 16th- and 17th-century European wars of religion, as Sarpi himself was a European intellectual. In Venice, he became acquainted with Dutch merchants and members of the Jewish community. His friends and correspondents were the leading scientists, scholars, and ecclesiastical men of his age, including Calvinists, Anglicans, and French Gallicans. Sarpi's undisputed masterpiece is the Istoria del Concilio Tridentino (History of the Council of Trent, 1610). Because of its direct attack on the Roman church, it had to be published under pseudonym; sponsored by James I of England, the book was printed in London in 1619. In the so-called "pamphlet war" during the major confrontation between Venice and Rome, Sarpi had already demonstrated his awareness of the power of print as an instrument of propaganda. Though put on the Index of prohibited books within a few months, the History received a large positive response mostly but not in Reformation countries: in ten years, one revised edition and four translations appeared. Unlike all the other historical works by Sarpi, the History did not originate from a particular circumstance; instead, it was the accomplishment of a lifetime effort in collecting sources, and in recognizing what had happened at Trent as crucial for the of Europe as "the Iliad of our century." The first part of the History dealt with the consolidation of the Lutheran and Calvinist reforms from 1520 to 1545, the decades preceding the Council of Trent; the rest of the book covered in details the 18 years of alternating sessions and suspensions of the Council (1545-63). Such a thorough examination of the Council's genesis and development was not intended to be a mere but to uncover the hidden nature of this event. Sarpi showed how the Council had failed to fulfil its original purpose, that is, the reunion of Christendom, and how, in turn, it had resulted in the ultimate achievement of papal authority over bishops, and intrusion in secular affairs. In order to stress the progressive transformation of a means of settling ecumenical disputes into an oppressive tool in the hands of the papacy, the History opened with a brief overview of all Councils held since early Christianity. The recurrent opposition between the primitive and the church became explicit in the long-term chronological perspective adopted by Sarpi in the Trattato delle materie beneficiarie (On Benefices, 1610). The treatise was not finished and was possibly completed by Fulgenzio Micanzio, Sarpi's fellow and biographer. Stimulated by a contingent controversy between Rome and Venice, the book traced the history of benefices, and thus presented church institutions as the product of human rather than divine will. Sarpi's enduring influence was due also to his selfconscious originality in historical writing. From a rhetorical point of view, he dismissed Latin, preferring Italian, and used an style that was dry but clear, witty and extremely From a methodological point of view, Sarpi's precision in handling chronological data and detail was not meant to imitate ancient annals as much as to attain an exact leading to the establishment of truth and to historical understanding. This is most evident in the second part of the are

to

diplomats,

exclusively

destiny -

chronicle,

democratic

contemporary

ecclesiastic unconventional

effective. reconstruction

History, for which Sarpi drew

on a variety of sources. Thanks his connections he was able to acquire important printed and manuscript materials; had access to secret documents in Rome and in Venice; and could count on the oral reports of his friends who had taken part in the Council. In his last work, Sarpi abandoned once and for all the character of "official historiography" in order to a burning contemporary issue. Published in this century but written at the end of 1619, the Trattato di pace e accomodamento (On Peace and Settlement) illustrated the negotiations between Venice and the Habsburg empire over the problem of Uskok pirates in the Adriatic sea during the years 1615-19, and pointed to the responsibilities of Spain who stood behind the emperor. Since its publication, Sarpi's History has been criticized by most Catholic historians for its supposedly biased use of the notable critics were the sources (some of which have been lost) who Sforza Pallavicino (1607-67), prepared the prompt, Jesuit official answer to Sarpi's book, and, in the 20th century, Hubert Jedin. Some limits and errors notwithstanding, Sarpi's historical analysis has proved to be substantially correct; moreover, it marked a major turning-point in historical practice at a time when it was undergoing radical changes comparable to the 17thcentury scientific revolution. Much more than Sarpi's as a historian, his orthodoxy has often been called into question, especially on the basis of his correspondence and known as the Pensieri filosofici e scientifici private notes (Scientific and Philosophical Thoughts). The majority of however, have increasingly disregarded this debate as a attempt to force Sarpi's very personal attitude towards the religious experience into a pre-existing reformed church or movement. Historians of political thought have generally Sarpi an early advocate of the separation between church and state; meanwhile, further research has investigated Sarpi's conceptions of possible cooperation between political and powers in the specific Venetian context. to

celebratory elucidate

diplomatic

-

accomplishments -

scholars, fruitless considered

religious

FRANCESCA TRIVELLATO

See also Catholicism; Reformation; Renaissance Historical Writing

Biography Born Venice, 1552 Joined Servite order, 1575, rising to vicar-general by 1599 ; but had strained relationship with the papal curia after several rejections for episcopal appointment and theological disputes, which ended in excommunication ; became official theological adviser to Venetian government, 1606. Unsuccessful attempt on his life, 1607. Died Venice, 1623. .

Principal Writings Trattato delle materie beneficiane ( On Benefices), 1610 Istoria del Concilio Tridentino , 1619 ; in English as History of the Council of Trent , 1620 Trattatto di pace e accomodamento ( On Peace and Settlement ), written 1619 Opere , edited by Gateano and Luisa Cozzi , 1969

Further

Reading

" Acton , Lord , Fra Paolo Sarpi," in his Essays on Church and State , edited by Douglas Woodruff, London : Hollis and Carter, 1952 ; New York : Crowell , 1968

Sarpi dei pensieri filosofici inediti , Torino : Edizioni di Filosofia , 1950 Bouwsma , William J. , Venice and the Defense of Republican Liberty: Renaissance Values in the Age of the Counter Reformation, Berkeley : University of California Press , 1968 " Brown , Horatio F. , Paolo Sarpi," in Studies in European Literature, Being the Taylorian Lectures, 1889-1899 , Oxford : Clarendon Press , 1900 Burke , Peter, " The Great Unmasker: Paolo Sarpi, 1552-1623 ,"

Amerio , Romano , Il

History Today

1965 ), 426

15 (

-

32

Chabod , Federico , La politica di Paolo Sarpi, Rome : Istituto per la collaborazione culturale , 1962 Cochrane , Eric , Historians and Historiography in the Italian Renaissance , Chicago : University of Chicago Press , 1981 Cozzi , Gaetano , Paolo Sarpi tra Venezia e l'Europa , Turin : Einaudi ,

1978 Frajese Vittorio Sarpi scettico: stato e chiesa a Venezia tra cinque e seicento Bologna : Mulino 1994 Getto Giovanni Paolo Sarpi Pisa : Vallerini 1941 Jedin Hubert Das Konzil von Trient: Ein Überblick über die Erforschung seiner Geschichte Rome : Storia e Letteratura 1948 ; in English as A History of the Council of Trent 2 vols., London : ,

,

,

,

,

,

,

,

,

,

,

,

,

Nelson , 1957

Lievsay John Leon Venetian Phoenix: Paolo Sarpi and Some of His English Friends (1606-1700) Lawrence : University Press of ,

,

,

Kansas , 1973 Prodi , Paolo , " The Structure and Organization of the Church in Renaissance Venice: Suggestions for Research ," in J. R. Hale , ed., Renaissance Venice , London : Faber, and Totowa, NJ: Rowrnan and Littlefield, 1973 " Salvatorelli , Luigi , Paolo Sarpi ," in Contributi alla storia del Concilio di Trento , Florence : Vallechi , 1948 , 138 44 Wootton , David , Paolo Sarpi: Between Renaissance and Enlightenment, Cambridge : Cambridge University Press , 1983 " Yates , Frances Α. , Paolo Sarpi's 'History of the Council of Trent' ," the Journal of Warburg and Courtauld Institutes 7 ( 1944 ), -

123 43 -

into

single

a

whole. He stressed the

problems

of the

be of science in the Middle Ages, believing it transmission to

a

culturally original and creative process, obscured by excessive concentration by medievalists on scholastic philosophy. "Classical scholars," he concluded, "have no interest in science; mediaevalists have an erroneous concept of it, which is

undoubtedly

worse."

Another source of misconception was general ignorance of Arabic science. Sarton's scientific background was in As a historian of science, although he was, by choice, an extreme generalist, he could well be considered an Arabist. To be sure, he was an autodidact, but when addressing Arabists, he referred to "our field." Virtually all of the great European Arabists of his generation were correspondents of his and through the three-pronged attack of the Isis critical bibliographies, the bio-bibliographical entries in the Introduction, and the further working-through of themes in correspondence with one or more experts, he set the agenda for the historiography of Arabic science in the 20th century and legitimized it as a central field of medieval intellectual and cultural history. He insisted that a medieval scholar who wanted to be up to date had to study Arabic. Medievalists who stressed the achievements of Europe while ignoring those of the Muslim world were reinforcing the notion of a "Dark Ages." Sarton even quantified the comparative importance of different scientific traditions up to 1400 CE: 362 figures from antiquity; 373 in the Latin West; 324 medieval Jews and Muslims; 189 from India and the Far East. Sarton continually denied the absolute differentiation between East and West that seemed to underlay Western medievalism. "The majority of historians," he wrote, "have gradually evoked a conception of Western unity (at least unity) from which Eastern people were excluded." The whole process of the transmission of Greek science to the West through Arabic intermediaries belied any such essentialist conception of Western culture: "A Latin text may represent an Oriental tradition, and an Arabic one may represent a Western tradition." Because Sarton rejected cultural essentialism, he was not interested in distinguishing what might have been "Eastern" or "Western" about medieval science; rather he stressed what was universal. Sarton was an internationalist, and his impatience with cultural chauvinism was grounded in his understanding of those aspects of science that could be considered universal. In explaining the subordination of science to theology in the Latin West, Sarton correctly identified a number of processes that ran counter to objective natural knowledge: the inability to test basic premises by experimentation or the lack of any alternation between analysis and synthesis; and the habit of inserting such new experimental data as emerged not in the basic premises of science, "but somewhere in the superstructure of their theories." In a closed system such as scholasticism, new hypotheses cannot emerge. Sarton also characterized other premodern, nonwestern cultures such as that of Neo-Confucian China or Vedantic India as scholastic. Sarton tried to draw a line between pure and applied science. Thus medicine and engineering were included in the only if the contribution was "original" or valuable from a "scientific" standpoint. It took an entire generation of

mathematics.

spiritual

Sarton, George Belgian-American

18 4–1956

historian of science and Arabist

The objective of George Sarton's scholarly program was to justify the inclusion of the history of science in the roster of academic disciplines along with history proper and the histories of literature, art, law, and religion. This he called the "New Humanism." Science, which he defined as "systematized knowledge," was "the one essential phase of human civilization which has not received sufficient attention", as he wrote on the very first page of the Introduction to the History

positive of Science (1927-48). For Sarton, Greek science constituted

a

kind of "lay

It had generally been undervalued revelation." had that of the as

ancient Near East.

very much in the neoposscience, Sarton understood the close

Although writing

itivist tradition of western relationship of science and theology that, "until relatively modern times was an intrinsic part of science." From the medieval perspective, moreover, theology was also positive knowledge, though of a different kind than that now The habit cultivated by medieval theologians of studying things sub specie aeternitatis was also a scientific attitude. Sarton boasted that his work contained "the first tolerably complete account of mediaeval science." As with ancient science, he attempted to integrate Western and Eastern science .

.

.

recognized.

observation;

-

-

Introduction

historians

to overcome Sarton's

dictum and

science, medicine, and technology similar

were

to recognize that cognate fields, with

Sauer, Carl O. US human

epistemologies.

older generation of French historians such as Although Pierre Duhem and Paul Tannery may perhaps be regarded as the intellectual founders of 20th-century history of science, its foundation as a discipline was owing mainly to Sarton. In 1912, he put the first key institutional support of the new field in place by founding the journal Isis in Belgium. World War I obliged him to move both the journal and himself to the Untied States where he was supported by the Carnegie Institution. He was brought to Harvard in 1916 by L.J. Henderson and remained there until his death, but his appointment was always anomalous, with the majority of his support coming from the Carnegie Institution, not the university. A related project, his great bio-bibliographic Introduction to the History of Science, was to provide a bibliographical cornerstone for the new field (Robert K. Merton describes the work as "the pantheon which Sarton has created for the giants of science and learning"). He was able to bring the story only to 1400CE, but the "critical bibliographies" that he established in Isis in part supplanted his grand project. In 1923, the History of Science Society was founded to finance Isis and to provide Sarton with a pool of scholars for support. THOMAS F. GLICK

18 9–1975

geographer

an

disciplinary

See also

Astrology; Merton; Natural Sciences; Science; Spain: Islamic; Spain: Medieval

Biography George Alfred Leon Sarton. Born Ghent, Belgium, 31 August 1884, of the chief engineer of the Belgian Railway. Briefly studied philosophy at University of Ghent, before switching to science, graduating DSc in physics and mathematics, 1911 Founder/editor, Isis, 1913-51. Emigrated 1914, eventually settling in the US. Temporary appointments led to lecturing (initially unofficially) at Harvard University, 1916-51 and to research position, Carnegie Institution, 1918-49 Married F,leanor Mabel Elwes, 1911 (1 daughter, the writer May Sarton). Died Cambridge, Massachusetts, 22 March 1956. son

.

,

.

Principal Writings Introduction

reprinted

the History of Science , 3 vols, in 5 parts, 1927-48 ;

to

1975

The History of Science and the New Humanism , 1931 The Study of the History of Mathematics , 1936 The Life of Science: Essays in the History of Civilization , 1948 A History of Science, 2 vols., 1952-59 The Appreciation of Ancient and Medieval Science during the Renaissance (1450-1600) , 1955 Six Wings: Men of Science in the Renaissance , 1957 Sarton on the History of Science, edited by Dorothy Stimson , 1962

to

-

"

,

-

"

,

-

.

"

,

,

,

-

communities

movement change geography into law-seeking "spatial science,"

"

,

anthropologists

with

Further Reading George Sarton Memorial Issue ," Isis 48 / 3 ( 1957 ), 283 350 [includes bibliography] Gliele Thomas F. George Sarton and the Spanish Arabists ," Isis 76 ( 1985 ), 487 99 Pyenson Lewis Inventory as a Route to Understanding: Sarton, Neugebauer, and Sources ," History of Science 33 ( 1995 ), 253 82 Thackray Arnold and Robert K. Merton On Discipline Building: The Paradoxes of George Sarton ," Isis 63 ( 1972 ), 473 95 ,

Carl O. Sauer belonged to a small group of post-World War I human geographers in the United States who challenged the positivist orientation of their science. He also spoke out against the destructive consequences of large-scale development on rural communities and the environment. Sauer's worldview was that of German historicism, acquired during his upbringing in a largely German-American town and his education at Central Wesleyan, then a largely GermanAmerican college, where his German-born father taught. Later, he was also influenced by the works of German geographers such as Friedrich Ratzel, and the German-American Franz Boas and Alfred Kroeber. Sauer rejected the concept of progressive evolution according to universal laws in favor of a particularistic conception of cultures. He also liked rural societies for their stewardship of the land and balanced social structures. His worldview isolated him from the mainstream of Anglo-American geographers, which makes it difficult to assess his impact on the profession, especially as until his retirement Sauer published few monographs, relying more on teaching to promote his ideas. Sauer first studied the shaping of the Midwest by 19th-century white settlers, notably in the Ozark Mountains. In "The Morphology of Landscape" ( 1925), he challenged the dominant environmental determinism of William Morris Davis and his school, who assumed that human societies reacted rationally, albeit with differing amounts of knowledge, to environmental stimuli through a Darwinian process. Their emphasis was on how subtle differences in the physical environment triggered different outcomes. Shocked by the devastation of midwestern forests by speculators, Sauer disagreed. He argued that people could act in irrational, destructive ways, and that to understand why, one had to study their "habitat and habit," as he put it, through their history, and fieldwork. In the 1930s, his work became more explicitly historical when he began to work with periods during which, ne thought, had been wiser in their husbandry of resources. He used as examples areas in the southwestern United States and Central America where traditional agriculture still existed. In several articles, and a collection of lectures published as Agricultural Origins and Dispersals (1952), Sauer argued notably that the origins of agriculture and animal husbandry owed more to the religious needs and the sheer playfulness of early humans, than the desire to maximize resources as materialist utilitarians would have it. But after World War II, there was a strong a

epistemology and methodology based on modernization theory. There was dwindling tolerance for critics who ridiculed neoliberal assumptions of humans as rational profit-maximizers. Sauer resigned as dean at the University of California, though he continued to teach. Marxist scholars also criticized his work for side-stepping power relationships affecting cultural practices, and both sides attacked as unscientific his distaste for abstract theorizing. Indeed, Sauer was more interested in manifestations of culture than their deeper origins, and rejected theorizing as sophistry obscuring reality. To fight his critics, Sauer's students, including J.J. Parsons and W.L. Thomas, rallied his supporters an

the 1956 symposium "Man's Role in Changing the Face of the Earth," and went on to shape the subfield of cultural geography, where many of Sauer's ideas survived. To contrast native stewardship and destructive short-term development, Sauer focused on borderlands, where differences would be most apparent. But he published little after Man in Nature: America before the Days of the White Man (1939), until his retirement. He then wrote The Early Spanish Main (1966), Sixteenth Century North America (1971), and Seventeenth Century North America (1980), stirring controversy because of his sharp denunciation of European settlers for their senseless destruction of native cultures which had achieved a long-term balance with nature. Their historical scholarship was lauded by American historical journals, though reviewers such as David Hawke of Pace University complained that Sauer's favorite method, "to observe observation" by mulling over early somewhat lacked analytical rigor. In Northern Mists (1968), he looked at pre-Columbian European explorers and the physical constraints that had made their endeavors fail. With a touch of whimsy, he included Irish monks who may have landed in North America, and was criticized for it. Sauer also was an active concerned citizen. At a time when it was not popular to do so, he criticized how the materialist conception of Western progress destroyed traditional cultures, as in his withering "Destructive Exploitation in Modern Colonial Expansion," which angered colleagues at the 1938 International Congress of Geography. He tried to interest the New Deal administration in promoting sustainable agriculture. Rebuffed, he wrote "Theme of Plant and Animal Destruction in Economic History" (1938), and other essays warning that unbridled development endangered human survival. They the ecological movement of the 1960s. Sauer's influence is difficult to gauge. His opposition to the materialistic conception of progress, his particularistic view of and his historical-cultural methodology were at odds with the mainstream of American geography. But he shaped American cultural geography, and, together with such fellow critics of modernity as Lewis Mumford and Richard Hartshorne, reminded geographers of their responsibility for the social and ecological impact of their work. The rise of the postmodern "new ecology" approach in human geography has sparked new at

travelogues

influenced

culture,

"

Destructive Exploitation in Modern Colonial Expansion," Compterendus du Congrès international de Géographie, Amsterdam 2

"

Theme of Plant and Animal Destruction in Economic History,"

(1938 ),

494 99 -

Journal of Farm

Economics

20

( 1938 ), 765

-

75

Man in Nature: America before the Days of the White Man , 1939

Agricultural Origins and Dispersals 1952 Land and Life: A Selection from the Writings of Carl Ortwin Sauer edited by John Leighly 1963 The Early Spanish Main 1966 ,

,

,

,

Northern Mists , 1968 Sixteenth Century North America: The Land and the People by the Europeans , 1971 Seventeenth Century North America , 1980

as

Seen

Further Reading Mark

al. , Recollections of a Revolution: Geography as New York : St. Martin's Press , 1984 Blouet , Brian W. , ed., The Origins of Academic Geography in the United States , Hamden, CT: Archon , 1981 Callahan , Bob , Introduction to Sauer, Selected Essays, 1963-1975 , Berkeley, CA : Turtle Island Foundation , 1981 " Kenzer, Martin S. , Milieu and the Intellectual Landscape: Carl Sauer's Undergraduate Heritage," Association of American Geographers Annals 75 ( 1985 ), 258 70 Kenzer, Martin S. , ed., Carl O. Sauer: A Tribute , Corvallis : Oregon State Liniversity Press , 1987 Martin , Geoffrey J. , " Paradigm Change: A History of Geography in the United States, 1892-1925," National Geographic Research 1

Billinge

,

et

Spatial Science

,

-

( 1985 ), 217 35 James J. The Later Sauer Years ," Association of American Geographers Annals 69 ( 1979 ), 9 15 -

"

Parsons ,

,

-

Solot , Michael , " Carl Sauer and Cultural Evolution ," Association of American Geographers Annals 76 ( 1986 ), 508 20 " Speth , W. M. , Carl Ortwin Sauer on Destructive Exploitation ," Biological Conservation 11 ( 1977 ), 145 60 Williams , M. ," The Apple of My Eye: Carl Sauer and Historical Geography," Journal of Historical Geography 9 ( 1983 ), 1 28 " Zimmer, Karl S. , Human Geography and the New Ecology: The and Promise of Integration," Association of American Prospect Geographers Annals 84 ( 1994 ), 108 25 -

-

-

-

ceaselessly interest in Sauer's

thought among geographers

in

general.

THOMAS REIMER See also Borah; Latin America: Colonial;

Semple

Biography Carl Ortwin Sauer. Born Warrenton, Missouri, 24 December 1889. Received ΒΑ, Central Wesleyan College , 1908 ; studied at Northwestern University, 1908-09 ; PhD, University of Chicago, 1915. Assistant geologist, Illinois Geographical Survey, 1910-12 ; map editor, Rand McNally Publishers , 1912-13 ; taught at State Normal School , Salem, Massachusetts , 1913-14 ; University of Michigan (rising to professor), 1915-23 ; and University of California , Berkeley, 1923-57 (emeritus). Married Lorena Schowengerdt, 1913 (1 son, 1 daughter). Died 18 July 1975.

Principal Writings The Geography of the Ozark Highland of Missouri, 1920 " The Morphology of Landscape," in University Publications in Geography [Berkeley, CA ] 2 ( 1925 ), 19 54 -

Savigny, Friedrich German

legal

Karl

von

17 9–1861

historian

Friedrich Karl von Savigny's legal education began early because of a personal tragedy. He was orphaned at age 13, but his aristocratic parents' friend von Neurath, the assessor to the Reichskammergericht at Wetzlar acted as von Savigny's guardian and personally taught him Roman law through rote memorization and catechistic questioning. Von Savigny then formally studied legal history in 1795 at Marburg and, in the next year, at Göttingen, where Gustav Hugo taught. Hugo's idea of law as organic growth became fundamental to what is called the "Historical School of Law," which von Savigny would continue and develop in the next generation. After receiving his doctorate in 1800, von Savigny taught briefly at Marburg and, then, declined professorships from Greifswald and Heidelberg. He was financially comfortable enough to travel widely in western Germany and France while researching the medieval history of Roman law.

The results of this research appeared later in his magisterial Geschichte des römischen Rechts im Mittelalter (History of Roman Law in the Middle Ages), which appeared in six volumes between 1815 and 1831. Then and now, this work was essential to the understanding of the post-imperial history of Roman law which, he showed, continued in force in the barbarian Germanic kingdoms and, from the time of the 12thcentury legal scholar Irnerius, became the object of systematic study. In the first two volumes, von Savigny gave a very positive view of the Germanic invaders of Rome: far from destroying cities and rooting out Roman institutions, the German kings allowed urban Romans, who now enjoyed greater freedom than under the emperors, to retain and use their own Thus, von Savigny's book became a history of medieval institutional and legal life throughout the reaches of the former Roman empire, as well as an account of the scholarly of Roman law between the 12th and 15th centuries. The period before 1808 was not only one of travel and research. In 1803 von Savigny published his Recht des Besitzes (Property Law), which demonstrated that ancient Romans saw property more in terms of effective occupancy than absolute possession, and on its strength was appointed in 1808 to a professorship at Landshut. His real talent as a lecturer and his known German patriotism in a time of French invasion led Wilhelm von Humboldt to orchestrate Savigny's appointment to the new faculty at Berlin in 1810, which was charged with rebuilding Prussia through education in the wake of the defeat of the older absolutist Hohenzollern monarchy. Von Savigny would teach there until, in 1842, he left academic life for a cabinet-level appointment in Prussia as great chancellor (a revived title given a century before by Frederick the Great to a legal codifier). He was charged with codifying and revising certain areas of Prussian law, notably the laws of divorce. The actual results that von Savigny achieved were fairly modest, but there is some irony in his undertaking the work in the first place. This irony stems from his famous controversy with the great legal scholar Anton Friedrich Justus Thibaut at Heidelberg, in which von Savigny published an essay that was, in effect, the charter of the Historical school. In 1814 Thibaut called for the codification of German law on the pattern of Napoleon's Code civile. This meant the rationalization of German laws and, in the process, their revision in accordance with reason and natural law. Von Savigny's instantly famous rebuttal, Vom Beruf unserer Zeit für Gesetzgebung und Rechtswissenschaft (1814; On the Vocation of Our Age for Legislation and Jurisprudence, 1831), would go through several revisions, but always maintained its basic argument: laws should not be made, except in small and inevitable increments because, properly, they evolve organically in accordance with the Volksgeist ("spirit of the people or nation"). As was to be expected, von Savigny argued this case with support from the history of medieval Roman law that he knew so well. This argument, which gathered force from German national resentment at the reforms of the French also supported conservative resistance to middle-class demands for structural reforms and a sharing of power. Von Savigny's essay became a classic in political and historical theory and had a major future career in German political debate. In the shorter term, it led to his collaboration with Karl Friedrich Eichhorn another pivotal figure in the school

institutions. exposition

calamitous

selective

occupiers, -

and Johann Friedrich Ludwig Göschen in the founding their journal Zeitschrift für geschichtliche Rechtswissenschaft, whose opening Statement drew on arguments from Vocation -

of

Our

Age. Savigny, however, did not decry all legal innovation. No historian could deny or delegitimate all change in history. In his correspondence, the politically active historian J.G. Droysen noted this fatal weakness in von Savigny's argument, since "historical rights" and the "right of history" to effect radical change were reciprocal functions. All laws had been made some time, and later ages had the same right to create as had earlier ages. As if to illustrate this point, one of von Savigny's most successful students Heinrich von Sybel based his own politically charged theory of progressive change on the notion of an evolving Volksgeist that von Savigny taught him. These inconsistencies point up the theoretical weakness of von Savigny's outlook, but, if noticed, they probably did not bother him. He was alarmed at the prospect of sweeping change rather than change as such and disputed the sovereignty of reason in law rather than the use of any rational standards in legislation. He was a conservative pragmatist with deep learning and great Von

supposed -

-

respect for the past, which is what recommended him

to

the

conservative romanticist Friedrich Wilhelm IV of Prussia in

the first place. This pragmatism was of a piece with his scholarship. There had never been anything merely antiquarian about von Savigny's vast erudition in Roman law. His 1803 book on property law was, in part, an attempt to demonstrate the use of Roman procedure. His history of Roman law in medieval times was a demonstration in six volumes of how later ages could appropriate and adapt, in keeping with their later needs and abilities, the laws of past times. His last major work, published between 1840 and 1849 in eight volumes, was System des heutigen römischen Rechts (System of Modern Roman Law). It was an approving demonstration of the coherence and applicability of Roman law. His work as Prussian great chancellor in and after 1842 was a further demonstration of the continued vitality of Roman law and, so, of the ongoing relevance of its history.

continuing

ROBERT FAIRBAIRN SOUTHARD

See also

Germany: Medieval; Niebuhr; Sybel

Biography

Born Frankfurt, 21 February 1779. Studied at the Universities of Göttingen and Marburg ; degree, 1800. Professor of Roman law, University of Marburg , 1800-04 ; University of Landshut, 1808-10 ; and University of Berlin , 1810-42 Prussian minister for the revision of legislation, 1842-48. Married Kunigunde Brentano, 1803. Died Berlin, 25 October 1861. .

Principal Writings Recht des Besitzes: eine civilistische Abhandlung, 1803 ; in English as Von Savigny's Treatise on Possession ; or, the Jus Possessionis of the Civil Law , 1848 Vom Beruf unserer Zeit für Gesetzgebung und Rechtswissenschaft , 1814 ; in English as On the Vocation of Our Age for Legislation and Jurisprudence , 1831 Geschichte des römischen Rechts im Mittelalter, 6 vols., 1815-31 , 5th edition, 7 vols., 1986 ; vol. 1 translated as The History of the Roman Law during the Middle Ages , 1819

System des beutigen römischen Rechts 8 vols., 1840-49 ; vol. 1 in English as System of the Modern Roman Law 1867 ; vol. 2 in English as Jural Relations ; or, The Roman Law of Persons as Subjects of Jural Relations 1884 ; vol. 8 in English as Private International Law: A Treatise on the Conflict of Laws, and the Limits of Their Operation in Respect of Place and Time ,

,

,

,

1869

Further Reading Schröder, Horst , Friedrich Karl von Savigny: Geschichte und Rechtsdenken beim Übergang vom Feudalismus zum Kapitalismus in Deutschland ( Friedrich Kari von Savigny: History and Lega! Thought during the Transition from Feudalism to Capitalism), Frankfurt and New York : Lang, 1984 Stoil , Adolf, Friedrich Karl von Savigny , 3 vols., Berlin : Heymann , 1927-39

Saxo Grammaticus fl.

1 85–1208

Danish historian Saxo Grammaticus was Denmark's most important medieval writer, the only one with a European reputation; yet very little is known about him. The only contemporary information is that he was Sven Aggesen's colleague and Absalon's clerk (clericus). Commissioned by archbishop Absalon (d. 12.01), he wrote a history of Denmark from the foundation of the state by a mythical king "Dan" to c.1185. This large work (16 books, filling some 550 quarto pages), first called Gesta Danorum (GD) c.1300, consists of two more or less equal halves, one dealing with pagan, the other with Christian times, suggesting a conscious analogy with the Old and New Testaments. It has been argued that in attempting to relate Danish history to that of the church Saxo deliberately arranged his work in groups of four books: the first (1-4) dealing with the period before Christ, the second {5-8) ending with the coming of Christianity to the Danes, the third (9-12) ending with the establishment of a Danish archbishopric, while the last four books deal with the archiépiscopal period (Skovgaard-Petersen). Saxo drew on a wide variety of sources, such as Paul the Deacon, Bede, Adam of Bremen, Roskilde Chronicle, and Sven Aggesen, as well as the literature on St. Knud and Knut Lavard, taking great liberties with them all. He also drew on oral mentioning both Icelanders and Absalon as informants. Undoubtedly his account of contemporary history was deeply influenced by traditions cherished by his patron's own family, the powerful Hvides of Zealand. Like Geoffrey of Monmouth's Historia, GD is a "national history," reflecting the 12th-century renaissance and the revival of interest in classical writers, who influenced not only Saxo's vocabulary, syntax, and concepts, but also his poetry. He used some twenty different meters, modeling himself, above all, on Martianus Capella. It is hardly an exaggeration to say that Saxo saw Danish history through Roman eyes. Even if the language of GD is entirely secular it is clear that the received opinion that he was anticlerical (Weibull) should be It is true that he seems to have been remarkably cool, almost hostile, towards monasticism, but he displays an active

archbishop (contubernalis)

traditions,

abandoned.

interest in the church, albeit an interest in its political, moral, and cultural rather than religious aspects. Saxo has been considered a propagandist for royal political ideas, but it can be shown that, thanks to a highly technique of writing on two levels, implicitly questioning what he explicitly states, Saxo was able to oppose what he was commissioned to support. First, he offers very unflattering portraits of the Valdemars, casting doubt on the worthiness of their branch of the royal family. Second, he opposes kingship and strong royal power, emphasizing that with one disastrous exception all Danish kings were elected by the Danish people and teaching that society rested also on two other pillars, namely church and aristocracy, including the of talent. For Saxo it was not only noble birth and glorious ancestry that counted, but, sometimes even more, wit, eloquence, and ability. Thus, rather than being propaganda for royal policies of the time, Saxo's work is a speculum principis. But GD is more than that; apart from being a "course-book" in such topics as politics, warfare, and morals, it expresses criticism of society and contemporary conditions (Johannesson). So, for example, Saxo seriously questions the rights of women to inherit and opposes the church demand for female consent to marriage

sophisticated

hereditary -

-

aristocracy

(Sawyer). It is difficult to assess what contemporary influence Saxo had. The fact that, from the end of the 13th until the beginning of the 16th century, hss work was known only in abbreviated forms suggests that there cannot have been many people in Denmark who could appreciate or even understand it. The most comprehensive of the abbreviations, Compendium Saxonis (CS) is one of the best preserved Danish medieval texts. It is that, in contrast to GD, of which no complete manuscript has been preserved, CS exists in no fewer than four Latin and three manuscripts as well as one printed version in Middle Low German, which were used and revised well into the 17th century. Thus the printed editions of GD (1514 and 1575) apparently did not make the manuscripts of CS redundant, which illustrates the great respect accorded to the

interesting manuscripts

compendium. There were obviously other reasons for abbreviating GD than length and complicated language; among other things, Saxo's critical attitude to kings was not suitable in Denmark in the 1340s, when CS was compiled. The omissions made by the epitomator resulted in a work best described as a royal chronicle. Thus, for many centuries Saxo's influence was mediated by other writers and compilers who presented their interpretations of GD, for example Albert Krantz (1445-1517), through whom Shakespeare may have learned about prince Hamlet. It was not until the 16th century that Saxo's own work reached a European audience, and Saxo himself was recognized and highly praised as a stylist, by Erasmus among others. its

BIRGIT SAWYER

Principal Writings Gesta Dariorum , written c.1190-12.10; as History of the Danes , translated by Peter Fisher , 2 vols., 1979-80 , and as Danorum regum heroumque historia (includes translation), edited by Eric Christiansen , 3 vols., 1980-81

Further Reading Friis-Jensen Karsten ed., Saxo Grammaticus: ,

,

domesticity and imperialism, prudence and prodigality, A Medieval Author

Between Norse and Latin Culture , Copenhagen : Museum Tusculanum Press , 1981 Friis-Jensen , Karsten , Saxo Grammaticus as Latin Poet: Studies in the Verse Passages of the Gesta Danorum , Rome : Bretschneider,

1987 Johannesson

Komposition och världsbild ( Saxo Grammaticus: Composition and Worldview in Gesta Danorum ) Stockholm : Almqvist & Wiksell 1978 Sawyer Birgit Valdemar, Absalon and Saxo: Historiography and Politics in Medieval Denmark ," Revue Beige de Philologie et d'Histoire 63 ( 1985 ), 685 705 Skovgaard-Petersen Inge Da Tidernes Herre var mer: Studier i Saxos historieyn ( When the Lord of Time was Near: Studies in Saxo's Historical View ) Copenhagen : Den danske historiske Forening 1987 Strand [now Sawyer], Birgit, Kvinnor och man i Gesta Danorum ( Women and Men in the Gesta Danorum ), Gothenburg : Kvinnohistoriskt Archiv 1980 Weibull Curt Saxo: Kritiska undersökningar i Danmarks historia fråin Sven Estridsens död till Knut VI ( Saxo: Critical Studies in Denmark's History from Sven Estridsen's Death to Knut VI ), Kurt , Saxo Grammaticus:

,

i Gesta Danorum

,

"

,

,

-

,

,

,

,

,

,

Lund , 1915

Schama, Simon British historian of

1945early modern

Europe

When Simon Schama published Patriots and Liberators in 1977, he was 32 years old. It was an astonishing debut for so young a historian. This study of the impact of the French Revolution on the Netherlands almost singlehandedly rescued late 18th-century Dutch history from the condescension of posterity. Far past their golden age of world power and cultural dynamism, and riven by conflicting parochialisms, the Dutch provinces could offer little in the way of active resistance to French hegemony. Yet in Schama's masterful reconstruction the story of their encounter with revolutionary France has its own drama. His first book not only made sense of the complex politics of adaptation and survival, it also offered a lively account of the hazards of occupation as they were experienced by ordinary people. In his preface to the book Schama thanked his mentors J.H. Plumb and Richard Cobb: with the former he shares an ability to render the maneuverings of politicians, the play of factions, as stirring narrative; with the latter, an interest in stubborn regional diversities and individual that defy easy categorization. Like both of his mentors he writes in clear and sparkling prose that stakes a claim on history as art as well as craft. After a remarkable detour into the history of Zionism, Two Rothschilds and the Land of Israel (1978), Schama produced the work that would consolidate his reputation as one of the most creative and ambitious historians of his generation. The Embarrassment of Riches (1987) offered a full-scale of Dutch culture at its zenith. One of the novelties here is the elaborate use of iconography: no surprise for art to be sure, but unusual for a historian to use visual materials so extensively and brilliantly. The book is built around a series of unresolved oppositions in Dutch culture: between austerity and abundance, Calvinism and Erasmianism,

eccentricities

reassessment

historians,

godliness

and greed, the luminous silence of Vermeer and the bawdy exhibitionism of Steen. And Schama found traces of these oppositions not only in the visual arts, but in "moral

geography,"

patriotic history, cookery, hydraulics, penology, economics, and child-rearing practices. Dazzled by their own vertiginous ascent, yet haunted by the perils of prosperity, the Dutch expressed the ambivalence of success in a wide variety Schama's study of this ambivalence offers history the grand scale in characteristically lively prose. The result is the kind of work that is rare in this century: a learned 700page tome that retains on every page the freshness of an essay. Simon Schama followed The Embarrassment of Riches with Citizens: A Chronicle of the French Revolution (1989). Here was another large-scale, lavishly illustrated volume that displayed narrative drive, analytical power, and an unerring eye for the telling anecdote. Firmly revisionist in orientation, the book not only offered a "chronicle" of events but also superb analyses of iconography and rhetoric. As in his study of the Dutch golden age, where a beached whale could provide the occasion for a fascinating inquiry into the history of Schama ranged widely in his search for illuminating material: from popular physics and the first balloon flights to the politics of maternal breast-feeding in the ancien régime. More controversial was his treatment of the Revolution itself, which focused on the most sanguinary episodes and seemed to some critics to treat them with a Carlylean fatality. More controversial still was a narrative experiment entitled Dead Certainties (1991), a work that mixed fact and fiction in recounting the deaths of an 18th-century British general and a 19th-century Boston Brahmin. However scandalous the book may have seemed to professional historians, it once again revealed Schama as a writer of extraordinary gifts. Its of Benjamin West's memorable painting of the death of General Wolfe offered another brilliant example of Schama's skill as an analyst of iconography. And its account of the murder trial of a Harvard professor not only his forensic skills but also showed that he could practice microhistory as effectively as history on the grand scale. Landscape and Memory (1995) brings to the fore once again Schama's concern with patriotic geography, the myths of national character that have been projected onto forests, and rivers. Just as the low-horizoned, boggy landscape of the Dutch had become a metaphor for a certain set of humble virtues, so Poles, Germans, and Americans have found usable self-images in their allegedly primeval forests; the French, the British, and the Italians have found the national character reflected in their principal rivers; and mountains have in the modern era become images of dreadful sublimity. What is here is the chronological scope and geographical range of the argument, which extends from ancient Egypt to 20thcentury America, or from the sacred hydraulics of Bernini's Rome to Anselm Kiefer's neo-Expressionist deconstructions of German history and mythology. This is perhaps Schama's most personal book, for it contains a moving evocation of his own family's history and its relation to the landscapes of Central and Eastern Europe, Britain, and North America. In the conclusion of Dead Certainties, Schama invoked the models of Thucydides and Herodotus: politics and culture, analysis and anecdote, the rhetorical and the visual. His own of

contexts.

on

mentalities,

treatment notorious

demonstrated mountains,

extraordinary

work of course combines both of these models. In range, and style, he reminds one of the 19th-century masters of narrative history. Like Francis Parkman, about whom he has written a splendid chapter in Dead Certainties, he is a great and prolific student of the dialectic of nature and culture. But unlike Parkman, he has a sense of humor, and for sheer verve and brio his prose is hard to match. In mid-career, he has already earned a secure place among the modern masters of cultural history.

ambition,

BRUCE THOMPSON See also Consumerism; France: French Revolution; Low; Parkman; Political

Biography Simon Michael Schama Born London, 13 February 1945. Studied at Christ's College , Cambridge, BA 1966 , MA 1969 Taught at Christ's College, 1966-76; Brasenose College , Oxford , 1976-80; Professor of history, Harvard University, 1980-93 ; and Columbia University from 1993. Art critic, the New Yorker, from 1995 Married Virginia Papaioannou, professor of anatomy and pathology, 1983 (1 son, .

.

.

1

daughter).

Principal Writings Patriots and Liberators: Revolution in the Netherlands, 1780-1813 , 1977

Two Rothschilds and the Land of Israel , 1978 The Embarrassment of Riches: An Interpretation of Dutch Culture in the Golden Age , 1987 Citizens: A Chronicle of the French Revolution , 1989 Dead Certainties: Unwarranted Speculations , 1991 Landscape and Memory, 1995

Further Reading Cobb Richard Sitting Out the Revolution ," Times Literary Supplement ( 29 July 1977 ), 906 07 Elliott J. H. From Bogs to Riches ," New Republic 197 ( 24 August 1987 ), 28 31 Grafton Anthony The Forest and the Trees ," New Republic (7 August 1995 ), 37 42 Spitzer Alan B. Narrative Problems: The Case of Simon Schama ," Journal of Modern History 65 ( 1993 ), 176 92 Steiner George Two Hundred Years Young," New Yorker 65 ( 17 April 1989 ), 131 35 "

,

,

-

"

,

,

-

"

,

,

-

"

,

,

-

"

,

,

-

Schieder, Theodor

1908–1984

German historian Theodor Schieder is one of the great German historians of the 20th century, praised by his colleagues as the Nestor of postwar practitioners of his vocation. His peers recognized his not only as an overarching historian, but also as one of Germany's foremost scholars, by inducting him into Germany's highest order of scholars and artists, Pour le Mérite. Schieder became influential after 1948, when he was appointed to a chair at the University of Cologne. Schieder, whose love for the culture of Central Europe was his lifelong passion, had fled from East Prussia in 1944, where he had been professor at the University of Königsberg. In Cologne, Schieder influenced several generations of German historians,

importance

many of whom

were his students, and contributed significantly the survival of history as a venerable Wissenschaft through the turmoil of the late 1960s and early 1970s. Especially during those years, he defended rigorous, non-polemical research against those who sought to instrumentalize history. Influenced by the works of Jacob Burckhardt and others, he argued that the conflict between the investigation of the individual as a unique historical event and the quest of the social sciences to categorize all behavior by type permits the historian not only to evaluate any historical event by itself, but also to recognize its larger, lasting meaning. From 1957 until his death, Schieder edited Germany's oldest historical journal, Historische Zeitschrift. During his long career, he received scores of awards and honors. In addition to his membership in Pour le Mérite, he was president of Germany's premier historical academy, the Historical Commission of the Bavarian Academy of Sciences as well as a former president of the German Association of Historians and the Rhenish-Westphalian Academy of Sciences. In an age where historians have become ever more Schieder was a committed generalist. The breadth of his research extended from the beginnings of the Prussian monarchy to the aftermath of World War II. Schieder's studies on the nation-state and nationalism in a European context, however, were his greatest historiographic contributions. In his essays on the subject, collected in Nationalismus und Nationalstaat (Nationalism and the Nation-State, 1991), Schieder attempted to reconcile his fundamental approval of the nation-state with the evils nationalism wrought on Europe. Influenced both by his studies and by his own experiences, Schieder frequently returned to the question of Germany's fate in Europe. In the end, he hoped for national reunification, which he did not live to witness. He believed that Germany could find a satisfying role for itself as one nation among equals in Europe, a role Schieder defined when he compared the German middle states of the 19th century with the European states of the 20th century, caught between the two Schieder shared his vocation with a broader audience through his function as editor of the 7-volume Handbuch der Europäischen Geschichte (Handbook of European History, 1968-87). In the series, Schieder wrote the volume dealing with early 19th-century Europe and the volume addressing the height of European power before World War I. For Schieder, World War II and the loss of his chosen home of Königsberg were the result of the exaggerated nationalism that occurred when a nation, in its quest for national selffulfillment, ignored the European context of its development. Schieder, who was well-versed in all areas of German culture, considered the loss of Germany's eastern territories a great blow to Germany's cultural mission in Central Europe. Schieder collected the evidence of this catastrophe in his 5-volume Dokumentation der Vertreibung der Deutschen aus OstMitteleuropa (1954-61; Documents on the Expulsion of the Germans from Eastern-Central Europe, 1956-61). Although flawed by the fact that Schieder and his staff did not start collecting the accounts of Germans refugees and expellees until ten years after the events themselves began, the number of documents and their intense quality, only slightly moderated by Schieder's judicious introductions, are incontrovertible proof that the horrors of World War II did not end with the of hostilities.

to

specialized,

superpowers.

cessation

While Schieder published numerous articles and books his career, his greatest achievement was his 1983 of Frederick the Great of Prussia. This biography, which is a collection of essays rather than a strict narrative, perhaps most clearly shows his contribution to his profession. Above all, however, Schieder's sense of perspective and measure revealed themselves in his judiciousness which, more than anything else, established his authority as postwar Germany's foremost historian.

during

biography

MARTIN R. MENKE

Denkern der Neuzeit: Theodor Scheider zum Gedächtnis ( History and Political Action: Studies on the European Thinkers of the Modern Age: In Memoriam Theodor Schieder ), Stuttgart: Klett Cotta , 1985 Berding , Helmut , ed., Vom Staat des Ancien Regime zum modernen Parteienstaat ( From the State of the Ancien Régime to the Modern Party State ), Munich : Oldenbourg, 1978 [includes

bibliography] "

"

Nachruf auf Theodor Schieder (Eulogy for Theodor Schieder), Vierteljahrshefte für Zeitgeschichte 32 ( 1984 ),

Broszat , Martin ,

689

-

90

Gall , Lothar,

Zeitschrift

"

Theodor Schieder, 1908-1984," Historische

241

( 1985 ),

1

-

25

"

Andreas , Theodor Schieder zum 75. Geburtstag: Akademische Festveranstaltung in der Universität zu Köln am " 16. April 1983 (On the Occasion of Theodor Schieder's 75th Birthday: Academic Celebration at Cologne University on 16 April 1983 ), Universität zu Köln , 1983 Kluxen , Kurt , and Wolfgang J. Mommsen , eds., Politische Ideologien und nationalstaatliche Ordnung: Studien zur Geschichte des 19. und 20. Jahrhunderts: Festschrift für Theodor Schieder (Political Ideologies and the Order of the Nation State: Studies in 19th- and 20th-century History: Festschrift for Theodor Schieder ), Munich : Oldenbourg, 1968 " Vom Beruf des Historikers in einer Zeit Mommsen , Wolfgang J. , Wandels: Theodor Schieders historiographisches beschleunigten " Werk ( The Historical Profession in a Time of Accelerated Change: The Historiographical Work of Theodor Schieder ),

Hillgruber

,

Biography Bayrisch-Schwaben in Oettingen bei Nördlingen, 11 April 1908. Early education in Augsburg ; studied history, German language, and geography, University of Munich to 1933, and University of Berlin to 1940. Taught at University of Königsberg, 1941-44 ; and University of Cologne 1948-84 Editor, Historische Zeitschrift 1957-84 Married Eva Rogaisky, 1934 (4 children). Died 8 October 1984. Born

,

.

.

,

Principal Writings

Dokumentation der Vertreibung der Deutschen aus OstMitteleuropa , 5 vols, in 8, 1954-61 ; reprinted 1984 ; in English as Documents on the Expulsion of the Germans from EasternCentral Europe , 4 vols., 1956-61 Staat und Gesellschaft im Wandel unserer Zeit , 1958 ; in English as The State and Society in Our Times: Studies in the History of the 19th and 20th Centuries , 1962 als Nationalstaat ( The German Das Deutsche Kaiserreich von 1871 Empire of 1871 as a Nation-State ), 1961 , 2nd edition 1992 Geschichte als Wissenschaft: Eine Einführung ( History as Scholarship: An Introduction ), 1965 Editor, Handbuch der Europäischen Geschichte (Handbook of

European History ), 7 vols., 1968-87 Zum Problem des Staatenpluralismus in der modernen Welt ( Concerning the Problem of State Pluralism in the Modern World ), 1969 Hermann Rauschnings "Gespräche mit Hitler" als Geschichtsquelle ( Hermann Rauschning's "Conversations with Hitler" as Historical Evidence ), 1972 Metbodenprobleme der Geschichtswissenschaft ( Methodological Problems in Historical Scholarship ), 1974 Staatensystem als Vormacht der Welt, 1848-1918 ( The System of State Alliances as Predominating Global Power, 1848-1918 ), 1977 Editor with Otto Dann Nationale Bewegung und soziale Organisationen: Vergleichende Studien zur nationalen Vereinsbewegung des 19. Jahrhunderts in Europa (National Movement and Social Organizations: Comparative Studies on National Associations in 19th-century Europe ), 1978 "Die mittleren Staaten im System der Grossen Mächte ( The Middle States within the Great Power System )," Historische Zeitschrift 232 ( 1981 ), 583 604 Friedrich der Grösse: Ein Königtum der Widersprüche (Frederick the Great: A Kingship of Contradictions ), 1983 Ober den Beinamen "der Grosse": Reflexionen über die historische Grosse (Concerning the Attribution "the Great:" Reflections on Historical Greatness ), 1984 ,

-

Editor with Otto Dann and Hans-Ulrich Wehler, Nationalismus und Nationalstaat: Studien zum nationalen Problem im modernen Europa (Nationalism and the Nation-State: Studies on the National Problem in Modern Europe ), 1991

Further

Reading

Allen , Peter, Wolfgang J. Mommsen , and Thomas Nipperdey, eds., Geschichte und politisches Handeln: Studien zu europäischen

Vierteljahrshefte für Zeitgeschichte

Schlesinger, US historian and

33

( 1985 ), 387

Arthur M., Jr.

-

405

1917-

biographer

Arthur M. Schlesinger, Jr., probably the best known and most controversial United States historian of the later 20th century, was literally born into the United States historical tradition. His father, Arthur M. Schlesinger, Sr., was for many years a distinguished professor of history at Harvard University, while his mother was descended from the eminent 19th-century George Bancroft. By the time he reached twenty their son had decided to emulate his forebears. He combined the narrative sweep and huge scale of Bancroft's works with a theory first expounded by his father, that the underlying pattern of United States history is a cyclical one of periods of in which the power of business becomes dangerously strong, followed in approximately thirty-year intervals by bursts of reform designed to remedy the previous abuses. Schlesinger was a diligent researcher and prolific writer of highly readable history. His lengthy, graceful volumes became prizewinning bestsellers and he was quickly recognized as the most distinguished American chronicler of what he perceived as the Democratic party's record of laudable centrist liberalism. A biography of Orestes A. Brownson (1939), his revised Harvard University senior undergraduate thesis, was followed by The Age of Jackson (1945); the three volumes of The Age of Roosevelt (1957, 1959,1960); A Thousand Days: John F. Kennedy in the White House (1965); and Robert Kennedy and His Times {1978). Between them, these books give a record of the Democratic party's outstanding achievements, from the time of Andrew Jackson, when, according to Schlesinger, reformers embraced Hamiltonian, centralizing governmental powers in order to achieve Jeffersonian aims of equality and

historian conservatism,

justice; through the New Deal of Franklin D. Roosevelt, which continued this process; to the tragically truncated careers of John F. Kennedy and his brother Robert. He structured his historical narratives around the careers of strong, heroic leaders, statesmen who, in his view, inspired their followers and the American people to rise to new challenges and them. Schlesinger's work, particularly his well-received early volumes on Jackson and Roosevelt, stressed the role of class conflict in American history. He argued that the Jacksonians included not simply disgruntled western farmers, but working men from the large eastern urban centers, allied with liberal intellectuals a grouping that anticipated the New Deal This interpretation stressed the role of conflict in the emergence and adaptation of American political institutions and programs, an emphasis, as Schlesinger himself noted, at variance with the prevailing historiographical consensus school of American history in the 1950s, but in the tradition of such Progressive historians as Charles A. Beard and Vernon Parrington. Some critics, however, noted that in practice Schlesinger's interpretation focused on conflict but did so within a broader consensus as to the acceptable range of open to the United States. In those periods he studied, the successful reformers he clearly admired accepted the existing capitalist economic system and the United States Constitution as givens, and merely wished to adapt them to

overcome

-

coalition.

alternatives

changing

times.

Such an

accorded well with

emphasis Schlesinger's political and combined his Harvard University with deep professor of history involvement party politics, and throughout his for such influential extensively political journals of opinion the York Times Magazine, the Saturday views

activities. He

own

academic

It has often been

suggested

that Schlesinger's

political

activities and his close with the Kennedy family association

were

detrimental to his later historical writing. He himself strongly denied this, and alongside his two somewhat hagiographical volumes on the Kennedy brothers, he continued to write producing many short pieces on history and politics. Even so, despite his frequent promises to return to it, his history of the Roosevelt administration is still incomplete, as the third volume ended in 1936. His study The Imperial Presidency (1973) drew attention to the dangerous increase in the powers of the presidency, but was criticized as too favorable in its treatment of Democratic presidents, even as he supported the impeachment of Richard Nixon. His collected historical essays, The Cycles of American History (1986), won high praise from his peers, while in The Disuniting of America (1991) he crossed swords with those who would misrepresent the past in the interests of political correctness and the enhanced self-esteem of particular minority groups. In his eighth decade, an mid-20th-century liberal centrist who found himself out of sympathy with the prevailing political climate, Schlesinger remains the foremost American embodiment of a historian who combines academic concerns with political

prolifically,

unrepentant

engagement.

PRISCILLA M. ROBERTS See also Political; United States: 19th 20th Century; United States: Historical Williams, W.

Century; United States: Writing,20th Century;

career as a

at

in Democratic

wrote

career

matters

on

New

as

Evening Post, Harper's, and the Atlantic Monthly. Over the years, he published several collections of such essays on topical themes, among them The Vital Center (1949), The Politics of Hope (1963), The Bitter Heritage (1967), and The Crisis of Confidence (1973), volumes that charted his course from an essentially optimistic outlook concerning his country's domestic and international policies to a qualified pessimism. A centrist, Schlesinger rejected the extremes of both conservatism and radical socialism

or

communism in favor of what he termed

Biography Arthur Meier Schlesinger, Jr. Born Columbus, Ohio, 15 October 1917; son of historian Arthur Schlesinger, Sr. and descendant of George S. Bancroft Educated at Cambridge Latin School ; Phillips Academy ; received BA, Harvard University, 1938 ; fellow, Peterhouse, Cambridge , 1938-39 Served in Office of War Information , 1942-43 ; Office of Strategic Services, 1943-45 ; US Army, 1945. Taught at Harvard University, 1946-60, then took leave to work in the John F. Kennedy presidential campaign ; special assistant to the President of the US, Washington, DC, 1961-64; remained in Washington to write , 1964-66 ; professor, City University of New York, from 1966 Married 1) Marian Cannon, 1940 (marriage dissolved 1970; 2 sons, 2 daughters); 2) Alexandra Emmet, 1971 (1 son). .

.

.

liberalism, essentially policies of New Deal reform at home and Cold War anticommunism abroad. Heavily influenced by the popular theologian Reinhold Niebuhr, he argued that practical politicians must be prepared to compromise and on occasion to

Principal Writings

use less than attractive means in order to attain at least part of their aims, and that it was necessary for the United States to the evil of totalitarianism abroad, even at the risk of war. In the 1940s, when Schlesinger first expressed his political credo, he was in accord with the prevailing Democratic party ethos. During the 1950s Schlesinger, seeking another heroic leader, attached himself first to Adlai Stevenson, in whose presidential campaigns he served as a speechwriter, and then to the young, Harvard-educated senator John F. Kennedy, whom he regarded as the embodiment of pragmatic liberalism. When the latter won election to the White House in 1960, he appointed Schlesinger to the ill-defined position of special assistant to the president, in which post Schlesinger gathered the raw material for his subsequent account of the Kennedy presidency.

1967 General editor, History of American Presidential Elections,

combat

Democratic

Orestes A. Brownson: A Pilgrim's Progress , 1939 The Age of Jackson , 1945 The Vital Center: The Politics of Freedom , 1949 With Richard H. Rovere , The General and the President , 1951 ; as General MacArthur and President Truman , 1991 The Age of Roosevelt , 3 vols., 1957-60 The Politics of Hope, 1963 A Thousand Days: John F. Kennedy in the White House , 1965 The Bitter Heritage: Vietnam and American Democracy, 1941-1966 ,

1789-1968 4 vols., 1971 ; supplemental volume, 1972 1984 1986 The Crisis of Confidence: Ideas, Power, and Violence in America -

,

,

1973

Editor, History of US Political Parties The Imperial Presidency 1973 Robert Kennedy and His Times 1978

,

,

,

4

vols.,

1973

,

The Cycles of American History , 1986 The Disuniting of America , 1991

Further Reading Brogan Hugh The American History "

History," Reviews in ( 1987 ), 521 26 Cole Donald B. The Age of Jackson: After Forty Years ," Reviews in American History 14 ( 1986 ), 149 59 Cunliffe Marcus Arthur M. Schlesinger, Jr," in Marcus Cunliffe and Robin Winks eds., Pastmasters: Some Essays on American Historians New York : Harper 1969 Depoe Stephen P. Arthur M. Schlesinger, Jr., and the Ideological History of American Liberalism Tuscaloosa : University of ,

,

Uses of American

15

-

"

,

,

-

"

,

,

,

,

,

,

,

,

Alabama Press , 1994 " Engelhardt , Carroll , Man in the Middle: Arthur M. Schlesinger, Jr., and Postwar American Liberalism ," South Atlantic Quarterly 80

( 1981 ),

119 42. -

Kraus , Michael , and Davis D. Joyce , The Writing of American History , revised edition, Norman : University of Oklahoma Press ,

1985 Lemisch , Jesse , On Active Service in War and Peace: Politics and Ideology in the American Historical Profession , Toronto : New Hogtown Press , 1975 " Miles , Edwin Α. , Arthur M. Schlesinger, Jr.," in Clyde N. Wilson , ed., Twentieth-Century American Historians , Detroit : Gale , 1983 [Dictionary of Literary Biography, vol. 17 ] Morton , Marian J. , The Terrors of Ideological Politics: Liberal Historians in a Conservative Mood , Cleveland : Press of Case Western Reserve

University

,

1972

" Nuechterlein , James Α. , Arthur M. Schlesinger, Jr., and the Discontents of Postwar American Liberalism ," Review of Politics

39

( 1977 ).

3 40 -

Reinitz , Richard , Irony and Consciousness: American Historiography and Reinhold Niebuhr's Vision , Lewisburg, PA : Bucknell University Press , 1980 Ross, Mitchell S. , The Literary Politicians , Garden City, NY :

Doubleday 1978 Schlesinger Arthur M. Jr. ,

,

,

,

In

Retrospect: The History of a

Historian , New York : Harcourt Brace , 1963 Sternsher , Bernard , Consensus, Conflict, and American Historians ,

Bloomington Indiana University Press , 1975 :

best remembered during the 19th century. In his own time, however, he appeared most effective as a critical theorist of history. His famous 5-volume edition of Nestor's Russian annals (1802-09), studies of the history of northern Europe and of Russia, a history of Leipzig, studies of German to the east, on statistics, universal history, and his famous world history for children (1779) are best understood in the

expansion

of his ideas on historical work. Schlözer was deeply influenced by the development of the life sciences and their critique of traditional models of scientific explanation. Buffon's Histoire naturelle (1749-67) and Linnaeus' system of classification, for example, had an impact on those who rejected existing mechanistic and empiricist modes of understanding. Herder, whom Schlözer to be a representative of conservative ideas famously expressed in his Auch eine Philosophie der Geschichte der Bildung der Menschheit (Also a Philosophy of History for the Education of Mankind, 1774), consequently wrote a critical review of Schlözer's Vorstellung einer Universal-Historie (Introduction to a Universal History, 1772-73). Other apart from the Göttingen school and German historians such as Gatterer, Michaelis, Achenwall, Putter, and Böhmer, came from the West European Enlightenment, in particular the French and Scottish theories of progress represented by the works of Montesquieu, Turgot, and Condorcet, as well as Ferguson, Millar, and Robertson. Further, Schlözer's Vorstellung is reminiscent of Voltaire's Essai sur les moeurs et l'esprit des nations (1756; Essay on the Manner and Spirit of Nations, 1780), an attempt to set a philosophy of history against the based universal history of Bossuet. Finally, for his studies in northern European and Russian history Schlözer was indebted to Tatiscev and Lomonosov, and it was his interest in East European history that distinguished him from many of his context

important considered

influences,

theologically colleagues.

18th-century German works of Schlözer's studies are characterized by critical methods combined with an interest in the social, anthropological, ethnological, and linguistic aspects of universal history. Although he accepted political history as an important he thought that the past could be element of world history Schlözer devoted himself at least as relevant for the present much to social, economic, and cultural history as to the history of technology, of morals and manners, and of ideas. He no longer approved of an obsequious court-oriented historiography (Regentengescbicbte). Instead, he demanded a comparative social, economic, cultural, even humanitarian perspective that mirrored the bourgeoisie's process of emancipation, and with which the bourgeoisie could identify. The history of tobacco or of the potato was as interesting to him as the history of kings. The history of mankind and the history of the bourgeoisie were equated; social history took the place of the history of monarchs. Regarding the historical process as a sequence of "revolutions," Schlözer first investigated the natural changes that had man's living conditions. He then studied political upheavals on the one hand, and changes in civilization on the other. This approach allowed him to integrate a chronological method (Zeitzusammenhang) with a synchronic and analytical one (Realzusammenhang), rather as Gatterer had done. It was more important for Schlözer for a systematic analysis to reveal causal connections than to establish sequences. He More than any other

historiography,

geographical, Schlözer, August Ludwig

von

1735–1809

-

-

German historian von Schlözer was a key figure among the historians of the German Enlightenment both as regards his methodological studies of universal history and his commitment to the reform of the study of history. Among his pupils were such eminent figures as von Humboldt, Hardenberg, Gentz, von Stein, and von Müller. Not only did he write influential political, and pedagogical works, but he also founded journals with large circulations: Briefwechsel meist historischen und politischen Inhalts (1778-81), succeeded by Staatsanzeigen (1782-95) and the later Neueste Staatsanzeigen (1796-1800). Empirically belonging more to the philosophy of the Enlightenment than to the historical thinking of the early 19th century, this journal in 1791 published the first German translation of the French Revolution's "Declaration of the Rights of Man and of the Citizen." Schlözer can also be described as a publicist whose historico-

August Ludwig

leading

historical,

several

political journals helped to develop a bourgeois public opinion. It was for this, probably more than as a historian, that he was

transformed

therefore constructed for historiography what had already been employed in the life sciences. His concept of universal history aimed to show how individual facts and general historical tendencies conditioned each other in historical experiences that could be described as conjunction and interaction. Accordingly, facts could not be seen in isolation but had to be regarded as part of a complex whole, a system of integrated events. The historical organization of the material, according to the links that different events generated, would consequently not follow a linear and mechanical order, but a complex order of The historian's task was to establish this context in order to make the singular understandable. His aim was to see the organic whole in order to appreciate the uniqueness of the singular. Schlözer's idea of history followed the historicization of the life sciences. This can well be traced in his Vorstellung einer UniversalHistorie, which makes an important theoretical contribution to

interconnections.

18th-century historiography, especially

in its

epistemological asking which

attempt to construct history as a science. In should be included in a world history, Schlözer addressed the problem of how to write a modern universal history. In the first edition of the Vorstellung he had distinguished between only two epochs of world history (ancient and modern), but in a later publication, Weltgeschichte nach ihren Haupt-Tkeilen im Auszug und Zusammenhange (Extracts and Overview of the Main Parts of a History of the World, 1785-89) he was

peoples

receptive

to new

findings

on

systematizing

a

chronology.

Here it became obvious that he was looking for a "plan" for how to write a scientific, theoretically based history, distinct from the hitherto fashionable polyhistory, which merely and described historical facts. He discussed his "plan" with his readers. It was intended to serve as an orientation for his students, and to contribute to the current scholarly debate. According to Schlözer, Enlightenment historiography could be applied to contemporary problems, since it was practical and characterized by open reflection and argument. This of open discourse distinguished him from the priestly demeanour of the next generation of historicists.

assembled

appreciation

BENEDIKT STUCHTEY See also Russia: Medieval; Universal

Biography Born Gaggstadt, Hohenlohe-Kirchberg, 5 July 1735, descended from Protestant pastors. Studied theology at Wittenberg before turning to philology, Oriental linguistics, and medicine at University of Göttingen Travelled to Sweden, where he served as a tutor, [755-59 ; worked at the Academy of Sciences , St. Petersburg , 1761-67 ; professor, University of Göttingen, 1769 1804 Ennobled 1804. Married Caroline Roederer, 1769 (5 children). Died .

-

Göttingen,

9

zur Weltgeschichte für Kinder ( introduction to World History for Children ), 1779 Weltgeschichte nach ihren Haupt-Theilen im Auszug und Zusammenhange ( Extracts and Overview of the Main Parts of a History of the World ), 2 vols., 1785-89 Translator, Nestor Russische Annalen in ihrer Slavonischen Grundsprache verglichen, übersetzt und erklärt ( Nestor's Russian Annals to 980CE ), 5 vols., 1802-09

Vorbereitung

Theorie der Statistik: nebst Ideen über das Studium der Politik überhaupt ( Theory of Statistics and General Ideas about the Study of Political Science), 1804

Further Reading Becher Ursula A.J. Politische Gesellschaft: Studien zur Genese bürgerlicher Öffentlichkeit in Deutschland ( Politica! Society: Studies on the Genesis of a Bourgeois Public Sphere in Germany ), Göttingen : Vandenhoeck & Ruprecht 1978 Becher Ursula A.J. August Ludwig von Schlözer," in Hans-Ulrich Wehler ed., Deutsche Historiker vol. 7 Göttingen : Vandenhoeck & Ruprecht 1980 Becher Ursula A.J. August Ludwig von Schlözer Analyse eines historischen Diskurses (Schlözer: Analysis of a Historical Discourse ), in Hans Erich Bödeker et al. eds., Aufklärung und ,

,

,

,

,

"

,

,

,

,

"

-

,

,

"

,

Geschichte: Studien

deutschen Geschichtswissenschaft im 18. Jahrhundert, Göttingen : Vandenhoeck & Ruprecht , 1986 Rutterfield , Herbert , Man on His Past: The Study of the History of Historical Scholarship , Cambridge : Cambridge University Press , 1955 ; Boston : Beacon Press , 1960 Hennies , Werner, Die politische Theorie August Ludwig von Schlözers zwischen Aufklärung und Liberalismus ( The Political Theory of August Ludwig von Schlözer, Between Enlightenment and Liberalism ), Munich : Tuduv, 1985 " Mühlpfordt , Günter, Völkergeschichte statt Fürstenhistorie: Schlözer als Begründer der kritisch-ethnischen Geschichtsforschung " ( History of Peoples vs. History of Sovereigns: Schlözer as the Founder of Critical-Ethical History ), Jahrbuch für Geschichte 25 ( 1982 ), 23 72 Mühlpfordt , Günter, August Ludwig Schlözer und die 'Wahre Demokratie': Geschichts- und Obrigkeitskritik eines Anwalts der Unterdrückten unter dem Absolutismus " ( August Ludwig Schlözer and the 'True Democracy': A Critique of History and Authority by a Lawyer of the Oppressed under Absolutism ), Jahrbuch des Instituts für Deutsche Geschichte 12 (1983 ), 29 73 " Saage , Richard , August Ludwig Schlözer als politischer " Theoretiker ( August Ludwig Schlözer as a Political Theoretician ), in Hans-Georg Herrlitz and Horst Kern , eds., Anfänge Göttinger Sozialwissenschaft: Methoden, Inhalte und soziale Prozesse im 18. und 19. Jahrhundert, Göttingen ; Vandenhoeck & Ruprecht , 1987 Warlich , B. , August Ludwig von Schlözer (1735-1809) zwischen Reform und Revolution: Ein Beitrag zur Pathogenese frühliberalen Staatsdenkens im späten 18. Jahrhundert ( Schlözer Between Reform and Revolution: A Contribution to the Pathogenesis of the Early Liberal Ideology of the State in the Late 18th Century), dissertation, University of Erlangen , 1972 zur

-

"

-

.

September 1809.

Principal Writings Versuch einer allgemeinen Geschichte des Handels und der Seefahrt in den ältesten Zeiten ( An Attempt at the Genera) History of Trade and of Seafaring in the Most Ancient Times ), 1761 [originally written in Swedish, 1758 ] Allgemeine Nordische Geschichte ( General Nordic History ), 1 vols., 1771

Vorstellung einer Universal-Historie ( Introduction History ), 1771-73

to a

Universal

Schnabel,

Franz

18 7–196

German historian

Among the classic works of 20th-century

German historical

scholarship Franz Schnabel's Deutsche Geschichte im neunzehnten Jahrhundert (German History in the 19th Century, 1929-37) is not only of outstanding importance on academic grounds, but also of lasting popularity and instructiveness.

Until the relatively recent accounts of Thomas Nipperdey and Hans-Ulrich Wehler, Schnabel's studies on the 19th century were long unchallenged for their full descriptions, elegance of style, clarity of argument, and the variety of questions addressed both in terms of history in general and of German history in particular. Schnabel's history is, however, limited to the Vormärz period: he concentrated on and effectively restricted himself to the period between the late 18th and the early 19th century, the climax of the Bürgertum. What he understood by the bourgeois age was not only the economic and social predominance of a class but particularly the process of its political emancipation. That this emancipation was less successful in Germany than elsewhere in Western Europe gave German history its special image: here the collective was more strongly developed than the individual need for liberty. But Schnabel's skeptical interpretation of history reflected at the same time the necessity of believing in the idealistic nature of men regardless of historical failures. A list of Schnabel's publications contains 521 entries covering a wide field of topics. Undoubtedly the four volumes of his Deutsche Geschichte are his masterpiece. This work gave him an international reputation and, in fact, came closest to fulfilling the task that Schnabel set himself: to write history on a large scale ("Geschichtsschreibung grossen Stils"). By this he meant describing all aspects of an epoch by combining political, and cultural history, and something that is probably most significant in the first volume of the Deutsche Geschichte offering a European perspective, with which Schnabel overcame the Treitschkean national categories that were still quite in Weimar historiography. He aimed to show the context in which the single facts of history were rooted; the individual had to be deduced from the whole. In fact, Schnabel was the first after Treitschke to write a large-scale German history, and he certainly did not adopt an antinational approach. But unlike many historians of his time, Schnabel did not idealize the nationstate of 1871. That is why, in his Deutsche Geschichte, he put German Geistesgeschichte into a European context. Also, he was not an opponent of the Weimar republic, which was regarded by many as a symbol of national decline. Rather he was one of its defenders against, for example, von Papen whose politics in July when he tried to abolish the federalist character of 1932 the republic Schnabel strongly criticized using cultural and

religious, -

-

fashionable

-

-

economic arguments.

Further he had a deep inner dislike for that which he regarded as characteristic of Bismarck's bureaucratic and state: the bourgeoisie's lack of interest in self-government and of a sense of political responsibility. Here Schnabel's point of view was partly based on a tradition of liberalism from southwestern Germany to which he devoted Geschichte der Ministerverantwortlichkeit in Baden (History of Ministerial Responsibility in Baden, 1912) and two biographies, Sigismund von Reitzenstein (1927) and Ludwig von Liebenstein (1927). Before Schnabel went to the University of Munich, where he taught from 1947 to 1962, his academic positions were director of the Nordbadisches Kultur- und Unterrichtswesen (Cultural and Educational System in North Baden) and from 1922 the chair of history at the Technical University of Karlsruhe where he stayed until his forced retirement by the Nazis in 1936. Because he taught students in Karlsruhe who wanted to become engineers, architects, physicists, chemists, etc., he committed

military

himself

to integrating natural history and the history of technology into his historical reflections, and thereby tried to make history accessible to a general community of students and readers. Without this personal background the famous

third volume of the Deutsche Geschichte which dealt with the humanities and the sciences would hardly have been written. Schnabel's academic and political philosophy was deeply rooted in a European humanism that searched for a understanding of the world. His favorite age was the 19th century on which his work focused and from whose historicism he was never really free. Like Jacob Burckhardt's The Civilization of the Renaissance in Italy, Schnabel's major opus remained a torso, and for Schnabel, as for Burckhardt, it was the impact of the age of humanism on the emergence of the bourgeoisie in the 19th century that most interested him. In 1931 he published Deutschlands geschichtliche Quellen und Darstellungen in der Neuzeit (German Historical Sources and Accounts in the Early Modern Period). Believing in the values of humanism Schnabel also shared with Burckhardt a cultural skepticism (in the face of the events of the 20th century) which remained with him despite his idealism and his belief in the power of education. Yet after World War II he published Der Buchhandel und der geistige Aufstieg der abendländischen Völker (The Book Trade and the Intellectual Rise of the Western People, 1951) and Das humanistische Bildungsgut im Wandel von Staat und Gesellschaft (Humanist Education in a Changing State and Society, 1956) in which he traced the history of education in Europe from the 16th century. A further characteristic Schnabel shared with Burckhardt was his neglect of the archives. With the exception of his studies on the history of Baden and his account of the history of the Historical Commission of the Bavarian Academy of Science "Die Idee und die Erscheinung" Schnabel did not (The Idea and the Manifestation, 1958) really work with archival material. He gave his students to understand that his pedagogical experiences of teaching in school had had a greater impact on his academic career than anything else. Schnabel used historical material that was already known, and when he talked of the "dust of the libraries" he meant that particularly important sources for the historian were the classical texts of former historians that needed to be looked at in a fresh light: a Burckhardtian of highly professional amateurism. In 1923 Schnabel published 1789-1919, a Schoolbook that ran into numerous editions. It was so successful because he worked out the central problems of the period he was describing rather than merely collecting facts as was common for textbooks at that time. By developing the interconnections between the political, social, economic, and intellectual aspects of his topic, Schnabel's synthesis had a much stronger impact, academic as well as educational, on his readership than a special study could achieve. This was also the formula for the success of his Deutsche Geschichte. Schnabel may be rightly called the first German historian to have achieved the aim of linking academic and general life. As a result he had a influence on postwar German historiography. In addition his cultural-historical approach was more deeply developed than, for example, Meinecke's, whose concentration on the history of ideas basically remained politically oriented. On the other hand, Schnabel, with Burckhardt, rejected Karl

comprehensive

-

-

declaration

considerable

Lamprecht's methodological starting point of structuring cultural history via collective laws. Nor did he give priority to social and economic history. But despite his closeness to Burckhardt, Schnabel was a political historian. His openness to cultural history was directed less toward the aesthetics of high art than to and the natural sciences. A work such as Johan Huizinga's Herbst des Mittelalters (The Waning of the Middle Ages) would have been an impossible undertaking for Schnabel. Schnabel devoted the second volume of the Deutsche Geschichte to the monarchy and constitutionalism. The national movement naturally deserved a volume to itself (which would have been the unpublished fifth, and the only one to go as far as the Revolution of 1848/49), but instead he studied the role of the Catholic and Protestant churches. All in all, his approach to history was a Christian, or to be more precise, a Catholic one, although his was definitely not grossdeutsch in the fashion of Heinrich von Srbik. This naturally distinguished him from Borussian admirers of Bismarck such as Erich Mareks.

technology

-

-

BENEDIKT STUCHTEY

Further Reading Angermann Erich

" Zum fünften Band von Franz Schnabels , , " Deutsche Geschichte im neunzehnten Jahrhundert ( On the Fifth Volume of Franz Schnabel's German History in the 19th Century ), Historische Zeitschrift 247 ( 1988 ), 603 12 " Bahners , Patrick , Kritik und Erneuerung: Der Historismus bei " Franz Schnabel (Criticism and Changing: The Historism of Franz Schnabel ), Tel Avtver Jahrbuch für deutsche Geschichte 25 -

( 1996 ), 117 53 Gall , Lothar, " Franz Schnabel ," in Lothar Gall , ed., Die grossen Deutschen unserer Epoche ( The Great Germans of Our Age), Berlin : Propyläen , 1985 Hertfelder, Thomas , Franz Schnabel und die deutsche Geschichtswissenschaft: Geschichtsschreibung zwischen Historismus und Kulturkritik, 1910-1945 ( Franz Schnabel and German Historical Science: Historiography Between Historism and Cultural Criticism, 1910-1945 ), Göttingen: Vandenhoeck & -

Ruprecht 1998 ,

Historische Kommission bei der Bayerischen Akademie der Wissenschaften , ed., Franz Schnabel, Zu Leben und Werk

(1887-1966): Vorträge zur Feier seines 100. Geburtstages ( Franz Schnabel, His Life and Work, 1887-1966: Lectures in Honor of his iooth Birthday ), Munich : Oldenbourg 1988 Lonne Karl Egon Franz Schnabel ," in Hans-Ulrich Wehler ed., Deutsche Historiker Göttingen : Vandenhoeck & Ruprecht 1982 ,

"

,

,

,

,

,

,

vol. 9 , 81 101 Lutz , Heinrich , ed., Franz Schnabel : Abhandlungen und Vorträge, 1914-1965 ( Franz Schnabel: Transactions and Lectures, 1914-1965 ), Freiburg: Herder, 1970 Schubert , Friedrich Hermann , " Franz Schnabel und die " Geschichtswissenschaft des 20. Jahrhunderts ( Franz Schnabel and Historical Science in the 20th Century), Historische Zeitschrift -

See also

Modern

Germany:

Biography Born Mannheim, 18 December 1887. Attended Gymnasium, Mannheim ; studied at the universities of Heidelberg and Berlin , receiving PhD. Professor, Technical University of Karlsruhe , 1922-36 (forced out by Nazis); and University of Munich , 1947-66 Died .

Munich,

25

February 1966.

Der Zusammenschluss des politischen Katholizismus in Deutschland im Jahre 1848 ( The Amalgamation of Political Catholicism in Germany in 1848 ), 1910 Geschichte der Ministerverantwortlichkeit in Baden ( History of Ministerial Responsibility in Baden ), 1922 1789-1919: Eine Einführung in die Geschichte der neuesten Zeit ( 1789-1919: Introduction to Modern History ), 1923 Ludwig von Liebenstein: Ein Geschichtsbild aus den Anfängen des süddeutschen Verfassungslebens ( Ludwig von Liebenstein: A Historical Picture from the Origins of South-German Constitutional Life ), 1927 Sigismund von Reitzenstein: Der Begründer des badischen Staates ( Sigismund von Reitzenstein: Founder of the State of Baden ), 1927

Deutsche Geschichte im neunzehnten Jahrhundert (German History in the 19th Century), 4 vols., 1929-37 Deutschlands geschichtliche Quellen und Darstellungen in der Neuzeit: Das Zeitalter der Reformation, 1500-1550 (German Historical Sources and Accounts in the Early Modern Period: The Age of the Reformation, 1500-1550 ), 1931 Freiherr vom Stein , 1931 Der Buchhandel und der geistige Aufstieg der abendländischen Völker (The Book Trade and the Intellectual Rise of the Western

Bildungsgut

im Wandel von Staat und

Gesellschaft ( Humanist Education in Society ), 1956 "

-

-

Principal Writings

People), 1951 Das humanistische

205 ( 1967 ), 323 57 " Straub , Eberhard , Ein unzeitgemässer Chronist: Franz Schnabels Deutsche Geschichte des 19. Jahrhunderts " (An Old-Fashioned Chronicler: Franz Schnabel's German History in the 19th Century), Die politische Meinung 235 ( 1987 ), 83 90 " Zeeden , Ernst Walter, Das Jahrhundert des Bürgertums: Franz Schnabels Deutsche Geschichte im neunzehnten Jahrhundert" ( The Century of the Bourgeoisie: Franz Schnabel's German History in the 19th Century), Saeculum 3 ( 1952 ), 509 21

"

a

Changing

State and

Die Idee und die Erscheinung (The Idea and the Manifestation ), in his Die Historische Kommission bei der Bayerischen Akademie der Wissenschaften ( The Historical Commission of the Bavarian Academy of Science), 1958 Alexander von Humboldt , 1959

-

Schorske,

Carl E.

1915-

US cultural and intellectual historian Carl E. Schorske has been among the

most creative

practitioners of interdisciplinary and cultural history the late 20th After launching his with conventional political and century. in

career

a

study, German Social Democracy, 1905-1917 (1955), Schorske, under the influence of Marxian and Freudian theory and amidst the political turmoil of the 1960s, when he taught at the University of California at Berkeley, began to on themes of generational rebellion and the rise of radical modernism in late 19th-century Europe. As a test case, he chose to focus on turn-of-the-century Vienna, capital of the Habsburg empire and seedbed of modernist trends in elite culture (psychoanalysis, logical positivism, expressionism, musical atonality) as well as political pathologies (strident intellectual

publish

multinational rhetoric, ideological mobilization,

extremist

nationalism,

anti-

Semitism). In the 1960s and 1970s he published a series of imaginative essays on Vienna as a crucible for the aesthetic avante-garde and radical, antiliberal consciousness; his approach was a highly personalized blend of traditional cultural history

and

of

and Schorske's ideas attracted mainly specialists in intellectual and Habsburg history, but in 1979 the scattered essays were combined with a methodological introduction and three previously unpublished pieces to produce a bestselling volume entitled Fin-de-Siècle Vienna: Politics and Culture. Schorske's significance for modern historiography rests mainly on this one work. The book's introduction was both a personal testament and a statement of interdisciplinary purpose. As a new teacher in the late 1940s, Schorske recalled, he was drawn to the problem of linkages between high culture and social change. In the bleak aftermath of World War II he searched for new ways to this relationship. The optimistic terms that previous historians had often used for this purpose rationalism, progress, liberalism seemed inadequate to the task of one who wished to explain the roots of postwar disillusionment, and was himself a product of the modern temper of disenchantment. In place of the older, humanistic consensus that once surrounded the terms of cultural analysis, Schorske concluded, a series of sociology, psychology, separate disciplines had emerged anthropology, art history, and musicology each with its own specialized theories and vocabularies for explaining social and cultural change. He therefore turned to some of these disciplines in search of new interpretive paradigms, devising a "postholing" strategy based on a series of methodologically and distinct, essay-length inquiries. These included a reflection on cultural malaise in the tales and poetry of Arthur Schnitzler and Hugo von Hofmannsthal; a two-part meditation on the garden as symbol of social change in Austrian literature, painting, and music; a consideration of the rise of mass politics and anti-Semitism as mirrored in the lives of three charismatic personalities (Theodor Herzl, Karl Lueger, and Georg von Schönerer); an excavation of the roots of psychoanalysis in a dream of Freud; an interpretation of architectural styles employed along Vienna's circular boulevard, the Ringstrasse; and a study of the breakthrough to modern aestheticism in the paintings and murals of Gustav Klimt. Each essay was, in Schorske's words, a "separate foray into the terrain"; in each instance he tried to use the terms and concepts devised by

literary criticism, sociology

knowledge,

form, psychoanalytic interpretation. In article

understand -

-

-

-

thematically

historians, literary critics, disciplinary specialists Thus, high study psychoanalysts, city planning -

art

to culture. etc. to diverse facets of depict the rise of modernism in architecture and (the Ringstrasse essay), he read city plans and urban structures as "texts," employing the terms of "specialized internal of fields such as architecture, art history, urban geography, and city planning. The end result of the combined essays was not a smooth narrative in the traditional sense, but a mosaic of pieces joined by Schorske's urge to explore high culture and sociopolitical change especially the theme of art as an escape and by an alloy of Freudian and Marxian from politics assumptions centering on the notions of "ideology" and oedipal revolt. Though a commercial and critical success it received a Fin-de-Siècle Vienna Pulitzer prize for general nonfiction while arousing new scholars heated debate among generated interest in the hitherto under-researched field of late Habsburg history. Many agreed that Schorske's approach to elite cultural history was one of special significance and some predicted that the book would become a classic of the genre, in the tradition -

analysis" -

-

-

-

of Jacob Burckhardt's The Civilization of the Renaissance in

Italy (1860, translated 1904) or Johan Huizinga's The Waning of the Middle Ages (1919, translated 1924). Conversely, much criticism centered on Schorske's post-holing technique, which required him to look intensely at a few select cases instead of viewing Vienna's cultural life as a whole. The result, from the

standpoint

of

some

of his critics,

was

not

a

sustained and

comprehensive analysis, but a sampling of vignettes on subjects chosen merely according to the author's personal taste. It was, in fact, an extremely selective picture of Vienna's cultural life. In depicting the rebellion of the city's radical sons, for instance, Schorske displayed little interest in exploring the ethos of their liberal fathers rather as if Turgenev, in his novel Fathers and Sons, had failed to take the older generation seriously. Yet Schorske's defenders countered by recalling the traditional rule that an author should be judged on the book he has written, not the one reviewers may wish him to write. Another contentious issue was Schorske's appeal to psychoanalytic theory. Critics objected that Freudian theory was now in even in psychology itself, and that Schorske forced his data into a dubious oedipal framework. Others replied that critics of the book's Freudian underpinnings failed to credit its striking synthetic vision. Yet even admirers often found that Schorske's ideas in this specific regard lacked adequate factual basis. Still, Fin-de-Siècle Vienna was undoubtedly a major achievement of belletristic historiography. Despite its flaws, many would agree that Schorske's work stands as an impressive testament to one scholar's historical imagination, as one model of interdisciplinary reasoning, and as a legitimation of elite cultural history in an age of increasing emphasis on the study of popular culture. -

disrepute,

HARRY RITTER

Austro-Hungarian;

See also

Cultural

Biography

Carl Emil Schorske Born New York City, 15 March 1915. Received ΒΑ, Columbia University, 1936 ; MA, Harvard University, 1937 , PhD 1950. Staff member, Office of Strategic Services, 1941-46 ; served in United States Naval Reserve, 1943-46 Taught at Wesleyan University, 1946-60; University of California , Berkeley, 1960-69 ; and Princeton University, 1969-80 (emeritus). Married Elizabeth Gilbert Rorke , 1941 (4 sons, 1 daughter). .

.

Principal Writings Democracy, 1905-1917: The Development Great Schism , 1955 Fin-de-Siècle Vienna: Politics and Culture , 1979 German Social

Kandinsky

in

of

the

Munich, 1896-1914 1981 ,

Gustav Mahler: Formation and Transformation , 1991 Editor with Thomas Bender , Budapest and New York: Studies in

Metropolitan Transformation, 1870-1930

,

1994

Further Reading Johnston William M. Cultivated Gardeners ," American Scholar 50 ( 1981 ), 260 66 Roth Michael S. Performing History: Modernist Contextualism in Carl Schorske's Fitt-de-Siècle Vienna ," American Historical Review 99 ( 1994 ), 729 45 A Life of Learning," American Council of Schorske Carl E. Learned Societies Occasional Papers 1 ( 1987 ) "

,

,

-

"

,

,

-

"

,

,

,

Steinberg Michael P. "'Fin-de-Siècle Vienna' Ten Years Later: Viel Traum, Wenig Wirklichkeit," Austrian History Yearbook 22 ( 1991 ), 151 62 ,

,

-

1954-56). Having investigated the different functions of objects associated with the rulers and other persons in authority (judges, prelates, officers), Schramm suggested a classification of "signs" (Zeichen). As the medieval king "stood for" the authority that can be called the state, so the insignia "stood for" him. A special volume was devoted to one particular symbol also an insignia the orb (Spbaira, Globus, Reichsapfel, 1958). The subtitle of this book, "Wanderings and Metamorphoses of an Insigne from Caesar to Elizabeth II" was also meant as a commentary on his old controversy with the Warburg school: the survival of antiquity. One of Schramm's last medievalist works, prepared in collaboration with an art historian, is an impressive volume, widening the scope of the corpus he was about to assemble. The Denkmale der deutschen Könige und Kaiser (Monuments to German Kings and Emperors, 1962-78) contains a splendidly illustrated catalogue of several hundred objects related to Frankish-German rulers from the early Middle Ages to the time of Frederick II. The survey includes not only the "things" that is, insignia in employed in royal presentation proper the widest sense but everything that was in any way connected with the ruler. In his introductory study, Schramm what constituted the "hoard" (Hort) of a ruler in the Middle Ages. in retrospect, one might say that, with the Denkmale volume, the questions raised by the Otto-miniature received their answers. The program set out by Schramm fifty years before has been well-nigh fulfilled, at least for the medieval empire and partially for the major countries of Europe. Most of the objects, images, texts, and staged actions of kings and emperor were inspected and analyzed: a symbology of the medieval state had been outlined. In addition to his work as a medievalist, Schramm studied the history of his home town, Hamburg. These studies began in his youth, and several articles and two volumes on Hanseatic burghers at home and overseas demonstrate the results of these "local patriotic" endeavors. But perhaps the most interesting and certainly the most charming and eminently readable book he wrote was the one on some 300 years of cultural history demonstrated by the fate of the Schramm family and its relatives. As a Rittmeister (captain of the cavalry) in reserve, Schramm was mobilized during World War II, and friends of his, who knew about the Gestapo interest in him and his family for opposition to Hitler, secured him the position of keeper of the diary of the Army High Command (Oberkommando der Wehrmacht). As a historian, he resisted the order to destroy the record, and rescued most of the volumes and handed them over to the Allies. In i960 these papers were returned to him for editing, and together with a number of pupils he published his war diaries and presented a number of studies connected to the German war effort. His writings on Hitler and his generals are characterized by the objectivity that was typical for his generation of German scholars. Hence, he was and attacked by many, who expected a more passionate tone and stance against Nazism. But only Norman Cantor went so far as to accuse him of belonging to the company of war criminals. -

Schramm, Percy

Ernst

German medievalist and

1894–1970

military

-

historian

was a historian of several trades. He of the major representatives of the study of the medieval state and the founder of systematic research into the iconography of rulership, but also as a leading social of the Hanseatic city of Hamburg and because of his position during World War II one of the foremost experts

Percy

Ernst Schramm

counts as one

historian -

-

on

wartime German

military history.

Schramm's first major project was Kaiser, Rom und Renovatio (Emperor, Rome and Renovatio), 1929), on the interrelation of ancient and medieval concepts in the of imperial ideas in Carolingian and Ottonian times, particularly around 1000 CE. Schramm argued that the young "dreamer" Otto III, and his teacher Gerbert-Sylvester, were devoted adherents of a Christian "renewal" of Roman rather than engineers of a "German empire" as many political historians have argued. It was published in the famous Warburg Library in Hamburg, and not by coincidence, for the writings of the circle of Aby Warburg, including Ernst Cassirer, Fritz Saxl, and Erwin Panofsky, were crucial for Schramm's scholarly development. However, he contested several of their notions about the "survival of antiquity," finding it too mechanical and negligent of the medieval millennium. While completing that book, Schramm embarked on a field that was to define five decades of his scholarly life. A famous illuminated double page of an Ottonian Gospel book, depicting the emperor presented with tributes and gifts, seemed not only to summarize the ideas inherent in Otto Ill's renovatio, but pointed to a series of problems central to the understanding of medieval rulership. Schramm abandoned as anachronistic the earlier approach that concerned itself with the likeness of the portrait and person. Most ruler images were not made to commemorate the individual features of a king or emperor, but were aimed at conveying certain essential traditional features that identified the ruler as ruler. These inquiries drew Schramm's attention to those politically momentous "liturgical plays" in which the insignia of rulership were transferred to the new ruler. Schramm began to edit, date, and categorize the coronation ordines the scripts and stage directions for these "constitutional" spectacles of the Middle Ages of the West Frankish, Anglo-Saxon, and German During this research Schramm's attention was drawn to processes of intricate borrowing and returning, and the interrelationship between European kingdoms in forms and ideas and adapting them to local conditions, themes that became central in Schramm's later work on the English coronation, in his Der König von Frankreich (The King of France, 1939), and in several articles on Spanish kingdoms. After the war, an impressive collection of monumental was assembled by Schramm for an all-European survey of royal symbology: three volumes on insignia, Herrscbaftszeicben und Staatssymbolik (Ruler's Insignia and State Symbology,

formulation

greatness,

-

-

kingdoms. multifarious

transferring evidence

-

-

reconstructed

-

-

-

-

criticized JÁNOS See also France:

to

1000;

Germany:

to

1450;

M. BAK

Hillgruber

Biography

Further

Born Hamburg, 14 October 1894, of a prominent burgher family. Received doctorate, University of Heidelberg , 1922 Professor of medieval and modern history, University of Göttingen, 1929-63 Married Elisabeth von Thadden (3 sons). Died Göttingen, 12 November 1970.

Cantor, Norman F. , Inventing the Middle Ages: The Lives, Works, and ideas of the Great Medievalists of the Twentieth Century, New York : Morrow, 1991 ; Cambridge : Lutterworth Press , 1992 Ritter, Α., "Veröffentlichungen von Professor Dr. Percy Ernst Schramm" (Publications of Professor Percy Ernst Schramm) in Peter Classen and Peter Scheibert, eds., Festschrift Percy Ernst Schramm zu seinem siebzigsten Geburtstag von Schülern und Freunden zugeeignet (Festschrift for Percy Ernst Schramm on his Seventieth Birthday, Presented by Friends and Pupils), 2 vols., Wiesbaden: Steiner, 1964 [includes bibliography to 1963]

.

.

Principal Writings Die deutschen Kaiser und Könige in Bildern ihrer Zeit, 1: Bis zur Mitte des 12. Jahrhunderts (751-1152) ( The German Emperors and Kings in Images of Their Age, ι: To the Mid-izth Century,

Reading

751-1152 ), 2 vols., 1928 Kaiser, Rom und Renovatio: Studien und Texte

zur Geschichte des römischen Erneuerungsgedankens vom Ende des karolingischen Reiches bis zum Investiturstreit ( Emperor, Rome, and Renovatio: Studies and Texts to the History of the Roman Idea of Renewal from the End of the Carolingian Empire to the Investiture Conflict ), 2 vols., 1929 " Die Ordines der mittelalterlichen Kaiserkrönung: Ein Beitrag zur " Geschichte des Kaisertums ( The Ordines of the Medieval Imperial Coronation: A Contribution to the History of the Empire ), Archiv für Urkundenforschung 11 ( 1930 ), 285 390 Geschichte des englischen Königtums im Lichte der Krönung , 1937 ; in English as A History of the English Coronation , 1937 " Die Erforschung der mittelalterlichen Symbole Wege und " Methoden ( The Study of Medieval Symbols: Means and Ways ), to Berent Schwineköper, Der Handschuh im Recht, preface Ämterwesen, Brauch und Volksglauben (The Glove in Law, Office, Custom, and Popular Belief), 1938 Der König von Frankreich: Das Wesen der Monarchie vom 9. zum 16. Jahrhundert, ein Kapitel aus der Geschichte des abendländischen Staates ( The King of France: The Essence of Monarchy from the 9th to the 16th Centuries, a Chapter from the History of the West European State ), 2 vols., 1939 Hamburg, Deutschland und die Welt: Leistung und Grenzen hanseatischen Bürgertums in der Zeit zwischen Napoleon I. und Bismarck, Ein Kapitel deutscher Geschichte ( Hamburg, Germany, and the World: Achievements and Limits of Hanseatic Burghers Between Napoleon I and Bismarck. A Chapter of German -

-

History ), 1943 Herrschaftszeichen und Staatssymbolik: Beiträge zu ihrer Geschichte vom dritten bis zum sechzehnten Jahrhundert ( Rulers' Insignia and State Symbology: Contributions to their History from the 3rd to the 16th Centuries ), 3 vols., 1954-56 With Josef Deér and Olle Källeström Kaiser Friedrichs II: Herrschaftszeichen ( The Insignia of Emperor Frederick II), 1955 Sphaira, Globus, Reichsapfel: Wanderung und Wandlung eines Herrschaftszeichens von Caesar bis Elisabeth II ( Wanderings and Metamorphoses of an Insigne from Caesar to Elizabeth II ), 1958 ,

Editor with Helmuth Greiner, Kriegstagebuch des Oberkommandos der Wehrmacht (Wehmachtführungsstab), 1940-1945 ( War Diary of the High Command of the Wehrmacht 1940-1945 ), 4 vols, in 7 , 1960

With Florentine Miitherich , Denkmale der deutschen Könige und Kaiser (Monuments of German Kings and Emperors ), 2 vols.,

1962-78 Hitler als militärischer Führer: Erkenntnisse und Erfahrungen aus dem Kriegstagebuch des Okerkommandos der Wehrmacht , 1962 ; in English as Hitler: The Man and Military Leader , 1971 Neun Generationen: Dreihundert Jahre deutscher "Kulturgeschichte" im Lichte der Schicksale einer Hamburger Bürgerfamilie, 1648-1148 ( Nine Generations: Three Hundred Years of German 'Cultural History' in the Light of the Fate of a Hamburg Family of Burghers, 1648-1948 ), 2 vols., 1963-64 Kaiser, Könige und Päpste: Gesammelte Aufsätze zur Geschichte des Mittelalters ( Emperors, Kings, Popes. Collected Studies on The History of the Middle Ages ), 4 vols, in 5 , 1968-71

Science, History of The history of science originated with the writings of scientists, but it has increasingly become the domain of historians and philosophers. In the last two decades, new tools and techniques from sociology, anthropology, and feminist studies have the history of science. Historians have used these tools and techniques to reshape the way they and society understand the workings of science and scientific communities. Emphasis has shifted from great ideas and great men to science as a social and cultural phenomenon. As Arnold Thackray noted in 1981, science, as an object of historical study, had changed from a "coherent, autonomous body of knowledge" to a of activity." The shift in tools, emphases, and views shifts in the sciences that historians most often studied; the traditional subjects of mathematics, physics, chemistry, and astronomy were supplemented by the newer areas of biology, ecology, earth science, and computer science. Practicing scientists dominated the early history of science up to the early 20th century. These early histories tended to be commentaries or introductions to scientific texts. Their aim was to make contemporary science understandable through an analysis of past developments and was almost always directed toward science students. Contemporary scientific categories, concepts, and standards were almost always imposed on past

transformed

"spectrum

paralleled

science.

History of science, as something distinct from the scope and methods of science, became noticeable in the early 20th century. The work of George Sarton, often called the "father" of the history of science, was instrumental in the establishment of this discipline as a field. Sarton studied science as a body of knowledge. He and his contemporaries approached science as the triumphal advance of reason over superstition. Much of their early work is positivist a linear, chronological story or description of unchallenged "facts" and discoveries of the "truths" of science. Biographies from this period often used the "great man" approach, with an internal focus on the individual practitioner of science, separate from and unaffected by the social and cultural settings in which they worked. A "Whiggish" approach viewing history solely with respect to the present was inherent in the goal of most of this early work: the clarification of contemporary science by description of its evolution. Thomas Kuhn succinctly pointed out in 1968 both the Whiggishness and the positivism of the early history of science when he described it as a "chronology of accumulating positive achievement in a specialty defined by hindsight."

systematized -

-

-

-

-

technical

The nature of the discipline changed with an influx of scholars trained in history (or the humanities and social sciences) rather than in the natural or physical sciences. These historians brought new questions, methods, and models; some were from history, but many were from other fields. Rather than focusing solely on the internal workings of science as a "search for truth," historians began to study science by it within social and cultural contexts. This new approach prompted a debate between the users of the "internalist" approach and those of the "externalist" approach. The approach, in contrast to the internalist, focused on the role of non-intellectual factors, such as institutional and ones, in the development of science. Three important forms of external history are the study of scientific institutions, the impact of science on Western thought, and the interplay between specific cultural and national contexts and scientific development. Models from other fields, such as philosophy and sociology, were often influential in the development of an

situating

externalist

socioeconomic

externalist approach.

of science, provided many influential models for historians of science. The work of philosophers, such as A.O. Lovejoy, aided historians of science to view scientists with something other than pure reverence. Pierre Duhem's work on medieval physical thought challenged the "unchallengeable" views of the "novelty" of the scientific revolution of the 17th century. In the 1950s and 1960s, the work of philosopher Alexandre Koyré, primarily focused on ideas and the use of textual analysis, led to what Thackray in 1981 called the "Koyré paradigm" a view of science as a "search for truth" with an "inherent and autonomous The influence of Lovejoy, Duhem, and Koyré infused the history of science with a new idealism that could redeem "pure" science from its association with the unpleasantness of nuclear destruction, state secrecy, and funding battles that came after World War II. This new idealist strategy often reinforced some of the main tenets of the Sarton approach: the importance of key ideas and figures, and the relative lack of of cultural and social contexts. The emphasis of the work in this area was on the roots and origins of scientific with medieval science and the scientific revolution drawing most of the scholarly attention of this group (which included Koyré, Cohen, Hall, Kuhn, and Butterfield). While much of their work focused on the "great men" of science, these men were described as more complex than earlier "triumphal" biographies had described them. The philosophy of Koyré, combined with that of Thomas Kuhn, and the sociology of Robert K. Merton, transformed the field of history of science in the post-World War II period. Just prior to the war, Merton began to ask questions about the of social forms and needs on the organization of science. The so-called "Merton thesis" dealt with essential questions in the history of science: the nature and origin of modern, Western science, and the special productivity of 17th-century science. Merton's work emphasized the relationship between science and practical arts (that is, technology) which brought forward new, practical problems and questions for scientists in the 17th Merton's thesis also argued that Puritanism was a primary stimulant for the new empirical, instrumental, and utilitarian tone of 17th-century science. The sociological approach that Merton used contributed to the spread of the externalist

Philosophy, particularly philosophy

-

development."

importance

knowledge,

influence

century.

The work of Kuhn, particularly his highly influential The Structure of Scientific Revolutions (1962), continued the focus on the nature of modern scientific development by the new fields that emerged after the 17th century. According to Kuhn (1968), in the early stages of the of a scientific discipline, "social needs and values are a major determinant of the problems on which its practitioners concentrate." The Kuhnian approach, in part, aligned nicely with the externalists. However, Kuhn also argued that, once a science had matured (or established a reigning "paradigm"), internal challenges alone shaped the evolution. This concept aided the continued use of the internalist approach up to the 1980s when the new influences and models of social history, literary analysis, anthropology, and postmodernism the influence of Kuhn's work. Social history passed from the other fields of history into the history of science, particularly in studies of scientific communities and institutions. These institutions included

approach.

investigating

development

overshadowed professional societies, universities, laboratories, journals,

funding agencies. disciplines, Engels and

Karl Marx and Friedrich roots of science in the 19th century, and Max Weber continued the discussion after the turn of the century. The work of Merton, discussed above, used statistical and prosopographical methods which influenced later social historians of science such as Jacob and Shapin, who sought explanations of science outside the internal Historians such as Mendelsohn, Weingart, and Whitley also turned to the field of the sociology of knowledge as they treated science the same as any other form of knowledge, rather than as a privileged, unique form of communication. Derek Price pioneered work on the relationship between science and society in the form of science policy and its effects on the development of science. The publication of Shapin and Schaffer's influential study, Leviathan and the Air-Pump (1985), has caused a dramatic reorientation of the field within the last decade. Shapin and Schaffer presented modern experimental science as contingent, with competing, alternative groups mobilizing material, social, and rhetorical techniques to put forward different messages about science. Recent work, such as that of Biagioli, Kay, Forman, and Latour and Woolgar, often has focused on power relationships, research programs, and the "truth content" of science; scientific ideas have been analyzed as "tools" used in the "politics of knowledge." As Jan Golinski noted, the new group of historians often considered scientific discourse as a kind of rhetoric and analyzed various genres of scientific writing, with the aim of showing in detail how they are constructed to serve specific, often non-scientific, aims. This work often centered on "techniques, instruments, and and their functions in the community of practitioners." These historians opened up new arenas for study, such as the public status of science. In the last few decades, the work of scholars such as Michel Foucault, Michel Serres, and Clifford Geertz helped increase the interdisciplinarity of work in the field and, in some cases, have even changed the definition of the object of study. Epistemological, anthropological, and interpretive approaches often view history (or historical objects) as the result of construction by a community of scientists, politicians, and others during the period under study and by the historian. The

posed the question of the social

developments.

discourse,

purely literary training of

many current historians of science has also affected the approach and the objects of study. With the works of scholars such as Haraway, Lynch, and Woolgar, history of science has often blurred into the newly emerging field of "science studies" which uses anthropological, and literary techniques for analysis of the practice and "construction" of science, both present and past, and for cultural critique. The subjects of the study of history of science shifted in the 1980s and 1990s. Nineteenth- and 20th-century science, as well as non-Western science, drew more attention than the traditional areas of ancient science and the 17th and 18th centuries. Subjects explored by Galison, Kay, Kevles, and Leslie expanded to include physics, molecular biology, genetics, and the "big science" of postwar America. Historians had virtually ignored non-Western science, except for ancient Greek and Babylonian science, until the monumental work of Joseph Needham, beginning in the 1950s, on Chinese science. Alexander Vucinich pioneered the study of Russian science in the 1960s, and Loren Graham supplemented his work in the following decades with studies of Soviet science. Research on science in the Third World, for example Brown's or Stepan's work on South America and Africa, began to appear in the 1970s, although it often still focused on First World rather than native science until the 1980s and 1990s and the of the work of Thomas-Emeagwali. Scholars such as Keller and Rossiter also paid more attention to other neglected

sociological,

somewhat

emergence areas, such

as women

in science.

Throughout the development of the history of science, the development of science itself affected the scope of the field and the approaches used. The rise of the importance of science after both world wars boosted the field. The disillusionment of society with science in the 1970s and 1980s contributed to the decline of the internalist and positivist approaches and the rise of more critical techniques of sociology and discourse analysis. A dramatic increase in the diversity of approaches in the history of science in the 1990s reflects the increased of scientific disciplines and sub-disciplines. There is little consensus today in a field that is described variously as "eclectic," "diverse," and having "many faces." Postwar interest in science spurred the growth of the history of science as an academic discipline. Over the course of the next four decades, historians of science eroded the idea of science as something separate from the common, ordinary concerns of mankind. The methods, questions, and goals of historians of science moved closer to those of historians studying other aspects of society and culture such as religion, art, politics, and literature. The diversity of the field, however, is still tied to the growing diversity of the subjects of study.

diversity

LINDA EIKMEIER ENDERSBY

al-Bīrūnī; Butterfield; Duhem; Foucault; Geertz; Kuhn; Lovejoy; Α.; Medicine; Merton; Needham; Sarton; Weber, M.

See also

Further

Reading

Mario , Galileo, Courtier: The Practice of Science in the Culture of Absolutism , Chicago : University of Chicago Press ,

Biagioli

,

1993

Boas , Marie , The Scientific Renaissance, 1450-1630 , New York : Harper, and London: Collins , 1962

Brown , Alexander Claude , ed., A History of Scientific Endeavour in South Africa , Cape Town : Royal Society of South Africa , 1977 Buchwald , Jed , ed., Scientific Practice: Theories and Stories of Doing Physics , Chicago : University of Chicago Press , 1995 Butterfield , Herbert , The Origins of Modern Science, 1300-1800 , London : Bell , 1949 ; New York : Macmillan , 1951 Clagett , Marshall , ed., Critical Problems in the History of Science, Madison : University of Wisconsin Press , 1959 Cohen , I. Bernard , Franklin and Newton: An Enquiry into Speculative Newtonian Experimental Science and Franklin's Work in Electricity as an Example Therof , Philadelphia : American

Philosophical Society 1956 ,

" Cohen , I. Bernard, The Many Faces of the History of Science," in Charles F. Delzell , ed., The Future of History , Nashville : Vanderbilt University Press , 1977 " Debus , Allen G. , Science and Flistory: The Birth of a New Field ," in Stephen A. McKnight , ed., Science, Pseudo-Science, and Utopianism in Early Modern Thought, Columbia : University of Missouri Press , 1992 Dhombres , Jean , On the Track of Ideas and Explanations Down the Centuries: The History of Science Today," Impact of Science "

on

Society

40

( 1990 ), 187

-

206

Duhem , Pierre , Etudes sur Léonard de Vinci ( Studies on Leonardo da Vinci ), 3 vols., Paris : Hermann , 1906-13 Duhem , Pierre , Le Système du monde: histoire des doctrines cosmologiques de Platon à Copernic, 10 vols., Paris : Hermann , 1913-59 ; abridged in English as Medieval Cosmology: Theories of Infinity, Place, Time, Void, and the Plurality of Worlds , Chicago : University of Chicago Press , 1985 " Forman , Paul , Weimar Culture: Causality and Quantum Theory, 1918-1927: Adaptation by German Physicists and Mathematicians to a Hostile Intellectual Environment ," Historical Studies in the Physical Sciences 3 ( 1971 ), 1 116 Foucault , Michel , Les Mots et les choses: une archéologie des sciences humaines , Paris : Gallimard , 1966 ; in English as The Order of Things: Art Archaeology of the Human Sciences , London : Tavistock , 1970 ; New York : Pantheon , 1971 Galison , Peter, How Experiments End , Chicago : University of -

Chicago

Press ,

1987

Geertz , Clifford , The Interpretation of Cultures: Selected Essays , New York : Basic Books , 1973 ; London : Hutchinson , 1975 " Geertz , Clifford , The Legacy of Thomas Kuhn: The Right Text the Right Time ," Common Knowledge 6 ( 1997 ), 1 5 Golinski , Jan , Science as Public Culture: Chemistry and Enlightenment in Britain, 1760-1820 , Cambridge : Cambridge

at

-

University

Press , 1992

Graham , Loren R. , Science and Philosophy in the Soviet Union , New York : Knopf , 1972 ; London : Allen Lane , 1973 Hall , A. Rupert, The Scientific Revolution, 1500-1800: The Transformation of Modern Scientific Attitude , London and New York : Longman , 1954 Haraway, Donna J. , Primate Visions: Gender, Race, and Nature in the World of Modern Science, New York : Routledge , 1989 Jacob , Margaret , The Newtonians and the English Revolution, 1689-1720 , Ithaca, NY: Cornell University Press , and Hassocks, Sussex: Harvester Press, 1976 Kay, Lily E. , The Molecular Vision of Life: Caltech, the Rockefeller Foundation, and the Rise of the New Biology , New York : Oxford University Press , 1993 Keller, Evelyn Fox , Reflections on Gender and Science, New Haven : Yale University Press , 1985 Kevles , Daniel L In the Name of Eugenics: Genetics and the Uses of Human Heredity, New York : Knopf , 1985 Koyré, Alexandre , Metaphysics and Measurement: Essays in Scientific Revolution , Cambridge, MA: Harvard University Press , and London: Chapman and Hall, 1968 Kuhn , Thomas S. , The Copernican Revolution: Planetary Astronomy in the Development of Western Thought , Cambridge, MA : Harvard University Press , 1957

Kuhn , Thomas S. , The Structure of Scientific Revolutions , Chicago : University of Chicago Press , 1962 ; revised 1970 " Kuhn , Thomas S. , The History of Science," in David L. Sills , ed., International Encyclopedia of the Social Sciences, 17 vols, [and supplements], New York : Macmillan , 1968 , vol. 14 , 74 83 Latour, Bruno , and Steve Woolgar, Laboratory Life: The Construction of Scientific Facts , Beverly Hills, CA : Sage , 1979 Leslie , Stuart W. , The Cold War and American Science: The Military-Industrial-Academic Complex at MIT and Stanford, New York : Columbia University Press , 1993 Lovejoy, Arthur O. , The Great Chain of Being: A Study of the History of an Idea , Cambridge, MA : Harvard University Press , -

1936 Lynch Michael and Steve Woolgar eds., Representation in Scientific Practice Cambridge, MA : MIT Press 1988 Mendelsohn Everett Peter Weingart and Richard D. Whitley eds., The Social Production of Scientific Knowledge Boston : Reidel ,

,

,

,

,

,

,

,

,

1977 Merton , Robert K. ,

Science, Technology and Society in SeventeenthCentury England Bruges : Saint Catherine Press 1938 ; reprinted New York : Fertig 1970 Needham Joseph Science and Civilization in China 6 vols., Cambridge : Cambridge University Press 1954-94 Price Derek J. de Solla Little Science, Big Science New York : Columbia University Press 1963 ; enlarged edition as Little and Beyond 1986 Science, Big Science Rossiter Margaret W. Women Scientists in America 2 vols., Baltimore : Johns Hopkins University Press 1982-95 Sarton George Introduction to the History of Science 3 vols., Baltimore : Williams and Wilkins 1927-48 Schiebinger Londa The Mind Has No Sex? Women in the Origins of Modern Science Cambridge, MA : Harvard University Press 1989 Serres Michel general editor, Elements d'histoire des science Paris : Bordas 1989 ; in English as A History of Scientific Thought Oxford and Cambridge, MA : Blackwell 1995 Serres Michel with Bruno Latour Eclaircissements: cinq entretiens ,

,

,

,

,

,

,

,

,

,

,

.

,

.

.

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

Bruno Latour , Paris : Bourin , 1992 ; in English as Conversations on Science, Culture, and Time , Ann Arbor : University of Michigan Press , 1995 " Shapin , Steven , Phrenological Knowledge and the Social Structure of Early Nineteenth-Century Edinburgh ," Annals of Science 32 avec

( 1975 ), 219 Shapin Steven

-

43 "

History of Science and Its Sociological Reconstructions ," History of Science 20 ( 1982 ), 157 211 Shapin , Steven , and Simon Schaffer, Leviathan and the Air-Pump: Hohbes, Boyle, and the Experimental Life , Princeton : Princeton University Press , 1985 Stepan , Nancy, Beginnings of Brazilian Science: Oswaldo Cruz, Medical Research and Policy, 1890-1920 , New York : Science History Publications , 1976 " Thackray, Arnold , History of Science," in Paul T. Durbin , ed., A Guide to the Culture of Science, Technology, and Medicine , New York : Free Press , 1980 Thackray, Arnold , History of Science in the 1980s ," Journal of ,

,

-

"

Interdisciplinary History 12 ( 1981 ), 299 314 Thackray Arnold The Pre-History of an Academic Discipline," in Everett Mendelsohn ed., Transformation and Tradition in the Sciences Cambridge : Cambridge University Press 1984 Thomas-Emeagwali Gloria ed., Science and Technology in African History with Case Studies from Nigeria, Sierra Leone, Zimbabwe, and Zambia Lewiston, ME : Mellen Press 1992 Vucinich Alexander Science in Russian Culture 2 vols., Stanford, CA : Stanford University Press 1963-70 -

"

,

,

,

,

,

,

,

,

,

,

,

,

,

Weber , Max ,

"

Die

protestantische

Ethik und der Geist des

Kapitalismus," Archiv für Sozialwissenschaft und Sozialpolitik 20 21 ( 1904-05 ), revised in Gesammelte Aufsätze zur Religionssoziologie Tübingen : Mohr 1920 ; in English as The Protestant Ethic and the Spirit of Capitalism London : Allen and Unwin 1930 New York: Scribner, 1958 -

,

,

,

,

-

Scobie, James

R.

1929–1981

US historian of Latin America

,

,

,

Westfall , Richard S. , Science and Religion in Seventeentb-Century : Yale University Press , 1958 England, New Haven " Whitley, Richard D. , From the Sociology of Scientific Communities to the Study of Scientists' Negotiations and Beyond," Social Science Information 22 ( 1983 ), 681 720

,

of the early pioneers of Latin history. He examined the transformation of Argentina from a backwater region in the Spanish empire to a world supplier of agrarian products, and how this metamorphosis changed Argentina. Implicit in his analysis was an enduring model for how other Third World countries were plugged into the world economy, and remade in the process. When Scobie wrote his undergraduate thesis (1950) at Princeton on Juan Bautista Alberdi as creator of the Argentine Constitution of 1853, and his dissertation (1954) at Harvard on the definitive formation of the Argentine nation in the period 1860-65, he was already working in a relatively unstudied period. Most Latin Americanists had concentrated on the conquest, colonial, and independence periods, and in Argentina's case, on the rule of the caudillo Juan Manuel de Rosas (1829-32, 1835-52). But Scobie wanted to study modern Latin American history and sought its roots in the second half of the 19th century. Lacking basic documentary sources taken for granted elsewhere, Scobie edited and published letters of the Argentine president Bartolomé Mitre that were essential for such a study. The result appeared in 1964 as the political history La lucha por la consolidación de la nacionalidad Argentina, 1852-1862 (The Struggle for the Consolidation of Argentine Nationality, 1852-62) which covered the decade when Argentina finally coalesced as a nation. But two more of Scobie's books very different from the first appeared in the same year. They inaugurated the Latin American series at two distinguished academic presses and established Scobie's reputation. Scobie's archival research in Argentina during 1949, 1952-54, 1959-60, and 1961 suggested that a history of the Argentine wheat zone would permit a social history of the rich Argentine pampas, for him the key to understanding

James

R.

Scobie

was

one

American urban and socioeconomic

-

-

development. It would also help explain city and province of Buenos Aires, the and of the rural population, and the massive ignorance poverty foreign immigration. At the time such a social history was a voyage into uncharted waters, but his discoveries eventually oriented a generation of Latin American scholars. Scobie's Revolution on the Pampas: A Social History of Argentine Wheat, 1860-1910 (1964) initiated the University of Texas' monographs on Latin America, and his Argentina: A City and a Nation (1964) launched the Latin American Histories for Oxford University Press. As a general survey of Argentina the latter work reached a wide audience and was adopted as required reading in many surveys of modern Latin America. Its lucid prose, strong narrative style, rigorous analysis, and Argentina's

economic

the dominant role of the

social, economic, and cultural focus proved to be winning combination. Argentine history seemed to unfold in lock-step fashion as hides, salted meat, wool, mutton, beef, wheat, and corn each in turn brought an ever more intensive exploitation of the Argentine pampas and changes that resulted in the transformation of Argentina. Railroads and other non-Marxist a

infrastructure built and converged the great port of

Buenos

on

were

Aires to funnel

agrarian commodities from the pampas to the world. While they ably served the export sector, their pattern world economy rather than a nation balanced development. Clearly the export sector seemed to be the decisive factor in the formation of a modern but skewed Argentina. The logic and clarity with which Scobie described the economic patterns and resulting social changes seemed to banish political history to a secondary role as historical explanation. Scobie's influence was magnified when he was named general editor of the Oxford series and asked to oversee the publication of histories with a similar social and economic focus on other Latin American countries. Volumes followed on Brazil, Mexico, Peru, Bolivia, the Caribbean, Central America, Chile, Cuba, and Venezuela. While none of these countries experienced the meteoric rise and rapid change to the same extent as Argentina, they had similar agrarian or mineral export commodities coffee, sugar, that benefited from a similar bananas, copper, tin, oil approach. Without a doubt many of the new approaches to Latin America's history resulted from this attention to factors and mega-forces such as geography, demography, and the transforming effects of exports that characterized Scobie's Oxford series. Having examined the pampas and surveyed the country, Scobie was struck by how development had changed the very nature of urban life itself. He wanted to study in more detail the great city that dominated the nation and did so in Buenos Aires: Plaza to Suburb, 1870-1910 (1974) where he dissected the astonishing urban growth and the creation of the where one third of the nation lived. In the process Scobie gave form and substance not only to Latin American but to urban history in general. He showed that the capital Buenos Aires took from the rest of the country, but did not give back in equal measure. He developed the concept of public versus private space. He peered inside the conventillos (slum housing estates) and described the essential role they played in the new immigrants. He showed that occupation was probably the best determinant of class and social structure. With findings obviously relevant to urban development in the world, Scobie planned to extend them and do a cross-national study comparing Buenos Aires with an similar city in the United States and Australia. But first he felt that Buenos Aires was not the whole story of Argentina's urbanization, the completion of which would require a study of other Argentine cities. He chose Corrientes, Salta, and Mendoza and was well along with his Secondary Cities of Argentina (1988) when his untimely death required that it be completed and edited by his friend and colleague, the noted Latin Americanist Samuel L. Baily. As railroads or shipping connected the three cities to Buenos Aires, each found the metropolis weakening their ties to their hinterlands and a variety of relationships more directly to the capital. Mendoza with its vineyards supplying wine to a national Only

obeyed

the needs of

requiring unity and

a

more

-

-

structural

metropolis

acculturating

market

colonial Salta with its than Corrientes. Scobie in the foreword to the second edition of his general survey Argentina: A City and a Nation (1971) recognized the need to return to political history in order to explain recent Argentine history, and he expressed a desire to provide a of post-1930 events. Argentina's precocious development had stalled, and everyone speculated on what had gone wrong. Argentina had become one of the most interesting case studies about development in general. Much of Scobie's work directly and indirectly concerned itself with patterns of development of the 19th and 20th centuries, with obvious implications for much of the rest of the world.

escaped emasculation, although

tourism resisted

more

synthesis

MAURICE P. BRUNGARDT See also Argentina; Latin America: National

Biography James Ralston Scobie Born Valparaiso, Chile, 16 June 1929, to an American family. Studied at Princeton University ΒΑ 1950 ; MA, Harvard University, 1951 PhD 1954. Taught at University of California Berkeley 1957-64 ; Indiana University 1964-77 ; and University of California San Diego 1977-81 Married 1) Patricia Pearson Beauchamp, 1957 (died 1965; 1 son, 1 daughter); 2) Ingrid Ellen Winther, historian, 1967 (1 son, 1 daughter). Died Del Mar, California, 4 June 1981. .

,

,

,

,

,

,

.

,

Principal Writings Editor with Palmira S. Bollo Cabrios , Correspondencia MitreElizalde , Buenos Aires : Universidad de Buenos Aires , i960 Argentina: A City and a Nation , 1964 ; revised 1971 La lucha por la consolidación de la nacionalidad Argentina, 1852-1862 ( The Struggle for the Consolidation of Argentine

Nationality, 1852-1862), 1964 on the Pampas: A Social History of Argentine Wheat, 1860-1910 1964 Editor with Dale L. Morgan Three Years in California: William Perkins' Journal of Life at Sonora, 1849-1852 Berkeley : University of California Press 1964 Buenos Aires as a Commercial-Bureaucratic City, 1880-1910: Characterization of a City's Orientation ," American Historical Review 77 ( 1972 ), 1035 73 Buenos Aires: Plaza to Suburb, 1870-1910 1974 The Growth of Latin American Cities, 1870-1930," in Leslie Bethell ed., The Cambridge History of Latin America vol. 4 Cambridge : Cambridge University Press 1986 Secondary Cities of Argentina: The Social History of Corrientes, Salta, and Mendoza, 1850-1910 edited by Samuel L. Baily 1988 Revolution

,

,

,

,

"

-

,

"

,

,

,

,

,

,

elsewhere

economically

restructuring

Scotland The turbulent character of Scotland's past has stimulated a historiography of considerable richness and complexity. Writings on Scottish history from the very beginning reflected the perennially difficult question of national identity. This was provoked both by the fact of a striking ethnic within the kingdom and by the problem of restless neighbors without. One of the first extant genealogies, the Sencbus Fer nAlban (History of the Men of Scotland), written in the 7th century, offers us a flickering image of a Gaelic

heterogeneity

warrior

analysis of constitutional history, were among the readable products of Scottish Enlightenment thought. Yet no account of historical writing in Scotland should ignore the quite extraordinary influence exercised by the fictive talents of Sir Walter Scott (1771-1832). From Waverley (1814) to The Fair Maid of Perth (1828), Scott wove a tapestry on the themes of Scottish history whose sharply contrasting colors entirely bewitched his European contemporaries and continue today to lend exaggerated light and shade to the image in the wider

influence

world of Scotland's archetypally romantic past. Since the middle of the 19th century, however, the study of Scottish history has also benefited both from a measure of welcome institutionalization and a great upsurge of academic and popular concern. Scottish history has, for example, been accepted as a distinctive discipline at university level, both in Scotland and in North America. Numerous academic journals have flourished, most notably the Scottish Historical Review. And a succession of much-esteemed organizations, such as the Maitland Club, the Bannatyne Club, the Abbotsford Club, and the Scottish Texts and Scottish History societies, have over the last century-and-a-half gradually made available the modern critical editions and textual sources civic records, personal diaries, monastic charters, and so forth on which the steady progress of historical understanding relies. At the same time the range of scholarly approaches brought to bear on Scottish subjects has been greatly extended. Scottish history was formerly marked by a for the documentary study of political and religious history in the relatively remote past. But in the last fifty years research has produced exciting developments in our understanding of how intellectual life, radical political activity, industrialization, the urban experience, literary expression, gender difference, the presence of a living Gaelic community, and the broader of British and European history have each helped to define and enrich the Scottish past. Prominent works such as George Davie's The Democratic Intellect {1961) on the 19thcentury anglicization of Scottish education, the writings of Sandy Grant and Jenny Wormald on the sophisticated culture of 15th- and 16th-century Scotland, the provocative essays of Hugh Trevor-Roper, especially on the 18th-century Scottish Enlightenment, and the historical studies undertaken by political nationalists such as Tom Nairn and Christopher Harvie, have each helped open up new and fiercely contested fields of inquiry to which scholars, including English and American historians, have not been slow to flock. Nor has scholarly history failed to provide general overviews

society struggling for survival on the northern fringes of Dark Age Europe. Other early texts, composed following the 9th-century political unification of the kingdom by Kenneth mac-Alpin and incorporating imaginary genealogies intended to establish the credentials of his successors, likewise illustrate the creative use of history to fashion in Scotland a workable identity for an otherwise diverse community. Later ages were little different in their inventive approach to Scottish history. In particular, the disputes underlying the 14th-century wars of independence exercised a decisive over the subsequent treatment of Scotland's past. For commentators such as John of Fordun, Walter Bower, Andrew Wyntoun, and "Blind Hary," the English use of origin-myths and Arthurian legend to assert their sovereignty over Scotland, and the countervailing claims of the Scots to age-old most majestically rendered in the Declaration of Arbroath (1320) were central to an interpretation of the past. These factors established a specific historical frame of emphasizing a proud record of vigorous self-government and even more vigorous self-defence, within which later commentators would think and write about the Scottish kingdom's precarious place in the world. Such loaded interpretations of Scottish history duly the impact of the two greatest forces acting on early scholarship, the Renaissance and the Reformation. Scottish history was at this time given vibrant expression in Hector Boece's Historiam Scottorum (1527), a vehement criticism of political morality seriously weakened by its author's inattention to factual accuracy, and more studied treatment in John Mair's Historia Majoris Britanniae (1521), an attack on parochialism and aristocratic partiality. The same influences also produced the most controversial contribution ever made to the history of Scotland, George Buchanan's Rerum Historia Scoticarum (158z). Here, while replicating the medieval emphasis on national unity and independence, the greatest of Scottish humanists also skillfully recast the traditional material so as to deliver a stinging rebuke to recent royal absolutism. No less tendentious were the versions of the past offered by competing Catholic and Protestant historians. John Leslie's De origine, moribus et rebus gestis Scotorum (1578; in English in The History of Scotland, 1596) portrayed the Catholic monarchy as pious and patriotic. From the opposing wing, the architect of the Scottish Reformation, John Knox, gave the world a violently polemical, self-justificatory History of the Reformation (1644), in which the innumerable historical precedents and evidence of divine approval for the Scottish people's

independence -

-

reference,

registered modern

unmistakable

resistance papal triumphantly to supremacy were A train of committed churchmen

adduced.

-

David Calderwood, and Robert Wodrow among them followed eagerly in their footsteps, establishing a tradition of unscrupulous and partisan religious historiography from which Scottish scholarship began properly to emerge only in the later 18th century. That period, however, saw the first great of international interest in the Scottish past. Much of this was made possible by works of major intellectual as scholars sought, in Bagehot's telling phrase, nothing less than to discover how man, "from being a savage, became a Scotchman." William Robertson's magisterial History of Scotland (1759), with its pervasive air of reasonableness, and Hume's History of Great Britain (1754-56), a penetrating -

flowering significance, .

-

-

fruitfully predilection

movements

political

of Scottish

John Spottiswoode,

.

outstandingly

.

history

to

satisfy

the needs of

a

voracious

lay

readership. scholarship One of the finest

examples of genuinely accessible is Michael Lynch's Scotland: A New History (1991), a formidable performance both in entertainment and erudition that succeeds by conveying rather than evading the unresolved complexity and contentiousness of its fascinating material. The fundamentally multidimensional character of Scottish history is, then, as clear now as at any time in its tortuous development. Whether as scholarly preoccupation or as popular culture, the discussion and dissection of Scotland's hotly disputed past remains resoundingly alive and well. DAVID ALLAN See also Britain; Hume;

Trevor-Roper

Further

"

Roger Α. , Kingship, Nobility and Anglo-Scottish Union: John Mair's History of Greater Britain (1521) ," bines Review 41

Mason ,

Reading

Allan , David , Virtue, Learning and the Scottish Enlightenment: Ideas of Scholarship in Early Modern History , Edinburgh : Edinburgh University Press , 1993 Anderson , James , Sir "Waiter Scott and History , Edinburgh: Edina Press , 1981 Ash , Marinell , The Strange Death of Scottish History , Edinburgh: Ramsay Head Press , 1980 Bell , A. S. , ed., The Scottish Antiquarian Tradition: Essays to Mark the Bicentenary of the Society of Antiquaries of Scotland and Its Museum, 1780-1980 , Edinburgh : John Donald , 1981 Boece, Hector, Historiam Scottorum , 1517 ; reprinted in English as Chronicle of Scotland , Amsterdam : Theatrum Orbis Terrarum, and Norwood , NJ: Walter J. Johnson, 1977 Brown , Keith M. , Kingdom or Province? Scotland and the Regal Union, 1603-1715 , London : Macmillan , and New York: St. Martin's Press, 1992 Buchanan , George , Rerum Historia Scoticarum , Edinburgh: Arbuthnet : 1582 ; in English as The History of Scotland , London :

( 1991 ),

182

-

222

Mitchison , Rosalind , ed., Why Scottish History Matters , Edinburgh : Saltire Society, 1991 Nairn , Tom , The Break-up of Britain: Crisis and Neo-Nationalism , London : NLB , 1977 ; revised 1981 Pittock , Murray G.H. , The invention of Scotland: The Stuart Myth and Scottish Identity, 1638 to the Present , London and New York : Routledge , 1991 Robertson , William , History of Scotland , 2 vols., London : Millar, 1759 Scott , Paul H. , ed., Scotland: A Concise Cultural History , Edinburgh : Mainstream , 1993 Scottish Historical Review , 1904-27 , 1947 Smout , T. C. , A History of the Scottish People, 1560-1830 , London : Collins , 1969 ; New York : Scribner, 1970 Smout , T. C. , A Century of the Scottish People, 1830-1950 , London : Collins , and New Haven: Yale University Press, 1986 " Trevor-Roper, Hugh, The Scottish Enlightenment," Studies on Voltaire and the Eighteenth Century 58 ( 1967 ), 1635 58 " Trevor-Roper, Hugh , Scotland and the Puritan Revolution ," in his Religion, the Reformation and Social Change , London : Macmillan 1967 , 3rd edition, London: Seeker and Warburg, 1984 ; as The Crisis of the Seventeenth Century, New York : Harper, 1968 Wormald , Jenny, Court, Kirk and Community: Scotland, 1470-1625 , London : Arnold, and Toronto: University of Toronto -

Jones 1690 Calder Angus Revolving Culture: ,

Notes from the Scottish Republic , , , London and New York : Tauris , 1994 " Cowan , Edward J. , Myth and Identity in Early Medieval Scotland ," Scottish Historical Review 63 ( 1984 ), 111 35 Daiches , David , ed., A Companion to Scottish Culture , London : Arnold , 1981 ; New York : Holmes and Meier, 1982 ; revised as The New Companion to Scottish Culture , Edinburgh: Polygon , -

Press ,

1981

1993 Davie , George , The Democratic Intellect: Scotland and Her Universities in the Nineteenth

University

Century Edinburgh : Edinburgh ,

Press , 1961

Devine , Thomas Martin , Exploring the Scottish Past: Themes in the History of Scottish Society , East Linton : Tuckwell Press , 1995 Dickinson , William C. , Scotland from the Earliest Times to 1603 , 3rd edition, edited by Archibald A. Duncan , Oxford : Clarendon Press , 1977

Donaldson , Gordon , general editor, The Edinburgh History of Scotland , 4 vols., Edinburgh : Oliver and Boyd , 1965-75 , New York: Praeger/Barnes and Noble, 1966-75 ; reprinted Edinburgh : Mercat Press , 1992

Donnachie , Ian , and Christopher Whatley, eds,, The Manufacture of Scottish History , Edinburgh : Polygon , 1992 " Fearnley-Sander, Mary , Philosophical History and the Scottish Reformation: William Robertson and the Knoxian Tradition ," Historical Journal 33 ( 1990 ), 323 38 Goldstein , R. James , The Matter of Scotland: Historical Narrative in Medieval Scotland , Lincoln : University of Nebraska Press , 1993 Grant , Alexander, Independence and Nationhood: Scotland, 1306-1469 , London : Arnold , 1984 Harvie , Christopher J. , Scotland and Nationalism: Scottish Politics and Society , London : Allen and Unwin , 1977 ; revised London and New York : Routledge , 1994 Hume , David , History of Great Britain , 2 vols., 1754-56 [complete work published as History of England, 6 vols., 1754-62] Knox , John , History of the Reformation, 1644 Lenman , Bruce , Integration, Enlightenment and Industrialization: Scotland, 1746-1832 , London : Arnold , and Toronto: University of Toronto Press, 1981 Leslie , John , De origine, morihus et rebus gestis Scotorum , 1578 ; in English in The History of Scotland, 1596 Lynch , Michael , Scotland: A New History , London : Pimlico , 1991 The McCrone , David , Angela Morris , and Richard Kiely, Scotland Brand: The Making of Scottish Heritage, Edinburgh: Edinburgh University Press , 1995 Mackie , John D. , A History of Scotland , 2nd edition, edited by Bruce Lenman and Geoffrey Parker, Harmondsworth and New York : Penguin , 1978 Mair, John [John Major], Historia Majoris Britanniae , Paris : Badius , -

-

1521

Scott, Anne Firor

1921-

US women's historian In the

early 1970s two events focused the attention of scholars the history of women: Anne Firor Scott's The Southern Lady was published by University of Chicago Press (1970), and Scott taught her first formal college course on the social history of American women (1971). In writing a book about southern women, Scott faced considerable opposition from colleagues urging her to undertake a more conventional topic and criticism from those who accused her of practicing "female chauvinism." The product of nine years of research, Scott's The Southern Lady was met with critical acclaim as a thoughtful and examination of the struggle of women to free themselves from the cultural expectations of ladyhood and find a way to individual and political self-determination. Born nine months after the suffrage amendment was added to the US Constitution, Scott began her academic career political science. Together with her graduate school adviser, Oscar Handlin, Scott decided to write her dissertation not on American political thought, as she had originally planned, but on the southern progressive movement. Immersed in materials while researching at the Library of Congress, Scott "kept over women" speaking out on social and political issues women that none of the historians who had studied the progressives (including Arthur S. Link and C. Vann Woodward) had bothered to mention. "Women were there," Scott argued, "and they made a difference." The major themes of Scott's work are evident in Making the Invisible Woman Visible (1984), a collection of 21 essays on women's social, political, and cultural role in American history. In embarking on a study of women and their burgeoning political activism in the 19th-century South, Scott on

innovative

studying

stumbling southern

-

broke new ground for historians who followed. While researching The Southern Lady, Scott unearthed evidence of a topic that would become a central theme for her later work: women's voluntary organizations. In Natural Allies (1991), Scott argued that all-female voluntary associations, such as the Young Women's Christian Association and the National Council of Jewish Women, were important instruments of social change. While these organizations worked to identify and alleviate social problems, they also provided women with the opportunity to participate in public life. Barred from involvement in the state, the church, and higher education, a variety of women (black and white, working-class and wealthy) turned to voluntary organizations to work for the public good. By studying how women used voluntary organizations to make a place for themselves in public life and to bring about change in communities, Scott illuminated both the lives of women and the role of these associations in shaping American society. Scott has advanced women's history by studying how women brought about change and how they were themselves changed by social and political developments in American society. She has been openly critical of the lack of interest shown by past historians in the female experience. "One day," she wrote in the introduction to The American Woman (1971), "perhaps an inquiring psychologist will explain the extreme reluctance of American historians to recognize that women have been here too, and when that time comes the answer will be, in part, that the historians were men." While criticizing the gap in scholarly endeavors that engulfed the lives of women, Scott worked to fill it, writing on education, religion, and social activism, and bringing a new perspective to sources and to the discipline as a whole. A woman's place, Scott argues, is in the history books: not in a few sentences inserted for the sake of what "very distinguished male historians" have called the fad of women's history, but in well-researched studies of how women were active players in the events, movements, and institutions of the past.

JENNIFER

DAVIS MCDAID

Biography Byrd Firor Scott Born Montezuma, Georgia, 24 April 1921. Received ΒΑ, University of Georgia , 1941 ; MA, Northwestern University, 1944 ; PhD, Radcliffe College , 1958 Taught at Haverford College, 1957-58 ; University of North Carolina , 1959-69 ; and Duke University from 1961 (emeritus). Married Andrew M. Scott

Anne

.

.

1947

(3 children).

Further

Reading

"

Malkiel , Nancy Weiss , Invincible Woman: Anne Firor Scott ," in Nancy A. Hewitt and Suzanne Lebsock , eds., Visible Women: New Essays on American Activism , Urbana : University of Illinois Press , 1993

Scott, James C. US

political

James C. Scott is not a historian but a political scientist. As well, much of the body of his work and thought is concerned less with historical accounts than with modeling explanations of contemporary phenomena, most especially peasant rebellion and resistance. It is this latter project, worked out over three major works and several minor endeavors since the mid-1970s, that makes Scott's thought and analyses so useful for historians, in particular those concerned with the political life of what Eric Wolf has called "the people without history." Scott began writing from within the sub-interdiscipline of peasant studies. In The Moral Economy of the Peasant (1976) he sought to locate and explain the bases of peasant revolutions. He did so in what are quite cultural terms bracketed by a vision of the disruptive potential of dominant class/dominated class relations in peasant societies. Scott's concerns at this time were symptomatic of the period in which he wrote. In the three decades after the end of World War II the Vietnamese had been successfully concluded; peasant revolutionaries controlled Laos and Cambodia; peasant-based rebellions marked several other Asian polities, and also states in Africa and Mesoamerica. Seeking to account for these wars of national liberation in The Moral Economy of the Peasant, Scott argued that the founding of rebellious politics among peasants was almost involuntary. Fundamentally, he asserted that peasant revolution emerged from changes and troubles in social and normative practices. This drew fire from Samuel Popkin, who made The Moral Economy of the Peasant the target of vigorous criticism in his book The Rational Peasant (1979), in which he counter-posed a rational choice model for

reunification

conditions

understanding politics. peasant

Subsequently, Scott turned away from moral economies. In Weapons of the Weak: Everyday Forms of Peasant Resistance (1985) the age of peasant revolution was clearly over and Scott moved to a highly specific account of the ways in which Malay

peasants cope with and resist local and national

modernizing Malaysia. Works The Southern Lady: From Pedestal to Politics, 1830-1930 , 1970 The American Woman: Who Was She? , 1971 With Andrew M. Scott , One Half the People: The Fight for Woman edition 1982 Suffrage , 1975 ; 2nd " Historians Construct the Southern Woman ," in Joanne V. Hawks and Sheila L. Skemp , eds., Sex, Race, and the Role of Women in the South , 1983 Making the Invisible Woman Visible, 1984 With Jacquelyn Dowd Hall , " Women in the South ," in John B. Boles and Evelyn Thomas Nolen , eds., Interpreting Southern History: Historiographical Essays in Honor of Sanford W.

Principal

Higginbotham , 1987 Natural Allies: Women's Associations in American History , 1991 Editor, Unheard Voices: The First Historians of Southern Women , 1993

1936-

theorist

At

a

hegemons

in

time when intensive studies of

local communities were quite out of vogue in the social sciences, Scott turned his eye on 74 Malay households during a period of significant economic change. Here Scott seemed to reject the Gramscian vision of an underclass that was utterly ideologically suborned by the operations of hegemonic class culture and economies. Instead, he argued that seemingly trivial speech and other acts by peasants were in fact politically loaded. He found a politics of resistance in peasants' lies, minor sabotage, jokes, puns, laughter, disguise, and folktales, and he labeled them political acts of the everyday. Scott also suggested that his insights might be applicable to peasantry throughout the world and over

time.

In the third of his major works, Domination and the Arts of Resistance (1990), Scott took his theory of peasant politics (re-named "infrapolitics") beyond the peasantry to encompass

much wider range of both rural and urban subordinate groups who are without history and seemingly without voice. He articulated a language for understanding underclass politics, making a distinction between public transcripts (the open dialogic and discursive relations between subordinates and hegemons) and hidden transcripts (discourses that take place out of the sight of the dominant classes and that more represent the politics of the subordinate). At this point Scott abandoned his hermeneutic anchors and the highly specific focus of his earlier work. Using examples from both Asian and European materials European feudalism, land tenancy in Asia, labor camps, prisons, schools he proceeded to a more theoretical and conceptual analysis and made general points about social relations and politics in a global and transhistorical fashion. He turned too to a closer encounter with the literary, examining western texts for their negotiations of the tension between public and hidden transcripts. Scott has made a very significant contribution to our cognizance of the material role language, symbols, and culture play in class struggle. a

accurately -

-

subordinate

canonical

theoretical

VIVIAN BLAXELL See also Southeast Asia

Biography James Campbell Scott Born Mount Holly, New Jersey, 2 December 1936, son of a doctor. Received BA, Williams College 1958 ; postgraduate study University of Rangoon 1958-59 ; Institut des Etudes Sciences Politiques Paris 1959-60; MA, Yale University 1963 PhD 1967 Taught political science, Wesleyan College, 1967 ; University of Wisconsin Madison 1967-76 ; professor, Yale University, from 1976. Married Louise Goehring, art historian, 1961 (1 daughter, 2 sons). .

,

,

,

,

,

,

.

,

,

,

Principal Writings Political Ideology in Malaysia: Reality and the Beliefs of an Elite , 1968 The Moral Economy of the Peasant: Rebellion and Subsistence in Southeast Asia , 1976 Weapons of the Weak: Everyday Forms of Peasant Resistance , 1985 Domination and the Arts of Resistance: Hidden Transcripts , 1990

Evans , Grant , From Moral Economy to Remembered Village: The Sociology of James C. Scott , Clayton, Australia : Centre of Southeast Asian Studies, Monash University, 1986 Popkin , Samuel L. , The Rational Peasant: The Political Economy of Rural Society in Vietnam , Berkeley : University of California Press , 1979

Scott, Joan Wallach Joan Scott

was

profound

poststructuralism -

-

sophisticated

poststructuralism,

historians

compartmentalization

inadequate

deconstructing

1941-

gender and

labor

history

trained as a social historian of France, and her influence has been in her ground-breaking and sometimes controversial application of poststructuralism to most

inaugurated

relations

Further Reading

US historian of French

historical and feminist theories. She has sought to salvage history from ghettoization by arguing cogently that gender, as a "useful category of analysis," must take center stage as crucial for any understanding of politics and society. One of the pioneers of women's history, Scott played a significant role in developing a framework for analyzing patterns of women's work, stressing its close relationship with both family structure and economy. With Louise Tilly she made an important contribution to the debate, which had been by Alice Clark, on the effect of industrialization on women. Scott and Tilly argued in Women, Work, and Family, published in 1978, that the development of women's waged work as a result of industrialization had neither brought about an improvement in women's social position nor altered their relationships to their families. During the 1980s Scott became convinced that French in particular Jacques Derrida's linguistic theory and Michel Foucault's work on power, knowledge, and discourse could be developed to provide a more analysis of the operation of gender, class, and race in past societies. In 1988 her essays on the uses of influenced by discussions with other feminist including Denise Riley, were published together as Gender and the Politics of History. Scott defined gender as "knowledge about sexual difference," adopting Foucault's interpretation of knowledge as "the understanding produced by cultures and societies of human relationships." Such knowledge, she said, was "not absolute or true, but always relative," and was constructed, contested, and negotiated through discourse. Like Riley, she argued that it was impossible to separate gender as a discursive construct from any innate or fixed biological sex. Scott criticized what she saw as the two dominant modes of women's history. The first, the writing of "her-story" had performed a valuable role in uncovering women's past lives but could all too easily lead to the treatment of women's history as an isolated discipline. The second approach, the of women's history as an aspect of social history, had led to the uncritical adaptation of existing historical methods and the failure to develop a theory of gender. Scott rejected Joan Kelly-Gadol's Marxist framework for women's history, considering the emphasis on economic factors as an explanation for the basis of the gender system. Scott proposed that all history should be rewritten to take account of gender since it "is a primary way of signifying of power." Following Derrida, she argued that the western philosophical tradition rests on a system of normative concepts based on binary oppositions that construct meaning through difference. The meanings of masculinity and femininity have been constantly asserted to structure the "concrete and symbolic organization of all social life." Hence gender has been widely employed as a metaphor for all social and political relationships. Since normative concepts are unstable and open to contestation, the task for the historian must lie in the terms of the debate, the meanings behind the use of gender. Scott's essays went on to demonstrate how a poststructuralist theory of gender should be fitted into historical practice and the writing of history. She argued that historians E.P. Thompson and Gareth Stedman Jones, despite differing approaches, had both failed to integrate an awareness of gender into their analyses of women's

the formation of

19th-century working-class

consciousness.

Although Thompson had included women, he had simply repeated the gendered notions of women's roles held by his 19thcentury subjects. Jones, despite his interest in the "linguistic turn" and

recognition of the discursive basis of class had failed to deconstruct the concepts of difference which fomented identity. Scott then used her own research on 19thcentury France to present a practical demonstration of how texts could be deconstructed to elucidate the formation of gendered identities, giving meticulous readings of three contrasting primary sources the appeals made by male and female Parisian garment workers, official statistical reports, and texts on

consciousness,

Hall , Catherine , " Politics, Poststructuralism, and Feminist History ," Gender and History 3 ( 1991 ), 204 10 Hoff , Joan , " Gender as a Postmodern Category of Paralysis," Women's History Review 3 ( 1994 ), 149 68 " Koonz , Claudia , Postscripts ," Women's Review of Books 6 -

-

(January 1989 ),

19

-

20

Palmer, Bryan D. , Anson Rabinbach , and Christine Stansell , " Responses to Joan Scott ," International Labor and Working Class History 31 ( 1987 ), 24 36 " Sewell , William H. , Jr. , Review Essay: Gender and the Politics of History ," History and Theory 29 ( 1990 ), 71 82 -

-

-

political economy. Scott's poststructuralist

approach has proved controversial, least among feminist historians; she has been accused of neglecting the physical and material conditions of life, of relying on a very negative construction of identity through difference, of denying individual agency, and of ignoring women's experience (previously seen as the building block of feminist research). Fierce debates on the relevance of to feminist and labor history have ensued. Scott, been quick to respond to her critics, continually has however, ideas about identity and experience and, her developing challenging historians to question the philosophical bases of the very categories they choose to employ as tools of not

poststructuralism moreover, analysis. LOUISE AINSLEY

JACKSON

Family; Feminism; Gender; Gordon; Homosexuality; Labor; Social; Tilly, L.; Walkowitz; Women's History: European

See also

Born Brooklyn, New York, 18 December 1941. Received BA, Brandeis University, 1961 ; MA, University of Wisconsin Madison , 1964 , PhD 1969 Taught at University of Illinois, Chicago, 1970-72 ; Northwestern University, 1972-74 ; University of North Carolina , Chapel Hill , 1977-80; Brown University from 1980 ; and currently Rutgers University. Married Donald M. Scott, 1965 ,

.

son, 1

daughter).

Principal Writings

The Glassworkers of Carmaux: French Craftsmen and Political Action in a Nineteenth-Century City , 1974 With Louise A. Tilly, Women, Work, and Family, 1978 With Jill Ker Conway and Susan C. Bourque , eds., Learning about Women: Gender, Politics, and Power , 1987 Gender and the Politics of History , 1988 Editor with Judith Butler, Feminists Theorize the Political , 1992 Editor, Feminism and History , 1996 Only Paradoxes to Offer: French Feminists and the Rights of Man , .

1996 Further

Reading

"

Downs , Laura Lee, If 'Woman' is Just an Empty Category, then Why am I Afraid to Walk Alone at Night? Identity Politics Meets the Postmodern Subject," Comparative Study of Society and

History 35 ( 1993 ), 414 37 " Frader, Laura L. , Dissent over Discourse: Labor History, Gender, the and Linguistic Turn ," History and Theory 34 ( 1995 ), 213 30 " Gordon , Linda , Book Review: Joan Scott, Gender and the Politics SIGNS: of History ," Journal of Women itt Culture and Society -

-

15

R.W.

1941–19 8

was one of a generation of gifted and articulate Australians who left their home country to make their careers Clive James, Germaine Greer, in Britain. The best known and Robert Hughes (later in the US) found fame in the public eye in the media and the arts, but others went on to establish themselves out of the limelight as scholars of the first rank. The creativity, energy, and irreverence that marked them all were, in Scribner's case, directed to a radical rethinking of his chosen historical subject, the German Reformation set in its wider social context. Scribner's Catholic upbringing gave him insights into the fabric of religious belief that stood him in excellent stead when he came to study the origins of Protestantism, a creed whose apparent rationality and reliance upon literacy have sometimes been contrasted by its adherents with a sump of Catholic Scribner's involvement in student activism at the University of Sydney awakened his interest in political of the left, not only Marx, but later materialist thinkers, such as Gramsci, who were concerned with society and politics as cultural manifestations. In Britain, this intellectual quickly brought Scribner into the orbit of the new social history (from 1976 he was a member of the editorial board of Social History), where he took an active part in the early years of the History Workshop movement. However, he never allowed himself to be ideologically pigeon-holed; indeed, one of his most engaging traits was his ability to get on with colleagues and scholars of very different persuasions, and his historical writing was admired by Catholics and Protestants alike. Following his BA and MA at Sydney, he began to research in Germany, eventually focusing on Erfurt (then in East Germany) for his doctoral work. From the 1970s onwards a steady stream of articles appeared. At first they were chiefly concerned with the Reformation in German cities (including his classic discussion of the "failure" in Cologne, "Why Was There No Reformation in Cologne?", 1976), but already Scribner was becoming by the mechanisms that underlie the transmission and reception of ideas. The communication of Reformation doctrines could not, he believed, be understood as a purely intellectual process: the assumptions and expectations of the audience itself counted for just as much, and these were located beyond mere intellectual curiosity in the deeper well-springs of psychological and cultural predispositions. Here Scribner was able to draw upon his formidable grasp of historical anthropology and

R.W. Scribner

-

-

superstition.

Biography

(1

Scribner,

Australian historian of the Reformation

( 1990 ), 848

-

60

philosophers

orientation

Reformation's fascinated

cultural theory. The ritual and ludic elements of the Reformation

tellingly explored

"Reformation, Carnival, and the World Turned Upside-down" (1978). These insights determined two central themes of his research: the startling continuities of ritual, belief, and popular culture before and after the Reformation; and the importance of nonliterary means of communicating ideas oral, visual, or participatory alongside the printed work. Scribner was not the first to recognize the significance of the enormous outpouring of pamphlets and broadsheets in helping to create a Reformation audience, but he was certainly the first to realize that their resonance derived as much from their style and language, satirical and often scatological, as from their and that their impact was heightened by visual arguments means (the use of woodcuts as illustrations), as well as by as

enactment were

in

subsequent

-

-

-

or on the street. This research came to fruition in Scribner's first book, For the Sake of Simple Folk (1981). The study was hailed as a breakthrough in Reformation research, spanning the disciplines of semiology, iconology, and the history of mentalités, as well as art history in general. It contains an extremely illuminating introduction that outlined the methodological issues underpinning the research. In 1981, Scribner was appointed to a lectureship in Cambridge, and the next fifteen years were especially productive. More than fifty articles appeared, including forays into the world of vagrants, deviants, and witchcraft, as well as his remarkable investigation of Luther's transformation in Protestant circles from Reformer to quasi-saint his "Incombustible Luther" (1986). The most important were reprinted in his collection of essays, Popular Culture and Popular Movements in Reformation Germany (1987). He also wrote two shorter introductions intended to guide students through the thickets of the rapidly changing historiography of the Reformation, The German Reformation {1986), and a particularly original and suggestive

recitation in taverns

-

Biography Robert Scribner Born Sydney, 6 September 1941. Educated at University of Sydney ΒΑ, MA 1967 ; studied in Marburg and Freiburg 1967-69 ; PhD, Institute of Historical Research, University of London 1972 Taught at Portsmouth Polytechnic 1972-78 ; King's College London 1979-81 ; Cambridge University 1981-96 ; and Harvard Divinity School 1996-98 Married 1) Robyn Dasey, 1972 (marriage dissolved); 2) Lois Rutherford, 1989 (1 son, 1 daughter). Died Arlington, Massachusetts, 29 January 1998. .

,

,

..

,

,

,

,

,

.

,

Principal Writings "

Was There No Reformation in Cologne? ," Bulletin of the Institute of Historical Research 49 ( 1976 ), 217 41 " Reformation, Carnival, and the World Turned Upside-down ," Social History 3 ( 1978 ), 281 329 Editor with Gerhard Benecke , The German Peasant War of 1525: New Viewpoints , 1979 For the Sake of Simple Folk: Popular Propaganda for the German

Why

-

-

Reformation 1981 ,

"

Incombustible Luther: The Image of the Reformation in Early Modern Germany," Past and Present 110 ( 1986 ), 38 68 The German Reformation, 1986 Popular Culture and Popular Movements in Reformation Germany , -

1987 Editor and translator with Tom Scott , The German Peasants' War: A History in Documents. 1991 Varieties of Reformation , 1993 With Paula Johnston , The Reformation in Germany and Switzerland , 1993 Editor with Roy Porter and Mikulášs Teich , The Reformation in National Context , 1994 Editor, Germany: A New Social and Economic History, vol.1:

1450-1630 1996 ,

Editor with Trevor Johnson , Popular Religion in Germany and Central Europe, 1400-1800 , 1996 Editor with Ole Peter Grell , Tolerance and Intolerance in the

European Reformation 1996 ,

Editor with R. Po-Hsia , Problems in the Historical Anthropology of Early Modern Europe , 1997

survey, Varieties of Reformation (1993). From the outset, however, Scribner had

always cast his wider than the Reformation. In 1979 he edited a volume of essays with Gerhard Benecke, The German Peasant War of 1525: New Viewpoints, and in Cambridge he taught a Special Subject on the Peasants' War, translating all of the documents himself. This formed the bedrock of the first English-language edition of sources on the Peasants' War, compiled by Scribner and the present writer, which was published in 1991. He then embarked, with Sheilagh Ogilvie, on a magisterial survey of German social and economic history in two volumes from the late Middle Ages to the Napoleonic era, which were published in 1996 (a third volume up to the present day is in preparation). net

At the end of the 1980s Scribner began a major project on the social history of the German Reformation from 1450 to 1580. This book, had it been completed, would undoubtedly have been the crowning achievement of his career, securing his reputation as the finest continental Reformation scholar of his generation. But it was not to be. Other projects demanded attention, and soon after his move to Harvard Divinity School in 1996, illness intervened. However, Scribner's body of work reveals him as one of the major scholars of the postwar era. TOM SCOTT See also Reformation

Scriptores

Historiae

Augustae

Called "the most enigmatic work that Antiquity has transmitted" by Sir Ronald Syme, the text known commonly as the Historia title devised by Isaac Augusta (HA; Augustan History) Casaubon in 1603 consists of biographies of Roman emperors, pretenders, and usurpers covering the years 117 to 284 CE, with a gap for the years 244-59. Purportedly six authors (the scriptores: Aelius Spartianus, Julius Capitolinus, Aelius Lampridius, Vulcacius Gallicanus, Trebellius Pollio, and Flavius Vopiscus) wrote these biographies during the late 3rd and early 4th Although cited only once in antiquity, by Q. Symmachus, consul in 485 and father-in-law of Boethius, the work gained during the Middle Ages and the Renaissance. Seventeen extant manuscripts in varying degrees of completeness derive from an original 9th-century codex. Understanding this work has proven to be a source of great consternation for because, ironically, the HA provides one of the very few literary accounts of the 2nd and 3rd centuries, a period of great social, economic, and political change in the Roman world. From Edward Gibbon in the18th century on, concerns about the authorship, date, and reliability of the HA have -

-

centuries.

popularity

mysterious

historians,

its use as a source. In 1889, Hermann Dessau argued that the work was a historical forgery, written a century later than it claimed (during the reign of Theodosius the Great, 379-95) and by one author posing as six. Scholars over the past hundred years have debated this thesis. Textual analysis and comparison of the HA with other authors have made it possible to establish certain characteristic features of the work however. While the biographies seem to be modeled after Suetonius' De vita Caesarum (Lives of the Caesars, early 2nd century CE) and fall within the tradition of Latin biography, they do not necessarily constitute a continuation of his work, even though some scholars postulate possible lost lives of Nerva and Trajan that would link the HA to Suetonius. Unlike Suetonius' work, the HA included lives of pretenders and the former group usurpers in addition to emperors "secondary lives" by modern scholars, the latter "primary lives." Since more corroborating evidence from elsewhere exists for the primary lives, these are naturally viewed as more reliable than the secondary lives. Yet much inaccurate or information fills the work as a whole. Certain primary lives (e.g., Severus Alexander and Gallienus) portrayed the character and actions of the emperors in ways that bear almost no resemblance to modern historical assessments of them. Some 200 names and "authorities" attested nowhere else also appear throughout the work; many consider them highly suspect if not completely spurious. To these the HA adds invented speeches, letters, and documents, as well as some of the most hideous poetry in all antiquity. Even the names of the six authors suggest fabrication: no other source mentions them, and their playfulness seems contrived. For example, Vulcatius Gallicanus translates as "Fiery Frenchman," and its Latin abbreviation (V.C.) stands for vir clarissimus, the rank of a senator. What is more, the author couches his material in humor, witticisms, and tongue-in-cheek references, most of which are lost on a modern audience. The lives themselves vary in length, as does the degree to which they incorporate documents or other references. Furthermore, their merits as Latin literature are few. Modern opinion concerning the proper use of the HA as a historical source is still evolving. Where previous generations consulted it, however reluctantly, we tend to dismiss it almost outright, relying instead on a growing body of archaeological, epigraphic, and numismatic evidence for the period. The general consensus now holds that an anonymous author composed the HA near the end of the 4th century, and recent investigations have abandoned questions of date and focusing instead on discerning the HA's sources and its historical worth. Its purpose, however, still evades us. While some detect in the lives senatorial sympathies, a dislike of hereditary monarchy, an aversion to the army's involvement in politics, and perhaps even a veiled animosity towards Christianity, these positions lack the uniformity to serve as an agenda for the whole text. Syme's notion that some "rogue grammarian" wrote the biographies as sheer entertainment is appealing, especially since much ancient humor does not translate. The change in opinion over the past century, from viewing the HA as a quagmire to considering it a treasure trove of intriguing information about later Roman cultural sensibilities, is welcome. But as a historical source, this work must always be approached with caution. Indeed, one

plagued

-

considered imaginative

authorship, determining

necessary

cannot

escape the

intend it

played

on

if the author(s) did

not

HA has nonetheless amounted to

one

feeling

joke, the posterity.

as a

that

even

GAVIN A. SUNDWALL

See also Gibbon; Roman; Suetonius;

Syme

Editions Birley Anthony R. ed. and trans., Lives of the Later Caesars Harmondsworth : Penguin 1976 Hohl Ernst ed., Scriptores Historiae Augustae 2 vols., Leipzig: ,

,

,

,

,

,

,

Teubner, 1927 Magie, David , The Scriptores Historiae Augustae (Loeb edition), 3 vols., Cambridge, MA : Harvard University Press , and London:

Heinemann,

1922-32 ,

reprinted 1960-61

Further Reading Barnes , Timothy D. , The Sources of the Historia Augusta , Brussels : Latomus , 1978 Baynes , Norman H. , The Historia Augusta: Its Date and Purpose , Oxford : Oxford University Press , 1926 " Birley, Anthony R. , The Augustan History," in Thomas Alan Dorey, ed., Latin Biography, New York : Basic Books , and London: Routledge, 1967 " Dessau , Hermann , Über Zeit und Persönlichkeit der Scriptores " Historiae Augustae ( On the Time and Personality of the Historiae Augustae ), Hermes 24 (1889 ), 334 Scriptores " Honoré , Tony, Scriptor Historiae Augustae," Journal of Roman Studies 77 ( 1987 ), 156 76 " Matthews , John F., Historia Augusta," in Simon Hornblower and Antony Spawforth , eds., The Oxford Classical Dictionary , 3rd edition, Oxford and New York : Oxford University Press , 1996 " Momigliano , Arnaldo , An Unsolved Problem of Historical Forgery: The Scriptores Historiae Augustae," in his Studies in Historiography , London : Weidenfeld and Nicolson , and New York: Harper, 1966 Syme , Ronald , Ammianus and the Historia Augusta , Oxford : Oxford University Press , 1968 Syme , Ronald , Emperors and Biography: Studies in the Historia Augusta , Oxford : Clarendon Press , 1971 Syme , Ronald , The Historia Augusta: A Call of Clarity , Bonn : Habelt , 1971 ; Oxford and New York : Oxford University Press , -

1983 Syme Ronald Historia Augusta Papers Oxford and New York : Oxford University Press 1983 White Peter The Authorship of the Historia Augusta," Journal of Roman Studies 57 ( 1967 ), 115 33 ,

,

,

,

"

,

,

-

Seeley, J.R.

1834–1895

British historian On the basis of bewildering credentials J.R. Seeley found himself appointed Regius professor of history at Cambridge University in 1869. Hitherto his only substantial publication had been an anonymous life of Christ. He soon came to be influential in the professionalization of historical study both in the university (the historical tripos was introduced four years after his and more widely through the medium of working men's colleges. In 1881 he began to work systematically on colonial history, most likely, it seems, lecturing to future members of the Indian Civil Service. Initially determined that his lectures should remain unpublished, he was persuaded otherwise in May 1882

appointment)

by Florence Nightingale. The Expansion of England appeared following year, coinciding with the British occupation of Egypt; by 1885 some 80,000 copies had been sold. Thereafter it remained in print, its reputation as an imperial primer until 1956 when Britain once more was bombarding Egypt. Now it is hardly read at all. Seeley organized his account of the English nation in terms of its external dynamics: or better, he attempted to dismantle he dualism of "internal" and "external" by insisting on the necessary unity of the two, complaining of a historiography too exclusively European. He believed the central issue of early imperial Europe was the presence of the New World, which "does not lie outside Europe but exists inside it as a principle of unlimited political change." Or as he put it more pithily: the

established -

in the 18th century "the history of but in America and Asia."

England

England

subsequent

BILL SCHWARZ

See also British

Empire;

Political

Biography John Robert Seeley Born London, 10 October 1834, son of a publisher. Studied at Christ's College, Cambridge, BA 1857, MA 1860, fellow 1858-69 Taught Latin, University College London 1863-69 ; Regius professor of modern history Cambridge University 1869-95 : fellow, Gonville and Caius College, 1882-95. Married Mary Agnes Phillot, 1869 (1 daughter). Knighted 1894. Died Cambridge, 13 January 1895. .

.

,

,

,

avoid some of the more usual hyper-idealizations of England. For him it is the authority of the English state that functions as the prime mover, an authority active as much in the colonies as in the metropolis. His own hopes were clear: that metropolitan rule would prove sufficiently benign, and colonialists sufficiently accommodating, for there to emerge throughout the empire a consensual unity founded on a shared recognition of English ethnicity. "If Greater Britain in the full sense of the phrase really existed, Canada and Australia would be to us as Kent and Cornwall." Seeley was also concerned that his lectures should stand as an essay in the practice of history. He drew a fine distinction between history and politics both, as he saw it, principally concerned themselves with the examination and organization of the state believing history should "modify his [the reader's] view of the present." He railed against a historiography that peddled only "common sense" and worked by "the drowsy spell of narrative." He looked forward to a history based less on ethics and more on causes, which was analytical, rational, and true. History bereft of these qualities, and bereft of a masculine concern with politics, became merely "foppish aiming only at literary display, which produces delightful books hovering between poetry and prose." A feminized history without politics could only alight upon such frivolities as "the ladies thronging to the toy-shops." He had a number of malefactors in sight. Scott was one, Macaulay another. But Thackeray he condemned most of all precisely because it was he who proclaimed that fiction could be historically truthful and history fictional, denying the possibilities (in Seeley's words) that "history can establish any solid or important truths." History in this scheme becomes only rhetoric. Thackeray, according to Seeley, "does not deny that history might be important if it were true, but he says it is not true." To this Seeley could only respond one can imagine the tone "Make it true and trustworthy." Since the middle part of the 20th century Seeley has hardly been fashionable, regarded too often as an old relic of Britain. But he remains a significant figure. He was crucial in introducing history as a subject worthy of serious study in the universities. He possessed an unusually sharp sense of the history of England having been formed by its colonies, and consequently proclaimed the need for a that centered on the non-European world. And he In

adopting this perspective Seeley

is not in

laid down, with great prescience, some of the philosophical issues that have come to dominate historiography in the century. Seeley's own intellectual code compelled him to adopt solutions to these dilemmas which, a hundred years on, might seem unpalatably positivistic in their inclination. But the issues he raised, of the relations between historical truth and the historical imagination, are still ours.

was

able

to

-

,

Principal Writings Ecce Homo: A Survey of the Life and Work of Jesus Christ , 1865 Lectures and Essays , 1870 Editor, Lily: Book 1 , 1871 Life and Times of Stein; or, Germany and Prussia in the Napoleonic

vols., 1878 of England 1883 ; abridged as Our Colonial Expansion 1887 A Short History of Napoleon the First 1886 Roman imperialism, and Other Lectures and Essays 1889 The Growth of British Policy: An Historical Essay 2 vols., 1895 Introduction to Political Science edited by Henry Sidgwick 1896 Age

,

3

The Expansion

,

,

,

,

,

,

,

-

properly .

.

.

-

-

imperial

intellectual

historiography

Further

Reading

Burroughs

Peter,

"

John Robert Seeley and British Imperial History," Journal of Imperial and Commonwealth History 1 ( 1973 ), 191

-

,

212

Herkless , John L. , " Seeiey and Ranke ," Historian 43 (1980 ), Rein , Gustav Adolf , Sir John Seeley: A Study of a Historian , Wolfeboro, NH : Longwood, 1987 (German original, 1912 ) Wormell , Deborah , Sir John Seeley and the Uses of History , Cambridge : Cambridge University Press , 1980

Séguin,

Maurice a

Quebec's largest university,

-

22

1918–1984

French Canadian historian of One of the founders of

1

Quebec

professional history department Maurice

Séguin produced

at

an

interpretation history Rejecting interpretation emphasized fight

of Canadian that gave rise to the influential neo-nationalist school. the traditional clerical that French Canada's for survival as a Catholic peasant society dominated by a paternalistic elite, he focused on the British conquest of 1760 as the key event preventing the modernization of Quebec society. Séguin had little formal training in history with only one sixty-hour lecture course (with no final exam) on Canadian history given by Quebec's "national historian," abbé Lionel Groulx. Groulx's charisma drew Séguin to history and he in a doctoral program in 1944. On completion of his thesis, he joined the newly created department of history at

registered

the University of Montreal alongside Guy Frégault and one year later was joined by Michel Brunet. Although Frégault was already an accomplished historian with two books to his credit, his interpretation of New France was radically transformed by Séguin's thesis and the younger colleague became the leader of the Montreal school. If Séguin was the his ideas were circulated in scholarly circles largely through Frégault's writing, while Brunei's skill as an orator and polemicist enabled them to reach a wider audience. Contrary to the prevailing Quebec historiography of the 1940s, Séguin's thesis did not glorify New France. The French colony was a nation in embryonic form that still required the protection, manpower, and capital of the metropolis to develop normally until it could become an independent nation. The British conquest of 1760 halted this development by depriving French Canada of its leadership and access to capital and resources, condemning it to vegetate or die. A new English Canada was born that benefited from the support of the mother country, and since it was impossible for two independent nations to share the same territory, the new nationality had to triumph. Eliminated from trade and industry, French Canada was forced to fall back on agriculture, the only economic sector under its control. This prevented its development as a normal nation. Relegated to an inferior economic status by the conquest, French Canada saw its subordination consolidated by the 1840 Act of Union, which condemned it to a provincial status within an English nation-state. Although federalists argued that Quebec could flourish within a larger unit, Séguin insisted that minority interests were always subordinated to those of the majority and that a normal nation must have complete control of a state, considered the main instrument for national development. Séguin wrote little. His 1947 article laid down the essential points of his thesis but the complete text was published only in 1970. A short booklet drawn from a three-part television interview L'Idée d'indépendance au Québec (The Idea of Independence in Quebec) was published in 1968, the year the separatist Parti Québécois was founded. His reticence to publish stemmed from a personal conception of intellectual endeavor. Synthesis was the only proper form of expression; the rest was mere babble. Ideally a historian "should only publish one book that would set down what he had to say and where each word and each comma was either essential or should be edited out" (Comeau). Failure to publish was also linked to his preference for direct contact with his audience in a classroom setting where the nuances of thought could be made clear, ideas debated and arguments refined. Séguin was a captivating and convincing teacher, adulated by generations of students. His most course set out a theoretical model for the development of human societies and then illustrated why Quebec had not and could not develop as a normal society (Comeau). This vision influenced most of the teachers entering the rapidly expanding high school and college systems over three decades and became widely disseminated in textbooks. Fifty years after its genesis, the Séguin thesis is still an reference for Quebec nationalism. In the preamble to the 1980 referendum question on sovereignty-association, the idea that New France would have become an independent nation had the conquest not intervened to deprive it of its leadership was clearly stated. In the 1995 referendum campaign, sovereigntists

intellectual

inspiration,

-

-

influential

essential

on the necessity of independence for Quebec "normal" society. Although Séguin believed that Quebec's complete emancipation was unlikely due to the of the English majority in Canada, the transformation from a nationalism of survival to a dynamic nationalism is Séguin's most enduring contribution to Quebec intellectual life.

continually harped to

become

a

opposition

A. DICKINSON

JOHN Canada; Frégault

See also

Biography Born Horse Creek, Saskatchewan, 7 December 1918. Studied with the Jesuits, Collège Saint-Ignace and Collège Jean-de-Brébeuf, Montreal Received ΒΑ, University of Montreal , 1942 , PhD 1947 Taught at University of Montreal, 1948-84 Married Tatiana Demidoff, 1962 (1 son, 1 daughter). Died Montreal, 28 August .

.

.

1984.

Principal Writings "

"

Conquête et la vie économique des canadiens ( The Conquest and the Economic Life of the Canadians ), Action nationale 28

La

( 1947 ) au Québec: genèse et historique (The Idea of Quebec: Genesis and History ), 1968 La "Nation canadienne" et l'agriculture (1760- 1850): essai d'histoire économique ( The "Canadian Nation" and Agriculture, 1760-1850: Essays in Economic History ), 1970 Une Histoire du Québec: vision d'un prophète ( A History of Quebec: The Vision of a Prophet ), 1995

L'Idée d'indépendance in

Independence

Further Reading Blain Jean Economie et société en Nouvelle-France: l'historiographie des années 1950-1960 Guy Frégault et l'école de Montréal ( Economy and Society in New France: The Historiography of Guy Frégault and the Montreal School, 1950-1960), Revue d'histoire de l'Amérique française 28 ( 1974 ), 163 86 Comeau Robert Maurice Séguin, historien du pays québécois vu par ses contemporains ( Maurice Séguin, Quebec Historian: As Seen by His Contemporaries ) Montreal : VLB 1987 Lamarre Jean Le Devenir de la nation québécoise selon Maurice Séguin, Guy Frégault et Michel Brunei, 1944-1969 (The Future of the Quebec Nation according to Maurice Séguin, Guy Frégault, and Michel Brunet, 1944-1969 ), Sillery, Quebec ; Septentrion 1993 Miquelon Dale ed., Society and Conquest: The Debate on the Bourgeoisie and Social Change in French Canada, 1700-1850 Toronto : Copp Clark 1977 Nish Cameron ed., The French Canadians, 1759-1766; Conquered? Half-Conquered? Liberated? Toronto : Copp Clark "

,

,

-

"

,

-

,

,

,

,

,

,

,

,

,

,

,

,

,

,

1966

Seignobos, Charles

1854–1942

French historian One of the most

prominent historians in Third Republic Charles France, Seignobos began his career as a medievalist. His work on contemporary Europe first brought him to public attention and he later proclaimed himself a "generalist." Yet his most lasting efforts are his elaborations of the methods that defined the so-called positivist (or "methodological")

then dominant in historical inquiry. He worked to position and then strove to maintain history's privileged place among competing disciplinary approaches to describing human behavior. In his histories and in his methodological manifestos,

approach

what adherents of the Annales school the "history of events." Restricting his focus and that of the discipline of history to political and military incidents and individuals described in documents, Seignobos refused the abstract or structural. He rejected claims that historians should attempt to ascribe causality. The historian, Seignobos argued, needed to explain the past by exposing the significant accidents and linking them chronologically. For Seignobos, historians cannot recapture the past. In underlining the limitations of historical description he differed from fellow positivist historian Ernest Lavisse as well as from the Prussian "father" of historical science, Leopold von Ranke. Seignobos was one of Lavisse's first students and he later trained in Prussia. Like that of Lavisse, Seignobos' vision of history became particularly important because of the close connections of the emerging discipline with the institutions of the nascent Third Republic, institutions to which he had access. Seignobos was instrumental both in placing the teaching of history at the center of the Republic's primary as well as secondary curriculums and in putting pedagogy on an equal basis with research for French historians. His most notable book, Introduction aux études historiques (1898; Introduction to the Study of History, 1898), which he co-wrote with the archivist Charles-Victor Langlois, was one part of his response to criticisms of history's pre-eminence among French academic

Seignobos exemplified later derided

as

disciplines. The Introduction is a manifesto promoting the authority of historians and stating how descriptions of the past should be written. Seignobos, who authored most of the methodological chapters, described history as a utilitarian science. By this he meant that history is not the same as the natural sciences, for it cannot isolate laws. To do so for human activity, he wrote, is impossible. With this position, he effectively denied the of social science. Seignobos and Langlois published their manifesto in the midst of numerous polemics, by François Simiand and other French Durkheimians, which claimed that sociology, with its attention to the recurrent and thus its ability to determine the laws governing human behavior, necessarily superseded history. Seignobos, in the Introduction and in various related articles, set a precedent for future historians by ignoring the substance of extra-disciplinary criticism. In response to Simiand's harsh attacks on the limits of history, Seignobos replied that "The difference between us is not that which exists between two generations: it is the natural between a philosopher and a historian." According to Seignobos, only those individuals committed to and trained in historical research are qualified to evaluate the methods and claims of historians. History itself provides the common ground in which the insights of other disciplines which rely on could be brought together. The Introduction defined what historians must do and how their work should be done. Seignobos described four stages of historical research: the collection and classification of ("heuristics"); the evaluation of these documents to internal criteria ("hermeneutics"); the explanation, by

underpinnings

divergence documents

documents

according

analogy and deduction, of gaps between documented facts; and finally, the organization of established facts into logical He acknowledged that this process is subjective and that the historian operates from the supposition that past are analogous to similar events in the present. Seignobos stated that this premise is never wholly true, that the past always remains somewhat opaque. Yet this technique allows the trained historian to write authoritatively, if cautiously, using documents

constructions.

incidents

that concern certain events and individuals. Historians should chronicle those people and incidents which participated in the series of accidents leading to the evolution of past institutions and understandings into their present more advanced forms. Seignobos argued for histories of change, what he called "l'événement le plus intéressant de l'histoire" (the most events in history). Thus, he suggested there is little the can contribute in examining the 17th century when, with the exception of the English Revolution, "nothing happened." Better to study the 18th, given that this was the century when the foundations of the French, American, Prussian, and other modern states emerged. Seignobos' writing situated history in the service of existing regimes. He admitted that as regimes changed, so would historians' focus. Writing in the democratic Third Republic, Seignobos explained history as evolutionary, guarding against the claims both of reactionaries who opposed all change and those who sought revolutionary upheaval. Seignobos himself began his career by producing the kind of monographs he later prescribed for younger scholars in the Introduction. He then turned to writing and directing large-scale general studies, the task which the introduction advised senior scholars to undertake. His L'Histoire politique de l'Europe contemporaine (1897; A Political History of Europe since 1814, 1899) was the work that first brought Seignobos to the attention of the general public. Seignobos saw history as cumulative and collaborative. Historians, he believed, collect and organize documents, to the slow accumulation of facts. The monographs of younger historians provide the material for general histories. These should offer preliminary syntheses, yet can make no great explanatory claims. When all the documents have been only then could historians offer insights into causality. Seignobos did not foresee this happening. The Introduction to the Study of History remains the last guidebook introducing and codifying the study of history in French. While what Marc Bloch and Lucien Febvre referred to as "l'histoire à la Seignobos" served as the for the Annales paradigm of historical research, the "new historians" produced no similar manifesto. In his almost genealogical approach to investigating the past, certain in practice while hesitant in claims, Seignobos offers intriguing methodological and analytic possibilities for our own uncertain

interesting historian

contributing

analyzed,

published antithesis

age. TODD DAVID SHEPARD See also France: 1000-1450;

Historiology; Simiand;

Social

Biography Lamastre, Ardèche, 10 September 1854. Studied at Ecole Normale Supérieure , 1874-77 Taught from 1879; professor of modern and political history, Sorbonne , 1925-42 Died Born

.

.

Ploubozlanec, Côtes-du-Nord,

2

May

1942.

Principal Writings Bourgogne jusqu'en 1360: étude sur la société et les institutions d'une province française au Moyen-Age suivie de documents inédits tirés des archives des ducs de Bourgogne (The Feudal State in Burgundy before 1360: A Study of the Society and Institutions of a Medieval French Province According to the Archives of the Dukes of Burgundy ), 1882 Histoire narrative et descriptive des anciens peuples de l'Orient: supplément à l'usage des professeurs ( A Narrative and Descriptive History of the Ancient Peoples of the East: A Supplement), 1891 Contributor to Ernest Lavisse and Alfred Rambaud eds., Histoire générale du IVe siècle à nos jours (A General History from the 4th Century until Today ), 12 vols., 1892 1901 Histoire narrative et descriptive du peuple romain ( A Narrative and Descriptive History of the Roman People), 1894 L'Histoire politique de l'Europe contemporaine 1897 ; in English as A Political History of Europe since 1814 1899 With Charles-Victor Langlois Introduction aux études historiques 1898 ; in English as Introduction to the Study of History 1898 La Méthode historique appliquée aux sciences sociales (The Historical Method as Applied to the Social Sciences ), 1901 L'Empire Russe jusqu' â Nicolas II ( The Russian Empire before Nicholas II ), 1905 L'Histoire de la France contemporaine (Contemporary French History ), vols. 6- 8 1921-22 L'Histoire sincère de la nation française 1933 ; in English as The History of the French People 1932 Etudes de politique et d'histoire ( Studies of Politics and History ), 1934 Essai d'une histoire comparée des peuples de l'Europe ( Essays on the Comparative History of the Peoples of Europe ), 1938 Le

Régime féodal

en

,

-

,

,

,

,

,

,

,

,

Further Reading

Bloch , Marc , Apologie pour l'histoire, ou, métier d'historien, Paris : Colin , 1949 ; in English as The Historian's Craft , New York : Knopf, 1953 , Manchester : Manchester University Press , 1954 Carbonell , Charles-Olivier, Histoire et historiens: une mutation idéologique des historiens français, 1865-1885 (History and Historians: The Ideological Changes within the French Historical Profession, 1865-1885), Toulouse : Privat , 1976 " Carrard , Philippe , Disciplining Clio: The Rhetoric of Positivism ," Clio 24 ( 1995 ), 189 204 Crubellier, Maurice , L'Ecole républicaine 1870-1940 ( Republican Schooling, 1870-1940 ), Paris : Christian , 1993 " Davis , Natalie Zemon , History's Two Bodies ," American Historical Review 93 (1988 ) Furet , François , L'Atelier de l'histoire , Paris : Flammarion , 1982 ; in English as In the Workshop of History , Chicago : University of -

Chicago Press 1984 Keylor William R. Academy and Community: The Foundation of the French Historical Profession Cambridge, MA : Harvard University Press 1975 Foucault and History: The Lessons of a Noiriel Gérald Disillusion ," Journal of Modern History 66 ( 1994 ), 547 68 ,

,

,

,

,

"

,

,

-

Selden, John 1584–1654 English legal historian John Selden, lawyer, scholar, antiquarian, political philosopher, historian, and a member of the parliamentary opposition to rule Civil War,

crown

during helped

the tumultuous years to revolutionize the

preceding the English study and writing of

in the early 17th century. Although according to Clarendon his writing could be described by "a little the beauty of stile, and too much propensity to the

history

undervaluing

language of antiquity," Selden played a role of fundamental importance in the transition of English historical writing from a medieval antiquarianism to a more modern understanding of the scope and function of history than had ever before been

expressed

in Renaissance

England.

Selden was acquainted with the great antiquarians of the age, both in England and on the European continent, and as Hugh A. MacDougall has pointed out, there clearly existed a connection between antiquarianism and opposition politics in parliament. Selden was never a member of the Society of Antiquaries, however, and this may have provided him with the intellectual freedom to develop a more advanced sense of what history was, and how and why it should be studied, than any of his English contemporaries. Selden completed his first historical work, the Analecton Anglo-Britannicon in 1607, though it was not published until 1615. In the Analecton Selden summarized the history of the successive nations which had inhabited Britain. The Duello, or Single Combat (1610), his first published work, traced the origins of this controversial practice from its ancient origins to the England of his own time. That same year he also published Jam Anglorum fades altera, a study of the development and changes in English laws from ancient times. Although he the significant impact of the Norman Conquest upon English legal institutions, Selden never went so far as Saxonists such as Richard Verstegan, who celebrated all things Saxon. English law, Selden suggested, developed from the blending of pre- and post-Conquest innovations. As in earlier works, he relied primarily upon printed sources for his information. Selden published Titles of Honour in 1613, an attempt, based on both printed and manuscript sources, to trace the development of nearly every conceivable title from its origins in antiquity. Selden organized the work along hierarchical lines, but for each rank in society he followed chronological He included marginal references to document and identify his sources, as well as a bibliography of "the more speciallautors" whom he had read. Titles of Honour was an important book. It contains a more sophisticated understanding of the impact of the Norman Conquest on English landholding practices than had appeared in the Jani Anglorum. It was also more sophisticated than anything he had done before, and in it we can see the beginning of a conceptual shift in Selden's thinking regarding the purpose of history. In Titles of Honour, Selden recognized that the key to discovering truth, the purpose of all historical research, lay in the detailed analysis and close scrutiny of historical documents and other texts. This rethinking of the scope and purpose of history would be developed more fully by Selden in his The History of Tithes (1618). Unlike the antiquarian studies of so many of his contemporaries, the The History of Tithes pointed no morals and no lessons. It was not about great men nor about great events. Rather, it was a study based on a careful examination of all relevant sources on the origins, development, and social consequences of tithing. In The History of Tithes, Selden wondered whether tithes had always been paid to the clergy jure divino. In attacking this historical problem, he had little interest in the past for its own sake. Rather, he hoped to illuminate the entire institutional framework of tithing. As D.R. Woolf noted, Selden was less

recognized

principles.

methodologically

important

interested in "what hath been" than in its relevance to "the practice and doubts of the present." It would be a grave mistake to view Selden as a precursor to the objective, scientific ideal pre-eminent in later His politics, which later would land him in jail twice, entered into his work. The History of Tithes directly challenged the clergy, because Selden argued that the canon law could be effective only when it had been incorporated, either through custom or expressly through statute, into the corpus of a given nation's laws. The clergy in England, he found, had hidden and distorted evidence in order to justify its claim to collect tithes jure divino. As Woolf pointed out, Selden "must have known that he was lighting a match to read the label on a barrel of gunpowder." In 1631 Selden published an expanded Titles of Honour, with significant portions of the original rewritten. The expanded edition reveals Selden's progression from the antiquarian who composed The Duello and the Analecton to the historian who produced the The History of Tithes in an effort which and presented facts about the past, and demonstrated their relevance to the present. One of Selden's contemporary critics, Sir James Sempill, argued in Sacrilege Sacredly Handled (1619) that history ought to be "a simple narration of what is done." Selden, through his historical studies, far transcended this constrained understanding of the scope of historical inquiry, and his great contribution lay in redefining the field in more modern terms. Selden wedded the antiquarian drive to collect records and texts from the past, with a desire to critically astute, methodologically sound historical based upon the close interpretation of historical documents and the analysis of the motives of those who wrote them. History could no longer be understood as a dry collection of data from the past. History, under Selden's influence, became the dynamic study of continuity and change over time. Selden was not the only scholar responsible for this reformulation of history, but in it he played a very large role. MICHAEL L. OBERG

historiography.

discovered narrowly

produce narrative

See also

Legal

Biography Born West Tarling, Sussex, 1584 ; son of a yeoman. Educated at Oxford and the Inns of Court before briefly practicing law. Turned to scholarship, writing on medieval legal history, Syrian mythology, and Jewish law and institutions Served as member of parliament preceding and during the Civil War. Died London, 1654. .

Further Reading Ferguson Arthur M. Clio Unbound: Perception of the Social and Cultural Past in Renaissance England Durham, NC : Duke University Press 1979 ,

,

,

1987

MacDougall Hugh Α. Racial Myth in English History: Trojans, Teutons, and Anglo-Saxons Montreal : Harvest House and Hanover, NH: University Press of New England, 1982 Pocock J. G.A. The Ancient Constitution and the Feudal Law: A Study of English Historical Thought in the Seventeenth Century Cambridge : Cambridge University Press 1957 ; revised 1987 Woolf Daniel R. The Idea of History in Early Stuart England: Erudition, Ideology, and "The Light of Truth" from the Accession of James I to the Civil War Toronto ; University of ,

,

,

,

,

,

,

,

,

,

,

Toronto Press , 1990

Semple, Ellen Churchill US environmental historian and

1863–1932

geographer

Ellen Churchill Semple graduated from Vassar, then studied with Friedrich Ratzel in Leipzig. Ratzel (1844-1904), trained as a Darwinian zoologist, applied biological and

privately

ecological

to create an

environmentally-determined history, explicated in his famous Anthropogeographie (1882-91). He coined the concept of Lebensraum, the natural limits occupied by a state, viewed organically. concepts

view of human

Semple English

Ratzel's opus and published it in an abridged version in 1911, in which she eliminated much of

recast

Ratzel's

Spencerian organicism and replaced deterministic with more general concepts of geographic "factors," "influences," and "controls" over human culture. However,

language

Darwinian influences were still strongly in evidence. She used arguments very similar to those found in histories written by later evolutionary biologists, such as C.D. Darlington, who extended the findings of population biology (gene pools, genetic diversity) to social and cultural evolution.

Thus, in Influences of Geographic Environment (1911), Semple stressed the influence of natural conditions of the environmental modification of physique, and the role of isolation in physical and cultural differentiation. She closely followed Moritz Wagner's analysis of the isolation of human groups in naturally defined regions which, when combined with periods of migration, produced the rapid development of "type forms." Eurasia had the greatest number and variet; of habitats and thus the best opportunities for vast movements. This was Wagner and Semple's appropriation of Darwin's view that divergence of character had been enhanced in the cases of large populations occupying large spaces with many niches that intragroup competition had

variation,

segregated

Principal Writings Analecton Anglo-Britannicon , written 1607 , published 1615 The Duello; or, Single Combat , 1610 Jani Angiorum fades altera , 1610 Titles of Honour , 1613 ; expanded 1631 The History of Tithes , 1618 Tracts , 1683 Table Talk, Being the Discourses of John Seiden , 1689 Opera omnia , edited by David Wilkins , 3 vols., 1726

,

Fussner, F. Smith, The Historical Revolution: English Historical Writing and Thought, 1580-1640 , London : Routledge , and New York: Columbia University Press, 1962 Levine , Joseph M. , Humanism and History: Origins of Modern English Historiography , Ithaca, NY : Cornell University Press ,

historical

forced them to fill. In human history, Darwin's concept became law of anthropogeography. Many of the topics in the book's index under the rubric "Historical Movements" are overtly biogeographical (e.g., barriers to, climatic factors in, as a form of, zonal limits of, and so forth). Semple was also interested in the effect of climate on natural character in the classical, Hippocratic sense that "air, water and places" exercised a formative influence on human culture. a

colonization

In the 1920s and 1930s, environmental determinism came under attack by American anthropologists led by Franz Boas and, in France, by Lucien Febvre who sought to establish a more nuanced mating of geography and history; both attacked Ratzel and Semple explicitly. Nevertheless, the influence of her book in American geography was enormous even after World War II, as John K. Wright established by a questionnaire sent to

geographers in 1961. Semple's first book, American History

and Its Geographic Conditions (1903), was a landmark in American historical geography, in which historical events were linked to physical environment. For example, Semple's analysis of the Civil War and the sectional conflict that led to it began with a of environmental forces that encouraged slavery. Her work can indeed be viewed as a historical geography of stressing regional habitats and climate more than the natural resource base. She shared with Frederick Jackson Turner an evolutionary and environmental conception of the frontier. Both were recapitulationists (they argued that settlers in a wilderness recapitulated the history of mankind while it), although Turner's construction was more sensitive to cultural differentiation. In her great work on the geography of the ancient (1931), Semple used a more sophisticated methodology (and an impressive mastery of both the primary and secondary literature of classical antiquity) to establish the relationship between environment and civilization in the ancient world. Here, the organization is strictly geographical: historical events are introduced only insofar as they illustrate points of not the reverse. Semple wrote on a wide variety of her world survey of "Mountain Peoples in Relation to topics: Their Soil" (1905), grounded in her familiarity with Kentucky, anticipated a number of Fernand Braudel's findings with respect to the mountainous regions of the Mediterranean. Semple was the first American cultural geographer, laying the groundwork for that field in her courses at the University of Chicago and, later, Clark University. She was also the first woman president of the Association of American Geographers, elected in 1921. In order to drive a stake through the heart of environmental determinism, Boas suggested that Carl Sauer, founder of the Berkeley school of cultural geography, write biographies of both Ratzel and Semple in the Encyclopedia of Social Sciences (1934). There Sauer damned Ratzel with faint praise and wrote that Semple "had remained true to Ratzel in making no as to kinds of cultural data taken under observation but in being interested in whatever data could be related to conditioning. She did no more than Ratzel in solving the methodological difficulty as to how such a relationship could be evaluated scientifically."

consideration

sectionalism,

civilizing Mediterranean

geography,

restriction environmental

THOMAS F. GLICK

Principal Writings American

History and

Its

Geographic Conditions

1903 ; revised

,

1933

Influences of Geographic Environment, on the Basis of Ratzel's System of Anthropo-Geography 1911 The Geography of the Mediterranean Region: Its Relation to Ancient History 1931 ,

,

Further

Reading

"

Gelfand , Lawrence , Ellen Churchill Semple: Her Geographical Approach to American History," Journal of Geography 53

( 1954 ), 30 41 James Preston Ellen Churchill Semple and the Development of a Research Paradigm," in Wilford A. Bladen and Pradyumna P. Karan eds., The Evolution of Geographic Thought in America: A Kentucky Root Dubuque, IA : Kendall Hunt 1983 Ellen Churchill Semple," in Edwin R.A. Seligmann Sauer Carl O. ed., Encyclopedia of the Social Sciences vol. 13 New York : -

"

,

,

,

,

,

"

,

,

,

,

,

Macmillan , 1934 " K. , Miss Semple's 'Influences of Geographic , Environment': Notes Towards a Bibliobiography," Geographical

Wright John

Review 52

( 1962 ), 346

-

61

Seton-Watson, Hugh

1916–1984

British historian of Central and Southeastern

Europe

Hugh Seton-Watson can be placed in a family milieu of eminent historians, being the son of the distinguished authority on Central and Southeastern Europe, R.W. Seton-Watson, and the brother of historian Christopher Seton-Watson. After receiving a first class honours degree from New College, Oxford, in 1938, he travelled widely in Central and Southeastern Europe. His family influence was reinforced by his experiences during World War II, when he was initially stationed in Romania and Yugoslavia, before being sent to Cairo to undertake

intelligence

work. The development of Seton-Watson's interests and concerns can be traced with reference to his published works, the first of which, Eastern Europe Between the Wars (1945) was a political and social history of the region during the unstable interwar period, making use of an impressive knowledge and much primary material. Following the war, his experiences and knowledge of Eastern Europe were widened through his undertaking of numerous assignments as special correspondent for The Times in Bulgaria, Czechoslovakia, Greece, Hungary, Romania, and Yugoslavia, between 1946 and 1948. His personal experience of the communist takeover of power, and subsequent Stalinization process, was described in The East European Revolution (1950), in which he argued that the takeover process took place in three stages: a genuine coalition, in which the communists joined with other parties in a given the presence of the Red Army relatively free political system. The second stage, a façade coalition, was reached when the communist parties achieved a level of influence over their noncommunist opponents. The third and final stage of takeover saw the communist party unchallenged, and their former opponents reduced to mere ciphers, with no room for independent action. This experience was seminal for SetonWatson, whose subsequent work was directed toward the study of Russian history, and an understanding of European -

-

See also Historical

Geography

Biography Born Louisville, Kentucky, 1863, to a wealthy family. Educated locally, then studied history and English literature at Vassar College, BA 1882, MA in history 1891. Taught in a private girls' school, Louisville, 1881-91 ; toured Europe, then studied with anthropologist Friedrich Ratzel, Leipzig, 1891-93. Died 1932.

communist

communism. This

direction resulted in The Decline of Pattern of Communist Revolution (1953), which was among the first scholarly works to place communism in a worldwide context; and his major to Russian history, The Russian Empire, 1801-1917 (1967). Seton-Watson's interest in Russia was reflected in his appointment to the chair of Russian history at the University of London's School of Slavonic and East European

The Imperialist Revolution , 1980 With Christopher Seton-Watson , The Making of a New Europe: R.W. Seton-Watson and the Last Years of Austria-Hungary , 1981 The Imperialist Revolutionaries , 1987

Studies,

British historian of Central and Southeastern

Imperial

Russia

new

(1952); The

contribution in 1951.

The 1960s and 1970s were Seton-Watson's most productive period, in which he completed a number of more analytical and theoretical works dealing with the subjects of nationalism and communism. His magnum opus, Nations and States: An Enquiry into the Origins of Nations and the Politics of Nationalism was a pioneering work which drew upon his learning and knowledge of languages, and allowed him to demonstrate his powers of insight and analysis, honed during his studies of Eastern Europe. Seton-Watson distinguished between the "old" nations, which had acquired a national or national consciousness before the advent of the doctrine of nationalism, and which were mainly characterized by an autochthonous ruling elite; and "new" nations, whose national consciousness was developed contemporaneously with the rise of nationalist movements in the 19th century. Seton-Watson felt that the distinction between "old" and "new" nations was more useful than the contrast between "historical" and "unhistorical" nations: he asserted that all nations have a history, which may be discontinued by conquest, whereas national consciousness frequently survives such ruptures.

(1977), considerable

identity

MICHAEL ALMOND-WELTON See also

Balkans;

Central

Europe;

East Central

Europe;

Frontiers

Biography George Hugh Nicholas Seton-Watson. Born London, 15 February 1916, son of historian R.W. Seton-Watson. Educated at Winchester College ; BA, New College, Oxford 1938 Attached to British legations, Romania and Yugoslavia, 1940-41 ; served at Special Forces General Headquarters, Middle East, 1941-44 Fellow and praelector in politics, University College Oxford 1946-51 ; professor of Russian history, School of Slavonic and East European Studies University of London 1951-83 (emeritus). Married Mary Hope Rokeling, 1947 (3 daughters). Died Washington, DC, 19 December 1984. .

,

.

,

,

,

,

Seton-Watson,

R.W.

1879–1951

Europe

The first British historian to venture into the "primeval jungle" of Central Europe and the Balkans, R.W. Seton-Watson came to be known as a champion of the small nationalities of the Habsburg empire. He was not only a dedicated propagandist for the Czechs, Slovaks, Romanians, and Yugoslavs, but a political force behind their national aspirations. Accordingly, throughout the interwar period he remained the most ardent British supporter of the territorial status quo in the "zone of small nations." He epitomized the moralistic, self-righteous liberal intellectual, whose judgment on foreign countries and their governments was based on conviction and personal experience as much as on historical arguments. His preoccupation with Central Europe began on a trip to Hungary in 1905, which he recalled to be a "fearful eyeopener." The treatment of Slovaks and Romanians, and "the depth of chauvinism into which Hungary had fallen," shattered his illusions about Magyar liberalism. Writing in the Spectator under the pseudonym of "Scotus Viator," he heaped scorn on the Hungarian political elite. In response, the Magyar press launched a smear campaign against the "Scottish traveller." Seton-Watson left Budapest, as he put it, in a "blind fury." He wrote a succession of books exploding the liberal Hungarian myth in England. In Political Persecution in Hungary (1908) and Corruption and Reform in Hungary (1911) he pointed out the undemocratic features of Hungarian political life, while in Racial Problems in Hungary (1908) he denounced the policy of "Magyarization." Although his books were favorably reviewed by Oscar Jászi and a few radicals of the Hungarian opposition, Seton-Watson's views on Hungary echoed those of his Czech, Slovak, South Slav, and Romanian friends, among them Thomas Masaryk, the first president of Czechoslovakia. As a result, Hungarian historiography has consistently Seton-Watson, blaming him for turning British public opinion against Hungary in the last decade of the Dual

demonized Monarchy.

Principal Writings Eastern Europe Between the Wars, 1918-1941 , 1945 ; 3rd edition

1962 The East European Revolution , 1950 ; 3rd edition 1956 The Decline of Imperial Russia , 1952 The Pattern of Communist Revolution , 1953 Some Myths of Marxism , 1954 Neither War nor Peace: The Struggle for Power in the Post-War World , 1960 The New Imperialism , 1961 The Russian Empire, 1801-1917 , 1967 The "Sick Heart" of Modern Europe: The Problem of the Danublan Lands , 1975 Editor, with others, R.W. Seton-Watson and the Yugoslavs:

Correspondence, 1906-1941 1976 ,

Nations and States: An Enquiry into the Origins Politics of Nationalism , 1977

of

Nations and the

By the time of World War I Seton-Watson had become the powerful British advocate of national self-determination. From urging the federalization of the Danubian empire in The Southern Slav Question and the Habsburg Monarchy in 1911, he went on during the war to press for the Habsburg empire's "liquidation." His periodical New Europe (1916-20) became most

forum for "oppressed nationalities." Towards the end of the war Seton-Watson's authority on Central European issues was unrivaled in Britain. At the Peace Conference the experts of the British delegation, in Harold Nicolson's words, would "not move a yard" without his advice. In the interwar years, however, the political influence of Seton-Watson diminished dramatically. In the Foreign Office he was regarded as a "propagandist," and by 1939 an old friend compared him to "a milchcow which is not being a

milked." In 1929,

architect of the "New Europe," Sir the historical adviser of the Foreign Office, criticized Seton-Watson for being "blind" to the of the Czechs. In the 1930s Seton-Watson grew more critical of his Central European friends. Nevertheless, his affinity with Czechs and Romanians was still evident in A History of the Roumanians (1934) and History of the Czechs and Slovaks (1943), while his book Disraeli, Gladstone and the Eastern Question (1935) was revealing of "the author's lifelong sympathy with Balkan Christians." By contrast Hungary was regarded by Seton-Watson as "the principal obstacle to European progress." Although in two pamphlets, Treaty Revision and the Hungarian Frontiers (1934) and Transylvania: A Key-Problem (1943), he alluded to the minority problems caused by the Treaty of Trianon, he remained firmly opposed to any frontier revision. Seton-Watson's anti-Hungary views were first challenged in Britain by C.A. Macartney. The dispute between the two partisan Oxford scholars seriously undermined Seton-Watson's claim in his inaugural lecture in 1922 that "the British who does not belong to any of the rival nationalities which jostle each other throughout the wide area of Central Europe, is doubtless saved from the worst pitfall that threatens his continental colleagues." Seton-Watson had a considerable impact on postwar British historical writing about Central Europe. His works were colored by partial judgments, but were also based on a knowledge of documents and a personal acquaintance with some of the major players of interwar diplomatic history. He was particularly influential among historians of the antiappeasement school. Along with G.P. Gooch, H.W. Temperley, and Lewis Namier, he passionately opposed and criticized any British attempts to come to terms with Nazi Germany. SetonWatson remained a faithful ally of Czechoslovakia, which, even at the time of Munich, he viewed as the "keystone of Europe."

John

W.

even an

Headlam-Morley,

weaknesses

historian

thorough

GÁBOR BÁTONYI

Corruption and Reform

in

Hungary: A Study of Electoral Practice

,

1911

The Southern Slav Question and the Habsburg Monarchy , 1911 German, Slav, and Magyar: A Study in the Origins of the Great War , 1916 A History of the Roumanians: From Roman Times to the

Completion of Unity 1934 Treaty Revision and the Hungarian Frontiers 1934 Disraeli, Gladstone and the Eastern Question: A Study in Diplomacy and Party Politics 1935 Britain and the Dictators: A Survey of Post-War British Policy 1938 ,

,

,

,

Munich and the Dictators , 1939

History of the Czechs and Slovaks A

Transylvania: Further

Key-Problem

,

,

1943

1943

Reading

Bodea , Cornelia , and Hugh Seton-Watson , eds., R.W. Seton-Watson and the Romanians 1906-1920 , Bucharest : Editura Stiintifica si

Enciclopedica 1988 Jeszenszky Géza Az elveszett presztízs: Magyarország megítélésének megváltozása Nagy-britanniában, 1894-1918 ( The Lost Prestige: A Change in the British View of Hungary), Budapest : Magvető ,

,

,

,

1986 Péter, László ,

a 'magyar kérdés' az első (Scotus Viator and the "Hungarian Question" before World War I), in Gesta Hungarorum III 1990 Seton-Watson Hugh et al. eds., R.W. Seton-Watson and the Yugoslavs: Correspondence, 1906-1941 London : British Academy and Zagreb: University of Zagreb Press, 1976 Seton-Watson Hugh and Christopher Seton-Watson The Making of a New Europe: R.W. Seton-Watson and the Last Years of Austria-Hungary London : Methuen and Seattle: University of Washington Press, 1981 Seton-Watson Hugh R.W. Seton-Watson and the Trianon Settlement ," in Béla Κ. Király Peter Pastor and Ivan Sanders eds., Essays on World War I: Total War and Peacemaking, a Case Study of Trianon New York : Columbia University Press 1982 Wingfield Nancy The Historian as Political Force in East Central Europe: R.W. Seton-Watson and Anglo-American Public Opinion Concerning Czechoslovakia in the Interwar Period ," in E. Schmidt-Hartmann and S. B. Winters Grossbritannien, die USA "

Scotus Viator és

világháború előtt

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,

See also

Balkans;

Central

Europe;

East Central

und die böhmischen Länder , Munich :

Europe

Oldenbourg

,

1991

Biography Robert William Seton-Watson. Born London, 20 August 1879. Educated at Winchester School ; New College, Oxford, BA in modern history 1901 , DLitt 1910 ; University of Berlin , 1903 ; the Sorbonne, 1903-04 ; University of Vienna , 1905 Served in the Intelligence Bureau of the War Cabinet, 1917 ; Enemy Propaganda Department, 1918 ; Foreign Research and Press Service, 1939-40; Political Intelligence Bureau, Foreign Office, 1940-41 Honorary lecturer in East European history, King's College, University of London , 1915-22 ; Masaryk professor of Central European history, University of London , 1922-45 ; Professor of Czechoslovak studies, Oxford University, 1945-49 Founder editor, New Europe , 1916-20 ; founder editor (with Sir Bernard Pares), Slavonic Review , 1922-49 Wrote under pseudonym Scotus Viator on Central European and Balkan history and politics. Married Marion Esther Stack, 1911 (2 sons, 1 daughter). Died Isle of Skye, 25 July 1951.

Sexuality The

.

.

.

.

Principal Writings As Scotus Viator, Political Persecution in Hungary: An Appeal British Public Opinion , 1908 As Scotus Viator, Racial Problems in Hungary, 1908

to

of the history of sexuality as a sub-discipline intimately related to the modern creation of the idea sexual "identity" and of sexual politics since the late 19th

development

has been

of a century. In part, the sub-discipline can be traced back to the rise of professional sexologists such as Havelock Ellis, and the development of Freud's psychoanalysis. Certainly, the created the typologies with which the modern history of sexuality is concerned. Homosexuality, lesbianism, and are all categories created and problematized in that

sexologists heterosexuality

period. But, if the late 19th century named the categories and that characterize the history of sexuality, it was the 1960s and 1970s that produced the beginnings of a coherent history of at least Western sexuality. This was gradually formed

subdivisions out

of

an

amalgam

of the of

history

of the

family,

of

lesbianism, homosexuality pornography, demography, and

of the

body, gender, and medicine disciplines which were themselves coming to maturity in this period. Perhaps the most significant of the early contributing literatures is that associated with pornography. Much of the early history of pornography the rather shadowy borderland between academic writing -

occupied and

some forms of explicit pornography. Prior to the early 1960s a patina of academic research and style was often used to mask masturbatory aids. But in the process these pseudoacademic works encouraged and allowed the development of legitimate literary and historical enquiry, resulting in the of a large body of meticulously researched literature on the history of pornography. In particular in the works of David Foxon and H. Montgomery Hyde, a selfconsciously academic approach was pursued that has more recently been extended and deepened by historians such as Peter Wagner, and, from a feminist perspective, Lynn Hunt. Much of this literature is neutral if not celebratory, and charts the ever increasing amount and specialization of written and visual pornography. In the process this literature, and the content of Western pornography itself, has formed the basis for what might be characterized as the "liberation" school of the history of sexuality. One of the main characteristics of this approach is the belief that extreme repression and intolerance have been a traditional attribute of Western society, that this is in sharp contrast with non-Western and ancient societies, and that this extreme repression was gradually undermined from the 17th century onwards, facing only a temporary reversal during the height of Victorian prudery. Other literatures that have either consciously or tended to adopt this approach include much of the history of the family and of demography. In Lawrence Stone's The Family, Sex and Marriage (1977) and his more recent Road to Divorce (1990), a rise in sentimental attachment between men and women within marriage, and by extension, a greater degree of love in relation to sex, has been described. In Stone has posited the development of a Western marriage" in the late 17th century. When this literature has been combined with the results of the work of the Cambridge Group for the History of Population and Social Structure, which has demonstrated a demographic transition toward earlier and more fecund marriages in the mid-18th century, an almost Whiggish model of increasing sexual pleasure and emotional intimacy has been depicted. Historians of the Western experience have used this to argue further that the process of increasing sexual pleasure and sophistication was continued and refined in the 19th and 20th centuries pointing to the work of the sexologists and psychoanalysts as evidence. Perhaps the most ardent, although in some ways atypical, advocate of this "liberationist" approach is Edward Shorter, In a series of articles and books published between the early 1970s and mid-1980s, Shorter argued that the 18th century witnessed a general European "sexual revolution" in which women, and plebeian women in particular, gained a greater sense of individual economic freedom, which they in turn used actively to pursue sexual pleasure. Newly independent urban working women naturally, in Shorter's view, found the for sex irresistible, resulting both in more sex and the demographic transition which had been by the early 1980s convincingly demonstrated by demographic historians.

development

unconsciously

particular, "companionate

background -

opportunities

Shorter has been roundly condemned by a number of critics who have pointed out that the demographic models do not his peculiarly urban transition, and, more importantly, that he is dependent on an essentialist construction of the character of sexual desire. In a very real sense, what Shorter and other have assumed is there is an unlimited human need for sex, which is separate from the cultural construction of desire. In Shorter's view ail that was needed to create a sexual revolution was opportunity which according to Shorter was provided for early modern Europe by growing urbanization and economic well-being. With the increasing intellectual importance of the history of mentalities and, in an anglophone context, the linguistic turn, this essentialism has generally fallen out of favor. It is not that a "liberationist" metahistory has in any way been overturned, but rather that it has been modified through the work of Michel Foucault, the historians of medicine and the body, and a more sophisticated approach to the nature of sexual desire derived to a large extent from the history of homosexuality. Perhaps the greatest single influence can be found in the work of Foucault. In the three volumes of his Histoire de la sexualité (1976-84; History of Sexuality, 1978-86) he completed before his death, Foucault suggested that the very rise of discourses around sexuality, and the apparent increase in the repression of sexual behavior that seemed to characterize a Western in the 19th century, in fact created a whole new with sex. In other words where Shorter saw a gradual decline in the repression of sex, Foucault saw the gradual growth of discourses around sexuality and hence the creation of a number of sites of sexual definition and behavior. By the history of sexuality, Foucault in effect allowed historians for the first time to see sexual desire itself as a creation of a particular moment and a particular culture. In the process he both reformulated a liberation hypothesis, and at the same time eliminated the essentialist basis of the ways in which sex and sexuality had been defined since the late 19th century. Foucault's influence has been profound and universal. But the areas of historical enquiry that have been most fully transformed by his work on the history of sexuality have been the study of homosexuality and of the body. Since the rise of the Gay Rights movement in the late 1960s an increasingly complex historiography of homosexuality has developed. This has dealt primarily with the histories of Europe and America, but more than any other aspect of the history of sexuality has also incorporated world history, including the histories of aboriginal peoples and the classical world. The role of the berdache in native American culture, and of the roles found in Japanese and Indian cultures, have been largely researched within this context. While the major themes of the work in these fields have been the rise of the "subculture," and the relative importance of nature versus nurture in the creation of homosexual behavior and identity, the literature itself has forced historians working in other fields to ask questions about the whole range of possible

support

"liberationists" -

experience

preoccupation

growing

reformulating

sodomitical

homosexual

sexualities, including heterosexuality. What has emerged from this literature is a complex amalgam relationships in which sex is in many ways but a small part. Homosexuality in the classical world, for example, has been shown to form, not an identity, but the expression of a power relationship. In the work of historians such as Kenneth Dover, of

set of homosexual relationships dependent largely on the relative social positions of the people involved has been described. So, to sodomize someone was seen in the classical world as a reflection of power, while to be sodomized a only of powerlessness. Passive and active homosexuality were, in other words, quite separate. In a modern Western context this idea has been used to argue that sodomy was a facet of "normal" sexual life for men that the 16th-century image of the up until the Renaissance libertine with a whore on one arm and a catamite on the other reflected the extent to which modern boundaries between hetero- and homosexuality had yet to be drawn. Within this context two separate and contradictory have been made. First, that in the West the 17th and 18th centuries witnessed the creation of new boundaries, as reflected in the development of selfconscious homosexual subcultures in Amsterdam, London, and Paris. Or second, that the work of the sexologists and psychoanalysts of the late 19th century marked the significant point in the transition to a modern economy of sexuality, in which the male homosexual, in particular, could be viewed as the "other." The first that the 18th century witnessed the significant is contained within the work of historians such as Alan Bray, Randolph Trumbach, and Theo Van De Meer, while the second, supported by Foucault's own work, is best by Jeffrey Weeks. The significance of these debates is that have quite effectively disengaged the history of sexuality they from a biologically reductive assumption about the naturalness of sexual desire, and in the process have helped to render both sexual desire itself, and, most significantly, the a

reflection -

arguments

argument,

transition, summarized

problematic

normality of heterosexuality. Equally important in undermining

this

onwards

period

were

assumed

to

find each other

"naturally"

attractive. And anyone whose sexual desires led down

other paths, could now be viewed as "unnatural," a freak, an "other" against whom newly created heterosexuals could define themselves. This process of the naturalization of heterosexuality reached its apotheosis with the medicalization of sexual desire at the end of the 19th century. As a result of the central role of sex in psychoanalysis and its variants, the 20th century has created a range of powerful normative models for sexual desire, any variation from which has generally been viewed as an illness. In some ways historians are now turning away from a history of sexuality towards a history of desire. In the work of writers such as Henry Abelove and Thomas Laqueur the outline of a new approach, which takes as its starting point the cultural origins of sexual desire, has begun to emerge. TIM HITCHCOCK

See also

Corbin; Foucault; Homosexuality; Marriage;

Stone

Further Reading Abelove Henry Some Speculations on the History of Sexual Intercourse during the Long Eighteenth Century in England ," Genders 6 ( 1989 ), 125 30 Ariés Philippe and André Bejín eds., Sexualités occidentales Paris : Seuil 1982 ; in English as Western Sexuality: Practice and Precept in Past and Present Times Oxford and New York : Blackwell 1985 Ariès Philippe and Georges Duby eds., Histoire de la vie privée 5 vols., Paris : Seuil 1985-87 ; in English as A History of Private Life 5 vols., Cambridge, MA : Harvard University Press 1987-91 Bray Alan Homosexuality in Renaissance England London : Gay Men's Press 1982 Brown Judith C. Immodest Acts: The Life of a Lesbian Nun in Renaissance Italy Oxford and New York : Oxford University Press 1986 Castle Terry The Apparitional Lesbian: Female Homosexuality and Modern Culture New York : Columbia University Press 1993 Cohen David Law, Society and Homosexuality in Classical Athens ," Past and Present 117 ( 1987 ), 3 21 Dekker Rudolf and Lotte C. van de Pol The Tradition of Female Transvestism in Early Modern Europe Basingstoke : Macmillan and New York: St. Martin's Press, 1989 Donoghue Emma Passions Between Women: British Lesbian Culture, 1668-1801 London : Scarlet Press 1993 ; New York : "

,

,

-

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

,

essentialist approach to sexuality has been the history of the body. In the work of Londa Shiebinger and Thomas Laqueur, published since the early 1980s, many of the modern categories associated with gender and reproduction have been questioned. Both of these historians have suggested that the late 18th and early 19th centuries witnessed a transition from a "one body" model of sexual differentiation to a "two body" model. In other words, whereas prior to 1800 men and women were seen to be the same, after this period they were viewed as and "naturally" different. By making this distinction these historians, and others, have been able to question many of the assumptions that underlay the belief that heterosexual desire was itself "natural." When the history of the body is combined with the creation of a homosexual subculture as a new phenomenon at the the 18th century, a coherent story of the history of in the West begins to emerge. This history suggests that the West inherited an amorphous set of sexual categories, which although making sharp distinctions between the associated with men and women, assumed that sexual desire could be directed towards a wide range of objects. Sodomy, for example, was certainly a sin, and indeed a capital offence in most of Europe until the advent of the Napoleonic code, but it was a sin any man and some women might commit. With the decline of Galenic medicine, and the rise of the idea of a "natural" sexual differentiation in the 18th century, heterosexuality was gradually defined and imposed on both plebeian and elite cultures. "Normal" men and women from an

essentially

fundamentally

beginning

sexuality

characteristics

,

,

,

,

,

,

,

,

"

,

,

-

,

,

,

,

,

,

,

,

HarperCollins

,

,

1995

Dover, Kenneth J. , Greek Homosexuality , London : Duckworth , and Cambridge, MA: Harvard University Press, 1978 Duberman , Martin B. , Martha Vicinus , and George Chauncey, Jr. , eds., Hidden from History: Reclaiming the Gay and Lesbian Past , New York : New American Library , 1989 ; London : Penguin , 1991 Epstein , Julia , and Kristina Straub , eds., Body Guards: The Cultural Politics of Gender Ambiguity , London and New York : Routledge , 1991

Faderman , Lillian , Surpassing the Love of Men: Romantic Friendship and Love Between Women from the Renaissance to the Present , New York : Morrow, 1981 ; London : Women's Press , 1985 Feher, Michel , with Ramona Naddaff and Nadia Tazi , eds., Fragments for a History of the Human Body , 3 vols., New York : Zone , 1989 Foucault , Michel , Histoire de la sexualité , 3 vols., Paris : Gallimard , 1976-84 ; in English as The History of Sexuality , 3 vols., New York : Pantheon , 1978-86 , London : Allen Lane , 1979-88 Foxon , David Fairweather, Libertine Literature in England, 1660-1745 , London : Shevnal Press , 1964 ; New Hyde Park, NY: University Books , 1965

Catherine and Thomas Laqueur, eds., The Making of the Modern Body: Sexuality and Society in the Nineteenth Century, Berkeley : University of California Press , 1987 Garber, Marjorie , Vested Interests: Cross-Dressing and Cultural Anxiety , New York : Routledge , 1992 ; London : Penguin , 1993 " Hindley, Clifford , Law, Society and Homosexuality in Classical Athens ," with a reply by David Cohen, Past and Present 133 ( 1991 ), 167 94 Hitchcock , Tim , English Sexualities, 1700-1800 , Basingstoke : Macmillan , and New York: St. Martin's Press, 1997 Hunt , Lynn, The Invention of Pornography: Obscenity and the Origins of Modernity, 1500-1800 , New York : Zone , 1993 Hyde, H. Montgomery, A Tangled Web: Sex Scandals in British Politics and Society , London : Constable , 1986 Jacquart , Danielle , and Claude Thomasset , Sexualité et savoir médical au Moyen-Age , Paris : Presses Universitaires de France , 1985 ; in English as Sexuality and Medicine in the Middle Ages , Cambridge : Cambridge University Press , and Princeton: Princeton

Gallagher

,

,

-

University Press, 1988 Laqueur Thomas Making Sex: Body and Gender from the Greeks to Freud Cambridge, MA : Harvard University Press 1990 Laqueur Thomas Sex and Desire in the Industrial Revolution in Patrick K. O'Brien and Roland Quinault eds., The Industrial Revolution and British Society Cambridge and New York : Cambridge University Press 1993 Macfarlane Alan Marriage and Love in England, 1300-1840: Modes of Reproduction Oxford and New York : Blackwell 1986 McLaren Angus A History of Contraception from Antiquity to the Present Day Oxford and Cambridge, MA : Blackwell 1990 Maclean Ian The Renaissance Notion of Woman: A Study in the Fortunes of Scholasticism and Medical Science in European Intellectual Life Cambridge and New York : Cambridge University Press 1980 Mason Michael The Making of Victorian Sexuality Oxford and New York : Oxford University Press 1994 Meer Theo van der De wesentlijke sonde van sodomie en andere vuyligheeden: sodomietenvervolgingen in Amsterdam, 1730-1811 ( The Essential Probe of Sodomy and Other Filthinesses: Persecution of Sodomites in Amsterdam, 1730-1811 ), Amsterdam : Tabula 1984 Norton Rictor Mother Clap's Molly House: The Gay Subculture in England, 1700—1830 London : GMP 199z Porter Roy and MikuláS Teich eds., Sexual Knowledge, Sexual Science: The History of Attitudes to Sexuality Cambridge and New York : Cambridge University Press 1994 Porter Roy and Leslie Hall The Facts of Life: The Creation of Sexual Knowledge in Britain, 1650-1950 New Haven and London : Yale University Press 1995 Roper Lyndal Oedipus and the Devil: Witchcraft, Sexuality and Religion in Early Modern Europe London and New York : Routledge 1994 Schiebinger Londa Nature's Body Boston : Beacon Press and London: Pandora Press, 1993 Shorter Edward The Making of the Modern Family New York : Basic Books 1975 ; London : Collins 1976 Stone Lawrence The Family, Sex and Marriage in England, 1500-1800 London : Weidenfeld and Nicolson, and New York: Harper, 1977 Stone Lawrence Road to Divorce: England, 1530-1987 Oxford and New York : Oxford University Press 1990 Tannahill Reay Sex in History London : Hamish Hamilton and New York: Stein and Day, 1980 Trumbach Randolph Sodomitical Subcultures, Sodomitical Roles, and the Gender Revolution of the Eighteenth Century: The Recent Historiography," Eighteenth-Century Life 9 (1985 ), ,

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109

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21

Trumbach , Randolph , " Sex, Gender, and Sexual Identity in Modern Culture: Male Sodomy and Female Prostitution in Enlightenment London ," Journal of the History of Sexuality 2 ( 1991 ), 186 203 -

Trumbach , Randolph , " The Origin and Development of the Modern Lesbian Role in the Western Gender System: Northwestern Europe and the United States, 1750-1990 ," Historical Reflections I Reflexions Historiques 20 ( 1994 ), 287 320 Wagner, Peter, Eros Revived: Erotica of the Enlightenment in England and America , London : Seeker and Warburg , 1988 Weeks , Jeffrey, Sex, Politics and Society: Regulation of Sexuality since 1800 , London and New York : Longman , 1981 ; revised -

1989 Whitbread , Helena , ed., I Know My Own Heart: The Diaries of Anne Lister, 1791-1840 , London : Virago, 1988 ; New York : New York University Press , 1992

Shigeno Yasutsugu Japanese

1827–1910

evidential historian

One of the pioneers of modern Japanese historiography, was the founder of an influential school of kōshō shigaku, or evidential history. Shigeno's knowledge on studies derived from Japanese, Chinese, and Western sources. When he was a student at the shogunal Confucian college in Edo he became interested in the Tokugawa tradition of evidential studies. Through contacts with Chinese scholars in Tokyo, he came to see that learning was best served not simply by conceptual thought and elegant composition, but also by evidential scholarship. He also paid much attention to modern Western historiography and archival studies, and believed that all the world's scholarship must ultimately resolve itself into induction and evidential studies. As head of the Office of Historiography sponsored by the

Shigeno

evidential

Meiji

government,

Shigeno

was

responsible

for

searching

out

and re-examining historical documents from all localities in Japan, which was part of the preparation for compiling the official chronological history of Japan. As a result, a large amount of primary material was collected and arranged in chronological order. The projects for the compilation and publication of these materials then started, and continue today at Tokyo University's Institute of Historiography. As research progressed, Shigeno and his colleagues began to adopt an objective attitude aimed at discovering facts. This marked a departure from the hortatory or moralistic history that had dominated premodern historical thinking and writing. In 1889, at the suggestion of Ludwig Riess, a German belonging to the school of Ranke, Shigeno founded the Historical Society of Japan at Tokyo Imperial University to promote modern historical research. In his speech entitled "Those who engage in historical work must be fair and in their hearts" at the inaugural meeting of the society, which was considered the founding declaration of evidential history, Shigeno presented a motto for historians which consisted of two quotations from the Chinese writings: Chiucheng chia-an (To make comments according to evidence) and ju-shi zhi-shu (To write bluntly based on facts). The journal of the society was then established, and it remains one of the most authoritative history journals in Japan. With another evidential historian, Kume Kunitake (18391931), Shigeno tried to demonstrate, based on his findings in original sources, that some popular historical figures, including a loyal minister and several righteous persons, were fictitious.

historian impartial

For that reason, he was labeled "Dr. Expunger" by his But Shigeno responded fearlessly that he did not mind

opponents.

being the enemy of even a whole country, because he intended to establish history as a discipline independent from politics and ethics. He and his colleagues put together their research results in Kōbon kokushigan (A Survey of Japanese History, 1890), which was long used as a college textbook, exercising influence on Japanese historical education. The project for compiling the official chronological history of Japan under Shigeno's leadership, however, was discontinued by the in 1893, after strong opposition from a group of scholars to the writing of Japanese history in Chinese, to evidential history, and to the very fact of historiography being undertaken by the government. Shigeno continued his study thereafter as an independent historian on a wide range of topics, such as the age of the gods, the Nara period, the Kamakura shogunate, Shintoism, Buddhism, Chinese studies in Japan, and the administrative district system in Japanese history. Some of his views are still the basis of commonly held points of view on

considerable

government

nationalistic

modern Japanese history. DE-MIN TAO See also Japan

Biography

Shigeno Yasutsugu Born 6 October 1827. Attended the domain school Zōshikan in Satsuma, studied at the shogunal college Shōheikō in Edo, and served as instructor at both institutions Head of the Office of Historiography , 1877-88 ; professor, Tokyo Imperial University, 1888-93 Senator, 1888-90; member of House of Peers, 1890-1910 Died 6 December 1910. .

.

.

.

Principal Writings

Kōhon kokushigan ( A Survey of Japanese History ), 1890 Seisai bun shosbū ( The First Collection of Seisai's [Shigeno's] Essays ), 1898 Seisai bun nishū ( The Second Collection of Seisai's [Shigeno's]

Essays ), 1911 Seisai sensei ikō (Posthumous Works of Professor Seisai [Shigeno] ), 1926 Shigeno hakase shigaku ronbunshu ( A Collection of Dr. Shigeno's Historical Essays ), 3 vols., 1939 Further Reading "

Iwai Tadakuma , Shigeno Yasutsugu," in Nagahora Keiji and Kano Masanao , eds., Nihon no rekishika (The Historians of Japan ), Tokyo : Nihon hyōronsha , 1976 " " Nishimura Tokihiko , Seisai sensei gyōjō shiryō ( Biographical Materials on Professor Seisai [Shigeno] ), Shigaku zassbi (Journal of the Historical Society of Japan ), 22 : 5 ( 1911 ) Numata Jirō , Shigeno Yasutsugu and the Modern Tokyo Tradition of Historical Writing ," in William G. Beasley and Edward G. Pulleyblank , eds., Historians of China and Japan , London : Oxford University Press , 1961 "

fortunate

to be advised at Chiba High School by Naka Mich yo (1851-1908), the pioneer advocate of Asian history as an field, and at Tokyo Imperial University by Ludwig Riess, a Rankean historian of Germany who introduced modern Western historiography into Japan. Inspired by them and his own research experiences in Europe from 1910 to 1903, and encouraged by Japan's expansion through two wars against China and Russia around the turn of the century, Shiratori was determined to establish Asian history in Japan in order to catch up with, or even surpass the field in the West.

independent

His intention

represented

a

kind of academic nationalism in

Meiji Japan. Shiratori chose Korea and Manchuria as his first subjects for research, because these two areas had been little studied in the West, where the focus had traditionally been on China, Mongol history, and Central Asia. He was also successful in shedding new light on the Xiongnu [Hsiung-nu] by tracing its Mongolian and Tungusic roots, an argument counter to the traditional view in the West that the Xiongnu was of Turkish origin. What increased the credibility of Shiratori's scholarship were his mastery of Western research methods and terminology and his free and creative use of abundant data from the Chinese dynastic histories. The former made it possible for him to communicate with Western Orientalists, while the latter ensured him the upper hand in the interpretation of Asian history. Shiratori's research interests, however, were not restricted to the history of Asian ethnic groups in the areas surrounding China. He also made several critical studies of the Chinese and Japanese classics, which had considerable on the Japanese academic world. Perhaps Shiratori's most important contribution was his leadership in setting up several research institutions. He founded the Society for Asian Studies (Ajia gakkai) in 1905, which later became incorporated into the Society for Oriental Studies (Tōyō kyōkai, whose journal remains even today a major scholarly periodical in the field). In 1908, he was successful in persuading the president of the South Manchuria Railway Company to set up under his directorship a research department in its Tokyo branch to promote studies of Korean and Manchurian history and geography. The multivolume publications from the department, including those later in the name of Tokyo Imperial University, laid the foundations for the field. Shiratori was also successful in persuading the owner of the Mitsubishi Corporation to purchase the famous Morrison collection, which became the nucleus of the Oriental

influence

Library (Tōyō bunko, 192.4),

a

key

institution which Shiratori

himself served as first director of research. The efforts of Shiratori's teacher Naka and Shiratori first came to fruition in 1894 when Tōyōshi began to be taught as one of the history subjects at middle schools, and in 1910 at the renaming of Tokyo Imperial University's Chinese history department as a

Töyöshi department. DE-MIN TAO

Shiratori Kurakichi Japanese

1865–1942

historian of Asia

Biography Born 4 February 1865. Attended school in Chiba ; studied history Tokyo Imperial University, BA 1890 Taught at Gakushūin University 1890 1911 ; and Tokyo Imperial University 1904-25 .

Shiratori Asian

was

the principal founder of the modern study of in Japan. As a young student, he was

history (Tōyōshi)

-

,

Died 30 March 194z.

,

.

at

Principal Writings Saiikishi

kenkyū

1941-44 ;

( A Study of Central Asian History ),

vols.,

vols.,

reprinted 1981

Shiratori Kurakichi zenshū 10

2

( Complete Works of Shiratori Kurakichi ),

1971

Further Reading Goi Naohiro , Kindai Nihon to tōyōsbigaku (Modern Japan and Oriental History ), Tokyo : Aoki shoten , 1976 Ishida Mikinosuke , " Shiratori Kurakichi sensei shōden " ( A Short Biography of Professor Shiratori Kurakichi ), in Shiratori Kurakichi zensbū ( Complete Works of Shiratori Kurakichi ), vol. 10 , Tokyo : Iwanami shoten , 1971 " Oyama Masaaki , Shiratori Kurakichi ," in Nagahora Keiji and Kano Masanao , eds., Nibon no rekishika ( The Historians of Japan ), Tokyo : Nihon hyōronsha , 1976 Tanaka , Stefan , Japan's Orient: Rendering Pasts into History , Berkeley : University of California Press , 1993 Tsuda Sōkichi , " Shiratori hakase shōden " ( A Short Biography of Doctor Shiratori ), in Tsuda Sōkichi zensbū ( Complete Works of Tsuda Sōkichi), vol. 24 , Tokyo : Iwanami shoten , 1965

Sigerist, Henry

E.

1891–1957

Swiss-American medical historian It was Henry E. Sigerist who introduced the methods and approaches of the social history of medicine and disease into

medical

history a discipline based on philological and biobibliographical grounds at that time. Sigerist was striving for a new medical history that would deepen the social of physicians but would also remain fully integrated into medical science. During the 1930s and 1940s Sigerist fervently -

commitment

advocated a national health insurance system supposed to free medical care to the entire population of the United States. In addition, he fought for a comprehensive reform of the American healthcare system by means of a socialized in the way it was practised in the Soviet Union. After studying medicine in Zurich and a short period of practicing as a doctor, Sigerist, born into a wealthy Swiss family, decided in 1917 to work as an independent scholar studying the history of medicine. On the recommendation of Karl Sudhoff, director of the Institute for the History of Medicine in Leipzig, and having mastered numerous Oriental languages, Sigerist started to study and edit medieval texts. Although later in life he turned to social history, Sigerist remained dedicated to the production of careful editions and translations of remote sources of medical history. He acquired his qualification as a university lecturer (Habilitation) for the history of medicine at Zurich with Studien und Texte zur frühmittelalterlichen Rezeptliteratur (Studies and Texts on the Early Medieval Literature of Prescriptions, 1923). At the Institute for the History of Medicine in Leipzig, Sigerist's interest during the second half of the 1920s more and more shifted to of culturally determined medical thinking (Denkstil) in different societies. Going beyond the limits of historicism, he employed Oswald Spengler's organismic metaphors such as growth, flourishing, and paralysis, in order to characterize phases of transformation. In his 1929 paper "William Harvey's Stellung in der europäischen Geistesgeschichte" (William Harvey's Position in the History of European Thought), Sigerist

guarantee

medicine,

transformations

related Harvey's discovery of blood circulation to a change in the attitude towards life of the Baroque era. In contrast to the relativism of his medical historiography of culture, Sigerist remained loyal to an idea of progress rooted in the continuous accumulation of medical facts. He argued that medical science originated from interpreting the actual facts. In 1932 Sigerist left Germany for the Johns Hopkins Institute of the History of Medicine in Baltimore, where he made links between culture and medicine and sought to replace earlier vague metaphors. In a number of programmatic papers Sigerist called for the observation of the social, economic, and political roots of health and disease, of the doctor-patient of medical theory and practice. In Civilization and Disease (1943) he explained the interdependence of disease as a biological phenomenon and the historical contingencies within a given society. After studying Marxist theories, Sigerist began to focus on nutrition, housing, working conditions, and the standard of living in regard to the frequency and of disease. Sigerist held that religion, philosophy, law, and politics had an impact on the social position of the patient. By changing an individual's predisposition these factors could influence the origin and course of certain diseases. Sigerist also examined the financial and demographic consequences of disease as well as alternating interpretations of it by religion, philosophy, art, and science. Despite this, he always claimed that the scientific interpretation could not be questioned by medical historiography. Sigerist argued that the contemporary explanation of disease evolved from magical and religious origins to philosophical and finally definite scientific stages. Sigerist's philosophy of history during the 1920s, dominated by cultural pessimism, had been transformed into an belief in scientific progress. His student George Rosen expanded this idea in order to base the comprehensive social history of medicine on sound case studies. Recent theoretical developments such as the history of the body and the social construction of disease further reveal the ideological of the scientific model. Sigerist increasingly committed himself to public health issues, using the social history of medicine as a tool to bring about radical reforms of the American healthcare system. His survey of medicine in capitalism Amerika und die Medizin, 1933 (American Medicine, 1934) was followed by Socialized Medicine in the Soviet Union {1937). Sigerist advocated the integration of preventive and curative medicine in socialism as a promising model of healthcare for any country. Health was to control the entire life of the individual. Sigerist demanded that the physician be a social reformer whose task was to optimize the individual's social adaptation. A future society based on socialism would solve all its problems by science. Ideological errors of the past would become as would infectious diseases and social medicine. Chronic diseases could be mastered by individual medical treatment. As a consequence of Sigerist's Utopian vision of socialized he was branded a Bolshevik, and he left the United States in 1947. Sadly, Sigerist's theories distracted attention from his pioneering findings on the social and cultural dependence of disease and medicine. After his return to Switzerland, Sigerist started an immense project to publish the eight volumes of A History of Medicine (1951-61) which he did not live to complete. He expanded

relationship,

distribution

enthusiastic

components

education

redundant

medicine

the focus of medical history from famous doctors and of medical technology to the economic and social roots of disease in history, the role of doctors and patients within society, and the ideological background of medical concepts. He did not question, however, the objective truth of medical science, nor the progressive view of the role of the medical profession along with its power to interpret disease in a given society. It was not until the 1970s that this role was discussed along with the debate about professionalization and medicalization. Nevertheless, medical history would never have adopted modern historical methods and approaches or its function within medical science without Sigerist's scientific and political commitment.

innovations

critical

RALF BRÖER

Fee , Elizabeth , and Edward T. Morman , " Doing History, Making Revolution: The Aspirations of Henry E. Sigerist and George Rosen ," in Dorothy Porter and Roy Porter, eds., Doctors, Politics and Society: Historical Essays , Amsterdam : Rodopi , 1993 Fee , Elizabeth , and Theodore M. Brown , eds., Making Medical History: The Life and Times of Henry E. Sigerist, Baltimore : Johns Hopkins University Press , 1997 Wäspi , Marianne Christine , Die Anfänge des Medizinhistorikers Henry E. Sigerist in Zürich ( Medical Historian Henry E. Sigerist's Beginnings in Zurich ), Zurich : Juris, 1989

Sima

Guang

[Ssu-ma Kuang]

Chinese

historian,

statesman, poet, and

1019–1086

essayist

Guang was born in north China's Henan (now Shanxi) province and attained the rank of chief minister at the end of a long and distinguished political career. He was a conservative Neo-Confucian politician and policy critic who passionately opposed the regime of his southern Chinese opponent, "Wang Anshi (1021-86). The hostility between the two factions led to Sima Guang's semi-retirement in Luoyang from 1070 to 1084, where he and his co-authors Liu Bin (1022-88) and Fan Zuyu Zizbi (1041-98) completed a general history of China the Aid in Mirror for Government) tongjian (Comprehensive magnum opus on which the reputation of Sima Guang as a historian is based. A prolific writer, Sima Guang's extant historical works include Jigu Lu (Survey of Records Past) and Sima wengong wenji (Collected Writings of Sima Guang). Together with Sima Qian's Historical Records, Sima Guang's Comprehensive Mirror, appearing more than a thousand years later, exerted great influence on premodern Chinese and East Asian historiography. Like the annals sections of Historical Records, Comprehensive Mirror is a chronicle presentation of the general history of China up to the historia