Freedom: A History 9780814784495

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FREEDOM

FREEDOM A History Donald W. Treadgold

NEW YOR K UNIVERSIT Y PRES S NEW YOR K AN D LONDO N

Copyright © 199 0 by New York Universit y All rights reserve d Manufactured i n th e Unite d State s of America

Library of Congress Cataloging-in-Publicatio n Dat a Treadgold, Donal d W. , 1922 Freedom, a history / Donald W . Treadgold . p. cm . Includes bibliographica l references . Includes index . ISBN 0-8147-8190- X (alk . paper ) ISB N 0-8147-8191- 8 (pbk. : alk. paper ) 1. Democracy—History . 2 . Fre e enterprise—History. 3 . Liberty — History. 4 . Pluralis m (Socia l sciences)—History . I . Title . JC421.T76 199 0 32i.8'o9—dc2o 90-4067 1 CIP New Yor k Universit y Pres s books are printed o n acid-free paper , and thei r bindin g materials ar e chosen fo r strengt h an d durability .

Book design by Ken Venezio

Contents

Acknowledgments vii Introduction 1 i. Th e Ancestr y o f Freedom i n th e Mediterranean : Th e Jews 11 2. Th e Ancestr y of Freedom i n th e Mediterranean : Th e Greek s 34 3. Rom e and th e Hellenisti c Mediterranea n 52 4. Th e Beginning s of European Freedom , 350-105 0 75 5. Th e Hig h Middl e Ages: The West , Byzantium , an d Islam , 1050-135 0 101 6. Th e Renaissanc e an d th e Reformation, 1350-165 0 137 7. Th e Birt h o f Constitutional Government , 1650—180 0 186 8. Th e Comin g of Democracy, 1800-1990 : Par t 1 230 9. Th e Coming of Democracy, 1800-1990 : Par t 2 270 10. Th e Comin g of Democracy, 1800-1990 : Par t 3 307 11. India , China , an d Japan 342 12. Lati n Americ a 371 Conclusion 411

vi Contents Notes 417 Index 439 About th e Author 460

Acknowledgments

To begin with , m y thanks t o Morris Leibma n an d hi s colleague s of the America n Bar Association , wh o firs t suggeste d tha t I tr y somethin g o n thi s subject . Next , to th e Rockefelle r Foundatio n an d th e splendi d staff , America n an d Italian , o f the Villa Serbellon i a t Bellagio , Italy , wher e I began thi s wor k in th e fal l o f 198 2 as Schola r i n Residence , unde r th e mistake n impressio n tha t I coul d produc e i t in a few week s or months. Next , t o my son Warren, a professor o f Byzantine an d Western medieva l histor y a t Florid a Internationa l University , an d th e followin g colleagues a t th e Universit y o f Washington , wh o patiently rea d individua l chap ters o r section s o f chapters an d mad e helpfu l correction s an d suggestions : Dauri l Alden (Lati n America) , A . Geral d Anderso n (Scandinavia) , Fran k Conlo n (Sout h Asia), Jac k L . Dul l (China) , Arthe r Ferril l (th e ancien t world) , Susa n Hanle y (Japan), an d Pete r F . Suga r (Eas t Centra l Europe) ; an d t o m y wif e Alva , wh o read it all, sectio n b y section, i n severa l drafts. Finally , t o my valued friend Coli n Jones, directo r o f Ne w Yor k Universit y Press , wh o rea d th e entir e manuscrip t twice an d mad e man y excellen t editoria l suggestion s whic h I acte d upon , some times reluctantly , havin g becom e convince d tha t h e wa s (almos t always ) right . All thes e individual s helpe d m e remov e man y error s an d infelicities . Fo r thos e that remain , I alone am responsible . My entranc e int o th e compute r ag e too k plac e durin g th e latte r par t o f th e seven year s o n whic h I worke d (wit h man y distractions ) o n thi s volume , a fac t that bot h slowe d down an d spe d u p the process of writing. I owe much t o Russell Carr, wh o introduced m e to the compute r an d taugh t m e how t o make it do what I wished . The footnote s contai n fo r th e mos t par t eithe r identificatio n o f th e source s of Vll

viii Acknowledgments direct quotation s o r clos e paraphrases , o r explanatio n tha t migh t b e neede d b y the genera l reade r of matters referre d t o in th e text . A full accoun t of my sources would includ e virtuall y everythin g I hav e eve r read—historica l monograph s an d periodicals, fiction, magazines , newspapers—lecture s heard , course s taken , an d courses give n (for , lik e ever y othe r teacher , I hav e taugh t mysel f muc h whil e lecturing), professiona l an d recreationa l travels , seriou s a s well a s casual conver sations. I believe it wa s Strindber g wh o somewher e penne d th e lin e for a character i n on e o f hi s plays , " I hav e rea d you r works ; I kno w al l your secrets. " One' s life ma y find reflectio n i n one' s writings . I hop e thi s boo k i s a n instanc e o f tha t proposition. But th e subjec t i s no t persona l o r private ; i t i s a part—not th e only , perhap s not th e mai n part , bu t a vita l an d fundamenta l part—o f th e lif e o f th e huma n race. I would lik e t o see th e boo k judged a s such , an d no t merel y a s one angl e of vision (thoug h o f cours e i t i s als o that ) o n th e stor y o f mankind ; no t jus t a s historiography, bu t a s history . I n th e yea r 199 0 i t i s clea r tha t th e questio n o f freedom, howeve r understood , belong s t o th e presen t an d futur e a s wel l a s th e past. Donald W. Treadgold

FREEDOM

Introduction

What This Book Is About In 198 8 Secretar y o f Stat e Georg e Shult z wrote , "No t s o man y year s ago , demo cratic nation s wer e though t t o b e a dwindlin g an d embattle d minority ; toda y th e idea o f democrac y i s amon g th e mos t importan t politica l force s o f ou r t i m e . " l T h e phenomenon concerne d i s one fo r whic h Shultz' s politica l part y an d th e presiden t whom h e serve d claime d muc h credit , an d n o doub t bot h ma y justifiabl y b e assigned a share . Mor e significant , however , i s surel y th e apparen t reversa l o f the intellectua l an d territoria l expansio n o f Marxism , seemingl y unstoppabl e i n the 1970s , an d it s replacemen t b y th e sprea d o f th e idea s o f politica l democracy , free enterprise , an d institutiona l pluralis m int o severa l hithert o inhospitabl e corners o f th e globe—abov e al l (bu t b y n o mean s exclusively ) int o almos t al l Communist-ruled countries . In th e summe r o f 1989 , Franci s Fukuyama , deput y directo r o f th e Stat e Department's policy-plannin g staff , publishe d a n articl e heavil y indebte d t o G. W . F . Hege l i n whic h h e announced , wit h som e reservations , th e ' e n d o f history a s such : tha t is , th e en d poin t o f mankind s ideologica l evolutio n an d th e universalization o f Wester n libera l democrac y a s th e final for m o f huma n govern ment" or , i n anothe r passage , "a n unabashe d victor y o f economi c an d politica l liberalism." 2 Fukuyama's articl e provoke d widesprea d discussion ; som e critic s foun d th e article to o optimistic . A n animate d discussio n o f th e sor t ofte n indicate s tha t a partial trut h ha s bee n stated , an d s o i t appear s i n thi s instance . Throughou t th e world muc h ha s indee d bee n gaine d i n respec t t o politica l democracy , fre e 1

2 Freedom:

A History

enterprise, an d institutiona l pluralism . However , muc h stil l seem s t o b e ou t o f reach, an d muc h tha t ha s bee n gaine d migh t stil l b e los t agai n i n thi s o r tha t country. In thi s boo k th e ter m freedom is used t o refer t o the situatio n o f the individua l and th e bod y politi c i n th e institutionall y pluralisti c societie s o f th e pas t an d present. I make an attemp t t o survey the historical record , fro m th e Sumerian s t o the presen t day , o f ho w th e curren t exten t o f freedom's succes s (whethe r o r no t Shultz or Fukuyam a ha s exaggerated it ) came about. A t the same time, th e recor d should illuminat e th e difficultie s o f creatin g an d preservin g a fre e societ y an d prepare th e reade r fo r th e possibility of dramatic setbacks—suc h a s the massacr e in Tienanme n Squar e in Beijin g on 4 June 1989 . Not man y others hav e made th e attempt . On e historia n wh o has is Herbert J . Muller, i n thre e sizabl e volumes. The y ar e very different fro m thi s work. I n on e of the m Mulle r writes , " I mak e n o apologie s a t al l fo r ignorin g mos t o f th e political an d militar y histor y tha t filled th e conventiona l historie s o f th e past.' 3 In another , h e confesses , " I d o no t actuall y 'cover ' moder n history , decad e b y decade, countr y b y country , wa r b y war , e t cetera." 4 I n respec t t o thos e tw o issues—or ar e they reall y onl y one?— I tak e th e othe r approach , whethe r i t b e regarded a s bold or tedious ; I examin e politica l (th e militar y onl y whe n i t affect s politics more or less directly) history country by country an d sometime s decade by decade. Whethe r i t is "conventional " t o do so or whether wha t I say in substanc e can b e s o described I leav e t o others t o judge. M y judgments ar e m y own, bu t i f they concu r wit h thos e o f man y o f m y colleagues—and , therefore , woul d b e "conventional" perhaps— I i n tur n mak e n o apologies. I give less spac e t o social, economic, an d cultura l matters , no t becaus e I regar d the m a s les s interestin g o r important bu t becaus e politica l an d lega l institution s ultimatel y establis h th e extent an d shap e o f freedo m i n an y give n spo t (eve n i f the y ar e regarde d a s economically o r sociall y determined t o some degree), an d the y are , therefore , m y focus. My claim i s that thi s i s the first volum e t o attempt th e histor y of freedom o n a world scal e within a single pair of covers. I make no claim t o have established th e eternal trut h o f an y o f th e issue s I trea t an d invit e other s t o improv e o n wha t I have tried t o do.5 The subjec t merit s furthe r study . A s Gertrude Himmelfar b ha s recently asked , "Ho w ca n w e mak e sens e o f political institution s an d traditions , when th e histor y o f politica l institution s an d tradition s i s belittle d o r ignored? " She refers , incidentally , t o thos e fo r who m "conventiona l history " i s periphera l and can be dispensed with. 6 I must ad d tha t I have trie d t o make clear th e geographica l area s in whic h th e events i n questio n too k place . Fo r severa l year s th e pres s ha s bee n filled wit h

Introduction 3 accounts o f th e hair-raisin g geographica l ignoranc e o f Americans—students amon g the wors t o f all . M y sympath y goe s t o thos e wh o tr y t o lear n o r teac h wit h th e aim o f reducin g tha t ignorance ; politica l designation s o f particula r area s ar e no t only multitudinous bu t als o keep changing. Th e historia n o f freedom mus t d o his best t o follow th e changes . Freedo m doe s no t float in th e cloud s abov e th e earth , but it develops within specifi c political units even if their territoria l limit s change. Though I have tried t o shape my analysis from a worldwide perspective, I have left ou t som e areas importan t fo r th e histor y o f free institutions : mainl y they ar e Canada, Australia , Ne w Zealand , an d (th e whit e population s of ) Sout h Africa . Also omitted simpl y because one must sto p somewhere are a few smalle r countrie s (Belize, Guyana , Suriname ) o f th e mainlan d America s an d mos t o f th e Wes t Indies; the newly independent islan d group s of the Pacifi c an d India n oceans ; the African countrie s that , beginnin g wit h th e independenc e o f Ghan a i n 1957 , attempted t o establish democrati c system s and , wit h interestin g exception s suc h as Botswan a an d (fo r a time ) Gambia , see m thu s fa r mostl y an d sadl y t o hav e failed. As for sources , the y include th e readin g of a lifetime, plu s a good deal of travel and prolonge d stay s i n Europ e an d Asia . I hav e used som e o f th e bes t recen t scholarly literature , an d fo r purpose s o f makin g sur e I migh t b e a s up-to-dat e a s possible regardin g curren t scholarl y consensus , I hav e foun d severa l work s o f synthesis an d reference work s to be invaluable. I can only hope that my reviewers will forg o remindin g u s al l tha t n o on e ca n kno w al l th e worl d wel l enoug h t o write a book of this sor t with unvaryingl y magisteria l authority . I hav e no t sough t t o b e original , revisionist , o r t o overthro w establishe d opinion; on th e contrary, I have attempted t o write a history tha t mos t people can accept a s recountin g mor e o r les s th e wa y thing s were . I f th e historian s wh o scent i n tha t ai m a lamentable ech o of Leopol d vo n Rank e wer e just t o se t asid e that discover y an d concentrat e o n whethe r the y find m y accoun t plausibl e i n general o r i n particular , I shoul d b e fortunat e indeed . I respec t th e stud y o f historiography an d believe we can lear n muc h fro m i t about ho w men an d wome n think abou t th e pas t an d ho w the y ar e influence d b y the presen t i n th e formula tion o f thei r thoughts . Bu t thi s boo k i s no t a n essa y i n historiograph y bu t i n history. In ou r da y we hear a good deal of relativists wh o brush asid e th e values of th e West a s ethnocentri c an d parochia l an d exal t othe r values o r see k t o bran d Western value s a s hypocris y o r sham . Par t o f th e thrus t o f suc h relativis t argument—to th e exten t tha t i t rise s abov e th e shee r yahoois m tha t i n th e yea r of ou r Lor d 198 8 successfull y demande d th e radica l revisio n o f th e cours e o n Western cultur e i n one of our greatest universities 7 —is drive n b y revulsion fro m

4 Freedom:

A History

self-satisfied Wester n attitude s o f a n earlie r time , exemplifie d b y th e Victoria n Englishman's contemplation , orall y o r i n print , o f a worl d outsid e tha t wa s assumed t o be inferior t o his own, pas t an d present . Such_ attitudes wer e first attacke d b y historian s o f th e Wes t wh o criticize d their colleague s wit h th e taun t "th e Whi g interpretatio n o f history. " Herber t Butterfield define d thi s a s th e tendenc y "t o writ e o n th e sid e o f Protestant s an d Whigs, t o prais e revolution s provide d they hav e bee n successful , t o emphasiz e certain principle s o f progres s i n th e pas t an d t o produc e a stor y whic h i s th e ratification i f no t th e glorificatio n o f th e present/ ' Or , mor e succinctly , i t i s th e view o f th e historia n wh o i s "Protestant , progressive , an d whig , an d th e ver y model o f th e 19t h centur y gentleman " (wit h n o apologie s t o Gilber t an d Sulli van).8 Neve r min d tha t i t wa s th e grea t Catholi c write r Lor d Acto n wh o prove d to b e fo r Butterfiel d th e poin t wher e th e Whi g historia n "reache d hi s highes t consciousness,"9 an d on e ma y wel l overloo k othe r possibl e problem s wit h The Whig Interpretation of History. Its subjec t matte r is , i n fact , no t Whigs an d Torie s (but, especially , Luthe r an d th e Roma n Catholi c church) , s o on e finishes i t uncertain abou t exactl y what Butterfiel d thought . However, i n an y case it may be argued tha t th e Whigs of seventeenth-centur y England, wit h al l their huma n weaknesses , di d in fac t tak e decisive step s towar d the libert y tha t Englan d finally secure d an d man y othe r countrie s imitated—or , denying tha t the y wer e inspire d b y an y foreig n model , duplicated . Bu t n o on e today, surely , woul d conten d tha t onl y Protestant s an d Whigs , o r al l suc h per sons, wer e th e leaders in th e establishment o f free societies , o r that al l successfu l revolutions ar e praiseworthy , o r tha t al l th e misdeed s o f th e pas t ar e justified b y a blameles s present . I endeavor , i n thi s volume , t o avoi d a "Whig " o r an y othe r interpretation tha t woul d find a singl e caus e o r a n alway s conjoine d grou p o f causes tha t woul d account fo r th e growth of freedom i n al l times and places. I am distrustful o f attempts t o establish suc h causation , whethe r i t be in race, climate , the natural environment , o r something else. I d o no t see k t o redefin e freedom , o r t o discove r freedo m wher e n o on e els e has, o r t o argue tha t freedo m i s th e prou d possessio n o f one countr y o r traditio n or people o r a happy fe w suc h places , ideas , o r groups . Rather , m y purpose i s t o show ho w certai n element s o f fre e societ y mad e thei r appearanc e i n a n amazin g variety of places—from ancien t Sumeri a an d Chin a t o medieval Japan t o modern Czechoslovakia an d recen t Cost a Rica—outsid e o f th e tradition s o f Wester n Europe an d Nort h Americ a tha t ar e familia r t o man y o f us . Sometime s thos e elements develope d an d flourished; sometime s the y weakene d an d disappeared . But the y ma y reappea r i n an y par t o f th e world . Recently , thousand s hav e demonstrated fo r democracy—unsuccessfully i n Burma, wit h amazin g success in Poland, on e millio n i n on e plac e a t on e tim e (thoug h th e upsho t wa s tragi c

Introduction 5 failure) i n China . I n anothe r month , year , o r centur y th e plac e name s ma y change, bu t recen t event s suppor t th e view that freedo m i s to be found imbedde d as an aspiration i n mankind itself. 10 Freedom, whic h ha s mature d i n ou r tim e t o embrac e democrac y an d huma n rights, ha s i n th e pas t embodie d variou s ingredient s an d ma y b e define d differ ently i n differen t periods . Mulle r ha s calle d Pericles' s Funera l Oration , a s re ported b y Thucydides , "th e first manifest o o f democracy " an d cite s Pericles' s contention tha t "ordinar y citizens, thoug h occupied with the pursuits of industry, are stil l fai r judge s o f publi c matters." 11 Pericles' s vie w o f th e soun d politica l sense of the citize n remain s a n integra l par t o f the intellectual defens e o f democracy. Speakin g of the eighteent h century , Jame s Michene r asserts , "Polan d love d freedom; i t wa s a restricte d freedom , t o be sure , an d i t applie d onl y t o th e ver y rich, bu t nevertheles s it was freedom.'' 12 H e is here speaking mainly of individual liberties amon g the aristocracy of a preindustrial age . George Shultz , speakin g of 1988 , writes : "Elite s i n th e Eas t an d Wes t recog nize tha t advance d economi c powe r come s fro m a hig h leve l o f education , a n openness t o the world, a rational distribution o f decision-making power, emphasi s on individua l initiative , decentralizatio n o f authority , greate r freedo m o f infor mation an d association , an d th e righ t o f th e peopl e t o hav e a sa y i n thei r ow n affairs an d destiny." B Shultz ha s i n min d th e worl d of the greate r an d lesse r powers, whos e militar y strength an d political weight in international affair s res t on the siz e and conditio n of thei r gros s nationa l product , rat e o f growth , distributio n o f income , an d th e other majo r constituent s o f thei r economies . H e argues , however , tha t tha t basi c economic strengt h derive s fro m makin g informatio n an d educatio n availabl e t o the broades t possibl e populac e an d fro m securin g thei r maximu m influenc e o n the polit y o f thei r countr y an d thei r individua l rights . Computers , technologica l innovation, an d organizationa l mechanism s figure i n Shultz' s conceptio n a s the y could no t in tha t of Pericles, bu t th e human being s concerned ma y still be at roo t the same. Elsewhere I hav e contende d tha t th e majo r feature s o f th e patter n whos e history I have trie d t o summarize i n thi s book ar e ( I hav e added one phrase only ) (1) political pluralism : th e sharin g o f authorit y b y princes, i n la w an d fact , wit h central an d local governmental institutions , developin g into constitutional govern ment an d ultimatel y democracy ; (2 ) socia l pluralism : th e existenc e o f socia l classes whos e propert y an d right s wer e partl y secure d b y contractua l an d othe r legal base s independen t o f princes ; (3 ) stron g property : possessio n o f whic h i s secured b y contrac t o r clea r title ; (4 ) th e rul e o f law ; (5 ) applicatio n o f th e religious doctrin e o f th e absolut e valu e o f th e individual , unevenl y an d intermit tently but nevertheles s persistently , t o secular institutions. 14

6 Freedom:

A History

In thi s boo k I hav e concentrate d o n th e first fou r elements ; i t ha s seeme d t o me tha t th e fifth woul d tak e th e reade r to o far afiel d an d might best b e discussed in som e othe r context . Sometime s a pluralit y o f politica l unit s o r institution s appears t o have been crucia l (i n Sumeri a or th e Hol y Roman Empire) , sometime s a nascent pluralit y o f socia l classe s (i n medieva l wester n Europe) , sometime s th e beginnings o f genuin e lega l system s (i n Nationalis t Chin a o n th e mainland) . A t every stage , som e radical s hav e bee n hear d t o denounce wha t ha s bee n obtaine d because i t i s no t everything , becaus e th e natio n (whicheve r i t is ) has bee n aske d to accep t par t instea d o f th e whol e o f democracy . Othe r radicals , however , a s well a s liberals , ma y instea d hav e trie d t o work wit h th e ne w reform s (whateve r they are) , hopin g t o build o n the m towar d th e longer-range , broade r goal . Some times, i n thei r determinatio n t o do things perfectly , thos e wh o wished t o defen d democracy hav e ended by being its gravediggers, a s in Russi a in 1917 . The question s ma y b e raised , Wha t i s th e rol e o f consciousnes s an d wha t i s the rol e of spontaneit y i n th e proces s o f th e emergenc e o f a free society ? That i s to say , wha t rol e ma y huma n wil l play ? Ho w successfu l ca n th e intentio n t o create democrac y be ? On e o f th e lesson s a boo k o f thi s sor t migh t teac h i s tha t there ar e limitation s o n wha t goo d intention s ca n d o i n thi s regard ; th e la w o f unintended consequence s operate s her e a s elsewhere. Democracy canno t b e enacted a t a given moment by decree from abov e or mass action fro m below . I t ha s prerequisites ; moreover , non e o f the m ca n b e brough t into bein g overnight . Withou t a histor y tha t include s a degre e o f politica l an d social pluralism , a n approac h t o stron g property , an d a rul e o f law , democrac y will b e feeble an d tenuous . I t wil l no t d o to expect th e American governmen t (o r any othe r agency , Wester n o r indigenous ) t o creat e democrac y i n Thir d Worl d country X at 8:0 0 A.M . nex t Wednesda y an d the n reproac h i t fo r failin g t o do so. On th e othe r hand , i t i s unprove n tha t becaus e countr y X ha s neve r enjoye d democracy, i t never can . Th e recor d of how freedom an d democracy have come to parts o f th e worl d bu t di d no t succeed i n comin g o r hav e bee n damage d o r destroyed i n other part s ma y well be of use in deciding when patienc e is essentia l and when i t is simply an ai d and a justification fo r oppression an d tyranny .

How the Present Situation Came About Summing up the achievement o f the medieval West, Lor d Acton wrote : The issue of ancient politics was an absolute state planted on slavery. The political produce of th e Middl e Age s wa s a syste m o f state s i n whic h authorit y wa s restricte d b y th e representation o f powerful classes , by privileged associations, and by the acknowledgment of duties superior to those which are imposed by man.15

Introduction 7 The ancien t world—tha t is , th e Mediterranea n basin—gav e ris e t o severa l fre e institutions, beginnin g wit h Sumeri a an d th e Nea r Easter n empires , a s wel l a s ideas about freedo m (bot h "Jewish, " or existential, an d "Greek, " or institutional , freedom), bu t bot h institution s an d idea s wer e swallowe d u p i n th e magnificent , creative, an d ye t ofte n crue l Roma n Empire . Th e Wester n Middl e Age s rescue d or revive d som e remnant s o f th e ancien t creations , bu t th e perio d produce d a tripartite conjunctio n o f elements tha t represent s a s close t o creation ex nihilo as human histor y affords . S o Acton implies , an d h e is right. (Th e Japanese creatio n of a genuinel y pluralisti c societ y i n medieva l time s mus t b e reckone d a s a clos e competitor.) Of course , moder n time s di d no t receiv e thes e legacie s smoothl y o r preserv e them tranquilly . Th e Renaissanc e an d Reformation di d not start by strengthenin g representative governmen t o r liberty , no t eve n freedo m o f conscience. Th e strength of the Wester n church , whic h ha d don e much t o limit th e power of the medieva l states, decline d markedly . In th e Protestan t states , Luthera n an d Anglica n prince s seized contro l o f th e churc h directly ; i n state s tha t remaine d Catholic , ruler s increased thei r influenc e o n ecclesiastica l affairs , rejectin g papa l dictates , or , i n the case of France, ignorin g the decrees of the Council of Trent (th e chief Roma n Catholic answe r t o the Protestan t Reformation) . But fo r th e tim e being the most noticeabl e phenomeno n wa s th e way in whic h politics becam e a vehicle fo r religiou s fanaticism . Hig h Catholi c clergy , wh o ha d served thei r monarch s unobtrusivel y i n earlie r times , becam e th e chie f minister s of th e newl y powerfu l states—fo r example , Cardinal s Richelie u an d Mazarin . Protestant divine s seeme d t o waffle : Calvi n bega n b y advocatin g abolitio n o f popular assemblie s i n favo r o f a n aristocrac y o f th e elect , bu t Frenc h Calvinist s responded t o the Catholi c monarchy' s attemp t t o kill the m al l in th e Massacr e of St. Bartholome w b y revivin g th e medieva l doctrin e o f resistanc e t o tyrants . Th e Dutch Calvinist s deposed th e Spanis h Catholi c king . Th e Scottis h Calvinis t John Knox advocate d killin g al l Catholic s i n hi s country , thoug h h e wa s unabl e t o do so. Bu t th e religiou s zealot s could no w operate only through thei r state s no t thei r churches. A fe w writer s stil l trie d t o thin k i n th e term s affectin g al l mankin d (rathe r than particula r sects) , whic h wer e thos e of Thoma s Aquina s an d othe r medieva l thinkers—for example , Richar d Hooke r i n Englan d an d Hug o Grotiu s o n th e continent. The y discusse d th e political veritie s tha t underla y al l state s an d socia l forces an d th e contracts , explici t o r implied , tha t boun d societ y together ; and Grotius , i n extendin g suc h reasonin g int o th e ne w "international " are a that followe d th e Peac e of Westphalia, gav e us the beginnings of modern interna tional law. The ne w strengt h o f monarch y le d t o a n equall y ne w politica l doctrine : th e

8 Freedom:

A History

divine righ t o f kings . I t coul d dra w o n som e Ne w Testamen t support , an d eve n the Jewis h philosophe r Spinoz a believe d tha t th e stat e shoul d contro l religion . But alon g with tha t doctrin e it s polar opposit e mad e its appearance : th e old righ t of resistanc e broadene d int o th e righ t o f revolution . Th e Dutc h wage d wa r fo r long years, an d thei r final victor y ove r thei r Spanis h master s migh t b e see n a s a revolution. Th e Englis h acte d o n a right of revolution, kille d a king, an d se t up a republic—though th e short-live d experimen t wa s not adjudged successful . I n th e eighteenth century , contro l o f th e forme r English , no w Britis h (afte r th e unio n with Scotland) , stat e passed into the hands of Parliament, controlle d b y the land owning gentry , t o whic h Locke' s associatio n o f libert y wit h propert y seeme d a secure foundation fo r al l politics. But th e sam e Lock e defende d a righ t o f resistance , an d i t wa s used b y th e American colonist s t o justify a finally successful rebellion , followe d b y the estab lishment o f a republic . I n supportin g th e Americans ' actions , Edmun d Burk e declared tha t "i f any public measure is proved mischievously t o affect [th e natura l rights o f mankind] , th e objectio n ough t t o b e fata l t o tha t measure , eve n i f n o charter [writte n law ] a t al l coul d b e se t u p agains t it. " Thu s di d triump h doctrines o f limite d governmen t an d natura l rights , roote d i n medieva l politica l teachings, an d "th e divin e righ t o f kings " (or parliaments) o f early modern time s fail. Its failur e o n th e Europea n continen t wa s accomplished , o r cemented , b y th e French Revolution . Actin g o n America n notion s o f liberty , th e revolutionarie s added equality , pursue d b y Marat o n th e basi s of the idea s of Rousseau. "Frater nity" ( a secularize d versio n o f th e Christia n "brotherhoo d o f man") di d less well; the radicals' zeal to kill aristocrats led to many deaths—the Terro r finally claimed many more victims amon g the lower classes tha n amon g the highest. Bu t equalit y did better ; Frenc h succes s i n breakin g dow n lega l barrier s amon g classes—s o that ever y Frenchma n migh t wit h som e justification bea r th e titl e citoyen —was exported eastward , partl y throug h th e tram p of Frenc h revolutionar y armie s an d partly throug h eage r emulation b y other Europea n peoples . There resulte d a mor e consisten t pursui t o f justice fo r person s o f al l classe s and backgrounds . I n th e nineteent h an d earl y twentiet h centuries , Englis h common la w an d th e Frenc h Napoleoni c code s sprea d int o man y corner s o f th e world: in 186 4 even Russia obtained a new legal system based on the goal of equal justice fo r all , includin g th e newly emancipated serfs . Equality ha d importan t politica l consequences . Suffrag e wa s graduall y broad ened, propert y an d othe r qualification s fallin g awa y bi t b y bit , unti l universa l manhood suffrag e wa s attaine d i n man y Europea n countrie s a s i t ha d previousl y existed i n many of the Unite d States . Woma n suffrag e followed . The exception s tha t remaine d cam e unde r increasin g criticism . I t wa s agree d

Introduction 9 by al l politica l leader s tha t th e first an d fundamenta l ste p fo r Russia , afte r th e overthrow o f th e tsa r i n Marc h 1917 , wa s t o hol d election s o n th e basi s o f universal, equal , secret , an d direc t suffrage—th e "four-tailed " formula , sacro sanct amon g the revolutionarie s an d liberals , th e gift o f centuries' politica l development i n th e Wes t t o th e infan t democrac y o f th e Russia n future . (Whe n th e elections were finally held, o f course, th e Bolsheviks then in power set the verdic t aside.) Liberty—"civil liberties " wa s th e ne w term—o f though t an d expressio n wa s secured more slowly and unevenly. Th e basic documents existed: th e English an d then America n Bil l o f Right s an d th e Frenc h Declaratio n o f th e Right s o f Man . Once agai n th e pursui t wa s launche d o f loophole s an d shadows , an d i n th e twentieth centur y al l sort s o f guaranteed right s wer e discovere d b y th e Suprem e Court o f the Unite d State s t o have lain unsuspecte d al l along in th e Constitutio n of 1787 . During th e nineteent h century—or , t o be precise, th e hundred-yea r peac e of 1815—191416—the Europea n countrie s graduall y buil t th e foundation s o f constitutional democracy. Ther e wer e attempt s t o "cros s th e institutiona l divide " th e wrong way, t o force countrie s fro m th e path of pluralism t o monistic autocrac y or totalitarianism (i n Germany , i n particular , an d t o a lesse r degre e i n Ital y an d certain easter n Europea n countrie s wher e democrac y ha d neve r bee n firmly established). Th e boundles s damag e Hitle r an d Mussolin i di d t o their countries , the Continent , an d th e worl d need s n o recountin g here . Th e noteworth y fact , from th e standpoin t o f our story , i s tha t i n German y an d Ital y democrac y wa s s o swiftly an d successfull y restored , mor e solidl y tha n i t ha d eve r been, o n th e basi s of historical experienc e an d ideologica l assumption s tha t ha d bee n cas t asid e bu t not destroyed durin g the Naz i and Fascis t years. In th e late r twentiet h century , fre e an d pluralisti c societie s ha d com e t o exist in all Europe west an d sout h of the Communist countrie s a s well as in th e forme r colonies or dominions of Great Britai n wher e Anglo-Saxon majoritie s existed-—i n the Unite d State s an d Canada , i n Australi a an d Ne w Zealand , an d i n Sout h Africa, wher e Englis h an d Afrikaans-speakin g white s togethe r mak e u p a smal l minority ( a hybri d polit y existe d wher e democrac y an d libert y wer e enjoye d bu t by whites only), an d in Japan. There wer e som e interesting marginal cases of the attemp t t o establish democracy. I n Indi a an d Turkey, possibl y Thailand, ther e was evidence that democrac y might b e putting down root s in mainlan d Asia . In Lati n Americ a only a couple of dictators remained , thoug h countrie s wher e democratic governmen t coul d be said to have been full y institutionalize d wer e stil l difficult t o find. As a slogan , "civi l liberties " ha s generall y give n wa y t o "huma n rights. " Th e latter ha s become the touchston e of public discussion, a s well as intragovernmen -

io Freedom:

A History

tal debat e i n man y a Wester n capita l city , abou t ho w muc h t o approv e o f th e current situatio n i n othe r countries . I n th e las t year s o f th e twentiet h century , the focu s o f attentio n fo r me n o f good will, o r a t an y rat e internationall y minde d liberals, seem s t o have become th e individual, no t social or political systems . Ho w badly th e polic e behave (t o be sure , ofte n ver y badly) i n a given countr y i s apt t o be th e cente r o f discussion instea d o f whethe r la w o r propert y right s o r freedo m of speec h an d pres s ar e institutionalize d o r hav e an y prospect o f becoming such . Part o f th e reaso n i s doubtles s th e vie w o f a n increasin g numbe r o f politica l scientists an d journalists tha t al l social and political systems, if not essentially th e same, stil l ar e no t fundamentall y different ; therefore , i t remain s onl y t o tr y t o assure th e individual decent treatmen t everywhere . Nevertheless, i t wa s a remarkabl e phenomeno n o f th e earl y 1990 s t o se e a n unmistakable, worldwid e tren d towar d democracy—eve n i f i n man y case s th e direction wa s clear , th e goa l wa s stil l distan t o r elusive . Pas t histor y shoul d inculcate a health y skepticis m concernin g whethe r democrac y i s abou t t o b e attained everywher e i n th e world , a s wel l a s a preparednes s fo r th e possibilit y that man y countrie s apparentl y clos e to the "institutiona l divide' ' are going to slip back rathe r tha n cros s it soon . Nevertheless , th e pas t twenty-si x hundre d years , or eve n five thousand, yiel d th e reassurin g messag e tha t durin g tha t lon g period freedom ha s improve d it s exten t significantly , wit h respec t bot h t o geographica l breadth an d institutional depth . The whol e story , wit h it s fits an d start s an d triumph s an d tragedies , deserves the thoughtfu l reflectio n o f everyon e who , i n th e wis h t o establis h an d protec t freedom, woul d avoi d needles s disappointmen t an d despai r an d desire s t o ac t intelligently t o attai n th e attainable . Bu t eve n fo r th e quietist , th e perso n wh o has n o faith i n huma n actio n t o improve man' s lot , th e stor y is worth pondering , for alon g wit h failur e an d miser y i t hold s muc h tha t i s noble an d uplifting , tell s of muc h gai n fo r humanit y throug h patien t sufferin g an d self-sacrifice , an d catches a visio n o f libert y fo r al l i n th e presen t an d possibl e futur e tha t wa s inconceivable a t th e dawn of history.

CHAPTER I

The Ancestry of Freedom in the Mediterranean: The Jews

The earlies t recorde d accoun t o f a n exercis e o f huma n freedo m t o whic h mor e than casua l significanc e i s attached may be the stor y of Adam as given in Genesis. Adam mus t hav e ha d th e capacit y t o obey o r disobe y God s injunctio n no t t o ea t the frui t o f th e tree , o r hi s disobedienc e wa s a n ac t withou t meaning . I n eatin g it, Ada m i s depicte d a s havin g accomplishe d th e Fall o f Ma n or , mor e broadl y interpreted, a s havin g affecte d th e predispositio n o f al l subsequen t member s o f the huma n rac e t o err , t o disobey , t o separat e themselve s fro m th e divine . Separation o f oneself fro m Go d is a standard Christia n definitio n o f "sin. " Adam's ac t symbolicall y bequeathe d t o mankin d a n inheritanc e tendin g t o error an d misbehavior, o r sin , bu t i t did not stri p man of his freedom. Mose s tell s the Jews , "Circumcis e therefor e th e foreski n o f you r heart , an d b e n o mor e stiffnecked" (Dt . IO:'I6)— a qualit y h e ha s forcefull y attribute d t o them . Whe n he i s clos e t o th e poin t o f summin g u p th e law , h e declares , "See , I hav e se t before the e thi s da y lif e an d good , an d deat h an d evil " (Dt . 30:15) . I n effec t Moses is saying, no w choose, fo r you are free t o do so, but choose rightly. Indeed , law i n an y societ y ha s n o meaning i f th e person s t o whom i t i s intende d t o apply lack th e capacity t o obey it—or disobey . Among th e ancien t Hebrew s ther e wa s n o suc h thin g a s civi c equality , no r was ther e clea r socia l stratification . Th e Greek s ha d both . Bu t th e Jews als o had the good fortune t o lack, fo r most of their history, somethin g else: the governmental structure s o f the great Nea r Easter n empire s i n th e midst of which Israe l wa s situated. A s these state s ros e and fell , mor e tha n onc e subjugatin g th e smal l an d n

12 Freedom:

A History

weak Jewis h people , i t wa s temptin g t o tr y t o imitat e them . Th e kingdom s established unde r Davi d an d hi s successor s coul d b e independen t onl y whe n th e empires o f Egyp t an d Mesopotami a suffere d fro m period s o f weakness . Th e Hebrew king s borrowe d certai n device s o f thei r statecraft . Nevertheless , thei r religion di d muc h t o restrai n the m fro m institutionalizin g an d regularizin g suc h devices as compulsory labo r or the census . The Ol d Testamen t chronicle s muc h miser y an d oppression . Ther e ar e mo ments o f another sort , chie f amon g them th e period of the unite d kingdo m unde r David and Solomon . Lon g subject t o others, th e Jews achieved their own indepen dent state—indee d a n empire , i n th e sens e o f includin g othe r people s amon g those ruled—unde r a monarc h o f thei r ow n ethni c stock . Fo r a thousan d year s they ha d live d a s subject s o r tributarie s o f orienta l empires , an d a s fa r a s they knew ther e existe d nothin g els e i n th e wa y o f politica l system s t o choos e fro m than Nea r Easter n monarchy . Th e reign s of David an d Solomo n were th e apoge e of succes s fo r th e ancien t Hebrews , th e momen t o f brightes t glory . Bu t viewe d from th e standpoin t o f th e histor y o f freedom, th e tw o reigns ma y be interprete d as Jewish contribution s t o the heritage of free societie s precisely because they fel l short of duplicating th e political system s of the region ; because eve n in its closes t approximation o f th e despotis m o f it s neighborin g states , Israe l produce d mon archs whos e power was incomplete, imperfect , an d transitory . Mesopotamia: Part One Those circumstance s ca n b e fully understoo d onl y by contemplating th e previou s two or thre e millenni a i n th e Nea r East . I t i s there , an d specificall y i n Mesopo tamia, 'th e lan d between th e rivers," that civilization seem s first to have appeared and histor y t o have begun . B y 350 0 B.C . th e Sumerian s wer e i n th e area , an d i t is the y wh o hav e lef t th e oldes t text s tha t survive . W e kno w o f som e for m o f political organizatio n amon g the m fro m earl y i n th e thir d millenniu m B.C. — around 2850—b y whic h tim e a networ k o f city-state s ha d com e int o existence . The name s ar e know n o f abou t a dozen; mos t wer e quit e small . I n one , Lagash , the king , Uruinimgin a (earlie r rea d a s "Urukagina") , 'undertoo k t o refor m th e official corruptio n o f hi s da y an d t o chec k th e oppressio n o f th e poor , thu s reestablishing th e "righteou s law s of Nin-girsu," which ha d been violated by evildoers." l Th e tim e was the twenty-fourt h centur y B.C . The Sumerian s wer e evidently conquere d aroun d 236 0 B.C . b y the Akkadians. They borrowed muc h o f Sumerian cultur e an d wrote their own Semitic language, quite differen t fro m Sumerian , i n th e cuneifor m syllabi c scrip t th e latte r ha d developed. Thoug h Akkadian s wer e i n th e regio n a good deal earlier , i t wa s the n that Sargo n o f Akka d throug h conques t founde d th e "firs t tru e empir e i n worl d

Freedom in the Mediterranean: The Jews 1 3 history." 2 Barbarians , know n a s Gutians , fro m th e Zagro s Mountain s overthre w the Akkadia n empir e aroun d 218 0 B.C . Ther e ensue d somethin g o f a Sumeria n renaissance. Par t o f th e evidenc e o f suc h a thin g ar e length y inscription s tha t survive o f th e ensi (god' s steward) , o r princ e o f Lagash , Gudea . A sculpte d representation o f him , no w i n th e Britis h Museum , ma y b e th e oldes t artisti c depiction o f a particular perso n know n t o u s b y name . Whe n th e Tigris , whic h the go d Nin-girs u controlled , faile d t o ris e a s usua l an d flood th e fields i n th e needed manner , Gude a wen t t o th e god' s templ e an d ther e experience d a vision in whic h h e understoo d tha t h e mus t rebuil d anothe r templ e o f Nin-girsu—an d did so. The discharg e o f one's dut y t o family, ruler , an d god s was th e prime virtu e of ancient Mesopotamia. 3 Ou r informatio n i s fragmentary , bu t th e evidenc e o f th e existence o f tw o suc h attractiv e figures a s Uru'inimgin a an d Gude a withi n a period of three or four suc h remot e centuries i s arresting. Fro m the earliest phas e of developmen t o f th e Sumeria n city-state s come s documentar y materia l abou t a conflict betwee n th e king s Gilgamesh o f Erech an d Agga of Kish, whic h ha s been interpreted a s showing tha t powerfu l assemblie s existe d then—indeed , a kind of "primitive democracy." 4 Fascinatin g political potentialities ma y well be discerned in the Mesopotamia n beginnings ; but whatever they were, they were not realized . Sumerian cultur e survive d rathe r bette r tha n Sumer' s roug h approximatio n o f political pluralism . A s lat e a s approximatel y 205 0 B.C. , a certai n Ur-namm u sponsored an d encourage d muc h constructio n a s wel l a s literar y activity , an d h e was autho r o f th e first know n la w code . Georg e E . Mendenhal l give s u s a list of seven ancien t code s o f whic h Israel' s a t th e tim e o f th e Exodu s i s th e last ; th e previous si x are all Mesopotamian . Th e fame d Cod e of Hammurabi i s only fourt h on th e list. 5 At least in th e ancient world , code s are best understoo d a s putting in writing principles generally followed b y judges of the time. I n severa l cases, codes seem t o have bee n draw n u p whe n significan t change s i n governmen t ha d take n place, possibly with minor innovations or alterations reflectin g th e will of the ne w rulers. To possess a code is not necessaril y t o possess law; the absenc e of a code is not necessarily th e absenc e of law. An d yet it is true tha t Mesopotami a seem s to have been preoccupie d wit h la w i n huma n affair s an d orde r i n th e universe . I n contrast, ancien t Egyp t wa s not . No t a singl e la w cod e ha s eve r bee n foun d b y Egyptologists, an d th e urg e t o arrang e eve n th e mos t importan t thing s i n orde r was s o fa r absen t tha t i t appear s impossibl e t o plac e Egyptia n deitie s i n som e coherent hierarch y o r set of relationships. Within a couple of centuries o f the cultura l flowering of the Third Dynast y of Ur (ca. 205 0 B.C.), Sumeria n cease d t o be a spoken language and was replaced by Akkadian a s th e vernacular , althoug h fo r severa l hundre d year s longe r i t co n tin-

14 Freedom:

A History

ued a s a languag e o f liturg y an d learning , lik e Lati n i n th e medieva l an d earl y modern West . Politically , a profound chang e occurred . Nomadi c Wester n Sem ites, calle d Amorite s (th e Babylonia n nam e fo r Westerners) , overwhelme d Ur , which ha d com e to rule mos t of Mesopotamia , an d a series of Semiti c riva l state s appeared: Assyri a (fro m th e cit y o f Ashur ) an d Mari , whic h wer e Akkadia n an d Amorite respectively , i n th e nort h an d thre e Amorit e principalitie s i n th e south , chief of which wa s Babylon. Babylon emerge d a s victo r unde r Hammurab i (d . 168 6 B.C.) . H e crushe d Ashur an d Mari , drov e ou t th e rule r o f anothe r neighborin g state , an d preside d over an impressiv e cultural florescence. Babylonian s wrot e epi c poems, dictionar ies, grammatica l texts , an d mathematica l an d astronomica l treatise s an d com posed th e fame d la w code. Muc h o f this owed its substanc e t o Sumerian anteced ents. I n som e respects, i n fact , Sumeria n cultur e did not die but remain s with u s still—the sexagesima l method , fo r example , o f measurin g th e minute s o f a n hour, th e second s of a minute, th e degrees of a circle, an d so forth . Obviously, th e Sumerian s ha d man y merit s an d achievement s t o thei r credit . At the sam e time, ther e appeare d amon g them a type of centralized stat e that wa s something ne w i n huma n history . (Mor e o r les s simultaneousl y a similar syste m emerged in other regions, apparentl y in a manner owing nothing to Mesopotamia n example o r influence. ) B y the tim e of the Thir d Dynast y o f Ur , ther e wer e som e forty province s o f th e empire , eac h rule d b y an ensi. That ter m n o longer mean t an independent prince ; it no w denoted a n official appointe d b y the king . I t seem s that onl y occasionally coul d th e offic e b e transmitte d fro m fathe r o r uncl e t o son or nephew. Th e ensi collected annua l tribute . Ther e wa s much templ e land, an d there existe d privat e propert y o f a sor t (tha t is , no t belongin g t o king , ensi, o r temple). W e d o not kno w th e details , o r eve n th e mai n feature s o f th e economi c and socia l organization , thoug h scholarl y wor k unde r wa y o n a s ye t unanalyze d documents ma y substantially increas e what i s known. Scholars continue , however , t o assume tha t i n U r II I ther e wa s absolut e rul e by a monarch ove r a strongly centralize d state , exercise d throug h a n impressivel y competent bureaucracy skille d in recor d keeping . Par t of the prerequisites fo r th e development o f suc h a grou p la y i n Mesopotamia n mathematica l achievements , but especiall y basic was the idea of using soft clay not only for bricks and jars and for the jar stopper s on which a seal could be impressed as a mark of ownership but also as the vehicle for impressed signs to which established meanings were assigned—an intellectual achievement that amounted to nothing less than the invention of writing.6 Unfortunately, writin g could be put t o negative as well as positive uses, employe d to distort th e pas t a s well a s t o record i t truthfully . On e o f th e earlies t example s

Freedom in the Mediterranean: The Jews 1 5 of tha t fac t know n t o ma n i s th e so-calle d Sumeria n kin g list , a n accoun t composed i n th e Ol d Babylonia n period , followin g th e on e w e hav e jus t bee n examining. I t maintain s th e fiction tha t ther e ca n b e onl y on e kin g an d on e capital cit y i n Mesopotami a a t an y one time . Therefore , dynastie s no w know n t o have bee n contemporar y wit h on e anothe r appea r i n a singl e lin e o f succession . Of subtle r significanc e ma y b e th e fac t tha t an y referenc e i s omitte d t o suc h relatively attractiv e element s o f Sumeria n histor y a s Uru'inimgina/Urukagin a (and hi s whol e dynasty , th e Firs t Dynast y o f Lagash ) an d th e cultura l flowering of ca . 300 0 B.C . Th e motive s o f th e compiler s canno t b e ascertained . I n vie w of what happened later , however , th e importance of replacing a multiplicity of states by a single one is clear. I t wa s doubtless attractiv e t o project th e curren t central ization bac k into the past a s far a s possible. How coul d a centralized stat e aris e i n Mesopotamia , a phenomenon unknow n to mankin d i n th e thousand s o f year s preceding ? On e crucia l poin t wa s tha t i n the north agricultur e based on rainfall wa s possible and reliable; but in th e south , below a point nea r Samarra , onl y artificia l irrigatio n coul d produc e crops . Exca vations i n th e villag e o f Tal l Sawwan , datin g fro m th e sixt h millenniu m B.C. , give us a n indicatio n o f approximately whe n th e penetratio n o f irrigation agricul ture int o th e ric h land s o f th e sout h too k place . Th e first irrigatio n ma y hav e been onl y th e diversio n o f a bi t o f wate r fro m th e grea t rivers , th e Tigri s an d Euphrates, an d their tributaries ; then cam e possibly the collecting of flood waters in basins ; finally, a syste m wa s constructe d o f dams , canals , dikes , an d othe r large-scale works. The energie s an d resource s o f mor e tha n a ric h ma n o r family—ultimatel y those o f a grea t state—wer e neede d t o finance an d buil d o n suc h a scale . Th e collection o f taxes , th e raisin g of armies , an d th e staffin g o f a bureaucracy wen t together. Onc e th e institution s concerne d wer e i n place , a stat e wa s capabl e o f other thing s a s well . I n Mesopotamia , they include d buildin g a great mud-bric k wall righ t acros s th e country— a dee d o f Kin g Shu-Sin , thir d successo r o f Ur Nammu o f U r III , wit h th e purpos e o f keepin g ou t th e nomadi c trib e know n a s the Tidnum. I n Egypt , giganti c monuments wer e constructed tha t were of no use at all to the living, thoug h putatively they gave the dead good service.

Egypt: Part One For Egypt , wate r wa s visibl y th e basi s o f civilize d life , i n tha t huma n habitatio n snaked narrowl y alon g th e cours e o f th e Nil e whil e eas t an d wes t o f tha t stri p uninhabitable deser t stretche d t o the horizon . A s Herodotus said , Egyp t wa s th e "gift o f the Nile. ,,

16 Freedom:

A History

On the regular behavior of the Nile rested the prosperity, the very continuity, of the land. The thre e season s o f th e Egyptia n yea r wer e eve n name d afte r th e lan d condition s produced b y the river ; akhet, th e "inundation" ; peret, th e seaso n when th e land emerged from th e flood; and shomu, th e tim e whe n wate r wa s short. Whe n th e Nil e behaved as expected, whic h mos t commonl y wa s th e case , lif e wen t o n a s normal ; when th e flood failed or was excessive, disaster followed. 7 Around 310 0 B.C . i t seem s tha t tw o predynasti c kingdoms , i n Uppe r an d Lower Egyp t respectively , wer e unite d unde r a king know n a s Mene s (th e sam e as Narmer?) , wh o establishe d hi s capita l nea r th e borde r o f th e tw o state s i n a city late r calle d Memphis . I n th e Firs t Dynast y a system o f writing, hieroglyph ics, alread y existed , a s did a polity in whic h a king ruled supreme , assiste d b y an extensive an d efficien t bureaucracy . B y th e tim e o f th e Thir d Dynasty , th e Egyptian stat e ha d acquire d th e capacit y t o construc t large-scal e publi c works , starting wit h th e Ste p Pyrami d o f Djose r (Zoser) , whic h wa s planne d a s th e king's monumen t an d tomb . Wit h Snefr u o f th e Fourt h Dynasty , wh o accede d about 261 3 B.C. , cam e th e buildin g o f th e first tru e pyramids . An d unde r hi s successor, Khufu , th e Grea t Pyrami d o f Giz a crowne d th e engineerin g effort s made hitherto . Th e apoge e o f centralizatio n seem s als o t o hav e bee n reached . The king , o r pharaoh , wa s regarde d a s th e livin g god , Horus . H e wa s abl e t o mobilize and put t o work th e tota l resource s of Egypt. Scholars hav e com e t o believ e tha t i t wa s no t slaves , a s previousl y thought , who built th e pyramids ; i t wa s th e ordinar y peasant s o f Egyp t bein g employe d i n the tim e o f inundatio n whe n the y coul d no t wor k th e fields an d whe n th e grea t stone blocks, cu t earlie r by modest-sized crews , coul d be moved by water over th e flooded land. Th e Grea t Pyrami d nevertheles s stagger s th e imaginatio n wit h it s 2,300,000 block s of an average weight of two and one-half tons , an d men who cut and carrie d ston e i n suc h quantit y ca n scarcel y b e though t o f a s volunteers . Forced labor produced man y of the worlds mos t famous monuments . In th e Fift h Dynasty , a certai n limite d amoun t o f decentralizatio n occurred . Provincial official s secure d som e degre e o f independenc e fro m th e capital , an d they eithe r wer e grante d o r successfull y asserte d ne w prerogatives an d persona l prominence. B y the Sixt h Dynasty , aroun d 230 0 B.C., th e king' s chie f assistant , or vizier, ha d acquire d considerabl e power ; an d th e provincia l officials , o r nomarchs (from nomes, the units they administered), seeme d close to warranting th e name o f nobles . Ther e followe d a perio d o f turmoi l an d fragmentation . Th e nomes o f Heracleopoli s an d Thebe s vie d fo r power . I n abou t 204 0 B.C. , Mentu hotep I I o f Thebes reunite d th e country an d founde d wha t late r Egyptian s calle d the Middl e Kingdom . A vizier an d governor , overthrowin g hi s king , emerge d t o found th e Twelft h Dynast y a s Amenemhe t I . H e buil t a ne w capita l nea r

Freedom in the Mediterranean: The Jews 1 7 Memphis calle d Itj-towy ; hi s successor s wer e abl e t o reclai m muc h lan d i n th e Fayyum depression b y careful managemen t o f irrigation. Amenemhet III , wh o rule d fo r forty-fiv e peacefu l an d prosperou s years , buil t his pyramid an d a great, puzzlin g structur e know n a s the Labyrint h i n th e newl y reclaimed region . Hi s father , Sesostri s III , wh o acceded i n abou t 187 8 B.C., ha d carried ou t a sweeping an d basi c change : h e ha d smashed , suddenl y an d i n way s the historical recor d conceals from us , th e great provincial houses and reorganize d a bureaucratic regim e based a t Itj-towy . I n th e reig n o f the son , politica l stabilit y was matche d b y a grea t cultura l flowering: sculptur e tha t i s characterize d b y greater humanit y tha n before , man y o f th e classic s o f Egyptia n literature , an d a broadening of the scop e of the religiou s cult o f Osiris t o include hop e of salvatio n for all . But th e momen t di d no t last ; i t neve r does . Afte r th e "golde n age " unde r Sesostris II I an d Amenemhe t III , dissolutio n overtoo k th e Middl e Kingdom — probably no t suddenl y b y conques t bu t rathe r b y gradua l infiltratio n o f Asiati c tribes, calle d Hykso s b y th e late r Egyptia n historia n Manetho . Memphi s wa s captured b y thei r leade r Saliti s (wh o ma y hav e bee n know n als o a s Mayebr e Sheshi) around 167 0 B.C.; he the n assume d th e role and trapping s of an Egyptia n king. Th e Hykso s (the nam e is probably from heqau khasut, Egyptian fo r ' princes of foreig n uplands" ) establishe d a government tha t wa s no t oppressive ; however , like mos t foreig n rulers , ove r sufficien t tim e they cam e t o b e hate d b y th e indigenous inhabitants . Agai n Theban s le d th e wa y fo r Egypt ; thei r king , Ahmose, restore d unit y i n th e Ne w Kingdo m (th e Eighteent h Dynasty ) i n 1570 B.C .

In kin g list s fro m Karna k o f th e Eighteent h Dynast y an d fro m Abydo s an d Saqqarah o f th e Nineteent h Dynasty , w e find histor y tampere d wit h again . Th e names of king s thought worth y o f honor ar e there ; others ar e not. "Man y modes t and certai n unpopula r rulers " ar e omitte d entirely. 8 Bu t i n earlies t Egypt , a s i n earliest Mesopotamia , th e first fifteen centuries , mor e or less, wer e quite enoug h to produce a phenomenon tha t woul d b e repeate d ove r an d ove r i n man y part s of the world : th e centralize d despotism , onc e established , migh t b e threatene d b y geographical an d socia l fragmentation , u p t o th e poin t o f bein g undermine d o r apparently destroyed ; bu t i t prove d capabl e o f reconstitutin g itself , regainin g th e wayward provinces , an d crushin g th e assertiv e official s o r nobles . Th e name s of some kings were suppressed , bu t n o names were invented; an d the most powerfu l monarchs wer e real enough . Such reconstitutio n o f th e despotis m als o occurre d i n Mesopotami a afte r a seeming catastrophe . Th e Ol d Babylonia n Empire , followin g th e reig n o f Ham murabi, decline d rapidly . Les s tha n tw o centurie s afte r Hammurabi' s death ,

18 Freedom:

A History

Babylon ha d suffere d invasio n fro m th e Hittites , possibl y a n Armenoi d peopl e coming fro m th e wes t an d apparentl y possessin g a feuda l stat e i n whic h noble s crowned th e kin g at first, thoug h th e monarch y late r becam e hereditary. 9 Then , shortly afte r 160 0 B.C., Babyloni a fell unde r th e rule of the Kassites . Thus i n th e seventeent h centur y B.C. , bot h Egyp t an d Mesopotami a suc cumbed t o a foreign invader , bu t i n both a subsequent reviva l produced centurie s more of economic prosperity an d military triumph . Mesopotamia: Part Two The Kassite s wer e barbarian s indeed , wh o lef t no t a single documen t o f inscription i n thei r ow n language , thoug h a fe w Kassit e word s hav e bee n locate d i n Babylonian documents . Bu t i n th e roughl y fou r centurie s i n whic h they rule d Babylonia, th e Kassite s see m t o have strongl y influence d th e emergenc e o f something lik e a feudal system . Th e Kassit e king s mad e grants , sometime s ver y larg e ones, t o Kassite nobles—who wer e fe w an d were rapidl y Babylonized , s o that n o sharp ethnic line s can b e easily drawn. In th e words of one authority, man y suc h grants wer e made t o "deserving officers an d civil servants"—that i s to say, it was a questio n o f turnin g official s int o landlords. 10 (A n issu e w e wil l encounte r again.) Shortly afte r 150 0 B.C . ther e aros e t o th e north , aroun d th e source s o f th e Khabur River , wha t vo n Sode n call s simpl y a "feuda l state, " th e kingdo m o f th e Mitanni. 11 I t seem s that th e warrior-nobility, o f Indo-Iranian stock , wer e respon sible for introducin g th e two-wheele d an d horse-drawn wa r chariot int o the Nea r East. The y receive d thei r land s a s inalienable fiefs; th e lande d propertie s could , therefore, no t be sold in law . I n fact , however , th e would-be selle r coul d "adopt " the would-b e buye r i n retur n fo r a certain sum . Th e interestin g potentialitie s o f Mitanni were not realized ; th e kingdom was destroyed by the Assyrians soon afte r 1300 B.C .

Assyria may have existed a s a state several centuries earlier, bu t it was founde d as a n empir e i n approximatel y 135 0 B.C . b y Ashur-uballi t I , wh o thre w of f dependence o n Mitann i an d adopte d a name derived fro m th e ol d capital, Ashur , since th e previou s nam e wa s despise d b y th e mor e cultivate d Babylonians . Gen erally, th e Assyrians were wea k on law and original cultural achievemen t (excep t for thei r impressiv e sculpture ) but were stron g on military art s and violence. Th e kings learned t o use war-chariot troops , drawn fro m th e landed nobles, with grea t effectiveness; horse s were bred with grea t care to draw th e chariots . For a time Babylonia, reviving , surpasse d Assyri a in power. Suc h was the cas e under Nebuchadrezza r I (d . ca . 1103) , unde r who m literar y cultur e flourished and muc h fine poetr y wa s composed , o f whic h th e matur e versio n o f th e Gilga -

Freedom in the Mediterranean: The Jews 1 9 mesh epic , calle d th e Twelve-Tablet poem , wa s th e leadin g but b y no mean s th e only example. A generation late r th e Assyrians rallie d t o raid th e cit y of Babylon, but fo r a considerabl e tim e the y see m t o hav e refraine d fro m tryin g t o destro y Babylonia ou t o f religiou s motives , sinc e th e tw o empire s share d man y gods . Ashurnasirpal I I an d hi s son , Shalmanese r III , directe d thei r conquerin g armie s westward instead , towar d Syria . I t wa s Shalmanese r II I wh o impose d th e pay ment of tribute on Jehu, kin g of Israel, i n 84 1 B.C. As conquered territorie s wer e adde d t o the Assyrian Empire , provincia l gover nors sometime s acquire d muc h power , ofte n i n citie s tha t ha d themselve s bee n capitals o f states . Sid e b y sid e wit h powerfu l officials , somethin g lik e feuda l landlords continue d t o exis t i n Assyria . I n contrast , i n Babyloni a mos t o f th e estates wer e overru n b y invadin g Aramaeans , an d agricultur e fa r beyon d th e limits of cities became nearl y impossible . After a perio d o f declin e an d los s o f territor y i n th e eight h century , Assyri a revived once more; the historians ' ter m i s "neo-Assyrian " empire . Tiglath-pilese r III, a forme r genera l wh o ha d seize d th e throne , kne w wher e th e sourc e o f trouble migh t be ; thus , h e brok e u p man y province s t o mak e th e governor s les s dangerous an d di d muc h t o distribute th e burde n o f taxatio n mor e equitably . H e also raise d th e siz e o f th e empir e t o it s greates t exten t t o dat e b y conquest s i n Syria an d elsewher e an d b y takin g th e crow n o f Babyloni a himsel f fro m a n Aramaean wh o had assume d it . At th e en d o f th e century , Sennacheri b campaigne d int o Syria , an d afte r a lengthy sieg e o f Jerusalem i n 70 1 B.C . wa s someho w brough t t o abando n i t an d withdraw. Bu t h e rallie d hi s armie s t o conquer an d utterl y destro y Babylon . H e built a n enormou s palac e i n Nineveh , ampl y adorne d b y sculpture d representa tions of Assyrian militar y victories and practices. Alon g with large-scal e construc tion, h e demonstrated th e power of the oriental despot to mount impressive publi c works. I n orde r t o provide Nineve h wit h water , th e king had his engineers diver t water b y wa y o f a cana l tha t ha d t o b e carrie d acros s a valley . It s botto m wa s sealed b y cemen t containin g magnesium : tw o millio n block s o f limeston e wer e required. Part s hav e lasted t o this day. Faint portent s o f calamity ma y be sense d i n th e reig n o f Esarhaddon, wh o had the priestesse s o f Ishta r cal l ou t repeatedl y t o hi m "D o no t b e afraid, " an d wh o was brough t b y omen s fro m th e heaven s t o designat e substitut e king s fo r thre e periods during his reign, during which he himself masqueraded as "Mr. Peasant" 12— this despit e th e fac t tha t h e ha d notabl e successe s includin g th e conques t o f Egypt. Ashurbanipa l (668-62 7 B.C. ) gav e th e Assyria n Empir e it s las t year s o f glory, durin g which h e quelled Egyptia n rebellion , capture d an d heavil y damage d Babylon, an d destroye d Susa , capita l o f th e ol d Elamit e enemy . Th e bes t o f Assyrian ar t depicts thes e deeds in bas-relief .

2o Freedom:

A History

During thes e twiligh t years , Assyria n officialdo m ha d com e t o numbe r on e hundred thousand , man y o f the m me n fro m conquere d territories . Frequently , Assyrian ruler s carrie d ou t large-scal e deportation s o f th e populatio n o f annexe d regions an d replace d the m b y others. N o doubt suc h policie s helpe d t o avoid th e growth o f loca l sentiment s o n th e basi s o f whic h rebellio n migh t batten . Th e result mus t als o hav e bee n t o stifl e an y tendenc y fo r civi c prid e o r loyalt y t o a n Assyrian stat e t o develop. The en d seem s t o have com e rathe r quickly . A civil wa r betwee n Ashurbani pal's sons , whil e h e wa s stil l o n th e throne , weakene d th e empire , an d i t coul d not defen d itsel f agains t invader s an y longer . I n 61 2 th e Mede s an d Chaldean s together too k Nineveh . On e general , assumin g th e nam e o f th e founde r o f th e empire a s Ashur-uballit II , hel d ou t unti l 609 . Tha t wa s th e end ; Assyria passe d irreversibly int o history. There wa s a "neo-Babylonian'' a s well as a neo-Assyrian empire . Nabopolassa r of Chalde a o n th e gul f coast , encroachin g o n Assyria , too k th e titl e o f kin g o f Babylonia i n 62 6 B.C . Hi s so n an d successor , Nebuchadrezza r (Nabu-kudurri usur) II , carrie d Babylonia n arm s severa l time s int o Syria . O n on e suc h excur sion, o n capturin g Jerusale m i n 597 , h e deporte d thre e thousan d Jew s t o Baby lonia; the episode was repeated i n 587 , when man y thousand mor e followed . In orde r t o restore a n economi c base in Babylonia , Nabopolassa r ha d begun by rebuilding th e ruine d canal s o f th e region . Hi s so n adde d t o th e syste m o f irrigation, organize d a smoothl y runnin g administration , an d collecte d enormou s sums in ta x an d tribut e moneys. Nebuchadrezza r I I lef t behin d hi m constructio n of lasting renown : th e "hangin g gardens " an d th e Towe r o f Babel, whos e centra l feature an d purpos e wa s tha t o f a temple—a s wel l a s man y fortification s an d religious buildings . Th e las t Babylonia n monarc h wa s an Aramaean , Nabonidus . His reign wa s taken u p with effort s t o avoid the Persia n conques t tha t impended . In 52 9 Cyrus the Great entered Babylo n without a fight; the priests of Mardu k had managed t o arrange surrender , leavin g Nabonidus no alternative. Thu s ende d the er a o f th e grea t Mesopotamia n empires . Unti l Ira q gaine d independenc e i n 1932 thi s wa s someon e else' s land , eve n when—a s i n th e cas e of Ctesipho n an d Baghdad—the capita l of the ruler s wa s in Mesopotamia . Egypt: Part Two In th e Ne w Kingdo m th e officialdom gre w i n size . I n it s earl y years, ther e wa s a tendency fo r hig h offic e t o become hereditary , bu t i t wa s successfull y combated . Egypt's constan t war s produce d powerfu l militar y families ; an d sinc e general s might be particularly clos e to the king s and yet might nee d t o be relegated t o less-

Freedom in the Mediterranean: The jews 2

1

demanding tasks at som e point, the y were often appointe d t o important civi l posts or, als o frequently, t o the position of high priest—of whic h ther e were a number. There wa s also a trend towar d th e formatio n o f high priestl y families. Hereditar y property o r privileg e o f an y sor t i s a potentia l dange r t o an y absolut e monarch , and th e pharaoh s trie d t o appoint outsider s hig h priest s wheneve r they could . A rare documen t fro m th e mid-twelft h centur y B.C . enable s u s t o conclud e tha t most of the land belonge d t o the stat e an d th e temples , an d ther e i s an authorita tive opinion, thoug h challenged , tha t th e same papyrus show s that th e state could tax temple property a t a rate of about 1 0 percent. The powe r o f th e stat e wa s certainl y great . Th e corvee, o r labo r draft , fel l o n all classe s excep t th e officialdom , thoug h th e ric h migh t purchas e substitutes . The centrall y manage d irrigatio n syste m wa s though t t o require suc h compulsor y labor; and once suc h a body of workmen existed , i t could be used, o r squandered , on th e constructio n o f th e roya l tombs—eithe r th e grea t pyramid s o f th e earl y dynasties or the conceale d rock-cu t repositorie s o f the Valle y of the Kings , whic h replaced pyramid s startin g with Amenhote p I . The absolut e primacy , indee d divinity , o f th e pharaoh s wa s neve r place d i n question. Th e pharao h wa s god ; fro m th e lat e Seventeent h Dynasty , fo r a tim e the queen wa s the god's wife (th e god at thi s point was Amon) and was the king' s full sister . In n o other ancien t empir e wa s th e theolog y of kingshi p a s unequivo cal. (I t i s tru e tha t sometime s th e king s wer e als o concede d t o posses s huma n qualities, but , howeve r tha t fac t shoul d be interpreted, ther e wa s no wavering on their divine character. ) Thus th e ancien t empire s o f th e Nea r Eas t establishe d a pattern, imitate d o r duplicated b y authoritarian state s later an d elsewhere, i n which th e center of th e religion an d th e cente r o f th e polit y wer e fuse d i n th e ruler . H e (o r she ; ther e were occasional queens and empresses who did not change the pattern establishe d by males) might b e a god himself, a s in th e case of the Egyptia n pharao h ( a claim Roman emperor s imitate d afte r conquerin g th e country) ; h e migh t b e th e hig h priest, wh o alon e coul d offe r sacrifice s t o heaven , a s i n China ; ther e migh t b e other priests, bu t the y were clearly subordinat e t o him. Thus tru e Caesaropapis m (simply , th e caesa r is the pope ) wa s t o be foun d i n its pur e for m i n th e Orient : th e ancien t Nea r Eas t (an d it s imitator , th e Roma n Empire), eas t Asia , an d th e Islami c empires . I n suc h societies , write s Kar l A . Wittfogel, "th e suprem e representativ e o f secula r authorit y i s als o th e embodi ment o f suprem e religiou s authority." 13 Th e ter m Caesaropapism i s not, inciden tally, appropriat e t o the Byzantine Empir e t o which th e ter m ha s frequently bee n applied, wher e th e Christia n church , alway s i n theor y an d ofte n i n practic e (a s will b e note d later) , coul d challeng e th e state . Th e ancesto r o f th e institutiona l

22 Freedom:

A History

relationship tha t develope d i n th e medieva l Wes t betwee n churc h an d stat e wa s that betwee n prophe t an d kin g i n ancien t Israe l (a t a fe w time s a kin g trie d t o usurp th e religiou s role, bu t suc h attempt s wer e beaten back). Actual pharaoh s o f th e Eighteent h an d Nineteent h dynastie s i n Egyp t seeme d a good deal less than divine , bu t the y achieved much. Thutmos e II I i s remembere d for hi s crucia l rol e i n th e establishmen t o f Egypt' s Asiati c empire . (Durin g hi s minority hi s stepmother , Hatshepsut , acte d a s regen t an d the n a s kin g [no t queen!]). Ahmos e and Amenhotep I campaigned int o Asia. Amenhotep IV , however , produce d a different sor t of innovation b y inaugurating wha t migh t b e calle d a religious revolution . Takin g th e nam e o f Akhenaton , the kin g raised th e sun—interprete d a s a god—to th e position of sole deity or, a t any rate , seeme d t o do s o to the exten t tha t h e suppresse d th e worshi p of Amon and othe r god s and expunge d th e wor d "gods " from certai n existin g monumenta l inscriptions i n toke n o f hi s monotheism . Th e actua l ethica l o r othe r kind s o f philosophical significanc e o f Akhenaton' s innovation s i s fa r fro m clear . Wha t i s plain i s tha t withi n a ver y fe w year s hi s so n (o r suc h h e appear s t o have been) , Tutankhaton, reverse d hi s father' s emphasi s o n th e Ato n (th e sun ) an d reestab lished th e worshi p o f Amon-Re , takin g th e nam e Tutankhame n a s symboli c o f the change . Tha t nam e becam e famous , thoug h no t because of any feature o f his reign bu t becaus e of the discovery of his rich, unplundere d tom b in 1922 . In th e Nineteent h an d Twentieth dynasties , especiall y under th e first three or four king s name d Ramse s an d other s betwee n thei r reigns , th e culminatio n o f Egyptian histor y was reached. Hug e building projects continued, relativ e prosperity wa s maintained , an d interval s o f peac e occurre d amon g militar y venture s themselves no t dangerou s t o th e state . Unde r Ramse s I I (1304-123 7 B.C.) , on e of th e longest-rulin g o f al l monarchs , Egyptian s fough t inconclusivel y t o kee p their Asiati c empire . Ramse s II I stave d of f Libya n invasio n an d thre w bac k attacks o n lan d an d se a b y a n allianc e o f "se a peoples " (comin g fro m Sicily , Sardinia, an d elsewhere) . Bu t afte r hi m th e Asiatic possessions rapidl y fel l away ; the influ x o f silve r an d coppe r stopped ; an d th e econom y declined . Unde r th e Twenty-first Dynast y Nubi a was lost, an d a humbler Egyp t confronting a prouder Israel sen t a pharaoh's daughter t o marry Kin g Solomon. The Libyan s no w manage d t o seiz e th e Egyptia n throne , an d unde r th e Twenty-second (Libyan ) Dynast y th e powe r t o rai d int o Palestin e wa s briefl y regained. However , Egyptian s wer e o n th e verg e o f losin g contro l o f Egyp t fo r good. Th e Twenty-fift h Dynast y wa s Ethiopia n o r Kushite . Durin g th e dynasty' s later years , th e 660s , th e Assyrian s entere d Egypt , defeate d th e monarch , an d installed princeling s loya l t o them . One , Psamtik , afte r a tim e succeede d i n throwing of f Assyria n suzeraint y an d reestablishin g Egyptia n independence .

Freedom in the Mediterranean: The Jews 2 3 However, th e dynasty h e founded , th e Twenty-sixth , wa s ended by the Persians . Cambyses conquere d th e country i n 52 5 B.C., an d Egypt' s greatness wa s past. Israel In th e words of John Bright : In al l th e Genesi s narrativ e n o singl e historica l figure i s name d wh o can , a s yet , b e otherwise identified . No r ha s any mention o f any Hebrew ancestor demonstrabl y turne d up i n an y contemporar y inscription ; sinc e the y wer e nomad s o f littl e importance , i t i s unlikely that any ever will.14 Modern scholar s ar e ap t t o agree tha t th e Ol d Testamen t contain s muc h histori cal truth bu t i s sometimes mistake n i n detail—starting, le t u s say , wit h Exodus , and assignin g th e previou s narrative s t o a different orde r o f literature. However , even if no personalities fro m Genesi s can be given other documentary attestation , the general picture of Semites wandering from Mesopotami a t o Palestine t o Egypt is not at variance with wha t i s known o f the early secon d millennium B.C. No suppor t i s given i n Egyptia n record s t o the stor y of a young Hebre w vizie r to a pharaoh , th e Josep h whos e deat h conclude s Genesis . Bu t th e repor t i n th e sequel of Hebrew slave s at work on the Egyptia n roya l cities Pitho m an d Raamse s (Exodus 1:11 ) i s quit e plausible . Th e cit y o f Raamses , o r Pi-Ramesse , wa s th e former Hykso s capita l o f Avaris , whic h wa s rebuil t b y Nineteent h Dynast y monarchs, especiall y Ramse s II , wh o seem s a ver y stron g candidat e fo r th e pharaoh fro m who m Mose s led his escaping people. Th e firs t mentio n o f Israel i n any documen t come s fro m th e reig n o f Merneptah , Ramse s II' s successor , re counting a victoriou s rai d int o Palestin e i n abou t 123 1 B.C . A triumpha l poe m from thi s inscription contain s th e line "Israe l i s laid waste an d has^no seed." Th e Egyptian ter m refer s t o the people, no t th e country , whic h woul d be an anachro nism; th e implicatio n seem s t o be tha t th e Hebrew s ar e i n Palestin e bu t ar e stil l fighting o r hav e suffere d som e setbac k i n th e proces s o f establishin g themselve s there. 15 The Exodu s possibl y occurre d abou t 127 0 B.C . an d th e centra l thrus t o f th e Hebrew conques t o f Canaa n abou t 123 0 B.C . Perhap s ther e wa s mor e t o bot h events tha n wha t coul d tak e place in a few month s or even a few years . Certainl y more tha n a singl e battle , a t Jerich o o r elsewhere , unde r th e generalshi p o f Joshua, wa s involve d i n th e Hebre w occupatio n o f th e country . Archaeologica l evidence cannot yet , perhap s ever , b e made t o square with th e biblical account : a destroyed Jericho ha s been excavated , bu t th e destruction i s of the twenty-fourt h century B.C., not the thirteenth. 16 H . T . Fran k declares that it is best to interpret the entranc e o f th e Hebrew s int o Canaa n a s a process of assimilation o f Hebre w

24 Freedom:

A History

elements int o Canaanit e culture , thoug h battle s an d siege s doubtless too k place . The Boo k o f Judge s (rathe r tha n Joshua ) indee d suggest s a slo w an d difficul t lodgment i n th e Promise d Land . The Hebrew s ma y or ma y no t hav e been relate d o r identica l t o th e Hapir u o f the Amarna Letters , datin g from roughl y th e fourteenth centur y B.C . Th e Israel ites ma y o r ma y no t hav e bee n th e descendant s o f Jacob , wh o too k th e nam e Israel. Th e Jew s wer e evidentl y s o name d whe n refugee s fro m Juda h forme d groups i n Egyp t afte r th e disaste r o f 58 7 B.C . Bu t Hebrews , Israelites , an d Jew s were al l th e same , an d th e effort s o f suc h late r writer s a s Eusebiu s o f Caesare a to distinguish betwee n goo d pre-Christian Hebrew s an d ba d post-Christian Jew s makes n o sense. Th e peopl e had achieved a n identity restin g on a certain numbe r of tribes , derivin g fro m a share d fait h i n Yahweh , an d ha d acquire d a politica l unity of sorts under a series of "judges"-—that is , military an d political leaders in the process o f pushin g bac k Canaanite , Philistine , an d othe r neighbor s b y th e end of the twelft h centur y B.C. What obviousl y distinguishe s th e Jews fro m thei r neighbor s i n th e grea t Nea r Eastern empire s is the detailed recor d they compiled in th e historical books of the Old Testament. Bu t th e basis or purpose of that accoun t was less a love of history than a lov e of thei r Go d and , perhaps , fea r o f Him . The y wer e clearl y th e first people t o adopt monotheism . Man y scholar s discer n commo n element s i n Jewis h religion an d th e religio n o f thei r neighbors ; other s firmly den y an y suc h thing . One respecte d specialis t declare s tha t th e religio n o f Israe l wa s "absolutel y different" fro m anythin g th e paga n worl d eve r kne w an d tha t i t ha d n o paga n antecedents whatever. 17 Thi s seem s a n overstatemen t quit e unnecessar y t o sup port a contention tha t th e fait h o f Israel ha d unique aspect s of great importance . Monotheism cam e t o be regarded b y the civilization s o f the West a s advanced ; polytheism o r any compromise with monotheism a s retrograde. I t has been argued that monotheis m may , i n fact , b e "no more than despotis m i n religion." 18 Tha t i s to say , th e singl e go d ma y simpl y b e all-powerfu l an d no t goo d o r just , o r no t entirely so . Anothe r angl e o f examinatio n ma y com e fro m Jame s H . Breasted s contention tha t "monotheis m wa s imperialism i n religion." 19 Apparently , wha t i s meant is that monotheism wa s a consequence of imperialism: th e Egyptian leavin g his narro w valle y foun d th e sam e su n shinin g i n othe r part s o f th e countr y o r i n Syria an d othe r foreig n countries , s o concluded tha t ther e wa s bu t on e su n and , hence, onl y one sun-god . This remar k ma y have merit bu t ha s n o visible relevanc e t o the Jews' worshi p of Yahweh. Wha t Yahwe h cam e to be regarded a s being was a power tha t reache d into ever y aspec t o f lif e an d relation s betwee n ma n an d th e cosmos . H e wa s no t the go d of anythin g i n particular , eve n suc h a vital particular a s the sun ; an d H e was no t merel y suprem e bu t mora l i n hi s actions . A measure o f th e newnes s o f

Freedom in the Mediterranean: The Jews 2 5 the kind of theism concerne d wa s that it had political implications—and substan tial ones at that . Israel itsel f was , accordin g t o Martin Noth , a n amphictyony —a term tha t ha d been used fo r similar organization s i n Greece , Asi a Minor , an d Italy. 20 Joh n Bright recommend s agains t usin g th e term , bu t hi s description , a ''sacra l leagu e of tribe s founde d i n covenan t wit h Yahweh, " i s certainly clos e t o the wa y i t ha s been used. 21 Th e tribe s wer e no t al l relate d b y blood ; thei r fait h provide d thei r unity. Israe l seem s ver y earl y t o hav e ha d a centra l shrin e a t Shiloh , preside d over b y a hereditar y chie f pries t an d othe r clergy . T o mee t danger , repe l a n enemy, o r perhaps t o attack one , th e tribe s would be summoned an d mobilized by "judges"—not monarchs , no t generals , no t clergy , bu t leader s sanctione d by , serving, eve n someho w speakin g for God . The Bibl e depicts Mose s a s th e delivere r o f th e Jews fro m Egypt , bu t h e die s before crossin g into th e Promise d Land ; Joshua i s portrayed a s the genera l o f th e conquest. Afte r hi s death, Juda h an d Simeo n serve d a s military leaders ; Othniel , however, "judged " Israel . S o di d th e prophetes s Debora h an d th e mal e sh e summoned t o help, Barak , an d thereafter Gideon . During thes e stage s o f political development—punctuate d b y battles, assassi nations, an d al l sort s o f blood y deeds—th e nee d fo r greate r stabilit y an d conti nuity cam e t o be perceived. A "judge " might gathe r th e force s togethe r fro m th e tribes; when th e danger ha d passed , th e variou s contingent s woul d retur n home . After Gideo n fende d of f th e Midianites , th e men of Israel sai d to him, "Rul e tho u over us , bot h thou , an d th y son , an d th y son' s so n also" ; but Gideo n replied , " I will not rule over you, neithe r shal l my son rule over you; the Lor d shal l rule over you" (Judge s 8:21-22) . Bu t tha t di d no t en d th e pressur e o f sentimen t fo r kingship. Hard-presse d b y the Philistines , th e Jew s reluctantl y adopte d a differ ent system . The reluctanc e i s show n i n tw o quit e differen t accounts , bot h foun d i n 1 Samuel. I n th e first, Yahwe h guide s th e electio n o f Sau l a s king (chap. 9 , 10:1— 16, and 11) ; in th e second , th e greatest of the judges, Samuel , resist s th e deman d of th e people , lecture s the m a t lengt h abou t al l th e evil s the y wil l suffe r unde r kingship, and , whe n i t prove s unavoidabl e t o yiel d t o thei r deman d an d mak e Saul king , ha s Yahwe h produc e a thunderstorm—when th e whea t stand s i n th e field ready for harvest , s o that no t merely momentary frigh t i s the consequence — to sho w th e peopl e th e wickednes s o f wha t they hav e don e (chap . 8 , 10:17-27 , and 12). 22 Th e notio n i s repeatedl y expresse d tha t th e acceptanc e o f a n earthl y king means rejectio n o f Yahweh, an d i n a n amazin g passage Go d tell s Samue l t o listen t o the people , "fo r the y hav e no t rejecte d thee , bu t the y hav e rejecte d me , that I should no t reig n over them" ( 1 Samuel 8:7) . Saul becam e kin g abou t 102 0 B.C . I n Egypt , th e day s o f empir e wer e over ;

26 Freedom:

A History

both Babyloni a an d Assyri a wer e experiencin g period s o f relativ e weaknes s an d were preoccupie d wit h th e continuin g incursion s o f th e Aramaeans . Th e Jew s had conquere d th e Canaanite s o f the highlands , bu t th e Philistine s o f the coasta l areas wer e a more seriou s threat . Probabl y havin g bee n settle d b y th e pharaoh s as vassals i n th e area s concerned , the y establishe d thei r ow n contro l a s Egyptia n power declined , rulin g th e Canaanites , mixin g wit h them , an d adoptin g thei r culture. I t seem s surprising tha t in th e eleventh century , whe n climacti c political and military events were taking place, a cultural even t of fundamental importanc e to th e histor y o f al l mankin d wa s someho w occurring : th e invention , o r perfec tion, o f th e alphabet—a s distinc t fro m pictographic , ideographic , o r syllabi c scripts. It seem s mos t credi t goe s t o th e Canaanites , whos e scrip t wa s converte d int o simple linear form b y both th e Phoenician s (th e term may be used to mean simpl y Canaanites i n th e late r period ) an d Hebrews . Th e alphabe t wen t wes t t o th e Greeks abou t 80 0 and no t long afterward t o the Etruscan s an d the n th e Romans ; it wen t eas t vi a th e Aramaeans , throug h Syri a into Mesopotamia . B y the sevent h century B.C., Aramaic in the alphabetic scrip t came to be a lingua franca through out muc h o f th e Nea r Eas t an d aroun d 50 0 B.C . i n th e Achaemenia n empire . The mos t impressive us e of the alphabeti c script , however , wa s that by the Jews, who se t abou t composin g th e text s tha t eventuate d i n th e Ol d Testamen t aroun d IOOO B . C .

The Israelite s wer e stron g enough , an d thei r previousl y formidabl e neighbor s for th e tim e bein g wea k enough , s o tha t they coul d establis h firm politica l independence, i f they could deal with th e enemies immediately at hand, especiall y the Philistines . Afte r initia l victories , Sau l encountere d disaste r i n a battle wit h Philistine chariot s o n th e plai n nea r Moun t Gilboa ; hi s son s wer e killed , an d h e committed suicid e t o avoi d capture . No t onl y wa s hi s generalshi p wanting . H e tried t o mak e himsel f hea d o f th e religiou s a s wel l a s th e politica l community ; this wa s th e reaso n Samue l denounce d hi m an d declared , o n tw o occasions, tha t his kingshi p shoul d end . Thi s happene d a t Gilga l an d i n th e wa r agains t th e Amalekites ( 1 Samue l 13:8—1 4 an d 15:17—31) . There , write s Georg e Menden hall, Sau l "attempte d t o introduce th e ancien t orienta l ide a of kingship, i n whic h the kin g wa s th e chie f intermediar y betwee n th e god s an d man." 23 I t wa s no t then acceptabl e fo r th e monarc h t o offer th e sacrifice s himself ; tw o generation s later, however , i t would be. Other politica l an d lega l changes , som e subtl e an d som e not , wer e occurring . In th e reign of Saul, outlaws came to include those who were "i n debt" (1 Samuel 22:2) and thu s ha d t o flee. This wa s th e case with th e band of four hundre d me n who gathere d aroun d Davi d when , escapin g th e jealous ange r o f Saul , h e foun d refuge i n th e cav e o f Adullam . Unde r th e ol d pledg e system , th e credito r hel d a

Freedom in the Mediterranean: The Jews 2 7 piece o f property , an d ther e wa s n o reaso n t o flee. However , unde r th e ne w system th e perso n o f th e debto r wa s th e security , s o tha t o n defaul t he , o r members o f hi s family , wer e subjec t t o seizur e a s slaves . Thi s practic e wa s identical t o tha t followe d unde r Babylonia n an d probabl y als o Canaanit e law. 24 Nevertheless, th e Israelite s resiste d borrowin g element s o f Canaanit e cultur e i n important ways , a fac t tha t i s surprisin g give n th e clearl y inferio r an d mor e backward stat e of the culture of the Hebre w conquerors . The Canaanite s ha d a wealth y an d powerfu l elite , wh o live d i n luxuriou s palaces; th e Israelite s ha d nothin g equivalen t t o tha t class . Th e Canaanite s ha d massive fortresses , whic h wer e replace d b y thin wall s of th e ne w casemat e type . The corve e wa s use d i n Canaa n a s i n othe r Nea r Easter n empires ; i t wa s unknown i n Israel . Th e wor d hophshi meant "serf " i n Canaanit e documents ; i t came t o mea n "freeman/ ' presumabl y becaus e th e peasan t (o f Canaanit e back ground o r othe r stoc k unde r Canaan' s rule ) ha d cease d t o b e a ser f an d ha d become a freeborn Israelite. 25 Th e settlemen t o f the Jews i n Canaa n was , i n th e view of recent scholarship , no t tha t mainl y of herdsmen o r nomads but of already long-sedentary agriculturalists , a comparativel y poo r grou p leavene d b y a fe w skilled artisans. 26 David was Saul' s son-in-la w an d th e boso m friend o f his so n Jonathan. There fore, despit e Saul' s recurrin g jealousy o f th e popula r youn g champion, th e kille r of th e gian t Goliat h an d a charismati c figure (whic h Sau l wa s not) , Davi d wa s connected wit h th e reig n jus t terminate d b y suicide . H e becam e establishe d a s leader of th e souther n tribes , an d withi n a few year s he had unifie d th e whol e of Israel unde r hi s kingship. I t was about 100 0 B.C . David capture d th e Canaanit e cit y of Jerusalem, defeate d th e attackin g Philis tines, an d drov e the m t o pul l bac k t o th e coasta l strip . H e mad e Jerusale m hi s capital, sinc e i t wa s locate d nea r th e junction o f th e tw o halve s o f hi s kingdom , and by moving the ar k of the Covenan t ther e h e made it th e centra l religiou s sit e as well. Throug h severa l military campaigns , h e made Israe l th e leading power of Palestine an d Syria , "probabl y a s stron g a s an y powe r i n th e contemporar y world."27 To administe r thi s are a Davi d assemble d a n officialdo m tha t ma y hav e bee n partly patterne d o n Egypt's . H e mus t hav e taxe d th e subjec t people s an d th e property of the crown. H e carried ou t a census, according to 2 Samuel 24 , a deed that Davi d himsel f regarde d a s a grievous si n an d tha t Yahwe h adjudge d suc h a crime tha t h e sen t a plagu e upo n th e country , killin g sevent y thousan d people . As whe n Sau l acte d a s hig h priest , ther e wa s evidentl y a feelin g tha t a censu s was a device alie n t o th e Hebrews , aki n t o th e kin d o f polity tha t existe d i n th e neighboring empires . (Attitude s ha d changed , obviously , sinc e th e censu s o f th e Book of Numbers. ) Th e censu s i n Israe l ma y well have been accompanie d b y th e

28 Freedom:

A History

fiscal reorganizatio n an d patter n o f conscriptio n tha t wen t alon g wit h censu s taking in Egyp t and Mesopotamia . David foun d th e succession proble m difficult , finally makin g hi s so n Solomo n joint sovereig n t o head of f Adonijah , who m h e though t unsuitable . Whe n Davi d died, Solomo n move d quickl y t o have Adonija h killed , alon g with other s wh o h e feared migh t distur b th e succession . I t wa s t o be the only tim e th e thron e woul d pass intact an d unchallenged durin g the Israelit e monarchy . Israel no w stoo d a t th e pea k o f it s economi c an d cultura l development . (No t that it s empir e was at its maximum size , fo r during Solomon' s reign territor y wa s lost throug h rebellio n i n bot h th e nort h an d south. ) Commerc e an d industr y ha d grown i n th e formerl y agraria n an d pastora l society , an d town s ha d increase d i n population. Th e power s an d prerogatives o f th e monarch y wer e full y employe d and extended . Solomo n divide d hi s kingdo m int o twelv e provinces ; h e taxe d th e people heavily; h e use d th e corvee , a device previously unknow n i n Israe l thoug h used b y Davi d o n th e conquere d peopl e o f Ammo n eas t o f th e Jorda n ( 2 Samue l 12:31; for Solomon' s corvee of Israelites, 1 Kings 5:13) . The kin g undertoo k ambitiou s constructio n projects , erectin g ne w fortifica tions and administrative edifices , bu t hi s greatest an d best-known monumen t wa s the Templ e i n Jerusalem . Solomo n acquire d a reputatio n fo r wisdo m an d diplo matic skil l an d wa s abl e t o avoi d lon g militar y campaigns , thoug h h e devote d attention t o hi s standin g arm y an d introduce d war-chariot s int o th e Israelit e forces. O n th e one hand wer e peace an d prosperity; on th e other wa s th e burde n of financial exactions , force d labor , probabl y militar y conscription—al l th e cost s to the populatio n tha t th e device s o f oriental monarch y impose , a t las t applie d t o Israel. As for Solomo n himself , hi s relation s wit h th e Almight y ar e no t wholl y clear . He offered th e sacrifice s himsel f whe n dedicatin g the Templ e ( 1 Kings 8:62-64) , a deed tha t brough t th e divin e wrat h (accordin g t o Samuel) down o n th e hea d of Saul a fe w decade s earlie r bu t ha d apparentl y becom e acceptable . However , Solomon ha d give n grievou s offens e i n anothe r direction . H e accumulate d seve n hundred wive s an d thre e hundre d concubine s ( 1 King s 11:3) . Bu t polygam y pe r se was not th e problem; it was the fac t tha t man y of Solomon's women wer e fro m foreign people s an d worshippe d foreig n deities . Al l thi s wa s par t o f a diplomati c pattern base d on a vision of empire an d a stance of cultural cosmopolitanis m tha t belonged t o th e king , bu t th e effec t wa s t o endange r Israel' s religiou s identity . Thus o n these grounds Yahweh threatene d t o cut th e real m in half. And s o i t happened . Whe n Solomo n die d i n 92 2 B.C. , hi s so n Rehoboa m succeeded hi m i n Jerusalem , bu t th e nort h brok e of f unde r Jeroboa m I . Th e united kingdo m ha d laste d les s tha n eight y year s an d woul d neve r (a t leas t u p t o the tim e of writing) b e restored. Juda h i n th e sout h ha d Jerusalem bu t otherwis e

Freedom in the Mediterranean: The Jews 2 9 little bu t hill s an d desert . Israe l i n th e nort h wa s richer , mor e fertile , an d mor e exposed t o th e armie s o f foreig n conquerors . Th e Pharao h Shisha k (Shoshenq ) tried t o reimpos e Egyptia n rul e i n Palestin e shortly afte r Solomo n died , bu t though h e did much damag e his expedition wa s a failure. Thereafter th e two kingdoms were often a t odds, and each had its own foreign policy problems . Nevertheless , i n th e earl y eight h centur y B . C , they wer e to gether about a s large as Solomon's realm, enjoyin g peace and prosperity, an d thei r aggregate populatio n ma y hav e reache d it s larges t total . Suc h achievement s di d not satisf y th e prophe t Amos , wh o depict s a n Israe l divide d betwee n ric h an d poor, th e smal l farme r victimize d b y the moneylender, th e lowe r strat a o f societ y deprived o f redres s o f grievances . And , indeed , withi n a fe w year s Israe l woul d be struck down . Among th e ancien t Hebrew s prophec y wa s a religiou s movemen t or , mor e accurately, a cluste r o f religiou s movements ; i t als o cam e t o hav e a n importan t political function. Prophec y was not peculiar t o the Hebrews. I t was found amon g many people s o f Egypt , Palestine , an d Mesopotamia . Ther e wa s a special Jewis h emphasis, however , o n proclamatio n rathe r tha n predictio n (thoug h th e latte r was no t absent) . Fo r severa l centurie s ther e wer e ecstati c visionarie s o f variou s sorts wh o wer e uncontrollable , wer e ofte n feared , an d lef t n o recor d o f thei r thoughts; thu s the y wer e calle d "non-writing " prophets . Nathan , a t th e cour t of David, an d Elijah , regarde d almos t as a second Moses , belonged to the nonwritin g category but wer e major figures i n th e Hebre w story . The caree r o f Elija h centere d o n a response t o the roya l marriage arrange d b y Omri, th e first great ruler of the northern kingdo m (d . ca . 86 9 B.C.), between hi s son Aha b an d th e Phoenicia n princess , Jezebel . Sh e fostere d th e worshi p o f th e fertility go d Baa l i n th e ne w capital , Samaria , whic h Omr i ha d buil t fo r Israel . Incensed b y the queen's suppor t of the pagan cul t an d reflecting als o "resentmen t at the despotic Orienta l manne r o f rule tha t Ahab, incited by Jezebel, exercised,' ' Elijah denounce d the m an d al l their works. 28 He challenged th e priests of Baal to a contest , an d whe n h e wo n h e ha d the m al l killed . H e predicte d th e doo m o f both Aha b an d Jezebel, an d the y did indee d perish—Jezebe l i n a scene of horro r some tim e afte r Elijah wa s "[take n up ] int o heave n b y a whirlwind " ( 2 King s 2:1). Hi s hei r a s prophet , Elisha , inspire d th e killin g o f th e whol e roya l family ; Jezebel herself wa s thrown ou t of a window an d trampled by horses, s o that "the y found n o more of her tha n th e skull, an d th e feet, an d th e palms of her hands " (2 Kings 9:35) . Th e leade r o f th e successfu l coup , Jehu , founde d a dynast y tha t lasted fro m 84 2 t o 74 5 B.C . Baa l worshi p migrate d t o Judah , however , wher e Athaliah, daughte r o f Aha b an d Jezebel , rule d fo r si x year s durin g whic h sh e supported he r mother' s fait h befor e sh e was also overthrown an d killed . By this tim e th e prophet s ha d preache d religiou s messages a s well a s hounde d

30 Freedom:

A History

and instigate d th e overthro w o f monarch s i n th e interest s o f religio n i n Israel , Judah, an d other state s also . Bu t th e office o f prophet was in a true sens e a political office, fo r th e prophets spok e as messengers o f Yahweh's heavenly court, th e appointed agent s of his imperium in th e world, an d it was their duty to remind kings and officials of state that the real ruler of Israel is Yahweh, and to criticize and correct the state in the light of his declared will.29 Other Nea r Easter n ruler s ha d cour t prophet s o r seers , bu t mos t o f the m wer e slow t o challeng e thei r master s o r g o beyond saf e ambiguit y i n thei r utterances . Certainly th e Hebrew s ha d suc h person s too—fo r example , th e fou r hundre d prophets wh o predicte d victor y fo r Aha b bu t wer e wrong , whil e one , Micaiah , who foretold disaster , wa s righ t ( i King s 22) . However , courageousl y uncompro mising types were much mor e prominent . Until th e eight h centur y B.C. , th e Hebre w prophet s restricte d themselve s fo r the most part t o advice to rulers, includin g reprimand o r denunciation. However , beginning wit h th e so-calle d classica l prophets , usuall y reckone d fro m Amos , a series of figures spoke of the betrayal of the Covenan t b y the whole society. Amo s reproached th e elit e an d th e monarch s fo r corruptio n an d i n s o doing raise d a n entirely ne w issue . I t wa s no t necessar y fo r th e Jews t o desert Yahwe h fo r othe r gods i n orde r t o cour t condemnation ; i f they merel y neglecte d th e divin e com mands and the ethical spiri t Amos discerned i n them , th e result woul d be as dire. Performance o f ritua l i s no t enough , i t ma y b e wors e tha n nothing : " I hate , I despise your feasts, an d I take no delight in your solemn assemblies" (Amos 5:21) . And so ruin la y ahead. It wa s soo n forthcoming. A s John Brigh t points out, fo r five centuries (tha t is , since th e Exodus ) no empire ha d existe d tha t coul d troubl e Israe l permanently o r deeply; then Assyri a made its appearance. 30 I n th e reig n of Jeroboam I I (ca . 786— 746 B.C. ) o f Israel , th e stat e wa s stil l stron g an d prosperous , despit e th e socia l ills of which Amo s wrote. Bu t thereafte r intrigu e an d confusion weakene d Israel , and th e Assyrians overwhelmed i t in 722—72 1 B.C. Sargo n I I carrie d out substan tial deportation s o f leadin g citizen s o f Samari a an d importation s o f foreig n peo ples, i n accordanc e wit h th e usua l Assyria n methods . I t wa s th e en d o f ancien t Israel. Judah becam e a vassal stat e o f Assyri a bu t kep t it s ow n governmen t fo r mor e than a century longer . It s king , Hezekiah , wa s counsele d b y the prophe t Isaiah , whose nam e i s born e b y one o f th e Bible' s greates t book s thoug h it s compositio n clearly extend s ove r tw o centuries, fro m th e lat e eight h t o the lat e sixth . Unde r King Josiah (640-60 9 B.C.) , a significant religiou s refor m occurre d i n connectio n with th e discovery in 62 1 B.C. of a book of the law, calle d Deuteronom y ("Secon d Law") fro m a defective Gree k translatio n o f Deuteronom y 17:1 8 tha t refer s t o a

Freedom in the Mediterranean: The Jews 3 1 "copy o f thi s law/ ' Th e find occasione d o r accompanie d a n extensiv e purgin g of alien an d superstitiou s element s fro m th e religion . Though th e change s wer e deepl y fel t an d lon g remembered , militar y event s soon edge d the m fro m th e foreground . Th e prophe t Jeremia h warne d o f th e impending danger , calle d th e peopl e o f Judah t o repent, an d advocate d givin g u p to the oncomin g Babylonians withou t a fight. Th e first kin g to rule i n Jerusalem , Zedekiah, woul d no t listen . Nebuchadrezza r too k th e city ; Zedekiah wa s blinde d and take n t o Babylon , wher e h e died ; an d perhap s fifty thousan d wer e forcibl y deported.31 O f cours e th e Babylonia n Captivit y wa s a grievous experienc e fo r th e Jewish people . However , som e manage d t o assimilate ; al l wer e permitte d t o associate an d worshi p together. I t appear s tha t th e institution o f the synagogu e is a produc t o f th e Captivity . Hundreds , perhap s thousands , fled voluntaril y t o Egypt and elsewhere . I t seem s that th e ter m Jews, fro m th e shattere d kingdo m of Judah, cam e to be used fo r thes e refugee s an d the n th e whole people. Jeremiah scandalize d th e Hebrew s b y advocating submissio n t o Nebuchadrez zar, bu t h e als o predicte d a restoratio n o f th e Davidi c monarch y i n th e future . During th e followin g period , suc h promise s an d hope s recede d int o th e distance . In 53 8 B.C . Babylo n wa s take n b y Cyru s th e Grea t o f Persia . Th e cit y surren dered, an d n o vengeance wa s wreake d o n th e inhabitants . Cyru s free d th e Jew s to return t o their homelan d o r remain a s they chose. Th e secon d par t o f the book of Isaiah (Deutero-Isaiah ) haile d Cyru s a s Gods anointed , th e divine instrumen t whereby a n Israe l o f th e futur e woul d serv e a s a ligh t fo r al l nations . Throug h the Sufferin g Servan t o f th e Lord—whethe r tha t mean t Israe l collectivel y a s a people or a n individua l Messia h t o come—peace an d justice woul d b e brought t o the Jews, o r to all mankind . Reality seldo m justifie s long-cherishe d hopes . Hostilit y betwee n th e first re turnees an d th e Samaritan s soo n developed ; th e rebuildin g o f th e destroye d Temple was slow. Whe n a large group came back, le d by Zerubbabel, hope s were raised becaus e h e belonged t o the Davidi c family ; bu t w e do not eve n kno w wha t became of him, an d he was the last of the line. Nehemiah , a Jew who had become a hig h officia l a t th e Persia n court , persuade d Artaxerxe s I i n abou t 44 5 B.C . t o separate Jewis h territor y fro m it s Samarita n overlord s an d t o make hi m governo r of th e ne w province . Nehemia h soo n rebuil t th e wall s of Jerusalem an d restore d morale. Abou t th e sam e tim e (som e thin k earlier , som e thin k later) , th e pries t Ezra gav e Judaism a more systemati c for m an d sternl y demande d tha t male s pu t away non-Jewish wive s and children . Little i s know n o f wha t wa s happenin g t o th e Jews i n th e subsequen t period . Knowledge o f Hebre w wa s bein g lost ; Aramaic , th e officia l languag e o f th e Persian empire , wa s becomin g th e commo n languag e o f Palestine . Soo n th e Persians woul d b e conquere d b y Alexande r th e Great ; Palestin e woul d b e gov -

32 Freedom:

A History

erned a s par t o f th e Hellenisti c kingdom s tha t too k shap e afte r h e died ; Rom e would replac e th e Seleucid s a s overlord ; an d a Roma n empero r woul d expe l al l Jews from Palestine .

The Heritage of Jewish Freedom Out o f thi s lon g histor y o f th e ancien t Nea r Eas t cam e abov e al l a n experienc e and a traditio n o f sacre d monarchy , o r despotism . Ther e wer e moment s whe n other kind s o f polit y seeme d o n th e verg e o f takin g root : i n th e trace s o f self government foun d i n th e Sumeria n city-state s o r i n th e "feuda l monarchy/ ' i n which th e noble s crowne d th e king , o f th e earl y Hittites . Bu t the y di d not ; they perished utterly . Ther e were , however , tw o important inheritance s t o the growth of fre e societies , bot h transmitte d b y th e Jews : a conceptio n o f huma n freedo m and ultimat e succes s i n avoidin g despotism . Th e forme r ha s bee n widel y dis cussed; th e latte r ha s no t earne d sufficien t attentio n fro m politica l scientist s t o be given a name. The conceptio n o f freedo m come s fro m th e Jewis h religion , i n a rejectio n o f the interpretatio n Christian s plac e o n th e Garde n o f Ede n narrativ e o f man' s quality of Original Sin : It is primarily within the realm of the ethical that Judaism posits freedom, recognizin g the bound, o r determined, qualit y of much of his existence (e.g., hi s natural environment or physiological makeup) . I t i s thi s ethicall y fre e creatur e wh o stands withi n th e covenan t relationship an d s o may choose to be obedient o r disobedient . . . a creature wh o makes free ethical choices for which he is responsible. . . . 32 It ma y be argue d tha t th e sensatio n o f bein g abl e t o choose freel y i s a character istic most likel y to develop in a society where a n absolut e ruler i s not present an d where lif e an d lim b ar e no t instantl y forfei t o r imperile d i f a n impruden t choic e is made . I n an y event , Hebre w societ y wa s uniqu e i n th e ancien t Nea r Eas t i n managing finally to avoid the techniques , devices , an d institutions o f despotism. Yahweh wa s ruler: me n wer e not, a man wa s not. I n th e empires of Egypt an d Mesopotamia, th e priest-kin g (or , a t leas t i n Egyptia n theory , th e god-king ) acknowledged th e primac y o f th e divine , o f course, bu t h e wa s effectively mediator an d hea d of the cult . Ther e wa s nothing whatever comparabl e t o the Hebre w notion o f covenant betwee n Go d an d a n entir e people—itsel f a startlingly demo cratic idea in th e context of the ancien t Nea r East . Since Yahwe h wa s ruler , ther e wa s grea t resistanc e amon g th e Jew s t o th e proposal tha t a king be chosen. Gideo n rejecte d i t utterly; Samue l agonized befor e allowing Sau l t o accept ; Davi d thoug h kin g stil l wa s unabl e t o buil d a temple ; Solomon could and did do so. In th e tenth centur y B.C., the borrowing of despotic

Freedom in the Mediterranean: The Jews 3 3 methods began : th e census , a sizable officialdom, large-scal e constructio n works . And ye t the y di d no t tak e hold . Solomo n appear s t o be somethin g clos e t o a full fledged oriental despot . H e doe s no t see m t o b e restraine d b y stron g prophets , such a s thos e wh o preced e an d follo w hi s time . However , Yahweh , speakin g t o him directly , reprimand s him , promise s t o punis h hi m (b y splittin g th e realm) , and proceeds to do so. The religio n is still strong enough to prevent the emergenc e of a n autocrati c system ; th e apparen t chang e i n th e polit y i s no t t o becom e institutionalized. During th e centurie s i n whic h ther e wer e tw o kingdoms , Israe l an d Judah , monarchical power s evidentl y di d no t regai n th e leve l o f Solomon's . Ther e ma y well hav e bee n furthe r socia l stratification , thoug h th e invectiv e o f th e eighth century prophet s o f socia l justice—Amos, Hosea , an d Micah—i s scarcel y con clusive evidence . Th e Deuteronomi c reform s o f th e sevent h centur y a t leas t renewed concern fo r th e values the classical prophets defended. Willia m A. Irwi n waxes lyrica l o n wha t Deuteronom y mean t t o the Hebre w lega l system : "Her e i s the sam e defense o f th e commo n ma n agains t th e arroganc e of th e monarch y an d the sam e constitutional limitatio n o f royal power a s was voiced in [1215]." 33 Irwin call s Deuteronom y "Israel' s Magn a Carta, " havin g i n min d suc h pas sages a s 17:18-20 : "judge s an d officer s . . . shal l judg e th e peopl e wit h jus t judgment. Tho u shal t not wrest judgment; tho u shal t not respect persons, neithe r take a gift . . . . " Fo r th e compariso n Irwi n ma y b e charged , o r credited , wit h overenthusiasm. Th e mora l equalit y o f al l me n i n th e sigh t o f Go d an d lega l reflection o f tha t doctrin e are , however , plainl y present . Irwi n declare s tha t the Jews stood a t th e crossroad s o f th e ancien t world , sensitiv e t o all th e bes t tha t wa s achieved within its limits. They took freely fro m all ; their excellence is that the y recognized value wherever i t aros e and freely appropriate d i t a s their own. Bu t in th e process they transformed it. 34 One migh t insis t tha t th e geniu s o f th e ancien t Jew s wa s tha t the y resiste d and avoide d borrowin g th e politica l an d socia l system s o f thei r neighbors , th e oriental empires . Bu t of course the y also did borrow, an d transform , an d transmi t precious gift s t o thos e wh o cam e afte r the m afte r the y wer e scattere d t o ever y corner of the earth .

CHAPTER 2

The Ancestry of Freedom in the Mediterranean: The Greeks

The Minoan Civilization If th e earlies t hig h cultures , i n Mesopotami a an d Egypt , wer e connecte d wit h man's master y o f irrigatio n agriculture , i n th e cours e o f th e thir d millenniu m B.C. civilization wa s read y t o advance int o nearby region s of rainfall agriculture. 1 One suc h are a wa s th e souther n island s o f Greece . B y abou t 210 0 B.C. , th e Minoan civilization , name d fo r th e legendar y Kin g Mino s o f Knossos , ha d mad e its appearanc e i n Crete . It s mai n architectura l featur e wa s a serie s o f palaces , large an d small , whic h possesse d i n eac h cas e halls used fo r religiou s ceremonie s of some sort. Thu s Minoa n societ y has been thought , o n th e basis of archaeological evidenc e alone , t o have bee n oriente d t o peace an d th e productio n o f wealth , as contrasted wit h th e warlik e civilizatio n tha t develope d o n th e Gree k mainlan d in th e sixteent h centur y B.C . Called Mycenaea n afte r it s chie f center , Mycenae , thi s civilizatio n experi enced stron g Minoa n influenc e bu t stil l acquire d it s ow n character . Mycena e gave much greate r prominenc e t o fortifications an d weapon s of both lan d an d se a warfare. Th e Mycenaean s ma y hav e bee n amon g th e confederatio n o f "Se a Peoples" wh o attacke d Egyp t i n th e twelft h centur y B . C , an d th e Troja n War , as depicte d i n th e Iliad of Homer , probabl y i s base d o n som e actua l Mycenaea n seaborne expeditio n t o th e vicinit y o f th e Dardanelles , perhap s endin g i n 118 4 B.C. , the traditiona l date of the fal l of Troy. In th e middle of the secon d millennium Minoa n civilizatio n underwen t severa l 34

Freedom in the Mediterranean: The Greeks 3 5 earthquakes an d othe r disasters . Cret e wa s invade d abou t 145 0 B.C. b y warrior s from th e mainlan d wh o apparentl y prospere d fo r severa l generation s befor e they themselves fade d fro m th e scene . Quit e recentl y th e late r Minoa n script , Linea r B, ha s been deciphere d t o show tha t i t is an archai c for m o f Greek. Thu s a t leas t Greek-speaking rulers , i f no t Greek s amon g ruler s o r ruled , wer e presen t i n th e last flourishing centurie s o f Creta n civilization. 2 Th e final destructio n o f th e great palac e o f Knosso s o n Cret e cam e unde r circumstance s o f whic h w e ar e ignorant, thoug h w e kno w tha t th e caus e wa s fire; th e sam e i s tru e o f th e mai n Mycenaean center s in th e Peloponnese , probabl y around 120 0 B.C.

The Dark Ages During th e tw o or thre e centurie s following , th e Bronz e Ag e yielded t o the Iro n Age, a t th e sam e tim e a s th e Mycenaea n civilizatio n perishe d an d a new wav e of invaders settle d i n th e Peloponnese , Crete , an d othe r areas . The y wer e th e Dorians, wh o were Greeks from th e north. Other s settle d on the east coast of the Aegean Se a and were called Ionians; they were probably fleeing from th e stronger , ruder invader s wh o headed fo r th e most fertil e lands . But th e refugee s face d othe r danger s an d challenge s i n th e ne w land s o f Asia Minor, an d thei r respons e wa s evidentl y "t o create th e foundation s o f what late r became th e maste r institutio n o f Gree k civilization , th e poli s [plural , poleis]." 3 In th e Ionia n citie s th e Homeri c epic s were shaped , b y talented person s workin g with poetic tradition s derive d fro m th e Mycenaeans . An d b y th e eight h centur y B.C., doubtles s i n area s wher e Greek s wer e i n contac t wit h Aramaic-speakin g and -writing people (exactly where is unknown), Greek s learned alphabeti c scrip t and o n th e basi s o f i t produce d thei r ow n alphabet . Olympi a i n th e Peloponnes e had written record s dating from 77 6 B.C. As th e Gree k barbarian s becam e civilized , th e econom y stabilize d an d th e population grew . Som e o f th e Greek s se t ou t t o locat e ra w materials , tradin g partners, an d sites for new settlements or colonies. Euboean s established outpost s on th e nort h shor e of the Aegean an d o n Sicil y in th e west , immediatel y followe d by Corinthian s wh o founde d th e cit y o f Syracus e (ca . 73 3 B.C.) ; Miletu s an d other Ionia n citie s colonize d o n th e coas t o f th e Blac k Sea , centerin g i n Olbi a where contac t wa s mad e wit h th e Scythians . Th e Phocaean s founde d Massili a about 60 0 B.C . an d trade d extensivel y wit h th e peopl e o f souther n Franc e an d northern Spain . The Archaic Period From 750 to 500 B.C., a period called "Archaic " to distinguish i t from th e classical period following , whil e th e colonizin g movement wa s spreadin g Greek s al l ove r

36 Freedom:

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the Mediterranean , importan t politica l development s wer e takin g place . Th e polis, th e beginning s o f whic h ma y hav e bee n Ionian , assume d cleare r form . I t was ap t t o center o n a fortified hill , wher e defender s migh t repe l arme d assault , with home s an d tradin g establishment s surroundin g i t below ; agricultura l an d pasture lands , sometime s dependen t villages , wer e nearby . Buildin g fro m th e basic family unit , ther e were severa l levels of larger unit s defined largel y by blood relationship. The poli s wa s no t merel y a city ; i t wa s a politica l uni t i n whic h ther e functioned a king, council , an d assembly . Kingshi p derived fro m militar y leader ship as it becam e hereditary . Th e counci l included , t o begin with , leader s of th e various contingents of warriors; the assembly was made up of all the warriors. A s time wen t on , th e kingshi p tende d t o weake n an d becom e elective , whil e th e assembly tende d t o get stronger . A s military demand s prove d les s pressing, adul t male citizen s rathe r tha n soldier s cam e t o mak e u p it s membership . Th e poli s was no t universal . I n th e northwes t particularly , th e characteristi c uni t wa s th e ethnos, wherein a serie s o f unfortifie d village s wer e loosel y linked , holdin g sub stantial lands—a s i n Phoci s or Aetolia. In th e earl y an d middl e sevent h centur y B.C. , a military innovatio n o f signifi cance is recorded. Durin g previous times heroic warriors who fought a s individual champions wer e ap t t o decide military contests . Eac h ha d a shield, a sword, an d spears t o be throw n bu t ha d n o armo r fo r th e hea d o r body . Th e ne w tacti c wa s to us e armore d infantryme n draw n u p i n clos e array , i n wha t wa s calle d a phalanx. Eac h soldier , o r hoplite, ha d a shield, a sword, an d a spear for thrustin g rather tha n throwin g and wor e ample armor on both hea d (helmet ) and body. 4 The socia l effect s o f thi s chang e ar e disputed . I t wa s lon g though t tha t i t reflected o r accompanied a shift fro m a n aristocratic to a middle-class (particularl y yeoman or sturdy farmer) compositio n o f the armies. Although tha t view has been challenged, i t remain s difficul t t o believ e tha t th e individual-champio n styl e o f fighting was anything other tha n aristocrati c or that th e supersessio n o f that styl e by tactics usin g massed infantr y wa s other tha n nonaristocrati c i n socia l basis. 5 In th e sevent h an d sixt h centuries , a political innovatio n appeared—tyrann y —especially i n severa l citie s o f th e Peloponnes e (thoug h no t Sparta) . Th e tyran t in ancien t Greec e wa s no t necessaril y crue l o r oppressive ; h e wa s simpl y a ma n who ha d seize d o r assume d powe r wit h n o hereditar y o r lega l warran t t o d o s o and usuall y exercise d powe r withou t takin g a title . I n th e cas e o f th e cit y o f Sicyon, th e tyran t Cleisthene s quit e clearl y espouse d th e cause of the pre-Doria n inhabitants agains t th e Doria n phylai, o r tribes . Som e scholar s hav e argue d tha t tyranny wa s mad e possibl e b y th e developmen t o f th e hoplit e phalanx . Th e onl y indisputable commo n featur e seem s t o hav e bee n th e tyrants ' lov e o f displayin g wealth an d power , fo r example , i n suc h imposin g ston e buildings a s the treasur y

Freedom in the Mediterranean: The Greeks 3 7 in Delph i buil t b y Cypselus , tyran t o f Corinth . However , man y scholar s believ e that th e chie f resul t o f th e rul e o f tyrant s wa s t o hel p en d th e aristocrati c stranglehold o n governmen t an d thu s t o pav e th e wa y fo r th e developmen t o f democracies. The Classical Period Several Gree k city-state s emerge d b y th e fifth centur y B.C . with distinctiv e features. The y wer e separate d b y jealousie s an d rivalrie s o f variou s sorts , ye t great externa l dange r woul d forc e the m int o transitor y o r sporadi c cooperation . The mos t important polei s were Sparta , Athens , Thebes , an d Corinth . It wa s probably during th e ninth an d eighth centurie s tha t a cluster o f villages forming a city calle d Spart a i n th e valle y of th e Eurota s expande d ove r th e plai n of Laconi a t o produc e a sizabl e state . I n th e sevent h century , th e Spartan s conquered Messeni a t o th e west , an d th e a t leas t formall y federa l polit y o f Lacedaemon resultin g embrace d th e whol e souther n Peloponnese . Spart a wa s s o preoccupied wit h takin g ove r ne w land s i n th e peninsul a tha t sh e playe d littl e part i n oversea s colonization . Th e rankin g clas s wa s th e citizen s o f Sparta ; nex t came th e fre e citizen s o f th e othe r cities . Ther e wa s a ser f clas s calle d helots; a certain numbe r wer e attache d t o th e lan d allotte d t o eac h Sparta n famil y any where in Lacedaemon . In th e city itself th e usual pattern o f king, council , an d assembl y was modifie d in th e followin g way : th e kingshi p wa s dual , wit h n o clea r divisio n o f power s between th e tw o kings; the member s o f th e counci l (othe r tha n th e kings ) had t o be a t leas t sixt y year s old ; an d a n additiona l institutio n existe d calle d th e ephor ate. Fiv e ephor s exchange d oath s ever y mont h wit h th e kings ; "th e king s swor e to rul e accordin g t o th e laws ; an d th e ephors , o n behal f o f th e city , swor e t o preserve th e kingshi p provide d tha t th e king s kep t thei r oaths.' 6 Durin g th e seventh century, i t appears that a regular process developed whereby any measure was first draw n u p b y th e counci l an d the n ha d t o be presente d t o th e assembl y for approva l an d disapproval . Perhap s othe r polei s imitate d th e process , perhap s not. I n an y case, Spart a may have been th e earliest t o work it out . The reaso n "Spartan " acquire d th e meaning "ster n an d rigorousl y disciplined " was tha t i n tha t city-stat e al l children wer e take n fro m thei r parent s an d hande d over t o publi c institution s fo r educatio n an d training . A t maturit y girl s wer e released, bu t boy s move d int o militar y unit s unti l ag e thirt y an d coul d b e sum moned t o fight unti l ag e sixty . I t seem s tha t thi s syste m o f stat e rearin g o f children, o r agoge, may hav e bee n linke d wit h th e ne w tactic s o f th e hoplit e phalanx. Certainl y Spart a wa s t o achiev e importan t militar y successe s throug h the us e o f th e agoge an d phalanx . However , i n th e late r sixt h centur y B . C , th e

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Spartans greatl y increase d thei r politica l influenc e b y diplomacy rathe r tha n wa r in th e step-by-ste p formation , throug h a serie s o f treaties , o f a n allianc e o f most of th e citie s o f th e grea t souther n peninsula , calle d b y late r historian s th e Peloponnesian League . Athens wa s olde r tha n Sparta , datin g bac k wel l int o th e Bronz e Age . I t wa s the cultural cente r of Greek settlemen t b y the end of the "dar k ages/' around 90 0 B.C., bu t i t expande d politicall y t o tak e contro l o f al l Attic a onl y i n th e decade s preceding 65 0 B.C . B y that time , Athen s ha d discarde d it s kingshi p an d adopte d instead a multiple executiv e of nine archons, on e of whom retaine d th e titl e king, though al l nin e ha d a ter m o f onl y on e year . Al l forme r archon s mad e u p th e council, whic h wa s called th e "counci l of the Areopagus" because it often me t on the hill of that nam e near th e Acropolis. In th e earl y sixt h century , Athen s ha d a lawgive r an d lega l reforme r name d Solon. Hi s later prestige and reputation a s a leader in democratization ar e difficul t to substantiat e b y evidence , bu t h e clearl y di d terminat e th e dependent , share cropping statu s o f a grou p o f farmer s calle d hektemoroi and doubtles s furthere d the lega l developmen t o f Athen s b y consignin g muc h customar y la w t o writte n form. I n 54 6 B.C. Athen s acquire d it s ow n tyran t i n Peisistratus , whos e seizur e of powe r ha s recentl y bee n interprete d a s a n expressio n o f "th e resentmen t toward leadin g familie s o f th e cit y [o f Athens] fel t b y leading familie s o f easter n Attica/' 7 H e an d the n hi s son s rule d unti l 510 , when a coalition o f Spartan s an d Athenian opponent s o f the Peisistratid s drov e the m out . Peisistratu s inaugurate d direct taxatio n i n Athen s an d undertoo k a certain amoun t o f show y constructio n that mus t hav e been costly ; yet h e an d hi s famil y evidentl y gaine d a good deal of popularity an d won favorable evaluation s from th e Greek historians an d Aristotle. A cleare r recor d o f politica l refor m wa s mad e b y Cleisthenes , leade r o f th e anti-Peisistratid party . H e create d a ne w syste m o f organizin g th e citizenry : Attica wa s divide d int o mor e tha n 10 0 demes , eac h wit h it s ow n assembl y an d annually chosen chief . Moreover , h e introduce d th e Counci l o f Fiv e Hundred , the member s o f whic h wer e chose n fo r on e yea r b y lo t (late r a secon d yea r wa s allowed). It s functio n wa s t o prepare measure s fo r th e assembly , b y now severa l thousand i n number . Th e counci l wa s itself s o large, an d ha d t o include s o many incompetents owin g t o rando m selection , tha t ther e mus t hav e bee n a n inne r circle tha t someho w actuall y di d th e job. Wha t th e counci l di d do , mos t likely , was to ensure tha t rea l decisions were take n i n th e assembly. 8 According t o Aristotle, Cleisthene s als o introduced th e practic e o f ostracism , by which th e citizen s o f Athens cam e annuall y t o indulge thei r dislike s by voting formally i n th e assembl y t o exile a certain perso n fo r te n years (though h e did no t lose hi s property) . Despit e Aristotle' s account , th e origin s o f th e practic e ar e

Freedom in the Mediterranean: The Greeks 3 9 disputed; but i n an y event ostracism wa s definitely used by the Athenians a s early as 487 B.C . Th e las t recorde d instanc e wa s in 415 B.C. 9 The thir d poli s wa s Thebes , whic h pu t togethe r a confederatio n o f Boeotia n cities b y the sixt h century . Dissolve d i n 479 , i t wa s revive d i n 44 7 an d laste d fo r over half a century. I n th e secon d phase, an d thu s possibl y also the first (nothin g is know n abou t it) , th e Boeotia n constitutio n provide d fo r eac h cit y t o tak e car e of it s ow n problem s bu t als o fo r a federal representativ e assembl y o f 66 0 men t o handle th e affair s o f the large r entity . Corinth , whos e prosperity bega n wit h th e tyrant Cypselu s i n th e mid-seventh century , extende d eastwar d an d westward it s commercial an d colonial ventures, whic h were zealously protected b y an oligarchy in th e sixt h century . Th e wealt h o f Corint h allowe d i t t o maneuver successfull y between Spart a an d Athen s unti l th e lat e fifth century , whe n i t suffere d losse s and decline. The Ionia n citie s o f Asia Mino r see m t o have ha d a less vigorou s political lif e during th e period , bu t the y wer e thrivin g economically . Culturally , a great ste p forward wa s taken : i n th e explore r cit y o f Miletus , ther e appeare d a thinker , scientist, an d philosophe r name d Thales . W e kno w tha t h e predicte d th e sola r eclipse of 58 5 B . C, an d he was the first Gree k philosopher o f record—in fact , h e stands a t th e ver y beginnin g o f wha t th e Wes t cam e t o cal l philosophy . Thale s and othe r philosopher s o f th e Milesia n schoo l ha d les s knowledg e tha n th e Babylonians an d th e Egyptians , write s W . F . Albright , bu t possesse d somethin g they lacked : curiosity. 10 I t wa s a characteristic tha t woul d hav e enormous conse quences. In th e middl e o f th e sixt h century , a dange r impende d fro m th e east : th e Persians. Cyru s invade d th e ric h kingdo m o f Lydi a i n Asi a Mino r an d over whelmed it . Withi n a fe w year s h e ha d als o conquere d th e Gree k citie s o f th e Asian mainland. Fo r th e tim e being, th e tyrant s of the island cities prevented th e Persians fro m crossin g th e water , evidentl y benefitin g fro m a n importan t nava l innovation—the trireme . I t wa s a shi p manne d b y citize n rowers , ofte n draw n from th e poor. McNeil l writes : If the phalanx wa s the basic school of the Greek polis, th e fleet was the finishing school for it s democratic version; and if th e famil y far m wa s the economic basis for th e limited democracy of the hoplite franchise, th e merchant fleet with it s necessary complemen t of workshops, warehouses , an d market s provide d th e economi c sinew s fo r radica l democ racy.11 (By "hoplit e franchise " i s mean t th e provisio n a t a n earlie r stag e o f th e develop ment o f Spart a an d othe r polei s tha t al l citizen s abl e t o equip themselve s a s par t of th e phalan x wer e t o hav e politica l rights. ) McNeil l add s th e reminde r that ,

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"radical" o r not , Gree k democrac y alway s exclude d slave s o f bot h sexe s an d al l women an d rarel y granted residen t alien s a way to obtain citizenship . Thus jus t a t th e historica l momen t whe n th e Gree k citie s seeme d a t th e threshold o f greates t politica l creativit y Persia n conques t threatene d t o engul f them. Persia Persis wa s th e nam e fo r th e regio n jus t nort h o f th e Persian/Arabia n Gul f an d was broadene d b y th e Greek s an d man y Westerner s eve r sinc e t o refe r t o th e whole o f Ira n ("lan d o f th e Aryans") . I t wa s i n th e nint h centur y tha t Arya n o r Indo-European, people s appeare d i n th e for m o f tw o groups, th e Mede s an d th e Persians. Th e beginning s o f th e Media n kingdo m ar e difficul t t o separat e fro m legend, bu t unde r Cyaxare s (625-58 5 B.C. ) they wer e a t an y rat e stron g enoug h to conduct a damaging attac k o n Assyri a and , a couple of years later i n 61 2 B.C., to capture Nineveh . B y 609, togethe r wit h thei r Babylonia n allies , the y destroyed the Assyrian s completely . Th e Persian s ma y hav e bee n a Media n vassa l stat e t o begin with . Th e ruler s trace d th e origin of their dynasty t o a certain Haxamanis h (Achaemenes) unknow n t o history , bu t afte r severa l poorl y atteste d monarch s Cyrus i s clearl y historical . I n 55 0 B.C . h e manage d t o thro w of f Media n suze rainty an d t o swee p th e Mede s aside . Th e Achaemeni d dynast y an d th e Persia n Empire thereupo n founde d wer e t o last a little over two centuries. Among th e conquest s o f Cyru s (late r calle d "th e Great" ) wa s Babylon , th e result bein g to elicit th e Jewish gratitud e enshrine d i n Deutero-Isaiah . I n 52 9 he died fighting i n centra l Asia . Hi s successo r Cambyse s conquere d muc h o f Egypt ; the nex t ruler , Dariu s I , th e Great , aspire d t o do stil l more . Firs t h e le d armie s eastward t o anne x substantia l territorie s u p t o th e Indu s valley ; the n h e turne d westward, crossin g th e Hellespon t int o Europ e i n 51 6 B.C. I t wa s th e beginnin g of a lon g an d fatefu l encounte r betwee n Persian s an d inhabitant s o f tha t conti nent. The empir e o f the Achaemenid s wa s a sudden, startlin g creation, subduin g a t a stroke ancien t realm s suc h a s Egypt and Mesopotami a wher e state s ha d existe d almost twenty-fiv e hundre d years . Naturall y i t borrowe d muc h fro m th e con quered peoples. Dariu s I had a record of his deeds inscribed in the rock of Bisitun in thre e languages : Ol d Persian , Babylonian , an d Elamite . Th e first wa s i n a script just create d fo r th e purpose. Bu t Aramaic soo n became th e most often use d language o f th e empire . I f th e Persia n Empir e wa s derivativ e i n it s writing , i t seems t o have originated a religion: Zoroastrianism . Th e prophe t Zoroaster , wh o may hav e flourished i n th e centur y befor e Cyru s (thoug h hi s datin g i s muc h disputed), preached th e god Ahura Mazd a and his war on darkness and falsehood .

Freedom in the Mediterranean: The Greeks 4 1 The Achaemeni d ruler s cam e t o follo w th e Zoroastria n teaching , probabl y re shaped in severa l respects . Irrigation agricultur e wa s vita l t o Achaemenid Persia , an d th e monarc h him self playe d a n importan t part . I n th e word s o f Herodotus , th e grea t Gree k historian an d th e first historia n know n t o us anywhere : The kin g orders th e floodgatesto be opened towar d th e countr y whos e need is greatest, and lets the soil drink until it has had enough; after whic h the gates on this side are shut, and others are unclosed for the nation which, of the remainder, needs it most.12 As in th e case of other oriental empires , th e ruler organize d a n officialdom, bu t i t contained a ne w an d significan t element : eunuchs . Castratio n o f human s a s punishment ma y date t o the secon d millenniu m B.C. , but politica l eunuchs , tha t is, castrate d male s servin g in hig h stat e positions , see m t o be found onl y a s early as th e first millennium. 13 The y coul d b e truste d wit h guardin g th e hare m o f wives an d concubine s a n Easter n monarc h migh t possess ; they wer e als o give n functions o f a speciall y sensitiv e sort . The y wer e i n n o dange r o f tryin g t o accumulate wealt h an d powe r t o pass o n t o their children ; thoug h the y migh t b e chief ministers , generals , o r admirals , the y coul d no t aspir e t o b e kings—wh o had t o have, or appear t o have, th e capacity t o be husband an d father . Some large landholding s wer e i n th e hand s o f som e familie s fo r who m owner ship ha d becom e hereditary , other s wer e hel d b y civil or militar y servant s o f th e state whose tenancy was conditional on service. As elsewhere in th e ancient Nea r East, ther e wa s continuin g tensio n betwee n th e hereditar y an d appointiv e prin ciples i n administerin g th e empire . I t wa s divide d int o province s eac h governe d by a satrap appointe d b y the Grea t Kin g or Kin g of Kings (two of the title s used) , and indeed som e satraps became somethin g like little kings, thei r positions hered itary. Nevertheless , official s dispatche d fro m th e capita l t o report o n loca l condi tions helpe d preven t fragmentation , a s di d th e bes t syste m o f road s i n histor y until tha t time , ove r which a speedy governmental pos t was carried, a s well as an effective syste m o f surveyin g an d recor d keeping . Dariu s als o wishe d t o b e remembered a s a lawgive r an d dispense r o f justice, an d carrie d ou t significan t reforms i n tha t area . Th e capita l h e founded , Persepolis , wa s both imposin g an d beautiful. The Greco-Persian Wars and the Ascendancy of Athens In 499 B.C. Miletus revolte d agains t Persia n rule , followe d b y other Ionia n cities , which appeale d t o th e mainlan d Greek s fo r support . Athen s sen t a fleet whos e initial successe s wer e followe d b y seriou s losses , an d it s remnant s wer e brough t home. Th e Ionia n revol t wa s finally pu t dow n i n 494 . Bu t Dariu s th e Grea t

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sought t o aveng e himsel f o n th e interferin g Athenians . Afte r a miscarried nava l expedition, i n 490 a Persia n fleet lande d a n arm y firs t i n Eretria , whos e peopl e were shippe d awa y a s slaves , an d the n nea r Athens . O n th e Plai n o f Maratho n the Athenia n army , helpe d b y a Plataea n contingent , smashe d a Persia n forc e over twice as large as the Greek . The Persia n arm y defeate d a t Maratho n wa s intende d merel y a s a punitiv e expedition, bu t suc h Athenian leader s as Themistocles kne w their retur n i n forc e was t o b e expected . H e therefor e greatl y expande d th e fleet b y buildin g mor e triremes. Bu t ther e wa s dissensio n amon g th e Gree k citie s abou t how , o r indee d whether, t o resis t th e Persians , an d th e oracl e a t Delph i associate d itsel f wit h Persian victory . Afte r th e Ionia n citie s ha d bee n pacified , reform s wer e insti tuted, tyrant s removed , an d democrati c governmen t restored—unde r Cyru s an d Darius Persia n rul e ha d a reputation fo r toleratio n an d respec t fo r loca l culture s and traditions . Th e resul t i n Ioni a wa s tha t b y 481 B.C . Persi a coul d succee d i n raising troops for th e coming assault on Greece. Darius had died in 486 and his son Xerxes I succeeded him—a monarc h muc h less read y t o mak e concession s o r permi t loca l way s t o continue . I n 480 h e advanced o n Greec e b y lan d an d sea . Kin g Leonida s an d hi s Spartan s hel d th e narrow pass at Thermopylae and , afte r the y were betrayed b y a Greek traito r wh o showed th e Persian s a path aroun d it , fough t t o th e death . Xerxe s move d sout h to bur n Athens , bu t i n a nava l battl e i n th e Strai t o f Salami s th e Persia n fleet was routed . Xerxe s withdre w t o Asia , leavin g a n arm y unde r Mardoniu s i n Thessaly. Th e Sparta n commande r Pausania s defeate d th e Persian s a t Plataea , while th e Gree k fleet pursue d th e fo e a t Mycal e nea r Samo s i n Asi a Mino r an d dispersed them . Tha t wa s the end of the Persia n invasion . The questio n no w wa s ho w t o consolidat e an d pres s hom e Gree k victory . Athens was given leadership of the new Delian League , whose military operation s against Persi a wer e le d by Cimon. H e also helped th e cit y to rebuild an d produc e new ar t an d architecture . Leadin g a n arm y of Athenian hoplite s t o assist Spart a to put down a helot rebellion, Cimo n was sent away by the Spartan s for uncertai n reasons an d the n suffere d ostracis m i n Athens in 461. His critics also managed t o reduce th e powe r o f th e Counci l o f th e Areopagu s an d exten d th e power s o f th e citizenry substantially , especiall y b y introducing pay for th e jurors of the popula r courts. Thu s th e poores t citizen s wer e enable d t o serve . Athenia n democrac y approached th e peak of its development . The Greek s o f Sicil y an d Ital y ha d take n n o part i n th e war s agains t Persia . They ha d fende d of f th e Phoenician s o f Carthage , an d a stron g an d ric h cente r grew u p i n Syracuse , whic h too k th e lea d i n extendin g democrac y i n severa l Sicilian citie s during th e 460s. Importan t contribution s wer e made in philosoph y

Freedom in the Mediterranean: The Greeks 4 3 and mathematics by some of the western Greeks , notabl y Pythagoras and Parmen ides of Elea . From 460 to 445 B.C. a war wa s fought betwee n Athen s an d Sparta , an d thei r respective allies, tha t came to be called the Firs t Peloponnesia n War . A t the sam e time Athens sough t t o damage the Persians , especiall y by supporting a n Egyptia n revolt. Abou t 450 B.C . a n understandin g wa s evidentl y reache d betwee n Athen s and Persi a i n th e so-calle d Peac e of Callias . N o longer wit h th e justification o f a common Persia n danger , Athen s impose d eve r tighter control s on her allie s of th e Delian League . Sh e ordere d the m al l t o us e Athenia n coin s only , impose d o n them th e sor t o f tribut e pai d b y colonies , an d supporte d th e cul t o f Athena , "queen o f Athens, " i n th e othe r citie s o f th e League . I n suc h way s th e Leagu e became in effec t a n Athenian empire . The chronicle r o f th e Gree k war s wit h Persia , Herodotus , ha s lef t a magnifi cent early testimonial t o freedom. H e attributed i t to two Spartan envoy s to Persia rejecting a n offe r o f powe r i n Greec e i f the y woul d serv e Xerxes , a n offe r mad e by a high Persia n official : A slave' s lif e yo u understandest : but , neve r havin g taste d liberty , tho u cans t no t tel l whether i t b e swee t o r no . Ah ! hadst tho u know n wha t freedo m is , tho u woulds t hav e bidden us fightfor it, not with the spear only, but with the battle-axe.14 And whe n the y cam e int o th e presenc e o f th e Grea t King , they refuse d t o prostrate themselve s (befor e an y man, a s they pu t it)—an d live d t o tell th e tale . Herodotus doubtles s caugh t th e moo d of th e ideologist s an d propagandist s o f th e defenders whe n h e drew a sharp distinction betwee n Gree k freedo m an d Persia n slavery. Th e Greek s neede d ever y ounc e o f resolutio n they coul d muster , fo r never di d ther e see m a mor e forlor n caus e tha n tha t o f th e scattere d city-state s trying t o hol d bac k th e might y host s o f th e empir e tha t embrace d mos t o f th e known civilize d world . Aeschylus , th e grea t write r o f tragedy , ha d fough t a t Marathon an d Salamis , an d cam e awa y wit h th e convictio n tha t th e Greek s ha d triumphed an d th e Persian s ha d bee n struc k down , unde r bot h Dariu s an d Xerxes, b y the divine hand . Not all Greeks fought fo r th e Greek cause. Som e served as mercenaries; others allied themselve s voluntaril y wit h th e Persians ; stil l other s di d th e enemy' s bidding fo r bribes . Herodotus' s o r Aeschylus' s patrioti c exaltatio n wa s no t uni versal. Athens ha d man y weaknesses . Afte r th e victor y ove r Persi a i t turne d it s strength o n its fellow Greeks . No t al l or most of the Athenian populatio n partici pated in its democracy. An d yet there was a real contrast betwee n th e institution s of the Greek s an d o f the Persian s an d als o between th e fighting spiri t of the two .

44 Freedom:

A History

Time afte r tim e smalle r Gree k force s defeate d large r Persia n ones . T h e reaso n was partl y superio r tactic s an d militar y science , base d o n Gree k us e o f th e hoplit e phalanx an d trireme . However , th e tactic s themselve s reflecte d th e differen t kinds o f societ y an d th e ofte n highe r morale . T h e Firs t Peloponnesia n Wa r wa s conclude d b y th e Thirt y Years ' Peace . T h e military leade r o f th e las t phase s o f th e wa r becam e th e politica l leade r o f Athens ; Pericles bot h extende d Athenia n democrac y an d became , partl y throug h th e record lef t b y Thucydides , it s chie f spokesma n fo r al l time . H e rebuil t th e city' s temples i n marble , fro m th e Partheno n o n down , usin g th e tribut e reserv e fro m the allies . I n th e Athen s o f Pericles , write s Russel l Meiggs , public servic e wa s no t confine d t o a minorit y o f activist s bu t wa s th e natura l dut y o f al l citizens, poo r a s wel l a s rich , an d mos t office s wer e filled b y th e lot . Fiv e hundre d me n had t o b e foun d eac h yea r fo r th e Boul e [council] , and , a s n o one coul d serv e mor e tha n twice no r b e unde r th e ag e of 30 , a large proportion o f th e citize n bod y must hav e serve d at leas t once . Th e Boul e reviewe d al l stat e busines s an d controlle d th e executive ; an d n o business coul d b e discussed i n th e Assembl y unles s i t ha d bee n pu t o n th e agend a b y th e Boule. A yea r i n th e Boul e wa s a n intensiv e politica l experience , an d fo r a tent h o f th e year every member had to be continuously available . The sovereig n body was the Assembly, in whic h ever y citize n ha d a n equa l vote . . . . anyon e coul d addres s th e meeting ; an d amendments coul d b e proposed fro m th e floor. Perhap s th e mos t surprisin g featur e o f th e proceedings o f th e Assembl y wa s th e appointmen t b y lo t o f th e chairman , wh o change d daily an d was chose n fro m th e member s o f th e Boule . Tha t importan t policie s coul d b e discussed a t larg e open-ai r meetings—a t som e o f which a quorum o f 6,000 wa s require d —and resul t i n rationa l decrees is a great tribut e t o the toleranc e of the average citizen. 15 Even whe n Pericles' s powe r an d popularit y wer e a t thei r height , h e ha d t o answe r to th e institution s jus t described . In 43 1 B . C . a mino r disput e erupte d int o a wa r betwee n Athens' s Delia n League an d Sparta' s Peloponnesia n Leagu e tha t cam e t o b e calle d th e Grea t Peloponnesian War . Neithe r sid e though t i t coul d affor d t o se e th e othe r gai n substantially a t it s expense : Spart a feare d th e growt h o f Athenia n power , whil e Athens fel t it s wa y t o b e blocke d b y Sparta . Pericle s use d th e strateg y o f commit ting Athens' s stronge r fleet, whil e remainin g insid e th e cit y wall s an d declinin g to engag e Sparta' s stronge r army . I n 42 9 h e died , an d hi s successor s employe d more aggressiv e tactics , wit h mixe d results . T h e Peac e o f Nicia s (421 ) brough t t o a n en d th e first phas e o f th e war . I t wa s supposed t o las t fo r fifty years . Athen s no w mounte d a purel y expansionis t venture unde r th e brillian t Alcibiades , whic h aime d a t th e conques t o f Sicily . Alcibiades wa s recalle d o n charge s o f sacrileg e bu t fled t o Spart a t o escap e punishment. T h e expeditionar y forc e wa s finally destroyed , an d Athen s turne d t o resume th e wa r wit h Sparta . T h e Persian s trie d t o exploi t thei r opportunity . Alcibiades successfull y negotiate d th e Treat y o f Miletu s (412 ) betwee n Spart a

Freedom in the Mediterranean: The Greeks 4 5 and Persia . I n effec t th e two formed a n alliance against Athens: Persi a would pay for maintainin g th e larg e fleet Spart a ha d just built , overextendin g hersel f financially i n th e process ; i n return , Spart a woul d recogniz e Persia n rul e ove r al l th e possessions o f th e Grea t King' s forebears , meanin g th e Gree k citie s o f Asi a Minor. In Athens , th e principle o f state pay for stat e servic e had been accepte d unde r the leadershi p o f Pericles . However , th e cours e o f th e wa r le d man y t o decid e that i t mus t b e modified . Ther e wa s als o a n oligarchicall y minde d grou p tha t wished t o curb th e democracy whateve r th e stat e of th e treasur y o r th e exten t of the demand s o f war . The y propose d ne w institution s whereb y a bod y o f Fou r Hundred woul d rule , referrin g periodicall y t o a suitably qualified Fiv e Thousand . In 410 , however , democrac y wa s restored , followin g a smashin g victor y ove r th e Spartan fleet b y Alcibiades. H e had bee n allowe d t o return t o the Athenian nava l base at Samos , hi s defection t o Sparta forgiven . Bu t agai n h e got into trouble an d retired. Hi s successor s blundere d int o a n engagemen t a t Aegospotam i i n whic h the Athenian fleet wa s annihilated. No w ther e was no alternative bu t peace. Thebes an d Corint h demande d tha t Athen s b e entirely destroyed . Spart a was, however, unwillin g t o go that far ; i t di d requir e th e razin g of th e lon g walls, th e surrender o f al l trireme s bu t twelve , an d th e reorganizatio n o f Athenian govern ment alon g mor e oligarchica l lines . Th e latte r proces s wa s begu n bu t the n disrupted whe n th e so-calle d Thirt y Tyrant s seize d power . Nevertheles s withi n a few months the y were driven out and, wit h th e consent of new rulers in Sparta , democracy returne d t o Athens. I t wa s a n Athens tha t wa s no w merely one of th e cities of the Peloponnesia n League ; her empir e was a thing of the past . Many have credited Persi a with a large share in Sparta' s victory: "Persia n gol d and Sparta n soldier s brough t abou t Athens' s fal l i n 40 4 B . C . " 1 6 I n an y case , th e Persian monarc h wh o ruled fo r almos t the next hal f century, Artaxerxe s I I (404 359 B.C.), foun d tha t Gree k affair s woul d no t sta y settled . Nea r th e star t o f hi s reign h e had t o contend wit h a revolt led by his brother Cyru s th e Younger a t th e head of ten thousan d Gree k mercenaries . Cyru s was killed in a battle i n Mesopo tamia. Th e Gree k forc e the n retreate d t o Ioni a i n a n epi c actio n chronicle d b y their leader , Xenophon , i n hi s Anabasis. Renewe d conflict s amon g the Greek city states gav e Artaxerxe s mor e opportunitie s t o intervene . I n 38 6 h e virtuall y imposed a settlement , calle d th e King' s Peace , tha t envisage d a divisio n o f th e world: Syracus e woul d hav e th e west ; Spart a woul d dominat e Greece ; and Persi a would regai n th e Ionia n cities . Withi n a fe w years , however , Sparta n powe r began to falter, an d Artaxerxes lost enthusiasm fo r his Spartan ally . Athens began to reviv e an d t o pu t togethe r a ne w leagu e o f cities . Ther e wa s mor e fighting between Athen s an d Sparta ; i t wa s ende d i n 37 1 b y a broa d peac e settlemen t including all powers from Syracus e t o Persia .

46 Freedom:

A History

However, Thebe s withdre w fro m th e roste r o f signator s a t th e las t moment . Believing themselve s ill-treate d b y thei r erstwhil e Sparta n allies , th e Theban s had thei r chanc e fo r reveng e when a Lacedaemonian arm y invaded Boeotia . The y defeated th e Sparta n infantr y decisively . Fo r th e nex t decad e Thebe s wa s th e arbiter o f Greece. Theba n hegemon y ha d bee n achieve d suddenly ; and i t was lost suddenly, whe n Thebes' s grea t general, Epaminondas , wa s killed in 36 2 during a battle i n whic h h e seeme d abou t t o wi n a great victory . I t wa s Athens' s tur n t o follow Spart a an d Thebe s int o decline. Th e Athenia n Leagu e stil l existed, bu t i n 357 a revol t agains t Athen s wa s instigate d b y Mausolus , rule r o f Cari a i n Ionia , which sprea d t o becom e th e Socia l Wa r (meanin g "Wa r o f th e Allies") . B y th e peace of 355, Athens had t o give up most of its possessions; its military power was at a n end . Th e grea t orato r Demosthene s woul d inveig h agains t th e risin g Mace donian dange r an d call for strengthenin g Athenian arms , bu t i t was too late. The Genius of Athens Both Spart a an d Athens mad e substantia l contribution s t o the free institution s of Greece; bu t i t wa s Athens , i n th e fifth an d fourt h centurie s B.C. , wher e th e greatest Gree k achievement s i n th e fine arts , literature , an d though t wer e pro duced. Th e architectura l masterpiece s o f Periclea n Athen s wer e matche d b y first-rate sculpture ; mos t o f th e paintin g ha s perished , bu t tha t whic h ha s sur vived, mainl y o n pottery , i s muc h admired . Th e grea t tragedia n Aeschylu s wa s followed b y Sophocle s an d Euripide s i n th e late r fifth centur y an d th e write r o f comedy Aristophanes, a trifle later ; i t woul d be almost tw o millennia befor e thei r works were equaled or surpassed . Perhaps, however , th e cultura l accomplishment s o f longest-lastin g characte r lay in philosophy, especiall y political philosophy an d the philosophy of law. I n th e sixth centur y la w ha d com e t o be respecte d a s a satisfactor y regulato r o f huma n relations, a n alternativ e t o th e settlemen t o f dispute s b y bloo d feu d an d th e vengeance of the clan, a protector o f weak an d stron g alike in a society where th e lines separatin g th e tw o wer e les s hard , les s hereditar y tha n in , fo r example , Egypt o r Mesopotamia . Beginnin g wit h Thale s o f Miletu s an d th e othe r Ionia n physicists, th e speculation s o f Gree k philosoph y arrive d a t th e vie w tha t ther e were law s governin g natur e tha t wer e independen t o f person s an d o f chance . I t has bee n suggeste d tha t th e philosopher s mentall y transferre d th e orde r o f th e polis onto th e order o f the universe ; others hav e argued tha t cosmologica l conclu sions hastene d th e developmen t o f la w i n Greece . Possibl y bot h assertion s ar e true. From abou t 45 0 B.C. , th e so-calle d Sophist s bega n b y offering instructio n i n how t o take part successfull y i n th e affair s o f the polis and ended—judgin g fro m

Freedom in the Mediterranean: The Greeks 4 7 our fragmentar y information—wit h a relativis m an d skepticism tha t threatene d Athenian patriotis m an d civic pride. Socrates , partly their contemporary, affirme d the fundamenta l virtue s an d values o f th e poli s an d huma n societ y itsel f but , according t o Plato' s portrayal , subjecte d virtue s an d value s t o searchin g an d systematic inquiry . Plat o (427-347 B.C. ) prescribed i n The Republic remedies fo r the weaknesse s o f th e poli s tha t h e observe d withou t takin g activ e par t i n th e working of its institutions . Aristotle wa s les s preoccupie d wit h th e poli s o r th e cit y o f Athens , perhap s because h e cam e fro m Stagir a fa r t o th e nort h i n Thrac e o r perhap s becaus e h e seemed mor e conten t t o stud y politic s an d al l philosoph y i n a detached manner . In discussing th e ideal state , h e was quite prepared t o criticize his teacher, Plato ; in The Republic Plato wishe d t o abolis h privat e propert y an d th e famil y an d t o make al l citizen s alike . Tha t i s wrong , declare s Aristotle . A differentiatio n o f functions i s natural ; moreover , abolitio n o f propert y woul d produc e dissension , not remov e it , an d communis m o f wive s an d childre n woul d destro y th e natura l affection tha t stem s fro m clos e human relationships . Aristotl e note s tha t i n Laws Plato abandon s communis m but , h e says , otherwis e continue d t o reiterat e th e ideas of The Republic. In Politics Aristotle seeme d unimpresse d wit h an y idea l statu s thu s fa r de picted. O f existin g states, h e declares Sparta , Crete , an d Carthag e t o be the best ; but sinc e Spart a is fit only for wa r and th e Creta n citie s are similar and stil l more primitive, i t is only distant Carthage , a n oligarchy with som e democratic features , that carrie s off mor e tha n th e faintest praise. 17 He believe s tha t th e bes t governmen t i n genera l i s "constitutiona l govern ment/' define d a s "when th e citizens at large administer th e state for th e common interest." Democracy , h e thinks , i s a perversion o f constitutional government ; by that ter m h e mean s th e rul e o f th e demos, the poor . H e argue s nevertheles s tha t when th e poo r meet togethe r the y "ma y very likel y be better tha n th e fe w good, " even if their lac k of wisdom may be dangerous an d thei r lac k of money open the m to corruption whe n individually placed in high office. Followin g Plato, he declares that democrac y ha s a s it s en d liberty . Fo r hi m thos e value s ar e no t axiomati c o r absolute a s the y ar e fo r modern s i n muc h o f th e worl d today . Aristotle' s mai n concern i s virtue—the pursui t o f the good . Ye t since man i s a "political animal, " provision needs to be made for hi m to take part in political discussion an d decision making.18 The grea t Stagirit e ha d n o doub t tha t certai n peopl e ha d highe r politica l capacities tha n others—specifically , tha t non e surpasse d th e Greeks . (Her e h e does not as before discus s individua l poleis. ) H e declares: Those wh o liv e i n a col d climat e an d i n Europ e ar e ful l o f spirit , bu t wantin g i n intelligence and skill; and therefore the y retain comparative freedom, bu t have no political

48 Freedom:

A History

organization, an d ar e incapabl e o f rulin g ove r others . Wherea s th e native s o f Asi a ar e intelligent and inventive, but the y are wanting in spirit , an d therefore the y are always in a state of subjection an d slavery. But the Hellenic race, which is situated between them, is likewis e intermediat e i n character , bein g high-spirite d an d als o intelligent. Henc e i t continues free, an d is the best-governed of any nation, and, if it could be formed into one state, would be able to rule the world.19 Earlier h e contrasts Gree k governmen t wit h th e despotic governments of Asiatics and "barbarians " (fo r example , o f the north) . Ther e i s no danger, h e writes, tha t the latte r wil l be overthrow n becaus e th e regime s ar e "hereditar y an d legal " an d "the people are by nature slaves." 20 It seem s tha t th e first twelv e chapter s o f boo k 7 of Politics (from whic h th e just-quoted passag e is drawn) date from th e early 340s ; the lines quoted migh t b e a prediction o f the caree r of the boy he began i n 34 2 to tutor fo r thre e years, wh o became Alexander th e Great . Macedonia Since abou t 50 0 B.C., th e barbaria n kingdo m o f Macedoni a ha d take n shap e an d had bee n growin g i n wealt h an d strength . Archelau s (413—399 ) establishe d a capital a t Pell a tha t wa s abl e t o attrac t suc h cultura l luminarie s a s Euripide s t o spend som e tim e there . Th e kin g did muc h t o put bot h governmen t an d arm y on a soun d footing , bu t h e wa s followe d b y four decade s o f dynastic disorder . The y were ende d whe n Philip , twenty-thre e year s o f age , uncl e t o th e child-kin g Amyntas, wa s made regent. H e had spen t thre e years in Thebes a s a hostage, an d what h e learne d fro m Epaminonda s an d other s ther e n o doub t helpe d prepar e him fo r th e great deeds he presently undertook . By 356 Phili p had seize d th e thron e fo r himsel f an d prepared t o find a pretext to invad e th e Greec e tha t la y t o th e south . I n a brillian t serie s o f militar y campaigns and diplomatic maneuverings, h e paved the way for his decisive victory at th e battl e o n th e plai n o f Chaeronea i n Boeoti a i n 338 . The peac e h e impose d on Athens—the leadin g Greek city despite its vicissitudes—was a mild one. Th e next yea r h e gathere d togethe r i n Corint h delegate s fro m al l citie s bu t Sparta . They forme d th e Helleni c League . Ther e wa s t o be a league counci l ove r whic h the kin g preside d i n wartim e bu t whic h otherwis e wa s le d b y anothe r officer . Autonomy o f al l member s wa s guaranteed ; n o existin g constitution s wer e t o b e altered; n o propert y confiscated ; n o tribut e required . Eac h membe r ha d on e obligation only : to provide a portion of the federal arm y and fleet. Soon Phili p proposed a n attac k o n Persi a t o free th e Gree k citie s of Ionia, an d a Macedonia n advanc e guar d did , i n fact , cros s th e Hellespont . A t tha t momen t Philip wa s assassinated . H e ha d unifie d th e Gree k citie s o f th e mainlan d an d

Freedom in the Mediterranean: The Greeks 4 9 the Aegean . Hi s grea t successo r wa s t o turn east , finish wha t Phili p ha d begun , and g o far beyon d hi s objectives . Onl y th e wester n Greek s wer e lef t ou t o f th e Macedonian advance . Syracus e i n Sicil y ha d bee n develope d int o perhap s th e world's richest an d largest city by the tyran t Dionysiu s the Elde r (405-36 7 B.C.), and Plat o journeye d thre e time s t o Syracus e i n th e hop e tha t hi s idea l o f th e philosopher-king might b e realized i n tha t setting . Th e hop e was in vain, bu t th e western Greek s eluded conques t fo r som e time. B y the end of the fourth century , the Roman s wer e o n th e horizon ; durin g th e Firs t Puni c Wa r (264-241) , Rom e annexed al l o f Sicil y bu t Syracuse ; durin g th e Secon d Puni c Wa r (218-201) , Syracuse followed . Philip was succeede d b y his so n Alexander, wh o had learne d fro m Aristotl e t o love th e grea t Gree k literatur e an d though t an d fro m hi s fathe r t o lov e war . Though onl y twenty , h e move d swiftl y t o assum e th e rol e o f monarch . A revol t flared in Thebes , o n th e fals e rumo r tha t h e ha d died . Wit h incredibl e spee d h e reached th e city , raze d it , an d kille d o r enslave d th e entir e population . H e the n turned east . What Alexande r intende d a t th e outse t o f his invasio n o f Asia is not certainl y known; wha t w e d o kno w i s wha t h e did . Crossin g th e Hellespont , h e prepare d to assault th e Persians , whos e throne ha d been shake n b y repeated rebellions . A t the rive r Granicu s h e wo n a smashing victor y ove r th e Persia n army . Advancin g through Ioni a i n triumph , h e defeated Dariu s II I a t Issu s i n 333 . Circling sout h to Egypt , whic h h e capture d withou t a fight, h e ha d i n min d deprivin g th e Persians o f thei r nava l base s an d neutralizin g thei r fleet. H e the n advance d t o administer a thir d an d decisiv e blo w t o Dariu s a t Gaugamel a an d burne d Perse polis. Darius , th e last of the Achaemenid dynasty , wa s murdered i n 330 , an d th e Persian Empir e cam e t o a n end . Alexande r entere d Bactri a an d marche d int o India a s fa r a s th e Hyphasi s River , a tributary o f th e Indus . H e wishe d t o reac h the Ganges—though t t o mar k th e en d o f land—bu t th e arm y refuse d t o g o farther. In the course of his unprecedented expedition , Alexande r conceive d of his task as on e o f fusin g Greek s an d Asiatics , Eas t an d West . Certainl y h e wishe d t o Hellenize th e East , an d i n orde r t o d o s o h e founde d thirty-fou r citie s name d Alexandria, th e mos t importan t bein g th e on e i n Egypt . Hi s ow n marriag e t o Roxana, daughte r o f th e Bactria n chie f Oxyartes , an d th e othe r marriage s wit h Asiatic girl s h e demanded o f his followers—te n thousan d a t once i n 32 4 at Sus a —showed hi s determination t o mix Hellenes an d Iranians . In suc h respect s Alexande r cam e t o reject Aristotle' s vie w o f Gree k superior ity. Callisthenes , Aristotle' s nephew, wa s in th e young king's entourage as officia l historian; whe n Alexander' s "half-romanti c an d half-politica l penchan t fo r Ori ental dres s an d behavior " le d hi m t o introduce prostratio n int o court ceremonial ,

50 Freedom:

A History

Callisthenes's forcefu l protest s induce d hi m t o back down . Th e resul t wa s tha t Callisthenes soo n faced charge s brought, probabl y falsely, b y his enemies and was tortured an d hanged . Som e hav e sai d tha t Alexander' s notion s o f th e fusio n o f East an d Wes t constitute d a pre-Stoic anticipatio n o f the doctrine of the brother hood o f man . However , hi s progra m ma y no t hav e ha d quit e tha t breadth : i t seems tha t thoug h Iranian s wer e include d i n hi s vision, Egyptians , Arabs , Phry gians, an d Jews were not. 21 Alexander cam e t o b e ''grippe d b y th e ide a tha t h e wa s no t merel y th e con queror o f th e Shah , bu t hi s successo r a s well/ ' I t i s certainl y tru e tha t o n th e map his conquests loo k very much lik e th e Persia n Empire . Bu t i n som e ways h e reached bac k t o older Nea r Easter n traditions . Fo r hi s capita l h e chos e no t th e homeland o f th e Achaemenid s bu t Babylon ; i t wa s a fatefu l choice , sinc e hi s successors built Seleucia , Ctesiphon , an d Baghdad in th e vicinity over the follow ing centuries. Finally , Alexande r demande d tha t h e b e recognize d a s a god. Th e ancient conceptio n o f the god-kin g derived mos t clearly fro m Egyp t thoug h i t ha d other antecedents . I n suc h way s the conqueror sough t t o orientalize th e Greeks. Like al l grandiose schemes , Alexander' s fel l shor t o f success . H e did no t eve n live t o retur n t o Greece. H e die d i n Babylon , wor n out , i n 32 3 B.C. H e wa s no t quite thirty-thre e year s old. The Greek Heritage In th e entir e spa n o f human histor y t o date, th e duration o f th e existenc e o f th e Greek poli s wa s bu t a fleeting moment . A few decade s onl y separat e Herodotus , who celebrate d th e head y victorie s o f th e Persia n wars , fro m Thucydides , wh o recorded th e disaste r o f th e Peloponnesia n wars . Th e poli s began befor e th e on e and laste d afte r th e other , bu t onl y i n irregula r an d interrupte d fashion . It s sta r burned brightly , briefly . I t wa s ofte n obscure d b y th e cloud s o f corruption , trickery, hysteria , an d treason . An d ye t th e brie f tim e th e poli s ha d laste d wa s enough t o persuade th e best Greek thinker s tha t somethin g of great and universa l value ha d bee n produced , somethin g s o ne w an d preciou s a s t o se t of f Hella s sharply fro m th e precedin g state s of the Nea r Eas t an d its contemporary, Persia , whose empir e unde r th e Achaemenid s embrace d mos t of th e civilize d world , an d to serve as a model for al l men who would be free . The Gree k citie s develope d partl y fre e societies—t o pu t i t anothe r way : societies i n whic h al l adul t mal e citizen s wer e fre e an d politicall y equal . Thei r philosophers pointed t o the institutions o f the polis, discussed how they had come into bein g an d wha t the y signified , an d proclaime d thei r merit s t o mankind. Fo r two millenni a an d mor e th e ideal s an d realitie s o f institutiona l freedo m a s the y had been give n for m b y the Greek s serve d a s inspiration fo r political philosopher s

Freedom in the Mediterranean: The Greeks 5 1 and practica l politician s alike . Th e ideal s wer e no t alway s inspirin g an d wer e sometimes sordid . Eve n th e citizenr y o f Periclea n Athen s wa s on occasio n disor derly, stupid , an d ungrateful—but als o demonstrated othe r qualities, whic h wer e ancestral t o thos e moder n characteristic s tha t mad e Winsto n Churchil l declar e that democracy wa s the worst of governments, excep t fo r al l the others. It is interesting, however , tha t th e Greek political philosophers confined them selves t o describing certai n feature s o f thei r ow n institution s withou t probin g t o the hear t o f th e question , wha t ar e th e essential s an d prerequisite s o f liberty ? From Herodotu s t o Aristotle, an d earlie r an d later, Gree k thinker s contraste d th e freedom o f Hella s wit h th e despotis m o f Persi a bu t withou t analyzin g eithe r int o its basi c institutiona l components . Eve n Aristotle , perhap s th e mos t matur e Greek commentato r o n politics , regarde d th e differenc e betwee n Helleni c an d Iranian government s a s ethni c an d geneti c i n character , an d h e di d no t tr y t o identify an d examin e th e instrumentalitie s o f th e Persia n Empir e b y whic h th e Great Kin g maintained th e powe r o f th e monarch y an d fro m whic h th e Hellene s were free . But late r writer s coul d reflec t o n suc h questions . Ancien t Greec e create d fre e institutions an d defende d them , i n battl e an d i n argument ; an d humanit y mus t be grateful fo r thos e tremendous achievements . I n th e formula o f Georg Friedric h Hegel, i n th e ancien t Orien t onl y one ma n wa s fre e (th e despot); in th e classica l world, som e wer e free . Th e amazingl y difficul t ste p fro m on e t o som e wa s first taken b y the Greeks.

CHAPTER 3

Rome and the Hellenistic Mediterranean

The Beginnings of Rome When Alexande r th e Grea t died , hi s general s an d official s immediatel y bega n a series o f struggle s tha t continue d fo r decades . Ptolem y wa s installe d i n Egyp t from th e first; Seleucu s becam e establishe d i n Babylonia . Antigonu s th e One Eyed attempte d t o unif y th e empir e lef t b y Alexander; h e faile d an d wa s killed , but hi s descendants cam e to rule Macedonia . In Egyp t th e Ptolemie s applie d Gree k managemen t t o the ol d Egyptia n despo tism. Th e ne w Gree k officialdo m wa s assiduou s i n keepin g record s o f every sort : at on e tim e th e grea t librar y a t Alexandri a possesse d seve n hundre d thousan d rolls of papyrus. 1 Th e mos t importan t o f th e severa l citie s founde d b y Alexande r and give n hi s nam e cam e t o serve a s th e ''universit y o f th e entir e Mediterranea n world" throughou t th e Hellenisti c ag e an d t o retain a n undiminishe d vitalit y fo r over a thousand years, unti l th e Muslim s founde d Cair o as a rival capital. 2 The Seleucid s ha d th e mos t heterogeneou s o f th e successio n states , mad e u p of part s o f Asi a Minor , Mesopotamia , Syria , an d Iran . Seleucu s I ha d give n u p "India" t o Chandragupt a Maury a i n exchang e fo r a troo p o f five hundre d wa r elephants, an d a few decade s late r Gree k king s had established secedin g states i n Bactria an d adjacen t areas . I n th e land s t o th e wes t th e Seleucid s trie d t o Hellenize withou t usin g too heavy a hand. Unde r th e Antigonids Macedoni a kep t its citize n arm y an d fo r tha t reaso n wa s abl e t o avoid tota l centralization , bu t i t did not succee d in retainin g control of Greece t o the south . 52

Rome and the Hellenistic Mediterranean 5 3 About 247 B.C. Arsaces, leade r of the Iranian peopl e called Parthians , founde d a kingdo m betwee n Bactri a an d th e Seleuci d empire , an d it s ruler s wer e Hellen izers fo r som e time . Th e Parthians , havin g com e clos e t o restoring th e powe r of the Achaemenid state , laste d unti l A.D . 226 . In th e vie w o f F . E . Peters , eve n befor e Alexande r invade d Asi a Hellenis m had ''converted " th e Lydians , th e Macedonians , an d th e Romans ; afte r that , i t was simpl y "yoke d together " wit h th e politica l system s o f th e Asians. 3 I n th e capitals o f th e large r succession states—Alexandri a o f th e Ptolemies , Antioc h of the Seleucid s (an d als o Pergamum , chie f cit y o f a lesse r state , i n wester n Asi a Minor), thoug h no t i n Pell a o f Antigoni d Macedonia—th e patter n wa s on e o f coexistence of the brutal despotis m o f the Nea r Eas t wit h fragment s o r remnant s of Helleni c culture . Plutarc h tell s us , fo r example , tha t afte r th e battl e o f Carrhae i n 5 3 B.C. th e hea d o f Crassus , th e Roma n commander , wa s brought t o the Parthia n king , Orode s II , whil e h e wa s watchin g a performanc e o f Euripi des's Bacchae, an d was rolled onto the stag e like a soccer ball. Greeks performe d wel l i n th e institution s o f th e polis ; the y als o cam e t o distinguish themselve s a s better an d mor e efficien t bureaucrat s i n th e servic e of the Hellenisti c court s tha n som e o f th e indigenou s types . Fro m th e day s whe n Ephialtes showe d th e Persian s ho w to turn th e Sparta n positio n a t Thermopylae , Greeks coul d b e found t o serve despotism. Aristotl e (apparently ) t o the contrary , there i s nothing i n th e desir e fo r th e rul e o f many a s against th e rul e o f one tha t attaches itsel f t o any given ethni c group. By approximately th e beginnin g o f th e Christia n era , th e successo r kingdom s had disappeared ; th e conqueror s wer e th e Parthian s i n th e eas t an d th e Roman s in th e west . Th e Roman s als o extende d thei r real m i n th e west , an d nort h an d south a s well , int o region s wher e civilizatio n wa s new . Fo r a time they too k th e Greek ideal s an d institution s o f libert y an d gav e the m meanin g an d embodimen t in a quite new setting . According t o th e accoun t writte n mor e tha n seve n centurie s late r b y Livy , Rome was founde d b y Romulu s abou t 75 0 B.C . H e wa s though t t o be th e first o f seven king s an d a Lati n i n origi n (fro m Latium , th e regio n o f Rome) . Hi s successor wa s Num a Pompilius , a Sabine , whos e reig n wa s identifie d wit h law , morality, an d religion . Late r cam e th e tw o Tarquins, sai d t o be Etruscans , fro m Etruria t o th e north ; betwee n thei r reign s cam e "Servu s Tullius, " a n allege d Latin bu t a figure man y scholar s regar d a s a patrioti c inventio n t o avoi d givin g credit t o th e Tarquins . Th e las t king , Tarqui n th e Proud , wa s drive n ou t b y Romans wh o wer e outrage d b y hi s misconduct . The y proceede d t o foun d a republic, whic h a t th e outse t wa s a n aristocracy . Th e traditiona l dat e o f th e founding o f the republic , an d probably close to the correct one , i s 50 9 B.C .

54 Freedom:

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The Early Republic The institution s o f th e republi c wer e initiall y aristocratic . Tradition , o r perhap s legend, ha d i t tha t eac h kin g ha d bee n electe d b y th e comitia, or Assembly , an d confirmed b y th e senatus y or Senate . Th e Senat e wa s mad e u p o f on e hundre d elders (patres); under th e republi c i t wa s as before a consultative bod y but gaine d great power as it came to be a patrician preserve . Th e king' s powers, political an d military, cam e to be entrusted t o two consuls, elected annually, drawn exclusivel y (or nearly so ) from th e patricians unti l 36 7 B.C. At tha t tim e a legal requiremen t was adopted tha t one consul must b e from th e commoners or plebeian order . "Patricians" an d "plebeians " wer e no t mer e mode s o f expression ; they wer e legally define d order s o f society . Durin g th e perio d o f monarch y grea t patricia n families too k for m an d persiste d a s a smal l aristocrati c elite . A s fo r th e over whelming majorit y o f Roma n citizens—th e plebeians—the y bega n b y having n o civic obligations an d bein g exempt fro m bot h militar y servic e an d taxation . How ever, th e Etrusca n king s worked out a system of recruitment o f the plebs into th e army, base d on the results of the census. The Senate , i n theor y continuin g th e institutio n o f monarchica l times , wa s made u p o f th e head s o f th e patricia n clan s (gentes), thoug h nominall y th e consuls, the n late r th e censors , selecte d it s members—i n ever y cas e fo r life . A second componen t o f th e membershi p cam e t o b e al l forme r magistrates . Th e Senate cam e t o hav e d e fact o legislativ e powers , supervise d man y othe r govern mental functions , an d sen t an d receive d ambassadors. I n th e late republic, i t also appointed magistrate s t o the newl y conquere d provinces . Thes e mainl y patricia n institutions wer e challenge d b y the pleb s in th e so-calle d Conflic t o f th e Orders , which laste d fro m th e fifth t o th e thir d century . Plebeian s gaine d politica l equality wit h patricians , an d som e plebeia n familie s entere d th e senatoria l aris tocracy. I n a fatefu l confrontatio n o f 493-49 2 B.C . especially , patrician s wer e compelled t o recognize official s calle d tribune s wh o would defen d plebeia n inter ests. Religiou s innovations—Roma n religio n playe d a n importan t par t i n al l political processes—provided sanction s fo r th e retentio n o f these changes. During th e republi c thre e o r fou r popula r assemblie s th e fact s concernin g which ar e difficult t o establish becam e significant. 4 Evidently , th e oldest was th e Comitia Curiata , i n whic h th e votin g unit s wer e thirt y curia s (te n fo r eac h o f three "tribes") . I t passe d law s confirmin g th e powe r o f magistrate s an d othe r officers. Th e Comiti a Centuriata , originall y a military gathering , acquire d politi cal functions ; th e votin g unit s wer e 19 3 centuries an d 3 5 tribe s i n whic h patri cians dominated. I t elected the (two) consuls and the (from fou r t o eight) praetors and, ever y four or later five years, tw o censors who conducted th e census, "whic h determined th e citizen' s classificatio n according t o property , an d consequentl y

Rome and the Hellenistic Mediterranean 5 5 the valu e o f hi s vote." 5 Unti l 21 8 i t wa s th e chie f legislativ e body , thereafte r summoned only for declarations of war and confirmatio n o f the census . Possibly i n th e mid-fift h centur y bega n th e Comiti a Tributa , littl e differen t from th e Conciliu m Plebi s (o r Council of the Plebeia n Order) . I n both th e votin g units wer e th e thirty-fiv e tribes . Afte r issuanc e of the Le x Hortensia i n 28 7 B.C., which i s regarde d a s terminatin g th e Conflic t o f Order s an d mad e act s o f th e plebs binding on th e whol e state , th e tw o tribal assemblies , especiall y th e Conci lium Plebis , passed most laws. Except fo r th e tribal assemblies, al l of them wer e subject t o veto from tribune s of th e plebs . I n al l th e assemblies , votin g wa s b y units ; bu t befor e divisio n int o units al l citizen s coul d atten d a preliminary publi c meetin g know n a s conventio, or th e shortene d for m contio, a t Rome . I n th e assemblie s themselve s votin g a t first was oral, bu t by 10 7 B.C. th e written ballo t had come to prevail. The divisio n o f function s i n th e Roma n republi c wa s connecte d wit h th e strong emphasi s o n la w tha t i s foun d i n Roma n annal s fro m th e earlies t times . The basi c documen t wa s th e la w o f th e Twelv e Tables , evidentl y draw n u p b y ten officers , calle d decemvirs, wh o replaced th e consuls i n 450 , an d fo r tha t yea r alone. I t wa s displayed i n th e Foru m on twelve tablets of bronze or wood and was committed t o memory b y schoolchildre n fo r centurie s thereafter . I t ha d a pervasive religiou s ton e (t o judg e b y th e portion s tha t survive) , bu t th e essentia l element wa s affirmatio n o f th e right s o f al l citizens ; th e righ t o f appea l o f an y sentence, fro m an y court, t o the popular assembl y was guaranteed. 6 Throughout th e fifth centur y an d int o th e fourth , Rom e wa s th e foremos t o f the citie s of Latium. Th e res t of them belonge d t o the Lati n League , wit h whic h Rome had a treaty wherein Rom e and th e Leagu e treated eac h other a s equals. I n about 39 0 an invasio n o f the barbarian Gaul s swep t int o the cit y and held i t fo r a time, causin g terro r amon g th e Romans ; bu t Rom e recovered , establishe d hege mony in Latium , an d in 33 8 dissolved th e Latin League , incorporating som e cities into Rome directly an d grantin g others "Lati n rights. " After a prolonged struggl e with th e Samnites , th e Gauls , an d th e remnant s o f th e Etruscans , th e cit y emerged victorious over them all . It s armies pushed sout h into Greek Italy , whic h centered o n Tarentum , afte r finally drivin g of f th e force s o f Pyrrhus , kin g o f Epirus acros s the Adriatic. Thu s th e peninsula wa s conquered . Carthage, master of the western Mediterranean , wa s on good terms with Rom e until th e latter , wit h it s legion s an d a newl y buil t navy , invade d Sicil y o n th e appeal of a Campanian force in the city of Messana. Thus began the Punic (meaning Phoenician o r Carthaginian ) Wars . I n th e first o f the m Rom e wo n mos t o f western Sicil y from Carthag e (241 ) and constituted i t as the first Roman provinc e (227). Th e Carthaginia n genera l Hamilca r Barc a sough t revenge . He , the n hi s son-in-law, establishe d a base i n Spain , bu t Hamilcar' s so n Hannibal , afte r bot h

56 Freedom:

A History

the other s wer e dead , presse d forwar d t o attack . Crossin g th e Alp s wit h th e fabled elephant s (probabl y they were few i n number) , h e won a series of brillian t victories culminating at Canna e (216) . Rome refuse d t o admi t th e defea t tha t man y though t mean t th e en d o f th e war. Recoupin g it s fortune s slowly , i t a t lengt h dispatche d th e gifte d youn g P . Cornelius Scipi o t o invad e Carthage . Hanniba l wa s brough t bac k fro m Ital y t o meet th e invadin g army. Scipi o crushed hi s grea t fo e at Zama in 20 2 (gaining th e name "Africanus") , endin g the war . Rome no w establishe d tw o mor e provinces , Hithe r Spai n an d Farthe r Spain . One other , Sardinia-and-Corsica , ha d bee n founde d betwee n th e creatio n o f th e Sicilian an d th e Spanis h provinces . B y thi s tim e severa l slightl y differen t form s of alliance or annexation ha d com e to characterize Roma n rul e in Italy , an d som e of the m continue d t o be used i n th e east ; bu t annexatio n wa s th e usua l for m o f handling conquered territorie s i n th e west outside Italy . In th e first fou r provinces , b y 197 , governor s wer e appointe d annuall y wh o were als o praetors. Th e titl e of praetor ha d bee n applie d fo r mor e tha n a century to a n urba n magistrat e wh o ha d bee n a colleagu e o f th e consuls , o f lesse r ran k and power . Late r i n th e secon d centur y B.C . i t becam e usua l t o prolong the ter m of offic e o f al l consul s an d praetor s s o that they move d fro m Rom e t o a province (from whic h practic e develope d th e title s "proconsul " an d "propraetor" ) wit h th e rank o f th e previou s year , an d th e extensio n migh t b e fo r longer . Th e governo r had a n assistan t wh o was a quaestor an d i n additio n a substantial staff . Taxatio n in th e province s balloone d int o exploitatio n o f variou s sort s an d corruption , practiced b y th e tax-farmers , o r publicani, ultimately tax-farmin g companies , o n a larg e scale . Th e result , write s M . Cary , wa s tha t "Roma n rul e i n Ital y gav e general satisfaction ; i n th e provinces it causes widespread discontent." 7 Like other s i n th e Hellenisti c age , th e Roman s acknowledge d Gree k cultura l superiority i n man y respects . Thu s i n th e first phase s o f th e fou r Macedonia n Wars the y fought , th e sloga n "th e freedo m o f th e Greeks " figured prominently . At th e en d o f th e Secon d Macedonia n War , i n 19 6 B.C. , Phili p V of Macedo n was require d t o restor e t o libert y th e Gree k state s h e rule d an d t o abstai n fro m infringing o n th e libert y o f thos e h e di d not . Th e Roma n arm y thereupo n with drew t o Italy. This settlemen t di d no t last . I t becam e clea r tha t cuttin g Phili p down t o siz e was a greater concer n o f Rome than Gree k freedom , an d in thre e years the troop s returned. I n 16 7 Macedoni a wa s divide d int o fou r independen t republics . One , Achaea, wa s force d t o sen d on e thousan d hostage s t o Rome , o f who m on e wa s Polybius. H e prospere d an d bega n t o write hi s importan t histor y a s gues t o f th e great general Scipi o Aemilianus, grandso n b y adoption of the victor of Zama. An attemp t wa s mad e t o restor e th e Macedonia n monarch y i n 148 . Whe n i t

Rome and the Hellenistic Mediterranean 5 7 was defeated , Macedoni a becam e a Roma n province , incorporatin g Epiru s an d Thessaly. Tw o year s late r anothe r se t o f disturbances le d Rom e t o raz e Corint h and enslave the inhabitants, dissolv e the Achaean League , replac e all democracies in th e Gree k citie s b y oligarchies, an d plac e centra l an d souther n Greec e unde r the supervisio n o f the governor of Macedonia. Thes e measure s marke d th e end of Greek independence . During th e previou s decade s Carthag e ha d enjoye d somethin g of a revival. M . Porcius Cat o mad e certai n n o one faile d t o notice b y ending ever y speec h i n th e Senate b y declaring tha t "Carthag e mus t b e destroyed. " Afte r it s arm y attacke d the Numidia n kin g Masinissa , wh o wa s a n ol d all y o f Rome , Scipi o Aemilianu s finally captured Carthage . Th e cit y wa s razed , abandoned , an d cursed , an d th e surviving inhabitant s wer e sol d int o slavery . Th e territor y becam e th e sixt h province o f Rome . No t lon g afterward , i n 133 , th e las t kin g of Pergamu m died , leaving his realm t o Rome; as "Asia" it became the sevent h province . In th e cours e o f th e grea t conquest s o f th e province s i n th e thir d an d secon d centuries, Rom e often treate d th e conquere d population s mildly , admittin g man y to citizenshi p an d resettlin g other s rathe r tha n enslavin g them . Roma n citizen ship was highl y valued , an d rightl y so . I t originall y include d th e righ t t o participate i n governmen t throug h votin g in th e assemblies . On e ha d t o come t o Rom e to do this, an d tha t wa s increasingly impracticabl e fo r most . A citizen ha d t o pay taxes, bu t h e enjoyed equalit y before th e law. I n Muller' s words , "wha t ha d bee n a jealously guarde d privileg e i n Athens , comparabl e t o membership i n a n exclu sive club , becam e th e righ t o f al l fre e member s o f th e community . . . . B y la w the citize n wa s a persona: a man wit h privat e right s t o life, liberty , an d propert y —rights declare d an d protected b y the state." 8 In attemptin g t o explai n th e basi s o f Rome' s success , th e Greek , Polybius , "emphasized th e bindin g forc e o f Roma n publi c religio n a s inducin g i n Roma n public servants , throug h th e sancrosanctit y o f oaths , a n integrit y tha t ha d n o parallel i n contemporar y Greece." 9 Roma n hono r wa s closel y linke d wit h civi c spirit that, i n turn , wa s thought b y Polybius to be related t o the balance of powers existing betwee n th e principle s o f monarchy (th e consuls) , aristocrac y (th e Sen ate), an d democracy (th e popular assemblies)—an d thoug h consul s were scarcel y kings, ther e ha d indee d bee n a n effor t t o diffuse power , expresse d i n th e officia l title used i n legislation : SPQR , Senatu s Populusqu e Romanus , th e Senat e an d the Peopl e of Rome. The war s in th e eastern Mediterranea n yielde d a large supply of slaves. I n th e ancient worl d prisoner s wer e regularl y enslave d an d sol d awa y fro m thei r home land, an d th e resultin g damag e t o freedom foreshadowe d th e displacemen t o n a n immense scal e o f force d laborers , deportees , an d refugee s o f al l sort s tha t at tended Worl d Wa r II , no t t o mention th e exterminatio n camp s of Hitle r an d th e

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massacres of suspected opponent s by Stalin tha t occurred during the sam e period. Freedom an d wa r d o no t g o wel l together ; i t ma y stil l b e argued tha t wa r ha s nevertheless bee n necessar y t o gai n freedo m (a s i n th e America n Civi l War , which ende d slavery ) or to preserve it (as against th e Nazis) . At an y rat e man y slave s wer e indee d neede d b y th e grea t estates , devote d t o raising cattle or sheep , whic h gre w rapidl y i n Ital y in th e wake of the Carthagin ian damag e don e i n th e Secon d Puni c War . A s thes e latifundia grew, th e smal l farmers displaced thereb y flooded into Rome and a few other cities. Through th e wester n Greek s (tha t is , th e Greek s of southern Ital y an d Sicily ) and the n direc t contac t wit h Greec e proper , th e Roman s wer e subjecte d t o wide and dee p Gree k cultura l influences . Gree k slave s becam e nurse s o f th e babie s and tutor s o f th e childre n o f Roma n aristocrats . B y th e secon d centur y B.C . educated Roman s spok e Gree k a s readil y a s Latin , an d i n som e case s Gree k i n preference t o Latin. One schoo l of Gree k though t foun d a ready receptio n i n Rome : Stoicism. Th e half-Greek, half-Phoenicia n Zen o (d . 26 4 B.C.) , teachin g i n th e Painte d Porc h (stoa poikile) of Athens , concentrated—a s di d hi s contemporar y Epicurus—o n the ethica l obligation s o f th e individual , operatin g i n a worl d wher e universa l reason guarantee d a common humanit y undergirdin g a notion o f the brotherhoo d of man. I t commended a lif e o f actio n an d encourage d participatio n i n publi c affairs . It s mai n postulate, tha t th e world was a theatre for the display of human will-power, an d that the difficulties o f human life were literally "trials, " appealed directly to Roman stubbornnes s and self-respect; o n the other hand its lack of ready sympathy with human suffering gave no shock to Roman pride.10 The Republic in Crisis Greek idea s o f th e politica l an d socia l equalit y o f th e citizenr y wa s no t congenia l to Roman traditions , bu t som e individuals ma y have been affecte d b y them. S o at least i t wa s contende d regardin g th e refor m movement s le d b y the Gracch i fro m 133 B.C. Tiberiu s Gracchus , grandso n o f Scipi o Africanus, wa s concerne d abou t the consequence s o f th e grea t socia l change s tha t ha d occurre d i n th e south : th e danger o f slav e revolt s ( a length y on e i n Sicil y ha d just bee n pu t down ) an d th e shrinkage o f th e citizenr y possessin g som e lan d an d bein g liabl e fo r militar y service. A s tribune , Tiberiu s Gracchu s propose d t o enforc e th e existin g la w limiting th e tenur e o f publi c lan d t o abou t thre e hundre d acre s an d t o us e th e land thu s obtaine d t o settl e landles s citizens . Throug h intricat e lega l maneuver s he pushe d th e measur e through , bu t oppositio n t o him le d t o his bein g kille d i n 133 along with thre e hundred o f his followers .

Rome and the Hellenistic Mediterranean 5 9 In 12 3 Gaius Gracchus becam e tribune , seekin g both t o avenge th e murder of his brothe r Tiberiu s an d t o resum e hi s program . H e revive d Tiberius' s lan d la w and provide d tha t th e governmen t mus t furnis h grai n a t a fair pric e t o the poor ; he als o proposed t o extend th e ful l franchis e t o Latin citie s an d "Lati n rights " t o all other Italians . However, th e Roma n citizenr y wer e no t eage r t o shar e th e advantage s o f citizenship s o widely. I n ensuin g struggle s Gaiu s Gracchu s an d hi s ally , Marcu s Fulvius Flaccus , wer e killed . Th e lan d distribution s o f th e Gracch i ma y hav e arrested fo r a time th e decline of the rura l citizenry ; th e measure o f Gaius givin g some supervisor y power s ove r senatoria l administratio n t o eminen t equestrian s lasted an d ha d benefits. Durin g th e political struggle s of the Gracchan perio d tw o parties, th e optimates (th e traditiona l aristocrats , claimin g t o be th e "bes t men" ) and populares (striving t o wor k throug h th e commo n peopl e rathe r tha n th e Senate) ha d sprun g u p an d outlaste d th e Gracchi . I f th e Graccha n reforms , "i n which, fo r th e first tim e i n Rome , Gree k theoretica l influence s ma y b e traced, " fell shor t of their objective, they had som e success in stabilizin g Roman society. 11 Thereafter no t domesti c reformer s bu t militar y heroe s gav e directio n t o th e republic. Th e first wa s Gaiu s Marius , a n equestria n wh o ha d rise n t o becom e consul i n 10 7 B.C . Mainl y throug h th e skil l o f hi s quaesto r Luciu s Sulla , h e managed t o defeat a usurper t o the Numidian throne , Jugurtha, an d followed thi s victory b y destroyin g th e force s o f th e barbaria n Cimbr i a t Aqua e Sextia e (Aix les-Bains). A s consu l h e se t asid e th e previou s syste m o f recruitment , base d o n property qualifications, an d accepted volunteers from th e poor and rootless. Thes e and othe r change s substantiall y improve d th e effectivenes s o f th e army . A s fo r Marius himself , h e fel l victi m t o politica l infightin g betwee n senator s wh o de spised hi m a s a n upstar t an d demagogue s intereste d i n usin g hi m fo r thei r ow n purposes. I n consequenc e h e lef t Rom e i n 10 0 B.C . fo r a time , an d whe n h e returned h e was unable t o regain hi s former influence . Rome's ill s resiste d al l kind s o f effor t t o remed y them . Th e equestria n clas s had been give n power b y Gaius Gracchu s t o watch ove r senatoria l administratio n of th e provinces ; it s banker s an d tax-farmer s no w demonstrate d thei r abilit y t o plunder th e provinc e o f Asia , Rome' s chie f sourc e o f income . Th e Senat e sen t two of its men of greatest probity, Quintu s Muciu s Scaevol a and Publiu s Rutiliu s Rufus, t o pu t thing s i n som e kin d o f order . The y di d so ; bu t o n hi s return , Rutilius wa s convicte d o f "extortion " b y a court dominate d b y th e ver y grou p h e and Scaevol a ha d bee n seeking t o curb. Th e resul t wa s tha t soo n th e governors , formerly comin g from th e civic-minde d senatoria l clas s an d wishin g goo d government, becam e corrupt a s well. 12 Dissatisfaction amon g th e poo r o f Rom e an d th e Italian s outsid e th e cit y le d Marcus Liviu s Drusus , th e tribun e fo r 91 , to propose a serie s o f reforms . The y

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envisaged grantin g citizenshi p t o al l Italians , admittin g thre e hundre d equites to the Senate , an d improvin g th e lo t o f th e poor . Th e measure s wer e blocked ; Drusus wa s assassinated ; an d th e Italian s revolted . I n th e so-calle d Socia l Wa r (or Wa r o f th e Allies) , Gnaeu s Pompeiu s Strab o an d Sulla , Marius' s forme r quaestor, wer e mainly successfu l i n quelling the rising . In 8 8 Sull a wa s electe d consul . A law strippin g hi m o f his militar y comman d in favo r o f th e agin g Mariu s arouse d hi s ire ; h e manage d t o persuad e th e arm y that ha d fough t unde r hi m i n th e Socia l War t o follow hi m i n a march o n Rom e to set th e legislatio n aside . I t wa s th e firs t tim e a private arm y ha d acte d i n suc h a manner . Th e militar y reform s o f Marius , designe d t o correc t certai n weak nesses, ha d b y creating clien t armie s produce d a stil l mor e seriou s weakness . I n Badian's words, "th e en d of the republi c wa s foreshadowed." B For severa l years Sull a was kept busy with sporadi c civil war an d conflic t wit h Mithradates V I Eupator , kin g of Pontu s i n norther n Asi a Minor . Whil e h e wa s absent th e consu l Corneliu s Cinn a seize d power , bu t i n 8 2 Sull a succeede d i n returning triumphantl y t o Rome, scatterin g his enemies . H e was now proclaime d dictator, purportedl y revivin g a n ol d lega l form , fo r th e redraftin g o f th e consti tution, an d thereupo n undertoo k systemati c murder of his enemies and seizur e of their property . Nevertheless Sull a also worked a t strengthenin g th e institutions of the Repub lic, especiall y th e authorit y o f th e Senate . It s membershi p wa s increase d fro m three hundre d t o six hundred; th e censor s los t right s over admissio n an d remova l of senators; and the office o f tribune was much restricted . Sull a limited legislativ e power t o th e Comiti a Centuriat a unde r senatoria l control . I n effec t th e jur y reform o f Gaiu s Gracchu s wa s overturned ; "i n al l th e quaestiones, ol d an d new , the juror s wer e appointe d fro m th e rank s o f th e Senate , an d th e Equite s wer e completely exclude d from th e higher jurisdiction a t Rome." 14 In 7 9 Sull a voluntaril y resigne d th e dictatorshi p an d retire d t o a Campania n estate, wher e he died th e following year. Car y writes, "Sull a stand s in a line with Scipio Africanu s an d Caesa r a s on e o f th e outstandin g figures o f th e Roma n Republic. . . . [However, ] i n th e long run hi s own exampl e of successful militar y usurpation prove d mor e effectiv e tha n th e inadequat e remedia l measure s whic h he devised agains t a recurrence o f his [own ] offense." 15 At the tim e of Sulla's retiremen t th e Roma n republi c ha d a half-century o f lif e remaining, durin g which a series of gifted militar y an d political leaders appeared , struggled fo r power, an d one by one passed from th e scene . Th e first wa s Pompey (Gnaeus Pompeius , th e so n o f Gn . Pompeiu s Strabo) , wh o ha d serve d a s a commander fo r Sulla . Pompe y wa s give n th e tas k o f suppressin g wha t ma y b e called eithe r th e revol t o r th e countergovernmen t o f Quintus Sertoriu s i n Spain . This h e finally accomplished i n 72 . H e returne d t o Italy just i n tim e t o finish off

Rome and the Hellenistic Mediterranean 6 1 the slav e rebellio n le d b y th e Thracia n gladiato r Spartacus , thoug h M . Liciniu s Crassus, a praetor, ha d already defeated th e rebel s twice . Now Pompe y an d Crassu s contende d fo r th e consulship . Fortunatel y ther e were two , an d eac h ma n receive d on e fo r th e yea r 70 . The y proceede d t o und o much o f th e Sulla n reform . Censor s an d tribune s regaine d powers , an d th e equestrian clas s along with them . A n ambitiou s beneficiary o f the Sulla n reform s named M . Tulliu s Cicer o prosecuted th e propraeto r o f Sicily , Verres , helpin g t o bring pressure fo r large nonsenatorial membershi p on the courts. The institution s o f the republi c ha d undergon e severa l substantia l reorganiza tions. B y thi s tim e they wer e threatene d b y popula r demagogue s an d ambitiou s commanders willin g t o ris k usin g Rome' s legion s a s thei r ow n privat e armies . Worst o f all , however , wa s th e weakenin g o f th e defender s o f law , hones t administration, an d th e public good ; the mora l fiber of the senator s wa s not wha t it ha d been . Amon g othe r things , th e Senat e wa s n o longe r resistan t t o ne w annexations. Pompey wa s read y t o tes t th e resistance . I n 6 7 he wa s given a n extraordinar y command o f al l th e Mediterranea n coastlin e t o ri d th e se a o f pirates , an d h e succeeded i n doin g so within a few months . Sen t t o the east , h e defeated Rome' s old antagonist , Mithradate s VI , drov e hi m t o suicide , an d seize d Pontus , hi s kingdom. Pompe y the n proceede d t o reorganiz e Rome' s possession s i n th e area : Asia wit h it s riche s an d revenue s wa s shielde d b y thre e provinces : Bithynia Pontus, Cilicia , an d Syria . Beyon d the m wer e clien t kingdoms : easter n Pontus , Cappadocia, Galatia , Lycia , an d Judaea (Judah) . In Judaea , a n interna l crisi s invite d Roma n intervention . Le d b y th e Macca bees, th e Jew s ha d rebelle d agains t th e Seleuci d king , Antiochu s I V Epiphanes , when h e banned Judaism i n 16 8 B.C. out of Hellenizing motives. Th e Maccabee s had gaine d independence , bu t th e ruler s ha d falle n t o squabbling. I n 6 3 Pompe y invaded th e country , capture d Jerusalem , an d impose d a settlement . H e the n returned t o Rome, whic h gav e him a n unprecedente d triumph—however , h e did not obtai n wha t h e wante d most : approva l o f hi s reorganizatio n o f th e Eas t an d the grant of land fo r hi s veterans. In 6 0 B.C . a new figure appeare d i n th e rank s o f th e leadership , Gaiu s Juliu s Caesar, descende d fro m poo r bu t patricia n stock . I n tha t yea r h e returne d fro m Spain, wher e h e ha d spen t a year a s administrator , t o see k a consulship. H e go t it b y forgin g a coalitio n ofte n calle d th e Firs t Triumvirat e wit h Crassus , hi s former patron , an d Pompey . Caesa r obtaine d fo r Pompe y hi s tw o unsatisfie d demands relatin g t o Eastern governmen t an d veteran lands , an d managed compa rable benefit s fro m Crassus , usin g soldier s t o dispos e o f opposition . Thereupo n he secure d fo r himsel f primac y i n Cisalpin e Gaul , Illyria , an d the n Transalpin e Gaul. H e determine d t o conque r th e res t o f Gau l t o th e north . I n a lon g an d

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tortuous war , marke d b y temporar y foray s int o Britai n an d th e territor y eas t o f the Rhine , h e finally defeate d th e abl e Galli c commander , Vercingetorix , wit h the sieg e of Alesia (Alise, nea r Dijon ) i n 5 2 B.C . In th e meantim e Crassu s ha d bee n sen t t o Syria , becam e involve d i n a full scale wa r wit h th e Parthians , an d plunge d headlon g int o disaster . H e wa s de feated an d himsel f kille d i n th e battl e o f Carrha e i n Mesopotamia . Pompe y an d the Senat e engage d in continua l intrigue s agains t th e other triumvir . Th e Senat e at lengt h lai d dow n th e gauntle t t o Caesar b y an ultimatu m t o disband hi s army . Caesar's answe r wa s t o lea d on e legio n acros s th e strea m name d Rubicon , th e southern boundar y of his province, nea r Ravenna , i n 49. In effec t th e crossin g opened wa r o n Pompey . Th e conflic t wa s short . Caesa r caught Pompe y i n Greec e an d defeate d hi m a t Pharsalus ; Pompe y the n fled t o Egypt, wher e h e was killed by order of a Ptolemaic official. Befor e learnin g of the murder, Caesa r wen t i n pursui t o f hi m t o Alexandria , wher e h e wa s promptl y besieged b y Ptolem y XII , an d a n arm y o f Asi a ha d t o b e sen t t o rescu e him . Caesar the n proceede d t o plac e Cleopatr a VII , wh o ha d captivate d him , o n th e Egyptian thron e an d continue d th e campaig n agains t Pompeia n force s unti l h e finally defeated Pompey' s son s at Mund a i n Spai n in 45. Julius Caesa r brough t fro m Egyp t th e knowledg e neede d t o reform th e calen dar, an d th e "Julian " calendar , usin g 365 lA day s pe r year , laste d fo r man y centuries. Bu t despite th e virtually unlimite d powe r h e had gained , Caesa r mad e no importan t structura l change s i n Roma n government . H e increase d th e mem bership of the Senat e t o nine hundre d an d als o enlarged th e numbe r o f quaestor s and praetors ; i n addition , citizenshi p wa s extende d t o more people . H e prepare d to moun t a campaig n agains t Parthi a t o aveng e Crassus , bu t th e attendan t military hazard s wer e neve r t o be tested . Whil e h e wa s planning t o venture, h e was assassinate d i n th e Senat e b y a conspirac y i n whic h a tota l o f abou t sixt y persons, partl y selfles s patriot s an d partl y pett y time-servers , le d b y M . Juniu s Brutus an d C . Cassiu s Longinus , too k part. I t was 1 5 March (th e Ides) 44 B.C. Since h e adopte d th e purpl e rob e o f Rome' s kings , accepte d a n officia l cul t of himself, pu t a n imag e o f hi s ow n hea d o n coins , an d skirte d us e o f th e titl e rex, Caesar seeme d t o b e o n th e edg e o f restorin g monarchy—whateve r exactl y tha t might hav e mean t a t th e time—an d als o of claimin g divinity. Monarch y di d no t necessarily mea n a n unpopula r typ e o f government . Ther e wer e man y Caesari ans, heade d b y Marcu s Antoniu s (Mar c Antony) , Caesar' s fello w consu l o f 44 , who were favorabl y dispose d towar d th e prospect. Bu t fo r Roman s (a s contraste d with Greek s o r Asiatics ) t o b e aske d t o accep t hi m a s a livin g go d wa s anothe r matter, eve n thoug h h e was formally deifie d afte r hi s death .

Rome and the Hellenistic Mediterranean 6 3 The Establishment of the Empire Caesar's inheritanc e wa s claime d b y hi s eighteen-year-ol d grandnephe w an d adopted so n an d heir , Gaiu s Octavius . H e wa s initiall y rebuffe d b y Antony . However, h e proceeded t o raise a n arm y an d a t th e sam e time t o begin a series of skillful an d elusiv e political maneuvers . Octavia n allie d himsel f wit h Anton y an d Marcus Lepidu s in a formal an d legal triumvirate {triumviri rei publicae constituendae). Th e triumvir s ri d themselve s o f severa l enemie s b y execution , Cicer o heading the list. Octavia n an d Antony joined t o defeat an d drive to suicide Brutu s and Cassiu s i n Thrace . The y the n separate d t o conduc t independen t militar y campaigns o r politica l adventures . Anton y becam e th e love r o f th e quee n o f Egypt, Cleopatra , an d soo n als o he r husban d thoug h h e wa s alread y marrie d t o Octavian's sister . His drea m tha t th e tw o o f the m woul d rul e a s Hellenisti c monarch s o f th e East was , however , no t t o b e realized . Octavia n rallie d muc h o f th e Wes t t o support hi m and managed t o arouse much distrust i n Antony's plans and projects . Securing th e consulshi p fo r th e year , h e attacke d Anton y an d Cleopatr a i n Greece. I n 3 1 a t th e battl e o f Actium h e defeate d them , an d the y fled t o Egypt . In th e followin g year , Anton y committe d suicide , followe d b y Cleopatra . Sh e resorted t o tha t measur e onl y afte r failin g t o charm Octavian—a s sh e ha d don e with bot h Caesa r an d Antony—when h e landed in Egypt . Th e countr y was now, at last, annexe d t o Rome. Octavian returne d t o celebrat e thre e triumph s an d t o clos e th e templ e o f Janus, go d o f war—thu s signifyin g peace ; i t ha d bee n close d onl y twic e before , by Numa Pompiliu s and in 23 5 B.C. The End of the Republic The victoriou s leade r undertoo k a "settlement " (th e decisiv e on e o f several ) i n January o f 2 7 B.C . H e wa s awarde d th e nam e "Augustus, " b y which h e cam e t o be known t o history. H e entere d hi s sevent h consulshi p in 2 7 and kep t th e offic e until 23 , whe n h e gav e i t u p an d receive d th e power s o f a tribune—not techni cally th e office , sinc e h e ha d bee n mad e a patricia n an d onl y a plebeia n coul d hold it . On e o r anothe r kin d o f consula r imperium provided a lega l basi s fo r hi s rule i n th e provinces . Late r h e receive d als o th e title s pontifex maximus (head of the stat e religion , a n ancien t offic e Caesa r ha d als o held) an d pater patriae (father of the country), but afte r 2 3 B.C. his powers were not substantiall y altered . He chos e thre e name s only , lik e a n ordinar y Roman : "Imperato r Caesa r Au gustus," whic h becam e title s i n th e usag e o f th e fifth an d late r successors . Unofficially h e was designated princeps, meanin g simpl y the first citizen of Rome;

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however, th e ter m gav e ris e t o "principate " fo r hi s syste m o r wha t cam e t o b e called the ''empire, " a word derived fro m imperium or imperator. 16 Thus th e end of the republic was not the definite, precisel y datable event some historians hav e mad e i t seem ; nevertheless , i t wa s a significan t developmen t i n the history of Rome and th e world . Like th e Gree k polis , th e cit y of Rom e had neve r bee n a complete democracy . What i s more , th e oligarchica l institutio n o f th e Senat e ha d a n importanc e ove r the whol e perio d o f th e republi c tha t fa r exceede d anythin g comparabl e i n Greece. Aristocrac y was , write s Muller , deepl y embedde d i n Roma n tradition ; common me n di d no t aspir e t o the dignit y o f thei r betters . "Neithe r wa s ther e a declared idea l o f freedom , suc h a s Pericle s proclaime d i n th e Funera l Oration ; when Liv y celebrate d th e virtue s o f th e ancestor s h e di d no t maintai n tha t freedom wa s what ha d made Rom e great. Ye t all Romans did have a voice in thei r government. Al l wer e citizen s wit h certai n right s recognize d b y law , i n a stat e conceived a s a res publica—a publi c thing." 17 In th e early republic th e balance of powers that Polybiu s observed and admire d was no t imaginary . I t wa s sustaine d b y a deepl y ingraine d reverenc e fo r law — Rome's chie f cultura l contributio n t o huma n history—an d a religiousl y base d conception o f honor tha t wa s closely related t o legality. A vita l reaso n fo r Rome' s growt h an d continue d strengt h la y i n th e sturd y Italian peasantry , whic h furnishe d a larg e shar e o f th e soldier y fo r centuries . When latifundi a gre w in extent an d peasant proprietors were uprooted, especiall y during and after th e Secon d Puni c War, tha t ancho r of stability suffere d damage ; the smal l holding s o f privat e propert y i n lan d tha t supporte d th e peasantr y substantially diminished . Landles s rura l dwellers swelle d th e rank s of the Roma n proletariat, an d continuin g conquests , particularl y i n th e East , yielde d a flow of aliens and slave s that change d socia l patterns drastically . Such sweepin g change s woul d see m t o be enoug h t o disrupt an y bod y politic. Nevertheless i t ma y b e argue d tha t i t wa s no t alteratio n i n th e number s an d composition o f th e lowe r classe s i n Roma n societ y tha t doome d th e republic . I t was rather th e failure o f nerve of the tw o upper classes : the senatoria l aristocrac y and th e commercia l equestrians . I f th e equestrian s becam e especiall y self-serv ing, greedy , an d dishonest , th e aristocrat s succumbe d t o th e tast e fo r expensiv e pleasures an d luxurie s tha t als o begged endlessl y fo r money . I t wa s of no use, a s finally becam e obvious , t o se t on e o f th e tw o classe s t o watc h th e other , fo r corruption sprea d throug h both . They los t fait h i n th e gods , s o los t thei r compunctio n abou t breakin g oaths , and a t las t thei r civi c prid e an d scruple s abou t attainin g politica l goals . Law s were no t enforced ; franti c attempt s t o correc t thes e ills , incorporate d i n ne w legislation, wer e scorne d b y thei r author s an d ignore d b y thos e who m they wer e

Rome and the Hellenistic Mediterranean 6 5 intended t o restrain. Thu s finally there was only one way to accomplish anything : rally a n arm y an d us e force . Th e infrastructur e o f th e republi c wa s eate n away ; it remained t o try something else. In th e word s o f F . E . Peters , th e deat h o f th e republi c cam e i n a "vei l o f constitutional continuity." 18 Augustus—ostensibl y an d a t leas t partl y sincerel y — 'Valued th e Senat e a s th e repositor y o f th e tru e Roma n spiri t an d tradition s and a s th e bod y representin g publi c opinion." 19 Bu t th e Senat e wa s bein g re shaped. Ther e wer e senator s delegate d t o hi s ne w Counci l o f th e Principat e {Concilium Principis), but they wer e change d ever y si x month s an d wer e chosen by lot. Augustu s controlle d th e membership of the Senate ; he reduce d i t t o about six hundred an d established condition s fo r being a member tha t could be met only by those enjoyin g hi s favor . A t th e sam e tim e h e relie d extensivel y o n th e equites to fill officia l positions , bot h ne w an d old , an d broadene d thei r rank s t o mak e them int o a kind of lower aristocracy , fro m whic h ne w recruit s t o the Senat e als o began t o be drawn. Augustus place d Ital y first i n hi s policies , bu t h e als o undertoo k importan t changes i n th e empire . A t th e tim e o f th e battl e o f Actiu m ther e wer e sixt y legions. H e reduce d th e numbe r t o twenty-eight an d welded the m int o a standing army alon g wit h othe r categorie s o f soldier s (an d sailors , wh o constitute d th e manpower o f a n imperia l fleet). Th e mos t privilege d o f th e soldier y wer e th e praetorians, usuall y Italian , whil e th e res t rapidl y becam e non-Italian . I n newl y acquired Egyp t and long misgoverned Asia, important thing s were done. Augustu s eliminated tax-farmin g an d mad e citie s responsibl e fo r thei r ow n accounts . Fo r this purpos e a censu s wa s introduced . Egyptia n prosperit y survive d onl y amon g the priestl y class ; i n th e res t o f th e societ y stagnatio n an d impoverishmen t prevailed. Th e emperor , a s we may now call him, trie d t o invigorate th e econom y of Egyp t b y admittin g privat e capital , bu t th e resul t wa s mainl y larg e absente e estates o n alread y tille d lan d (thoug h later , unde r Vespasian , thi s tren d wa s reversed). Th e grea t city of Alexandria wa s different fro m th e rest of the country . It was the cente r o f capitalism an d culture , no t merely for Egyp t but fo r muc h of the Mediterranean— a Gree k enclav e in a setting of quite another sort. 20 Client kingdom s and ne w provinces were annexed o r created fro m Mauretani a in Africa throug h Spai n an d the Gauls t o the Rhine, i n th e west; in th e east fro m the kingdo m o f th e Bosporu s an d Armeni a throug h Asi a Mino r t o th e ne w province o f Judaea; i n th e nort h throug h th e alpin e area s t o Pannonia. A n effor t to push beyon d th e Rhin e le d t o the great disaster o f A.D. 9 , whe n Germa n tribe s annihilated Quinctiliu s Varu s and three legions in the Teutoburg Fores t (perhap s near present-da y Paderborn) . Fatigue d an d distraught, Augustu s i n consequenc e attempted n o further expansion . Extensive publi c work s wer e undertaken . Constructio n o f many publi c build -

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ings o f bric k an d marbl e change d th e fac e o f Rome , formerl y largel y wood . A n impressive networ k o f imperia l highway s spran g up , a s ol d one s wer e repaire d after lon g neglec t an d ne w one s wer e added . Augustu s establishe d a cursus publicus, or state post, modele d on the Ptolemaic post of Egypt. A distinct imperia l civil servic e too k shape . Accountin g an d recor d keepin g wer e significantl y im proved. Mor e tha n onc e during his reig n Augustu s wa s able t o prepare a comprehensive surve y of the financial resource s of the whole empire. 21 Augustus's ow n privat e fortun e cam e t o be immense. I n Rom e his person wa s termed divi filius a s (adopted ) so n o f th e deifie d Caesar ; i n Asi a h e wa s wor shipped; in Egyp t he was straightforwardly bot h pharaoh an d god, a s pharaoh ha d always been. 22 I n th e Augusta n syste m ther e wer e tinge s an d overtone s o f th e despotism o f th e Orient , whic h woul d becom e mor e pronounced ove r th e follow ing centuries. I n th e words of Salmon , while precedents can be cited for Augustus' various powers, their concentration and tenure were absolutel y unparalleled . Unde r th e republic , power s lik e hi s woul d hav e bee n distributed amon g severa l holders , eac h servin g fo r a limite d perio d wit h a colleague. Augustus wielde d the m all , b y himself, simultaneousl y an d withou t an y tim e limi t (i n practice, at least).23 It wa s not simpl y a matter o f Augustus's ow n powe r o r th e powe r h e accumu lated a s emperor an d bequeathed t o his successors ; it was a question o f what wa s happening t o Roma n society . Th e ancien t aristocrat s an d equestrian s ha d bee n converted into groups subservient t o the emperorship, dependent fo r the retentio n of thei r wealt h an d propert y an d fo r th e acquisitio n o f powe r o n thei r abilit y t o gain an d hol d offic e throug h th e beneficenc e o f th e ruler . La w wa s no t dead ; i t had no t bee n abolished . Bu t i t coul d b e bent , o r eve n broken , i f th e wil l o f th e princeps (or the need s of the stat e as he sa w them) demanded . All suc h change s ha d develope d t o a greater o r lesser exten t unde r th e repub lic. Nevertheles s Augustus carried Rom e across a kind of threshold tha t separate d a polit y i n whic h freedo m wa s steadil y growin g weake r fro m on e i n whic h th e seeds of authoritarianis m wer e beginnin g t o sprout. I n thi s proces s th e conques t of Egyp t seem s t o hav e playe d a pivota l role . Octavia n prove d immun e t o th e charms of Cleopatra, t o which Caesa r an d Antony had succumbed , bu t no t to the seductions of the Egyptia n politica l order. H e found i t useful t o imitate aspect s of the pharaoni c powers , bu t a t th e sam e tim e h e di d hi s bes t t o retai n wha t wa s healthy in the Roman tradition, includin g liberty of sorts—if th e word be "under stood as meaning freedom fro m arbitrar y rul e an d arbitrary interference . "2 4

Rome and the Hellenistic Mediterranean 6 7

The Empire until Its End in the West Augustus's rul e laste d forty-fiv e years , reckonin g from th e battl e o f Actium unti l his deat h i n A.D . 14 . Immediatel y th e proble m o f successio n pose d itself— a chronic proble m o f al l nonfre e an d nonconstitutiona l polities . Hereditar y mon archy provide s fo r i t i n theory , no t s o wel l i n practice ; th e Roma n Empir e sometimes approache d hereditar y monarchy , bu t neve r solve d th e successio n problem. Augustu s wa s succeede d b y Tiberius , hi s stepso n adopte d a s hi s son , the firs t o f fou r emperor s spoke n o f a s th e Julio-Claudian dynast y (Augustu s th e son o f Julius, Tiberiu s descendan t o f th e Claudii ) thoug h ther e wa s officially n o dynasty an d constitutionall y n o provision fo r suc h a thing. Tiberiu s wa s followe d by Gaius, nicknamed Caligul a ('Tittle Boot") , a cruel tyrant who was assassinated in 41. At thi s poin t som e in th e Senat e wishe d t o restore th e republic . However , th e Praetorian Guard , th e elite of the army who had been unwisel y concentrated nea r Rome b y Tiberius , blocke d th e mov e an d force d th e accessio n o f Claudius . Previously regarde d a s a droolin g imbecile , Claudiu s surprise d th e scoffers . Hi s chief concern wa s the empire. H e annexed client kingdom s in Mauretania , Lycia , and Thrac e an d bega n th e conques t o f Britai n i n 43 . H e als o extende d Roma n citizenship widel y i n th e provinces . I n 5 4 hi s adopte d so n Ner o accede d t o th e throne, b y choice of the praetorians an d also the Senate . Hi s reign began well but came t o b e marke d b y misgovernmen t i n Rom e an d widesprea d rebellio n i n th e provinces, an d th e entir e recor d wa s stricke n b y decision o f th e Senat e upo n hi s suicide in 68. There ensue d th e "yea r o f th e fou r emperors"—indeed , th e first , Galba , wa s acclaimed empero r b y th e legion s i n Spai n whil e Ner o wa s stil l aliv e an d wa s then confirme d b y the Praetoria n Guard . A series of military intrigues an d battle s elevated an d kille d i n tur n Galba , Otho , an d Vitellius . Orde r seeme d t o retur n with Vespasian , th e so n o f a n Italia n ta x collector , wh o founde d th e bourgeoi s Flavian dynasty . Apparentl y fo r th e first time , a la w grante d hi m ful l powe r a s emperor. During Vespasian' s reign , hi s so n Titu s complete d th e suppressio n o f th e Jewish rebel s b y capturin g an d destroyin g Jerusale m (A.D . 70) . Titu s succeede d his father, an d hi s brother Domitia n followed—wit h a reign ful l o f arbitrary an d cruel behavio r tha t le d t o hi s assassinatio n an d a n officia l damnatio memoriae, o r posthumous designation a s a public enemy. Th e Flavia n period (69-96) witnesse d persistent disturbance s o n th e frontier s o f th e Rhin e an d th e Danube , bu t peac e was maintaine d wit h th e dangerou s easter n neighbor , Parthia , an d th e conques t of Britai n wa s complete d u p t o a point nea r th e Scottis h highlands , whic h wer e never conquered b y Rome.

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If th e Flavian s put a n end to a chaos that seeme d t o impend, th e next grou p of rulers continue d mor e or les s stable government . The y wer e calle d "th e five good emperors" (96-180) , a s a resul t o f th e fac t tha t Nerva , th e first, chos e a n abl e successor an d adopte d him ; h e did i n fac t succeed Nerva ; an d th e preceden t wa s emulated thre e mor e times. Th e five are sometime s calle d th e Antonines, thoug h only th e las t tw o warrant th e ter m (alon g with a sixth wh o was a n Antonin e bu t was far fro m "good") . Nerva's successor , Trajan , wa s on e o f th e mos t attractiv e figures t o hold th e emperorship; h e wa s modest , able , an d popular . I n him , wrot e th e historia n Tacitus, empir e an d libert y wer e reconciled . Bu t h e wa s fo r al l tha t a n absolut e ruler, whos e vigor and efficacy helpe d t o increase th e siz e of the bureaucracy tha t did his bidding, an d whose powers were no less because he largely refrained fro m abusing them. Hi s military adventures in th e east led to severe crisis. H e annexe d Dacia, thereb y cementin g the Danubia n frontie r wit h success . Bu t he went on to become involved i n wa r wit h Parthia , an d whil e s o occupied h e found hi s rea r t o be imperile d b y a serie s o f revolts . Thoug h h e ha d conquere d territor y i n Meso potamia, th e cost was great an d he had t o abandon hi s gains. The nex t ruler , Hadrian , wa s no t intereste d i n conques t an d engage d i n overseas fighting onl y t o th e exten t o f puttin g dow n th e las t desperat e Jewis h revolt unde r Simo n Ba r Kokhb a and turnin g Jerusalem int o a Roman colon y fro m which Jew s wer e barre d excep t onc e a year. H e spen t muc h o f his reig n visitin g the provinces , takin g car e t o assure thei r defens e (Hadrian' s Wal l i n Britai n an d the limes from Main z t o Regensburg) bu t no t attemptin g t o enlarge them . I t wa s a tim e o f developmen t o f increase d bureaucratizatio n o f th e governmen t an d refinement o f officia l distinctions , especiall y amon g th e equestrian s wh o hel d many of th e position s concerned . Antoninu s Piu s (evidentl y s o called becaus e h e worked har d a t obtainin g posthumou s deificatio n fo r hi s adoptiv e father ) avoide d the extensiv e travel s tha t ha d evoke d muc h criticis m o f Hadria n an d preside d over a tranquil period . The fifth "good " emperor wa s of a philosophic tur n o f mind: Marcu s Aureliu s Antoninus. H e was a Stoic in hi s views, se t forth i n hi s Meditations. Much o f his time ha d t o b e spen t dealin g wit h danger s i n th e provinces , wit h unfortunat e results. Marcu s unwisel y coopted Lucius Verus a s coemperor. Veru s was conten t to send his Syrian-bor n general , Avidiu s Cassius, t o deal with Parthia n advances . Cassius marche d triumphantl y eas t t o captur e th e capital , Ctesiphon , bu t hi s army encountere d smallpo x an d brough t i t bac k t o Rome s o that thousand s died . The en d o f Marcus' s reig n wa s marke d b y war s t o repe l th e barbarian s a t th e Danube an d repression of a revolt by Cassius. Marcus' s foolish so n and successor , Commodus, wa s assassinate d afte r a twelve-yea r reig n an d evoke d damnatio memoriae.

Rome and the Hellenistic Mediterranean 6 9 As th e secon d centur y neare d it s end , th e empero r wa s ofte n bein g calle d "lord" (dominus). He not only had th e actua l powe r t o issue decrees, a s Augustu s had had , bu t wa s formall y acknowledge d a s th e sourc e o f law . Th e phras e wa s quod principi placuit legem habet vigorem (wha t please s th e empero r ha s th e forc e of law) ; increasingl y legislatio n simpl y issue d fro m th e monarc h i n th e for m o f constitutiones principum. H e migh t indee d consul t th e imperia l council , bu t h e expected an d receive d n o serious opposition . The Senat e and the old urban magistracie s continued t o exist, bu t their powers were muc h reduced . The y wer e increasingl y overshadowe d b y th e imperia l bu reaucracy, no w divide d int o fou r grade s an d draw n eve r mor e ofte n fro m th e equestrian order . I n th e provinces, however , th e cities enjoyed a good deal of selfgovernment, whic h mean t governmen t mainl y b y th e ric h an d notables . Still , during th e las t years of the secon d century growin g interference fro m th e centra l officialdom an d the mounting costs of gaining and holding local office substantiall y diminished eagernes s t o occupy suc h positions , an d compulsio n wa s beginning t o be necessary i f they were all to be staffed . Roman citizenshi p wa s extended eve r more widely (even thoug h i t meant eve r less with respec t t o rights or privileges). I n th e words of M. Cary , [The secon d centur y was ] a n ag e of genera l goodwill , i n whic h th e inhabitant s o f th e empire live d togethe r wit h les s mutua l frictio n tha n a t an y othe r time . . . . O n thes e grounds the well-known words of Gibbon, that the human race was never happier than in the age of the fivegood Roman emperors, are not devoid of justification, an d as a challenge to the modern world they have not yet lost their sting. 25 The Pa x Roman a inaugurate d b y Augustu s wa s a t leas t partl y real . Thoug h sizable number s o f men throughou t th e first tw o centuries A.D . mad e th e contin ual war s th e basi s fo r thei r lives , a larg e par t o f th e populatio n live d i n relativ e security. O n th e othe r hand , th e volatil e an d rootles s Roma n mob , mor e o r les s pacified b y th e ruler s wh o gav e i t panem et circenses (brea d an d circuses , tha t is , the grain dol e and fre e entertainments) , wa s a continuing danger t o public order . As fo r th e uppe r classes , the y wer e severel y limite d i n thei r freedo m o f action . The ga p between ric h an d poor was steadily widening in th e capital a s well as th e provinces. Doubtles s Gibbo n i s no t talkin g nonsens e whe n h e suggest s tha t th e second centur y wa s th e happies t (befor e hi s time) , i n th e sens e that , fo r many , relative securit y come s befor e relativ e freedo m o r an y kin d o f civi c right s o r loyalties, an d alway s has . However , libert y an d citizenshi p ma y provid e no t merely a certain kin d o f individua l satisfaction , perhap s measurabl e an d compa rable with othe r satisfactions ; the y infuse al l of society with certai n attitude s an d impart t o al l o f lif e certai n qualitie s i n shor t suppl y amon g second-centur y Romans. After a crisis followin g o n th e assassinatio n o f Commodus , Septimiu s Severu s

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emerged a s emperor (193-211) , thoug h i t too k severa l years for hi m t o dispose of challengers t o hi s title . H e inaugurate d a centur y o f wha t ha s bee n terme d military anarchy. Creatin g three new legions and raising the soldiers ' pay, he was a soldiers ' empero r an d i n genera l a n enem y o f aristocracy . H e relied heavil y o n the equestria n orde r an d provided tha t simpl e peasants coul d ris e into equestria n ranks, whil e th e senatoria l orde r wa s restricted an d watched over , fro m guberna torial positions on down. His so n an d successor , know n b y hi s nicknam e Caracall a (fro m a Gallic coa t he introduce d int o Rome) , issue d a n edic t i n 21 2 A.D . tha t extende d Roma n citizenship t o virtuall y al l fre e me n inhabitin g th e empir e bu t whos e substanc e simply mad e clea r ho w littl e valu e tha t once-cherishe d gif t retained . I n th e 220 s a new threa t i n th e east challenge d th e emperor Severu s Alexander; th e Parthia n state collapse d an d wa s replace d b y th e Sasani d dynasty . Th e rule r le d a Roma n army against th e expansionist newcomers , bu t th e campaign fel l shor t of success. When Severu s Alexande r returne d wes t t o try to deal with th e Germanic barbar ians o n th e Rhine , h e wa s murdered . I t wa s th e en d o f th e Severa n dynast y (235)A wretched succession o f usurpations o f the imperial office followed , fro m th e gigantic Thracia n peasan t Maximinu s t o th e first o f severa l Ulyrians , Claudiu s II. Durin g thos e thirty-five year s barbarians hammere d a t the northern frontiers , and th e Persia n Sasanid s capture d a n emperor , Valerian , wh o died i n captivity . A partial recover y was the achievement of Aurelian, wh o was called restitutor orbis (restorer o f th e world) ; althoug h h e withdre w fro m untenabl e Dacia , h e devas tated Palmyr a an d shore d u p the northern frontiers . Bu t even he was murdered . At length , i n 284 , a ma n wh o seeme d capabl e o f reversin g th e declin e wa s acclaimed emperor : Diocletian . I n th e word s of Maso n Hammond , "h e desired t o emulate Augustus, t o revive the happy days of the early empire, bu t he succeede d only i n creatin g a n orienta l despotism." 26 H e strov e t o creat e a tetrarchy , o r system of four simultaneou s rulers , tw o emperors (Augusti ) and two subemperor s (Caesars) an d heir s apparent . Thi s syste m wa s imperfectl y applied , bu t th e division of the empire into two halves at a north-south lin e running near Sirmiu m at it s midpoin t lasted . Eac h rule r ha d a kin d o f orienta l court , wher e ritua l prostration wa s normal , acces s t o th e imperia l perso n limited , hi s appearance s hieratic, hi s head surrounde d b y the supernatural nimbu s in portraits. 27 The titl e was n o longe r princeps (firs t citizen) , bu t wa s dominus (lord) an d ha d bee n suc h since Aurelian . Th e seat s o f th e ruler s wer e Trier , Milan , Sirmium , an d Nico media—Rome hersel f wa s n o longe r th e actua l capita l o r eve n on e o f th e four . The province s wer e muc h increase d i n numbe r bu t the n wer e groupe d i n larg e units calle d dioceses . Th e remnant s o f autonom y vanishe d fro m th e cities . Th e

Rome and the Hellenistic Mediterranean 7 1 military force s ha d grow n fro m thre e hundre d thousan d unde r Augustu s t o five hundred thousand ; th e number o f civil officials mounte d alarmingly . To finance al l thi s panopl y o f state , ever-greate r revenue s wer e required , bu t the conditio n o f th e econom y tha t ha d t o furnish the m worsene d steadily . Sinc e the deat h o f Severu s Alexande r i n 235 , economi c declin e approache d collapse . Inflation an d successiv e devaluation s o f the currenc y complicate d th e picture. I n consequence th e financial exaction s o f th e governmen t becam e crushin g i n thei r weight o n mos t o f th e population . Corruptio n sprea d amon g th e member s o f th e self-contained bureaucracy , apparentl y immun e t o th e repeate d effort s o f em perors t o preven t o r punish . Alon g wit h th e officialdom , th e proprietor s o f th e latifundia evade d th e troubles of the rest of society. Th e great landlords converte d many of their tenant s into serfs, an d they came to usurp a kind of de facto political authority tha t mad e th e latifundi a ''miniatur e state s withi n th e state , i n whic h we may recognize th e forerunners o f the medieval manor." 28 Against thes e an d othe r socia l ill s emperor s exerte d themselves , wit h seem ingly littl e effect . A n excellen t exampl e wa s Diocletian' s edic t o f 30 1 fixing maximum price s fo r foo d an d man y good s an d services ; i t wa s virtuall y a dea d letter fro m th e moment i t was issued. Th e deca y of the Roma n polity was not th e fault o f on e empero r o r al l th e emperors , o f an y singl e office-holde r o r an y on e social class; and neithe r a n empero r no r an y other person o r group seemed abl e to arrest or reverse th e decline. One importan t objectiv e o f Diocletian' s wa s establishin g a regula r metho d o f succession. Afte r twent y year s h e insiste d tha t th e othe r Augustus , Maximian , join hi m i n abdicatin g s o tha t th e tw o Caesar s woul d succeed . However , th e system broke down a t once. B y 307-308 seve n me n claime d th e emperorship . Out o f th e resultan t intrigue s an d civi l war , Constantine , so n o f Constantiu s (one of th e ne w August i o f 305) , emerge d a s victor. Hi s defea t o f one contende r at th e battl e o f th e Milvia n Bridg e nea r Rom e i n 31 2 wa s accompanie d b y a miracle, dream , o r vision i n whic h a cross appeare d i n th e sky , take n a s an ome n for th e proximat e victor y o f Constantine . Thi s even t wa s sai d t o b e associate d with hi s conversio n t o Christianity . I n th e sam e yea r th e Edic t o f Mila n pro claimed toleratio n o f Christianit y (an d al l othe r religions—traditiona l Roma n paganism bein g unaffected—bu t non e ha d anythin g lik e th e strengt h Christian ity had gained by then). Constantine's foundatio n o f Constantinople o n th e sit e of Byzantium i n 33 0 is often take n a s th e beginnin g of the Christia n o r Byzantin e Empire , whic h laste d until 1453 . Constantinople , o r Ne w Rome , becam e th e sea t o f th e Easter n emperors a s agains t th e Wester n whe n th e divisio n o f th e real m becam e perma nent i n 395 . As Millar puts it :

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The complex and undefinable nature of the developed monarchy was displayed most clearly of al l i n th e foundatio n o f Constantinople , whic h wa s many different thing s a t once : a Christian centr e with magnificen t churche s and its own bishop; a Greek city re-founde d and re-name d afte r himself , followin g a lon g tradition , b y a Roma n lmperator; an d a reproduction of Rome, with many of its privileges, offices, an d public buildings, including places of public entertainment where the emperor could appear before the people.29 Constantine th e Grea t seem s t o hav e ha d i n min d a Ne w Rom e tha t woul d b e Christian i n religio n (fre e fro m th e ingraine d paga n influence s o f th e Senat e o f Old Rome ) an d Lati n i n languag e o f la w an d administratio n (sinc e th e chie f achievements o f th e classica l worl d i n suc h fields—a s distinguishe d fro m litera ture an d philosophy—had bee n expresse d i n tha t tongue) . I t would see m that h e entertained n o concer n abou t whethe r Lati n woul d b e drowne d i n Greek , th e language spoke n i n th e regio n o f th e ne w capital ; h e value d Gree k cultur e an d regarded i t as a natural asse t t o the empire he envisioned, create d unde r th e aegis and protection o f God himself. The emperor , thoug h no t sacred , wa s "hedged " b y divinit y (a s Shakespear e expressed i t i n regar d t o kingshi p i n a late r time) . Medieva l monarch y amon g Christians wa s t o retai n a versio n o f Roma n an d als o Germani c tradition s con necting heave n wit h kingship . Th e empero r employe d th e ol d Roma n titl e o f pontifex maximus, a s wel l a s th e titl e (t o 629 ) o f lmperato r Augustu s (i n Greek , Autokrator Augustos) and thereafte r basileus, borrowed fro m th e Persian s Hera clius ha d conquered . Th e Christia n churc h wa s essentia l t o th e accessio n o f a new ruler : th e patriarc h o f Constantinopl e bestowe d th e diade m fro m th e tim e there wa s a patriarc h (381) ; a coronation rit e wa s adde d afte r 474 ; th e rit e o f anointing dated fro m th e nint h century. 30 In th e time of Constantine i t was of course uncertain ho w long the new capita l or th e old empire woul d last . Th e ne w religio n wa s as yet no t firmly entrenched . In 361-6 3 ther e was , briefly , a paga n emperor , Julian . Othe r fourth-centur y rulers i n Constantinopl e a t leas t flirted wit h th e Aria n heresy , whic h denie d th e full divinit y o f Christ , an d connive d a t th e conversio n o f th e barbaria n Goth s t o Arianism. I t wa s onl y Theodosiu s I wh o made orthodo x Christianit y th e officia l religion of the empire (380). On hi s deat h (395 ) th e empir e wa s partitioned ; soo n afterward , th e Wester n Empire wa s i n grea t peri l fro m successiv e wave s o f barbarians . Th e Visigoth s (Western Goths ) invade d Italy , drivin g th e empero r t o establish himsel f i n Rav enna, an d i n 41 0 sacke d Rome , sendin g shoc k wave s t o al l corner s o f th e Mediterranean world . Th e Huns , checke d i n France , entere d Ital y bu t wer e persuaded t o withdraw , sparin g Rome ; th e Vandal s sacke d Rom e agai n (455) . The en d o f th e Roma n Empir e i n th e Wes t ha s bee n traditionall y date d i n 476 ,

Rome and the Hellenistic Mediterranean 7 3 with th e abdicatio n o f a Romulu s ("Augustulus " o r "littl e Augustus") , s o tha t Rome's first rule r gav e his name t o its last ruler . Thus Rom e died , i n th e sens e tha t th e cit y cease d t o b e th e cente r o f th e Mediterranean world . I n succeedin g centurie s i t virtuall y disintegrate d int o a deserted an d barre n villag e befor e revivin g t o become a modern metropolis . Th e Byzantine Empir e wa s a mainl y Gree k an d Hellenizin g state ; Rom e ha d neve r succeeded i n Latinizin g an y part o f the East , excep t i n par t Palmyra , an d indee d had neve r trie d ver y hard . B y the thir d centur y th e Roma n Empir e ha d become , in th e styl e of its ruler s an d i n th e structur e o f its government , somethin g close r to Egypt or Persia past an d present tha n t o republican Rome . To b e sure , ther e wer e importan t survival s o f th e perio d o f th e republic , including Roman law, whic h wa s bequeathed t o the barbarian wes t and remaine d very muc h aliv e i n Byzantium , a s wel l a s th e organizatio n o f th e Christia n church, whic h owe d a great dea l t o the empire . Th e transformatio n o f the partl y free Roma n republi c int o th e largel y despoti c Roma n Empir e wa s painfu l t o live through, prove d impossibl e t o avert , an d provoke d despai r i n thos e wh o retaine d what mad e Rom e grea t fo r centuries : he r pride , he r patriotism , he r attachmen t to the ideal of justice—never full y realized , i n Rome or anywhere else. Neverthe less th e Roma n republi c deserves t o b e remembere d fo r it s contributio n t o free dom. I n th e word s o f a recent scholar , "th e inne r politica l concep t o f freedom i n Rome was actualize d i n relatio n no t t o the communit y a s a whole [a s in Athens ] but t o the need s of the individua l member s o f the communit y . . . and wa s abov e all bound u p with individua l rights , late r give n legal embodiment/' 31 But Roma n civilizatio n weakene d fro m within , an d th e resul t wa s t o open th e way to its being overwhelmed fro m without . A s early as the sevent h centur y B.C . Germanic wa r band s ha d reache d th e lower Rhin e an d by 500 B.C. ha d arrive d a t the Ardennes . I n 120-10 2 B.C . th e migratio n o f th e Cimbr i an d thei r allie s fo r the first tim e carried Germani c armie s into the Mediterranea n worl d an d conflic t with Rome . By the third century A.D . th e Franks and Alemanni were overrunnin g Gaul; th e Saxon s wer e attackin g Britain ; an d th e Goth s wer e assaultin g th e Danube frontie r o f th e empire . Aroun d 37 0 th e Hun s crushe d th e Ostrogothi c state an d drov e the m west . Finally , i n th e fourt h an d fifth centurie s cam e th e great migrations calle d th e Volkerwanderung, whe n th e Ostrogoth s occupied Italy , the Visigoth s souther n Gau l an d Spain , th e Vandal s (passin g throug h th e latte r areas) Nort h Africa. 32 I n th e fifth centur y th e barbarian s overwhelme d th e Roman west . However, th e effec t o f tha t even t o n freedo m prove d no t wholl y o f on e sort . The barbarian s themselve s enjoye d a roug h kin d o f freedom . Th e basi c socia l unit wa s the clan, i n tur n th e clans made up tribes. I n war, member s of the trib e

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elected severa l chiefs , wh o hel d equa l power s throughou t th e campaig n con cerned. "A t th e seaso n o f ne w moo n th e me n o f eac h distric t assemble d i n th e open ai r t o administer justice an d t o make law s fo r themselves ; and fro m tim e t o time th e whol e natio n wa s gathere d togethe r t o discus s grea t question s suc h a s those of war or peace." 33 I n practice , decision s affectin g th e whole tribe (suc h a s allotment o f land or disputes wit h anothe r tribe ) were made by councils of (male) elders. B y the first centur y A.D. , ther e ha d developed councils of leading warriors and kings , "chose n b y th e voic e o f th e assemble d people.' ' Slaver y existe d bu t only i n rathe r margina l fashion , thoug h th e tribe s sol d slave s t o Rome . Wome n played no part in decision making . It wa s th e Germani c barbarian s wh o settle d i n th e west , mixin g wit h th e indigenous Celti c population s an d the n th e Roman s themselves , wh o astonish ingly manage d finally t o develo p th e mos t lastin g an d successfu l se t o f fre e institutions t o date—o r a t an y rat e t o so w th e see d fro m whic h suc h a plan t matured.

CHAPTER 4

The Beginnings of European Freedom, 350-1050

The Empire Becomes Christian The empero r becam e Christia n wit h Con s tan tine I ; th e empire , officially , wit h Theodosius I , eve n thoug h pagan s remaine d an d eve n gaine d hig h offic e lon g afterward. Whe n th e Wester n Empir e cam e t o a n end , severa l o f th e Teutoni c peoples wer e Aria n Christians . Th e first barbarian s t o embrace orthodo x Chris tianity in th e West wer e the pagan Franks ; the Arian tribe s followed sui t not long afterward. Othe r Germani c people s remaine d t o be converte d ove r a vast are a of northern Europe , an d it was the eleventh centur y before the y were Christianize d (with a few exceptions still , th e Lithuanian s chie f amon g them). Christianit y wa s to have an effec t o n the politics and law of all Europe, slowl y and irregularly . In th e versio n o f th e Christia n messag e give n b y St . Paul , ma n i n followin g the pat h o f Jesus Chris t i s liberate d fro m bondag e t o sin , t o th e flesh, t o deat h itself, an d als o from th e burde n o f Judaic lega l prescriptions; h e is given freedo m of th e spirit . Probabl y suc h area s o f freedo m wer e referre d t o by Jesus whe n h e declared, "Y e shall kno w th e truth , an d th e trut h shal l mak e you free. " Anothe r aspect o f th e matte r affecte d b y th e comin g o f Christianit y wa s fre e will . Th e early churc h Father s fough t th e fatalis m o f heretics , an d a whole hos t o f Chris tian writers , fro m th e tim e o f th e primitiv e churc h throug h th e Middl e Ages , affirmed th e realit y o f fre e will . Freedo m o f th e spirit , i n th e sens e mentioned , and free wil l might be termed inne r freedom . The Christia n denia l o f mora l inequalit y ha d grea t potentia l fo r affectin g th e 75

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external freedo m o f th e individual . I n Christ , wrot e St . Paul , ther e i s "n o more Jew o r Gentile , n o more slav e or freeman , n o more mal e an d female " (Galatian s 3:28). I f ther e wa s t o b e mora l equality , ther e wa s a basi s fo r lega l an d civi c equality. Or, a s L. A. Siedento p puts it , the assumption tha t society consists of individuals, each with an ontological ground of his or her own, is a translation of the Christian premiss of the equality of souls in the eyes of God. . . . Over centuries th e "individual" was gradually translated from a moral criterion into a socia l role , . . . whic h graduall y undermine d th e cast e distinction s o f Wester n feudalism [an d became the foundation for ] the commitment to equality and reciprocity, as well as the postulate of individual freedom. 1 Teachings o f freedom i n one form o r another ha d been se t forth i n Greece an d Rome, an d stirrin g exposition s o f ideal s o f freedo m wer e delivere d eve n whe n social realitie s wer e quit e different . Lor d Acton , afte r arguin g a t lengt h th e magnitude of the Greeks' and Romans' contribution t o the principles an d practic e of freedom, concludes : But in all that I have been able to cite from classica l literature, thre e things are wanting, —representative government, the emancipation of the slaves, and liberty of conscience.2 During th e Middl e Age s tw o o f thos e element s woul d appear : representativ e government (albei t i n embryo ) an d th e emancipatio n o f slave s in widesprea d fac t (though only later in law). To those developments Christianit y mad e a substantial contribution. Representative governmen t bega n wit h th e electio n o f leader s an d th e assem bling of them , initiall y withi n th e church . Electio n wa s practiced i n Greec e an d Rome, bu t whe n th e practic e ha d lapse d i n secula r institution s i t wa s employe d in th e ecclesiastica l aren a throug h th e choosin g o f bishops . Bishop s themselve s might the n ac t a s representative s o f thei r town s an d th e surroundin g area , o r "dioceses," a s th e ter m used i n th e Roma n Empir e t o designat e administrativ e districts cam e t o b e applie d i n th e church ; the y serve d a s suc h i n regiona l councils, t o begi n with . A n especiall y importan t serie s wa s th e Council s o f Toledo. Acto n write s tha t the y provide d "th e framewor k o f th e Parliamentar y system in Spain , whic h is , by a long interval, th e oldest in th e world." 3 After Constantin e becam e th e firs t Christia n emperor , i t wa s bot h saf e an d important t o goo d orde r i n th e stat e t o conven e a s wel l council s o f th e "whol e world," tha t is , ecumenica l council s tha t gathere d togethe r representative s o f th e entire Christia n church . The y continue d t o mee t i n variou s cities—Nicaea , Constantinople, Ephesus , Chalcedon—an d thei r decision s wer e recognize d a s authoritative i n bot h Eas t an d Wes t u p throug h th e eight h century . Council s of the hig h clerg y cam e t o be influentia l i n th e barbaria n monarchie s o f th e West ,

Beginnings of European Freedom 7 7 and th e clerg y wa s everywher e terme d th e ''first' ' estat e amon g th e thre e o r sometimes fou r t o b e foun d o n th e continent , an d combine d wit h th e noble s t o form a single body of a total of two in England . As slaver y decline d t o a margina l an d insignifican t leve l withi n medieva l society, Christianit y ha d it s effec t o n th e change . Christian s wer e no t i n thos e times crusadin g abolitionists , thoug h a few, suc h a s Gregory of Nyssa , expresse d sentiments opposin g slaver y outright . Nevertheless , Christia n affirmatio n o f mora l equality amon g al l me n i s t o b e credite d wit h stead y i f sublimina l pressur e o n behalf o f the economi c changes tha t relegate d slav e holding to the historical tras h heap. A s Lynn White , Jr. , put s it , a great achievemen t o f th e medieva l period — he call s it th e ''chie f glor y of th e late r Middl e Ages"—wa s th e appearanc e o f th e first "comple x civilizatio n whic h reste d no t o n th e back s o f sweatin g slave s o r coolies but primaril y on non-human power.' 4 From th e elevent h centur y o n thre e majo r inventions , mor e o r les s simulta neous, spread: th e moder n horse-collar , th e tande m harness , an d th e horseshoe , enabling th e farme r t o us e th e hors e rathe r tha n th e ox . Th e hors e "burned " more expensiv e fuel—grain—tha n th e ox , whic h consume d hay ; an d fo r th e shift t o occur , th e ne w three-fiel d system , muc h mor e productiv e tha n th e ol d system o f tw o fields, wa s necessary. 5 Whic h cam e first, th e invention s o r th e alteration i n lan d use ? All we can b e sure of is that i t all happened bot h graduall y and a t th e sam e time. 6 But , add s White , underlyin g th e change s wa s th e whol e motive o f labo r saving ; an d i t reste d o n a theologica l assumptio n no t commo n t o all religions or cultures—the infinit e wort h o f human personality . The thir d o f the deficiencies Lor d Acton foun d i n th e classica l world—libert y of conscience—woul d develo p onl y i n moder n times , eve n thoug h it s root s ma y be traced t o the very beginnings of Christianity. I n th e fourth an d fifth centuries , in an y case , al l thre e thing s la y fa r i n th e future . I f representativ e governmen t was foreshadowed b y the great councils of the church, i t scarcely advanced in th e functioning o f th e empire . T o th e exten t tha t freedom—i n th e sens e o f limita tions on the absolute power of the ruler—existe d a t all in th e Easter n Roma n (o r Byzantine) Empire , however , Christia n idea s played a part. One legac y o f Rom e t o Byzantiu m wa s th e notio n o f th e divin e characte r o f the offic e o f emperor . Sinc e th e empir e wa s rule d b y God , i n theor y hereditar y power wa s excluded ; Go d ha d t o be fre e t o choose ; vox populi vox Dei, an d thu s the people and th e army must speak , thei r choic e legitimized b y the Senate . Although th e Senat e o f Constantinopl e neve r gaine d th e sam e prestig e a s th e Senate o f Rome , i t exercise d severa l function s wit h greate r o r lesse r significanc e over th e whol e duratio n o f Byzantin e history . A fe w day s befor e th e fal l o f Constantinople i n 1453 , the las t emperor wa s surrounded b y the Senat e when h e received the envo y bearing an ultimatum fro m Muhamma d II . Th e bod y acted a s

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city council , orga n o f consultatio n o n importan t stat e matter s b y th e emperor , and governmental assembl y with a n essential power : detenteur e n theori e d e l a souverainet e d u peuple , so n interventio n etai t necessair e a chaque avenement au trone pour legitimer le choix du peuple et de 1'armee.7 For substantia l period s suc h powers were empty. Diocletia n devise d a complex system o f succession , th e tetrarchy , wit h tw o August i an d tw o Caesars . I t wa s soon abandone d b y Constantine, an d thereafte r ther e wa s a good deal of de fact o hereditary succession , modifie d frequentl y b y th e adoptio n o f adul t sons . Ye t there were times , afte r th e Theodosian famil y becam e extinct i n th e fifth centur y and fro m th e deat h o f Justinian I t o the accessio n o f Heraclius, whe n th e rol e of the Senat e becam e "tre s important/ ' i n th e word s o f Brehier . I n general , h e contends, le christianisme transform a l a religion imperial e dans so n esprit, sino n dans ses rites, et l'absolutisme fu t attenu e pa r certain s usage s e t pa r l a puissanc e d e l'opinio n publique , representee jusqu'au VIP siecle par les factions du Cirque, autre legs de 1'ancienne Rome, enfin dans de nombreux cas par Intervention de TEglise et le respect de la loi.8 This i s almos t certainl y a n overstatement . Th e faction s o f th e Circus , th e Blues an d Green s wh o regularl y voice d thei r grievance s t o Justinian I whe n h e appeared a t th e race s o f th e Hippodrome , ma y hav e represente d littl e bu t them selves and probably were more sports-fan grouping s tha n anythin g else. 9 Absolute rulers have many times been restrained b y custom, law s (even though they might, if pressed , ignor e o r rescin d thi s o r tha t one) , an d ethica l an d othe r kind s o f religious precept s urge d b y priests ; bu t suc h ar e no t tru e limitation s o f thei r power. To b e sure , Christianit y mad e a difference. Moreover , Byzantin e legislation , especially Justinian' s Sixt h Novella , declare d tha t churc h an d stat e alik e ha d a proper spher e pertaining t o each an d tha t both ought t o function i n a harmonious relationship (symphonia), in whic h neithe r dictate d t o the other. Tha t theoretica l dualism wa s ofte n overridde n an d violate d i n practice . Still , ther e wa s a lega l foundation fo r man y assertion s o f prerogative, sometime s successful , o n th e par t of ecclesiastics , seeking t o protect th e religiou s are a fro m interferenc e o r wors e on th e par t o f th e state . Moreover , Christia n attitude s approvin g marriag e an d disapproving infanticid e ma y well hav e serve d t o promote th e increas e o f popula tion an d economi c growt h resultin g therefro m an d fro m ne w attitude s towar d labor, a s well as affecting othe r aspect s of life outside th e church . Byzantine ruler s i n general hav e been credite d wit h enlightene d approache s t o legislation an d noteworthy legislativ e skills, exercised either personally or throug h

Beginnings of European Freedom 7 9 wise selectio n o f th e jurist s wit h who m th e imperia l offic e wa s typicall y sur rounded. Ove r th e te n centurie s o r s o that Byzantiu m lasted , sovereign s attacke d and came up with partia l solution s t o a series of difficult problems : they defende d the frontiers o f empire by uniting civil and military powers with local recruitmen t of soldier s i n th e institutio n o f th e themes ; they defended smal l private property , menaced b y the latifundia an d sometime s b y the church; the y developed a system of effective diplomac y tha t wa s emulate d b y Venice an d b y that rout e th e res t of Europe; and the y pursued a farsighted demographi c polic y designed t o repopulat e regions waste d b y wa r an d diseas e an d t o assimilat e immigrants , b y Hellenizin g them i f thei r cultur e wa s no t Greek , Christianizin g the m i f the y wer e pagan s o r heretics. 10 All this th e emperors did by using a highly developed an d well-ordere d bureaucracy. Side b y sid e wit h th e governmenta l institution s a parallel se t cam e int o exis tence i n th e ecclesiastica l realm . Fro m parishe s t o patriarchates, wit h th e mon asteries an d convent s i n a n auxiliar y position , th e churc h dispose d o f lever s affecting ever y ran k o f society . Fro m th e fifth centur y on , th e patriarc h o f Constantinople ha d t o perfor m th e ceremon y o f coronatio n tha t confirme d th e choice of the arm y and Senate . The citie s ra n thei r ow n affair s throug h cit y councils , o r curiae, made u p o f the riche r landowner s o f th e give n localit y o r decurions . I f suc h me n possesse d property o f a certain amount , the y wer e oblige d t o serve on th e councils . I n tha t capacity they ha d t o assum e responsibilit y fo r providin g municipa l services , th e post, recruitmen t an d billetin g o f soldier s an d th e purchas e o f provision s fo r them. Suc h expense s ofte n exceede d th e municipa l revenue s allotte d fo r th e purposes concerned , an d th e decurion s ha d t o dig into thei r ow n pocket s fo r th e difference. By th e sixt h century , however , th e decurion s ha d manage d t o escap e thei r obligations, throug h successfull y seekin g exemption s i n th e civi l servic e o r church , to suc h a n exten t tha t th e council s virtuall y disappeared . A s the y decline d i n importance, bishop s too k ove r man y o f thei r functions . Alread y i n th e fourt h century th e churc h too k o n th e dut y o f providin g fo r th e poor , alien s i n need , widows an d orphans . B y th e sixt h century , i t wa s dispensin g justice, managin g public works, an d supervisin g th e operation o f the markets. The Christia n empir e was flourishing i n it s new core, whic h wa s the East . A s the Wes t faltere d an d fel l i n th e fifth century , Constantinopl e wa s unabl e t o aid it effectively , bu t b y th e tim e o f Justinia n i n th e sixt h centur y th e Eas t ha d grown i n wealt h an d strength . Justinian' s domesti c achievement s wer e memora ble. Hi s lega l specialist s collecte d th e decree s sinc e Hadria n i n th e Code , syste matized th e ruling s o f Roma n jurist s i n th e Digest , an d dre w u p a textboo k o f

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law i n th e Institutes . H e spen t mone y a t home ; h e buil t a wonder o f th e world , the churc h o f Hagi a Sophi a (th e Hol y Wisdo m o f God) , an d wa s responsibl e fo r other expenditure s o f less value or permanence. However, Justinian' s mos t ambitiou s undertaking , t o whic h h e devote d grea t energy an d man y resources , wa s th e attemp t t o regai n th e West . Fo r a tim e h e seemed t o be partly successful , takin g back Nort h Afric a fro m th e Vandals, Ital y from th e Ostrogoths , an d par t o f Spai n fro m th e Visigoths ; in anothe r direction , he was able to conquer Colchi s from Persia . Th e Vanda l and Ostrogoth kingdom s were destroyed a t great cos t and with littl e result, fo r th e Lombard s invaded Ital y in 56 8 and create d a new kingdo m wit h it s capita l a t Pavia , extendin g t o Benevento an d Spolet o i n th e south . Byzantiu m wa s lef t wit h a tenuou s gras p o n th e coasts, Rome , an d th e farthes t sout h o f th e peninsula . Justinian' s reig n thu s overstrained th e resource s of the empire t o make only modest gains. The empero r Mauric e undi d Constantine' s separatio n o f powers in tw o areas, both reconquere d b y Justinian: Afric a an d Italy . H e established th e exarchates of Carthage an d Ravenna . A fe w year s late r Heraclius , so n o f th e exarc h o f Car thage, seize d power an d carrie d th e policy of Mauric e furthe r b y establishing th e "themes." I n thi s ne w unit , civi l an d militar y authorit y wer e fuse d an d militar y service wa s mad e hereditary , th e eldes t so n servin g whil e th e res t o f th e famil y tilled th e land . Ostrogorsk y call s th e theme s "th e backbon e o f th e medieva l Byzantine state." 11 Heraclius sough t t o defend th e empir e agains t assault s o f two powerful invad ers: the Persian s an d the Arabs. H e managed t o defeat th e Persians and recaptur e from the m Egypt , Syria , Asi a Minor , an d Armenia . H e coul d no t matc h th e fea t in regar d t o the Arabs. The armie s out of the desert, havin g set forth o n their marc h of conquest afte r Muhammad's deat h i n 632 , defeate d th e Byzantin e force s i n 63 6 a t th e Yarmu k River an d occupie d al l o f Syria . Fro m ther e they wer e abl e t o fa n ou t i n bot h easterly an d westerl y directions . The y crushe d th e Persia n Sasanid s i n tw o great battles i n 63 7 and 642 . Marchin g acros s Nort h Africa , afte r seesa w fighting the y took Carthag e i n 69 8 an d advance d int o Spai n an d France . I n 75 1 they wer e driven bac k to the Pyrenees , mostl y south of which they remained . The worl d o f th e Roma n Empir e plu s Iran—or , a s an alternativ e description , the worl d o f th e ancien t Nea r Eas t (o r th e empir e o f Alexande r th e Great ) plu s the stil l uncivilize d West—no w consiste d o f thre e segments . Definabl e bot h politically an d culturally , they would las t many centuries. The y wer e th e Islami c empire o f th e caliphs , th e Byzantin e Empir e an d th e state s i t converted , an d th e barbarian Wes t mad e u p of severa l kingdom s growin g in numbe r a s they becam e Christianized an d civilized . In th e first, th e empir e of Islam , freedo m wa s t o have no political expression ,

Beginnings of European Freedom 8 1 and lega l right s fo r th e individua l wer e unknow n despit e limitation s implie d o r demanded b y th e religio n o n wha t th e rule r coul d do . I n th e second , th e Byz antine Empire , th e restraint s o f Christianit y o n th e rule r plu s remnant s o f Roman institutions an d the ingrained habits of Roman judicature provided certai n protections fo r th e citizen , eve n thoug h th e monarch y coul d no t b e described a s other tha n absolute . Bot h empire s generall y receive d an d transmitte d th e inheri tance o f th e ancien t Nea r Easter n polities ; both borrowe d aspect s o f governanc e from th e Roma n Empire . I n bot h case s th e ne w religio n mad e som e difference — in Byzantium , i n particular , som e difference t o the individua l whe n confrontin g arbitrary power . Bu t fo r fre e societie s t o develop, a new beginnin g seeme d t o be necessary. I t wa s t o b e foun d i n th e exceedingl y unpromising-lookin g kingdom s of the barbarian West . Early States and Statelessness in Asia and Africa By th e sevent h centur y o r thereabouts , larg e centralize d state s ha d forme d i n much o f th e East. 12 Chin a ha d a civilization an d a form o f statehoo d tha t rivale d the Nea r Eas t i n it s antiquity . I n Kore a ther e wer e thre e kingdom s i n th e peninsula, embracin g Buddhis m fro m th e fourt h centur y on . Fro m Korea , Bud dhism was spreading to Japan i n th e sixt h century , whic h develope d a state abou t the sam e time . Ther e wa s a great stat e i n norther n Indi a immediatel y followin g Alexander th e Great s approach ; an d a fairly ne w teaching , Buddhism , fo r a time aspired t o reshap e o r supersed e th e ancient , amorphou s religio n Westerner s cal l Hinduism. A larg e Burmes e stat e wit h it s capita l a t Paga n flourished i n th e eleventh century . A Tha i stat e wit h it s capita l a t Ayuthi a too k shap e i n th e fourteenth century ; i t conquere d th e Khme r empir e tha t ha d thre e centurie s earlier buil t Angkor—abandone d i n 143 1 a s a resul t o f tha t conquest . Th e Srivishaya empire , builde r i n th e eighth centur y of the great Buddhis t monumen t at Borobudur i n Java, aroun d 118 0 came to control much of what is today western Indonesia. Al l thes e state s an d other s i n Asi a ha d muc h i n common , alon g wit h striking differences, bu t fre e o r clearly pluralistic institution s emerge d in non e of them befor e moder n times , wit h th e interesting exceptio n o f Japan. 13 Africa deserves mor e spac e tha n i t ca n b e given here . It s historical beginning s lie i n Egyp t an d the n th e Roma n Empire . Th e Ethiopia n stat e ma y g o back t o 600 B.C. Possibly around A.D . 40 0 there was a kingdom of Ghana; by the year 80 0 other Wes t Africa n state s existe d i n Ga o o n th e Niger , eas t o f Ghana , an d Kanem, eas t of Lake Chad . Sacred kingshi p a s th e linchpi n o f statehoo d wa s t o be found i n man y part s of Africa. On e vie w i s tha t i t derive s fro m Pharaoni c Egypt , wher e (a s note d previously) th e pharao h wa s a god , an d sprea d sout h int o th e Eas t Africa n lak e

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country o r westwar d beyon d Lak e Chad , wher e i t encountere d anothe r politica l model. Thi s vie w i s no t currentl y popular , bu t th e sacre d attribute s o f typica l African kingshi p are not in question . Aside fro m th e Islami c state s establishe d afte r th e conques t o f th e sevent h century, whic h reache d sout h t o approximately th e tent h paralle l nort h latitude , Africa fo r man y centurie s wa s a mixtur e o f state s an d stateles s societies . Ex amples o f th e latte r includ e th e Ti v an d mos t o f th e Ib o of Nigeri a (an d variou s Berber societies , a t leas t nominall y Islamic) , wher e conflict s betwee n individual s were settle d b y representative s o f thei r kinshi p group s an d ther e wa s nothin g describable as government. Thu s th e British found th e Tiv "far harde r to conquer than an y o f th e larg e states " o f Nigeria , sinc e n o authorit y existe d capabl e o f surrendering fo r all . As fo r states , the y range d fro m tin y independen t kingdom s wit h onl y a fe w hundred inhabitants , thoug h the y ha d hereditar y ruler s an d definit e boundaries , to Ethiopia , whic h reache d a pea k o f influenc e i n th e fourteent h century , an d the grea t commercia l empire s buil t b y Ghan a (ca . iooo ) o r Mal i (ca . 1300) , which replace d it in the same general area of West Africa. I n all these formations , kinship wa s basic ; "almos t everywher e i n Afric a th e lineag e rathe r tha n th e individual pai d tribute o r answered t o the court of law." In sum , i t ma y b e sai d tha t fo r man y centurie s Africa n governmen t ofte n assumed quit e differen t form s fro m thos e foun d elsewhere , an d i n situation s approaching absenc e o f governmen t freedo m wa s certainl y a featur e o f society . Unfortunately, i n th e lat e twentiet h centur y man y Africa n elite s hav e concen trated o n emulatin g on e o r anothe r Wester n mode l o f statehoo d rathe r tha n building on the heritage of Africa's ow n particular pattern s of freedom. 14 The West in the Dark Ages When th e Roma n Empir e contracte d an d collapse d i n th e West , th e regio n wa s organized int o Christia n kingdom s rule d b y Germani c dynasties. 15 I n 42 9 th e Vandals established a state in Nort h Africa ; th e Ostrogoth s did so in Ital y in 489. In 534-5 4 Justinia n destroye d both . Onl y the n di d th e remnant s o f th e Roma n system disappea r i n th e West : th e senatoria l class , th e official s wit h Roma n names, Roma n attitudes . Ne w institution s wer e takin g thei r place , notabl y th e monasteries whos e basis Benedic t o f Nursi a (d . ca . 545 ) borrowed fro m th e Eas t and which woul d sustai n civilizatio n throug h th e period when urba n lif e virtuall y disappeared i n th e West . The Frank s establishe d a kingdo m i n th e late r fifth century . Abou t 50 0 Kin g Clovis wa s converted ; h e wen t straigh t fro m paganis m t o Catholi c Christianity , thereupon securin g a powerfu l advantag e ove r hi s still-Aria n neighbors. 16 Wit h

Beginnings of European Freedom 8 3 the church' s backing , hi s dynasty, th e Merovingians, 17 claime d a dominant posi tion vis-a-vi s th e other Wes t Teutoni c (Germanic ) people s a s far eas t a s Thurin gia an d Bavaria . A s a result , th e Frankis h kingdo m wa s th e onl y on e o n th e continent t o last . Livin g ami d a Gallo-Roma n majority , th e Frank s mixe d thei r Germanic customar y la w wit h Roma n code s i n a fashio n unclea r t o u s no w an d possibly confusin g t o them a t th e time , bu t a t an y rat e unde r th e guidanc e o f th e Christian bishops . After Clovi s th e kingdo m wa s sometime s divided , sometime s unified . Kin g Dagobert, wh o died i n 639 , wa s th e las t o f th e dynast y wh o reall y ruled . B y th e time o f Charle s nickname d Marte l ("th e Hammer") , whos e titl e wa s "mayo r o f the palace, " th e chie f officia l wa s mor e powerfu l tha n th e king . (I t wa s Charle s who defeate d th e Arab s a t th e battl e nea r Tour s [732 ] an d drov e the m bac k t o the Pyrenees. 18) In 75 4 Pop e Stephe n I I anointe d Charles' s son , Pepi n th e Short , a s kin g i n place o f th e las t Merovingian . I n retur n h e receive d th e land s tha t became , vi a the "Donatio n o f Pepin, " th e Papa l States— a politica l entit y tha t laste d fo r eleven centuries . Thereb y th e tenan t o f th e papa l thron e cease d i n effec t t o b e the Byzantin e officia l h e hithert o ha d been—a s wel l a s senio r bisho p o f th e church—and instea d establishe d firm tie s wit h th e Germani c barbarian s or , more precisely, wit h th e Franks , wh o would absorb the other Germans excep t fo r those i n Britai n an d Scandinavi a an d wh o themselve s woul d divid e int o Wes t Franks an d Eas t Franks . Pepin's so n Charle s th e Great , o r Charlemagn e (d . 814) , greatl y extende d th e Frankish realm ; h e fough t th e Byzantine s fo r lon g year s an d a t las t gaine d recognition fro m the m o f hi s emperorship—th e onl y cas e i n whic h Byzantiu m gave anyon e els e th e titl e basileus, or kin g o f kings , assume d b y Heracliu s afte r his victor y ove r Persia. 19 O n Christma s Day , 800 , Pop e Le o II I crowne d hi m emperor. Hi s was, however , " a pretty poo r empire," a s Muller put s it , havin g no legal system , n o civil service , n o senate, lackin g almost everythin g but "a n army , a court, an d a harem." 20 The Frankis h real m a t that point embraced what woul d later be called France , Germany, an d th e norther n hal f o f Italy . Charle s transmitte d i t intac t t o his so n Louis the Pious , but afte r Loui s died the empire was, after muc h fighting, divide d among thre e son s o f his . Charle s th e Bal d receive d th e west , Loui s th e Germa n east, an d Lothai r a curiou s stri p between , stretchin g fro m Antwer p t o Italy , a s well a s th e imperia l crown . I n th e cours e o f th e struggl e Charle s an d Loui s ha d bound themselve s a s allies in th e oath of Strasbourg (842), using the two tongues, proto-French an d proto-German, tha t ha d become distinct fro m eac h other . The partitio n o f Verdu n (843 ) di d no t last . Lotha r died , an d hi s successor s could no t preven t th e divisio n o f Lotharingi a betwee n Wes t Franci a an d Eas t

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Francia. Soo n afterwar d th e Carolingia n empir e cam e t o a n end , an d th e thre e kingdoms o f France , Germany , an d (northern ) Ital y too k it s place , alon g wit h three smalle r states : Lorraine, Burgundy , an d Provence . In Britain , th e Angles and Saxon s who arrived fro m th e earl y fifth centur y se t up kingdom s i n whic h th e indigenou s Celt s merge d wit h th e conquerors . I n th e ninth centur y th e Dane s harrie d an d mastere d muc h o f th e island , leavin g only Wessex i n whic h Alfre d th e Grea t (d . 899 ) maintaine d independence . Th e subsequent king s o f England—whos e countr y go t it s nam e fro m th e Angle s bu t whose peopl e wer e usuall y calle d Saxon s i n tha t period—drov e ou t th e Dane s but wer e t o succum b t o othe r Scandinavian s calle d Vikings . Ther e remaine d a fringe o f Celti c territories : th e Briton s i n th e smal l principalitie s o f Wale s an d the larg e stretche s o f th e nort h wher e chieftain s fro m Irelan d bearin g th e nam e "Scots" subdue d th e Celt s an d German s livin g ther e an d finally founde d a kingdom of Scotland, whic h too k its name from th e invaders . The Visigothi c kingdo m i n souther n Franc e an d the n th e Iberia n peninsul a lasted som e 25 0 years (466-711) . I t wa s a t first Arian , bu t Kin g Recare d (586 601) led hi s people t o convert t o Catholic Christianity . A t the Council s of Toledo it appear s tha t th e king s describe d th e mos t seriou s problem s an d the n th e hig h clergy enacte d appropriat e cano n la w an d transacte d secula r busines s a s well . The bishop s worked out a ceremony of anointing a monarch o n his enthronemen t in order t o deter th e Visigoths from th e habit of assassinating thei r king. 21 One Visigothi c family , seekin g help agains t a usurper, invite d th e Muslim s t o cross th e Strai t o f Gibralta r (name d afte r th e Ara b commander) . The y di d s o in 711 and immediately overran almos t the whole land. A s early as 722 they receive d their first rebuf f a t a battl e i n th e fa r northwest ; th e Asturians , meanwhil e striving t o reconstitut e th e institution s o f th e Visigothi c monarchy , thu s bega n the Reconquista, a serie s o f militar y operation s agains t th e Muslim s tha t woul d take nearly eigh t centuries . Several smal l Christian state s spran g up: Leon, o f the Asturians; Castile (fro m the castles built fo r defense), whic h first broke off fro m Leo n and then conquere d it; Navarre , o f th e Basques ; Catalonia , detache d fro m th e Carolingia n empire ; Aragon, breakin g off fro m Navarre . In th e nint h centur y thre e ne w paga n an d stateles s barbaria n tribe s attacke d the Christia n kingdom s o f th e forme r barbarians : they wer e th e Viking s (Nor mans, Northmen , Norsemen , Varangians ) i n th e norther n sea s an d islands , th e Saracens ( a mixtur e o f Arab s an d othe r peoples ) i n th e Mediterranean , an d th e Magyars i n centra l Europe . Soo n afte r 90 0 th e Norman s mad e a lodgmen t i n northern Franc e tha t cam e t o b e calle d "Normandy. " Fro m ther e they wer e successfully t o invade England i n 1066 ; they helped t o organize an Easter n Slavi c state calle d Ru s i n th e nint h century ; the y appeare d i n souther n Ital y an d b y

Beginnings of European Freedom 8 5 1071 woul d overcom e bot h Byzantine s o n th e mainlan d an d th e Saracen s i n Sicily. In Germany , sign s o f divisio n appeare d ver y early . Durin g th e reig n o f Kin g Louis th e Chil d (d . 911) , th e ol d duchie s becam e autonomou s a s eac h regio n strove t o se t u p it s ow n defenses . Ther e wer e fou r pre-Carolingia n duchies : Saxony, Franconia , Swabia , an d Bavaria ; a fifth, Lorraine , wa s what remaine d of the Lotharingia n state , no w absorbe d int o th e kingdo m o f Germany . I n 91 9 th e nobles of two of the duchies agree d to elect th e Saxon duke, Henr y I (the Fowler ) as king of Germany. Strivin g to consolidate hi s base in th e north, h e also secure d the submission of the other duchies. Hi s son Otto (936-73) defeated th e Magyar s on th e Lechfeld , an d i n consequenc e thos e warrior s bega n t o settl e dow n t o th e task of shaping a civilized state . In 96 2 Ott o wa s crowne d empero r i n Rome . Thu s h e revive d th e Carolingia n conception, bu t wit h tw o important differences : th e Ottonia n empir e was limite d to Germany, Italy , an d Burgundy, leavin g outside it Franc e and other possession s of Charlemagne's ; an d Otto' s power , unlik e Charlemagne's , wa s limite d b y th e new forces of the feuda l nobility . H e did, however , posses s a power Charlemagn e lacked: tha t of confirming th e election o f a pope. The bishopri c o f Rome , o r papacy , ha d bee n acknowledge d b y th e whol e Christian churc h fro m th e first a s the senio r se e (but no t necessarily a s the chie f ecclesiastical powe r o r authority) . I t ha d ha d a n outstandin g pop e o r two , espe cially Le o I th e Grea t (d . 461) , wh o contribute d mightil y bot h t o th e prestig e of the papac y an d th e clarificatio n o f Christia n doctrin e achieve d a t th e ecumenica l council o f Chalcedo n i n 451 . Bu t a s th e cit y decline d s o di d th e see , whic h became the plaything of Roman nobles , an d fell t o its lowest point in history wit h the ascendanc y o f Marozia , mistres s o f on e pope , mothe r o f another , wh o wa s illegitimate, an d grandmothe r o f a third, Joh n XII . Pop e John unwisely , fro m th e standpoint o f th e papacy , grante d th e emperorshi p h e ha d lon g sough t t o Ott o I (who soon deposed John fo r hi s pains). A few decade s late r Ott o II I appointe d Gerber t o f Aurilla c pop e a s Sylveste r II. H e was perhaps th e best-educated ma n i n th e West, an d his selectio n marke d a substantia l ste p towar d restorin g th e dignit y o f th e papa l office . Ott o II I mad e an importan t pilgrimag e t o Gnese n i n Polan d tha t le d t o establishmen t o f a n episcopal se e there , i n consequenc e o f whic h th e ne w Polis h churc h becam e independent o f th e Germa n ecclesiastica l authorities . Th e sam e occurre d i n Hungary. Ott o died in 100 2 at the age of only twenty-one, havin g laid foundation s for th e strengthenin g of both empir e and church i n th e eleventh century . The Saxo n lin e ende d wit h Ott o III ; th e Franconian , o r Salian , dynast y wa s installed i n 1024 . Conra d I I di d hi s best t o unite German y an d Ital y mor e firmly by appointment s an d marriage s acros s th e border . Hi s successor-Henr y III ,

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intervened i n 1046 , t o rescu e th e papac y fro m th e powe r o f th e Roma n nobles . The pat h o f th e se e of Pete r wa s no w quit e steadil y upwar d wit h regar d t o both moral standin g and influence . To the west th e foundation s wer e laid of the tw o monarchies tha t woul d ofte n seem t o dominate late r Europea n history . I n Franc e th e break-up of the Carolin gian unit y o f West an d Eas t Frank s lef t a kingship in th e Wes t bu t a weak one . The last Carolingian rule r of France was Louis V, whose short reign was followe d by the election o f Hugh Cape t in 987 . I n his time the Frenc h monarch y had littl e power an d wa s o f littl e consequence ; unde r hi s immediat e successors , th e nadi r of Frenc h kingshi p wa s reached . Nevertheless , th e dynast y h e founde d wa s t o last for eigh t centuries an d lead th e country t o greatness. In 106 6 the Norma n duke , Willia m I , successfull y invade d England , defeate d the Saxons , an d se t th e Englis h monarch y o n a newl y firm footing . A s rule r o f both Normand y an d England , Willia m th e Conquero r wa s stronge r tha n hi s contemporary, Phili p I , kin g of France. Bu t th e latte r bide d hi s time and began a slow, painfu l process o f increasing th e exten t o f th e roya l domain an d th e powe r of th e kingship . Phili p ha d t o do s o at th e expens e o f th e feuda l lords , wh o ha d become the real powers in Franc e but als o in much o f the res t of Europe . feudalism Feudalism wa s the syste m of relationships amon g nobles and monarchs tha t cam e to provid e th e framewor k fo r bot h la w an d propert y i n th e Germani c kingdom s after th e collaps e o f th e Roma n Empir e i n th e West , assurin g securit y fo r individuals an d countries alik e and virtually for governmen t altogether . I n 101 6 a German prelat e wrote of the kingdo m of Burgundy: The king has now nothing save his title and his crown . . . h e is not capable of defending either hi s bishop s o r th e res t o f hi s subject s agains t th e danger s tha t threate n them . Therefore w e see them al l betaking themselve s wit h joined hand s [i.e. , acceptin g vassalage] to serve the great. In this way they secure peace.22 The Roma n concep t o f ownershi p an d th e Roma n framewor k o f governmen t weakened an d virtuall y disappeared ; a new multiplicit y o f obligations an d a ne w system of protection too k thei r place. I n th e characteristic agraria n situatio n tha t came t o prevail, n o single owner coul d be readily identified : th e tenan t wh o sows and reaps , th e lor d t o who m h e owe s dues , th e lor d o f th e lord—o n u p t o th e king, th e village community tha t ofte n recover s th e us e of th e lan d onc e th e cro p is harvested , an d th e familie s o f th e tenan t an d successiv e lord s tha t ha d t o consent t o certai n sort s o f disposition—"ho w man y person s ther e ar e wh o ca n say, eac h wit h a s much justification a s the other, 'Tha t i s my field!' " 2 3

Beginnings of European Freedom 8 7 The ne w relationshi p require d homag e an d fealty . I n homag e one man place d his hand s betwee n th e hand s o f another , an d th e tw o kisse d eac h othe r o n th e mouth; th e superio r wa s called "lord, " th e inferio r hi s "man, " o r "ma n o f mout h and hands " (hontme de bouche et de mains), o r "vassal. " Sinc e homag e evidentl y had a paga n Germa n origin , fro m th e Carolingia n perio d onwar d i t cam e t o b e supplemented b y a Christian rit e in whic h th e vassal laid han d o n th e Gospel s or sacred relic s an d swor e faithfulnes s t o the lord ; its nam e wa s fealty (French , foi; German, Treue). Homag e wa s onc e an d forever ; fealt y migh t b e renewe d man y times. Homag e an d th e resultan t relatio n o f vassalag e boun d tw o me n unti l th e death o f one o f them . I n fac t th e relationshi p usuall y becam e hereditar y thoug h in law it was not. Ther e wa s legally hereditary attachmen t durin g the period, bu t it was serfdom amon g the peasantry, no t a phenomenon o f the privileged classes . Vassalage wa s almos t alway s accompanie d b y grant s tha t i n certai n circum stances th e lord had a right t o repossess. Grant s of land or property might requir e either paymen t o f ren t (singular , precaria) o r service s (beneficium) o f som e sort . Fief wa s a term meanin g propert y grante d agains t a n obligatio n t o do something , and cam e t o b e attache d t o vassal s afte r a perio d i n whic h i t wa s used wit h a broader meaning . Whe n Willia m th e Conquero r require d o f hi s chie f vassal s i n England tha t they kee p permanently a t hi s disposal a certain numbe r o f knights , each nobl e i n consequenc e wa s compelle d t o attac h severa l vassal s t o himself . Many bishop s an d abbot s ha d vassal s who m they trie d t o keep on demesn e land , but a s time passed the y foun d i t unavoidabl e t o carve out fiefs from thei r ecclesi astical estates . Thus th e practice of mutual dependence spread , i n which mor e or less reliable protection wa s exchange d fo r mor e o r les s secur e protectio n o f property. Clearl y it evolved out of the Germani c kingdoms , peoples , an d system s of law. I n theory , allodial holdin g wa s completel y different . Derive d fro m th e Roma n notio n o f ownership, i t lingere d afte r th e fal l o f th e Wester n Empir e i n suc h region s a s northern Ital y an d souther n France . Ther e man y holder s of allod s never becam e vassals. Nevertheles s ther e wer e limit s eve n o n allodia l ownership . The y aros e from right s o f kinshi p an d th e fac t tha t th e holde r migh t hav e tenants , eve n feudatories, whos e right s severel y restricte d hi s own. 24 S o it wa s tha t Mauric e Keen could write, "Agricultura l method s were crud e an d simpl e in thi s age: legal and socia l relations coul d be bewilderingly complex." 25 The geograph y of feudalism wa s irregular. I n Scandinavia , Frisia , an d Irelan d one finds "larg e blan k spaces " o n th e ma p showin g it s extent . Or , t o star t th e other wa y round, th e feuda l patter n wa s dominant i n th e are a between th e Loir e and th e Rhin e an d i n th e Saon e valle y (thoug h i t wa s no t universa l eve n there ) for a hundre d year s o r s o befor e tha t territor y wa s suddenl y enlarge d b y th e Norman conquest s o f Englan d an d souther n Ital y i n th e late r elevent h century ;

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it the n shade s of f i n al l direction s unti l i n Saxon y i n th e nort h an d Leo n an d Castile i n th e sout h feuda l trace s ar e bu t a ligh t dusting , an d beyon d li e th e just mentioned "blan k spaces/ ' T o su m up , i n th e word s o f Mar c Bloch : A subjec t peasantry ; widesprea d us e o f th e servic e tenemen t (i.e. , th e fief) instea d o f a salary, whic h wa s out of the question; the supremac y of a class of specialized warriors ; ties of obedience an d protection whic h bin d ma n t o man and , withi n th e warrior class , assum e the distinctiv e for m calle d vassalage ; fragmentatio n o f authority—leadin g inevitabl y t o disorder; and, i n th e midst of all this, th e surviva l of other form s o f association, famil y an d State . . .—suc h the n see m to be the fundamental feature s o f European feudalism. 26 Feudalism accordingl y wa s no t a syste m o f government , o r o f economy , o r o f personal relation s blesse d b y religion ; tha t i s t o say , i t wa s non e o f thes e alone , but al l o f thes e together . Fief s coul d no t b e unambiguousl y outline d o n a map, fo r rights wer e to o closel y an d complexl y interwoven , bu t monarchie s could . "Fo r a piece o f land , a s fo r a man , t o hav e severa l lord s wa s almos t a norma l thing ; t o have severa l king s wa s impossible.' 2 7 T h u s fro m th e monarchs , t o begi n with , developed th e kin d o f concretenes s an d individuatio n o f right s an d power s tha t characterize th e moder n world . An importan t aspec t o f th e emergenc e o f th e moder n institutio n o f monarch y was primogeniture . Neithe r th e custom s o f Germani c kingshi p no r feuda l la w provided fo r th e inheritanc e b y th e eldes t so n o f th e fullnes s o f th e father' s powe r and property . T h e Carolingian s divide d thei r realm s ove r an d over . Bu t graduall y primogeniture wa s adopte d i n th e Wes t Europea n monarchies , wit h som e excep tions: German y produce d a few , a s whe n Frederic k Barbaross a chos e hi s secon d son a s successor . I t ma y be , a s Bloc h suggests , tha t th e Germa n monarchy , seemingly tie d t o th e emperorship , wa s affecte d b y th e Roma n principl e o f election o f th e ruler—thoug h i n Rom e an d Byzantiu m ther e wer e man y time s when tha t principl e wa s se t aside. 28 Fo r wel l ove r thre e hundre d year s th e Capet s were fortunat e enoug h t o hav e alway s a so n t o succee d t o th e thron e i n France . In Englan d an d othe r countries , i t cam e t o be th e rul e tha t wheneve r ther e wa s a son h e acceded , o r wheneve r ther e wer e tw o o r mor e th e eldes t did . For whateve r reason , successio n throug h th e eldes t so n cam e t o be th e practic e in th e monarchies—includin g German y fo r lon g periods—an d amon g th e nobil ity a s well . T h e wealt h an d powe r o f th e duke s an d count s woul d clearl y b e dissipated an d woul d disappea r altogethe r i f ther e wa s a divisio n amon g sons , o r sons an d daughters , ever y generation . T h e powe r o f th e kin g migh t fo r som e tim e b e modes t i n scop e an d limite d i n territorial extent . Hug h Cape t rule d a fe w district s clos e t o Pari s an d wa s no t much mor e tha n th e senio r feuda l lor d o f Wes t Franci a i n fact . T h e powe r o f th e vassal, sustaine d b y primogeniture , migh t b e imposin g indeed , an d enabl e hi m t o match strengt h wit h th e monarch . T h e Sachsenspiegel declared : " A ma n ma y

Beginnings of European Freedom 8

9

resist hi s kin g an d judg e whe n h e act s contrar y t o la w an d ma y eve n hel p mak e war o n him . . . . Thereby , h e doe s no t violat e th e dut y o f fealty . "2 9 I n th e Oath s of Strasbour g take n b y tw o o f Charlemagne' s grandson s i n 84 3 an d i n th e pac t between Charle s th e Bal d an d hi s vassal s i n 856 , a righ t o f resistanc e wa s mor e or les s explicitl y recorded . T o quot e Bloc h again : Though mos t o f thes e document s wer e inspire d b y reactionar y tendencie s amon g th e nobility, o r by the egoism of the bourgeoisie, the y were of great significance fo r th e future . They include d th e Englis h Grea t Charte r [Magn a Carta ] of 1215 ; the Hungaria n "Golde n Bull" of 1222 ; the Assize s o f th e kingdo m o f Jerusalem; th e Privileg e o f th e Brandenbur g nobles; th e Aragones e Ac t o f Unio n o f 1287 ; th e Brabantin e charte r o f Cortenberg ; th e statute of Dauphine of 1341 ; the declaration o f the communes of Languedoc (1356) . I t wa s assuredly n o acciden t tha t th e representativ e system , i n th e ver y aristocrati c for m o f th e English Parliament , th e French "Estates, " the Stdnde of Germany, an d the Spanish Cortes, originated i n state s whic h wer e onl y just emergin g fro m th e feuda l stag e an d stil l bore it s imprint.30 T h u s i s come s t o b e clea r wh y i t ma y b e sai d tha t feudalis m i s th e foundatio n o f freedom.

Byzantium, 600-1050 Heraclius (610-41 ) mad e th e Gree k elemen t i n th e empir e decisive , adoptin g th e title basileus fo r th e emperor ; th e hithert o officia l languag e o f th e empire , Latin , was discarde d an d soo n mostl y forgotte n i n th e East. 3 1 H e an d hi s successor s strove t o mee t th e offensiv e o f th e Arabs , an d hi s great-grandson , Constantin e IV, me t th e ful l forc e o f Ara b attac k o n Constantinopl e itself . H e manage d t o drive th e enem y of f b y th e us e o f burnin g naphth a ("Gree k fire"), th e secre t o f which th e Byzantine s ha d jus t purchase d fro m a Syria n architect . T h u s th e Heraclian dynast y checke d th e expansio n o f Islam , thoug h th e stil l paga n Slav s poured int o th e Balkan s whil e Byzantin e energie s wer e thu s engaged . T h e dy nasty faltere d an d ende d i n 695 , excep t fo r a cod a durin g whic h Justinia n I I briefly regaine d th e throne . In 71 7 orde r wa s restore d b y th e stratego s (militar y an d civilia n officia l i n charge) o f th e Anatolia n theme . H e becam e empero r a s Le o II I an d founde d th e Isaurian dynasty . H e an d the n hi s so n Constantin e V launche d an d pursue d a campaign agains t icons , whic h wa s als o a n attemp t t o cur b th e growt h o f monas ticism an d th e powe r o f th e churc h i n general . A prolonge d struggl e ensued , i n which man y iconophile s (supporter s o f th e veneratio n o f icons ) wer e killed , imprisoned, an d exiled . T h e crucia l decisio n i n th e matte r wa s rendere d b y th e Seventh Ecumenica l Counci l a t Nicae a i n 787 , whic h uphel d th e iconophile s an d condemned iconoclasm .

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The anti-iconi c polic y followe d b y th e emperor s o f th e perio d a s "no w recog nized a s a sympto m o f th e orientalizatio n o f th e easter n empir e i n th e eight h century," 32 i n th e word s o f one writer , an d ma y actuall y hav e bee n triggere d b y the caliphs ba n of 723 on the use of icons in the Christian churche s of his realm. Iconoclasm certainl y serve d t o weake n th e bond s betwee n th e empir e an d th e West. A Roma n council s decisio n agains t iconoclas m provoke d Le o II I int o transferring fou r diocese s from th e jurisdiction o f the pope to that of the patriarc h of Constantinople . I n tur n th e papac y wa s provoke d b y suc h measure s t o dra w closer t o the Frankis h monarch y an d make it another empire . Empress Iren e ha d bee n th e prim e move r behin d th e counci l o f 787 . It s judgment wa s challenge d b y severa l successor s o f hers , anothe r strin g o f icono clast emperors . Theodore , archimandrit e (th e Easter n ter m fo r abbo t of a monastery) of Studio s i n Constantinople , le d th e force s tha t hel d fas t t o Nicaea II , an d they finally wo n out . I n 843 , unde r Michae l III , th e veneratio n o f icon s wa s triumphantly restored , a n event commemorate d i n th e Easter n churc h t o this day as the Feas t o f Orthodoxy. Michael' s reig n wa s one of th e healin g of the wound s opened b y th e lon g iconoclasti c controversy . I t wa s als o th e tim e whe n th e conversion o f the Slav s began. From th e beginnin g of th e Christia n era , Slav s had evidentl y occupie d a large area centerin g i n wha t i s toda y Poland . The y mad e inroad s int o Byzantin e territory i n th e earl y sixt h century , ofte n i n associatio n wit h th e Avars . I n th e early sevent h century , the y brok e throug h th e Danubia n frontie r o f th e empir e and inundate d th e Balka n peninsula. 33 I n th e word s o f Isidore o f Seville , "th e Slavs took Greece fro m th e Romans. " The resultan t demographi c losses and disruption i n th e prefecture o f Illyricum drove the empire t o shift t o a new recruitin g ground in and aroun d th e Caucasus , especially Armenia . Fo r a centur y o r tw o th e paga n barbaris m o f th e are a o f present-day Macedoni a mad e trave l hazardou s an d deepene d th e gul f i n commu nication betwee n Eas t an d West . In th e middl e o f th e sevent h centur y th e Grea t Bulgaria n stat e o n th e Volg a River broke up under assaul t fro m th e newl y arriving Khazar people. On e branc h of th e Bulgar s le d b y Asparuch streame d sout h int o th e Danubia n delt a an d se t up a kingdom, wit h it s capital a t Pliska , whic h achieve d Byzantin e recognitio n i n 681. Thos e Bulgar s wer e Turks , bu t ove r th e nex t fe w decade s thei r largel y Slavic subject s i n th e ne w regio n Slavicize d thei r rulers—wherea s i n contras t the Slav s to the sout h wer e Hellenized . I n th e early ninth centur y Krum , khaga n (ruler) o f th e Bulgaria n state , wa s stron g enoug h t o threate n th e Byzantin e Empire with a destruction fro m whic h only his death i n 81 4 may have spared it . A cultura l reviva l i n ninth-centur y Byzantiu m accompanie d an d ma y hav e helped produc e a renewa l o f Byzantin e societ y an d state. 34 I t wa s no t clearl y

Beginnings of European Freedom 9 1 connected wit h an y institutio n o f highe r learning ; th e "Universit y o f Constanti nople" seem s t o have bee n th e constructio n o f recen t scholar s readin g bac k int o the pas t feature s o f contemporar y highe r education . I f somethin g o f th e kin d existed i n th e fifth century , i t "fade d out " in th e sevent h century. 35 However, highe r learnin g came to thrive again in th e ninth century , especiall y in th e church . I t wa s th e foremos t schola r o f th e day , Photius , patriarc h o f Constantinople fro m 858 , wh o dispatched tw o brothers, Con s tan tine an d Meth odius, a s missionaries t o the Slav s of the nort h i n 863 . I n Moravia , thei r destina tion,36 the y invente d on e ne w alphabe t (Glagolithic ) an d pave d th e wa y fo r th e invention o f anothe r (Cyrillic , afte r Constantine' s monasti c name , Cyril)—bot h based on Greek—for th e purpose o f transcribing th e Slavi c dialect o f Thessalon iki. A s "Churc h Slavonic " (or Churc h Slavic ) it cam e t o be used a s th e liturgica l and scriptura l languag e o f al l Slav s converte d fro m Byzantium , a s wel l a s th e Romanians. Therefore Orthodo x convert s di d no t hav e t o lear n Greek , i n contras t t o Westerners wh o ha d t o lear n Lati n whe n converte d t o Christianity . Classica l literature wa s thu s unfamilia r t o most Christianize d Romanian s an d Slav s of th e East, an d th e cultura l gul f tha t cam e t o separat e the m fro m thei r cultivate d southern neighbor s eventuall y foun d a counterpar t i n socia l an d politica l devel opment. Whethe r thos e circumstances wer e bound t o benefit o r harm thi s or tha t people of eastern Europ e ma y not b e obvious. Borrowin g th e Byzantin e syste m of absolutism wa s not necessarily th e way to progress. The Moravia n stat e disappeared , bu t th e Slavicize d Bulgarian s forme d a stat e that lasted . Th e Bulgaria n rule r Boris , no w style d "tsar, " wa s baptize d b y a bishop sent from Constantinople , an d after som e flirtation with Rom e he accepte d the way of the East . The conversio n o f man y Slav s cam e durin g th e reig n o f th e founde r o f th e Macedonian dynasty , whic h over the next tw o centuries carrie d Byzantiu m t o the zenith o f it s development . H e wa s Basi l I (867-886) , a n Armenia n thoug h bor n in Macedonia . H e preside d ove r th e conversio n o f th e Serb s an d attempte d t o draw th e Croat s int o th e Byzantin e orbit , bu t failed , an d th e fatefu l religiou s separation betwee n th e tw o people s becam e permanent . Basi l wa s a n abl e rule r who rebuilt th e arm y and navy and brought ne w order t o the legal system . His so n Le o the Wis e extende d Basil s refor m o f Byzantin e jurisprudence. A t Leo's deat h i n 91 2 th e centra l governmen t ha d produce d a n eve r mor e comple x bureaucracy tha t wa s th e instrumen t o f th e emperor . Th e notio n o f "legitimate " succession, whic h ma y b e credite d t o Basi l I, 37 focuse d attentio n o n mal e heir s born i n th e porphyr y palac e (thu s porphyrogeniti) an d helpe d t o lend ne w stabilit y to the body politic. In fou r marriages , onl y tw o of whic h wer e licit , Le o managed t o sir e a singl e

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son, Constantin e VI I Porphyrogenitus , a sickl y bo y wh o nevertheles s live d t o reign forty-si x years . Hi s official s an d general s hel d a t ba y Tsa r Symeo n o f Bulgaria, wh o fought severa l campaign s i n a n effor t t o win th e Byzantine throne , until Symeo n die d i n 927 . Thereafte r Bulgari a becam e a 'docil e satellite,' 38 an d soon afterwar d Byzantiu m restore d it s suzeraint y ove r th e Serbs , wh o ha d stil l not achieve d statehood . Slavs farthe r east , i n th e stat e o f Ru s wit h capita l i n Kiev , ha d bee n rule d b y Varangians t o begin with . The y attacke d Constantinopl e b y se a i n 94 1 an d 944 , and th e Byzantine s ha d t o turn thei r attentio n t o taming them . Princes s Olg a of Kiev was receive d an d baptized i n th e imperial capita l i n 957 , but th e conversio n of the Ru s as a whole was to be delayed while her paga n so n Sviatosla v ruled . Basil I an d Le o ha d trie d t o chec k Sarace n expansio n an d successfull y de fended souther n Italy , thoug h they could no t hol d Sicily . I n th e 1970 s one of th e greatest o f Byzantine emperor s an d generals , Joh n I Tzimisces, advance d agains t the Muslims into Syria and was not far fro m Jerusalem whe n he judged it pruden t to halt. John wa s succeede d b y Basil I I Bulgaroktono s (th e Bulgar-slayer , 976-1025) . He ha d t o conten d wit h a variet y o f externa l danger s an d th e interna l threa t o f an overweenin g an d rebelliou s aristocracy . Provincia l magnate s (dynatoi) were growing steadil y i n numbe r an d strengt h a s a result o f taking over smallholdings , especially in Anatolia . I n 97 1 Bardas Phoca s had launched a brief rebellio n base d on hi s fello w lord s an d i n 98 7 another , longe r on e alon g wit h Barda s Skleros , which overra n Anatoli a an d endangere d th e capital . Basi l I I crushe d thi s risin g with th e hel p o f severa l thousan d soldier s sen t b y Vladimir, princ e o f Kiev , wh o then accepte d Christianit y (988 ) an d receive d th e han d o f the emperor' s siste r i n marriage. Th e conversio n o f th e Ru s no w proceede d steadily . Basi l trie d t o legislate th e break-u p o f grea t estate s an d thei r divisio n amon g th e peasantry , whom h e regarde d a s th e bulwar k o f Byzantin e society . H e ha d som e success i n doing so, but i t was limited an d temporary . Basil I I ha d greate r succes s i n war . Tsa r Samue l reestablishe d a stat e i n western Bulgari a wit h whic h th e Byzantine s fough t seesa w battle s fo r severa l years. I n 1014 , Basi l finally crushed th e Bulgaria n army . H e blinded al l fourtee n thousand prisoners , leavin g a singl e ey e t o on e i n ever y hundre d t o guid e hi s fellows, an d sen t the m bac k t o Samuel , wh o collapse d a t th e sigh t an d die d th e next day . Th e Bulgaria n stat e disappeared an d its land was annexed. Th e kin g of Armenia accepte d Byzantin e suzeraint y t o avoi d conques t b y th e newl y arrive d Seljuq Turks . Whe n i n th e cours e o f plannin g th e reconques t o f Sicily , th e emperor died . It wa s th e hig h poin t o f Byzantin e power . Th e frontier s appeare d secure , th e peril o f furthe r aristocrati c insurrectio n contained , th e prestig e o f Byzantin e

Beginnings of European Freedom 9 3 culture unsurpasse d i n th e Mediterranea n an d Nea r Easter n worlds . Bu t troubl e lay ahead . Basil' s niec e Zo e wa s hi s rea l successor , an d throug h th e nomina l reigns o f thre e husband s sh e maintaine d a sor t o f continuity . Whe n he r siste r Theodora die d i n 105 6 afte r a brie f reig n a s empress , th e Macedonia n dynast y became extinct . Despit e increasin g difficulties , som e achievement s o f th e Mace donians lasted ; the y include d th e conversio n o f th e souther n an d easter n Slavs . For a considerable tim e thei r relation s wit h Constantinopl e wer e clos e enough t o be interpreted b y one scholar a s making up a "Byzantine commonwealth." 39 There wa s a cultural an d religiou s pluralism i n th e lands of Eastern Orthodo x Christianity, no w dependen t o n Constantinople , founde d o n linguisti c differen tiation. Genuin e socia l pluralism wa s another matter . Th e militar y aristocrac y of the province s face d a s a rival th e civilia n bureaucrac y o f th e capital , bu t neithe r seemed t o hav e th e potentialit y t o becom e a fre e an d self-organize d class . Th e property an d influenc e o f th e clergy—bot h "white " (priest s an d bishops ) an d "black" (monk s an d nuns)—wer e imposing , especiall y afte r th e defea t o f th e iconoclasts, an d th e ecclesiastica l entit y constitute d a kin d o f limitatio n o n th e ruler; bu t th e interminglin g o f churc h an d state , i n bot h theor y an d practice , impeded an d ultimately prevented th e emergence of the kind of independence th e Western churc h claime d an d attained . The basileu s ha d a status tha t wa s regarded a s "th e earthl y reflectio n o f God's monarchy i n heaven," 40 an d ye t th e imperia l offic e faile d t o gai n stabilit y o r popular sympathy . Arbitrar y an d crue l method s used t o seiz e an d retai n th e throne inspire d fea r bu t no t devotion. Th e Macedonian s cam e closest t o implanting th e theor y an d practic e o f legitimacy , whic h migh t hav e com e t o serv e a s a focus o f political consciousnes s an d a basis fo r politica l unit y withi n whic h som e distribution o f politica l powe r coul d hav e occurred . Suc h potentialities , i f the y existed, wer e never realized . The Empires of Islam On th e deat h o f Muhamma d i n 63 2 hi s followers , afte r debatin g whethe r an y kind of state shoul d survive , establishe d a n authorit y tha t woul d put int o practice "Muhammad's solution " t o th e socia l chao s i n whic h h e ha d lived . I t wa s "t o provide for a central distributio n o f funds t o those at a disadvantage an d a central settlement o f dispute s b y a divinel y sanctione d mora l standard." 41 Th e Qur'a n provided directly fo r n o government othe r tha n tha t o f the Prophe t himself . The onl y position , therefore , tha t coul d b e fel t t o be legitimat e wa s stil l [tha t is, a s befor e Muhammad ] tha t o f th e militar y commander . I t wa s th e militar y leadership, shiftin g fro m simpl e raid s fo r booty , tha t embarke d o n conquest , which soo n became "th e keynot e o f th e Musli m state. " Bu t th e actio n o f govern-

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merit an d armie s wa s fo r th e sak e o f Islam . I n contras t t o th e Christian s o r th e Zoroastrians o f Persia , "n o explici t distinctio n betwee n religio n an d stat e coul d be made among the Muslims. " As th e Ara b armie s fanne d ou t ove r th e Mediterranea n world , they attracte d many non-Ara b recruits . Jew s an d Christian s generall y enjoye d som e protectio n from th e conquerors ; Jew s an d Monophysit e Christians , a t an y rate , actuall y assisted Musli m conquest of Egypt. I n 641 Umar , th e second caliph and Muham mad's successo r a s leade r o f th e ne w religion , dre w u p a registe r (diwan) o f members of the newly formed elite . I t ranke d the m by service and sacrifice s mad e for th e cause, an d thu s formall y create d a n Arab meritocracy . At first Christia n monk s an d clerg y wer e exemp t fro m pol l tax , bu t soo n on e (jizyah) wa s impose d o n individua l Christian s an d a lan d ta x (kharaj) on th e Christian community . Th e result , write s F . E . Peters , wa s abou t th e sam e financial burde n tha t th e Byzantin e o r Sasani d empire s ha d imposed ; th e differ ence wa s tha t th e Arab s di d no t occup y o r settl e th e conquere d territorie s bu t instead establishe d ''purel y Ara b encampments wher e the y collected thei r tribut e and garrisone d thei r armies : Basra h (637 ) an d Kufa h (638 ) i n Iraq , Fusta t (642 ) in Egyp t and Qayrawa n (670 ) in Tunisia." 42 Converts t o Isla m multiplied , an d a s th e Musli m populatio n o f th e give n are a grew, th e amir , o r militar y commander , migh t becom e a civil-military governor . Popular hostilit y t o dhimmis (non-Muslims ) originall y insignificant , gre w slowly , including denial of access t o Muslim hol y places. 43 The shap e o f th e polit y too k som e tim e t o develop . Fro m 63 2 t o 66 1 fou r caliphs succeede d one another. Ther e wer e several disputes regardin g the succes sion, an d th e fourt h caliph , 'Ali , wa s murdered . Mu'awiyah , th e ne w ruler , founded th e Umayya d dynasty, whic h laste d unti l 750 . Hi s strength wa s centere d in Syria , an d Damascu s cam e t o b e th e capital . Th e 'Ali d factio n attempte d t o make Husay n ib n 'Al i ("ibn" mean s 'so n of") calip h an d failed ; h e was murdere d in Karbala' , i n present-day Iraq , i n 680. This even t wa s centra l t o the belie f develope d late r tha t th e representativ e o r incarnation—there wa s som e ambiguity—of Go d was th e Imam , o r leader of th e people; th e imam s wer e 'Al i an d hi s heir s leadin g t o Muhamma d al-Mahdi , wh o through a series of step s experience d final "occultation " i n 941—tha t is , becam e the "hidden " Ima m who will return a t the Las t Day. 44 This was the conviction of the Sh'i a win g of Islam , whos e stronghol d cam e to be Iran an d souther n Ira q bu t had little strength i n th e res t of the Musli m world . Soon th e Umayya d caliphat e change d character . 'Ab d al-Malik , calip h i n th e 690s, bega n t o buil d th e Dom e o f th e Roc k i n Jerusale m a s somethin g lik e a counter-church an d undertoo k bruta l repressio n o f Christians , hithert o ofte n

Beginnings of European Freedom 9 5 favored an d accepted a t court. Arabi c now became the official languag e of government, replacin g Greek , Coptic , an d Persia n i n th e western , central , an d easter n regions respectively . Th e exemptio n o f monk s fro m th e pol l ta x wa s rescinded . Such policies led to sharp increases i n th e numbe r o f converts. Paradoxically, th e mode l take n b y th e caliph s o f th e tur n o f th e centur y wa s the Byzantin e emperor ; "th e coinage , th e reorganizatio n o f th e diwans, the mon umental architectur e al l converg e o n a repudiatio n o f Constantinopl e an d th e simultaneous acceptanc e o f th e Byzantines ' notio n o f wha t a n empero r shoul d be." 45 However, a turn t o the East tha t affected architecture , literature , an d political conceptions occurred i n th e early eighth century . A s before, Syria n militar y unit s remained th e basi s of the caliphs ' power . Bu t th e mode l fo r th e rulershi p shifte d to the Iranian shah . Th e last Umayyad s increased th e repressive measures applie d to Christians ; St . Joh n o f Damascus—late r ofte n calle d th e las t Fathe r o f th e Church—was a membe r o f th e Musli m civi l servic e befor e 'Uma r I I dismisse d all Christians therefrom , an d he was constrained t o enter a monastery. The las t rule r o f th e dynast y wa s overthrow n an d kille d i n 750 , alon g wit h most Umayya d princes . On e o f the m escaped , however , t o found a new kingdo m in newl y conquere d Spai n wit h it s capital in Cordova . Th e victor s in th e struggl e for th e caliphate , th e 'Abbasi d family , soo n buil t fo r themselve s a ne w capital , Baghdad. In th e Baghda d o f th e 'Abbasid s severa l significan t change s occurred . Th e Arab warrio r aristocrac y o f th e Umayya d perio d gav e way t o a new cosmopolita n aristocracy o f service , i n whic h Irania n an d othe r rnawali (non-Ara b convert s t o Islam) too k a prominen t part . A s Isla m cease d t o expand , th e arm y coul d n o longer b e pai d ou t o f th e boot y o f conquest , an d a professiona l forc e cam e int o being. Bu t i t wa s th e bureaucrac y tha t increase d i n siz e an d influence. 46 A skirmish wit h th e troop s o f China' s T'an g dynast y i n 75 1 brough t t o Samarqan d Chinese prisoner s wh o kne w ho w t o mak e paper ; abou t 80 0 th e secre t reache d Baghdad, an d th e burgeoning officialdom pu t i t t o good use at once. 47 Baghdad turne d th e fac e o f Isla m increasingl y eastward , thoug h no t exclu sively so. Irania n intellectual s shifte d fro m Pahlev i t o Arabic, a s if in respons e t o 'Abbasid preoccupatio n wit h thing s Persian , whil e th e merchan t an d peasan t classes turne d t o th e simple r for m o f th e Persia n languag e calle d b y th e Arab s Dari. Translation s int o Arabic from Iranian , an d also Indian, writing s were made with th e encouragemen t o f the chie f minister s o r viziers, an d fro m Gree k a s well for th e first time. 48 The roug h an d rusti c Turks , wh o wer e a t tha t perio d no t intereste d i n suc h pursuits, ha d com e t o provide troo p contingent s vita l t o th e caliphs . Th e palac e

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chamberlain, a Turk, supervise d th e postal service , whic h bot h delivered mail (of the official variet y only) and, mor e important, gathere d intelligenc e fro m al l parts of the empire tha t coul d be counted on to reach th e capital rapidly . During th e earl y nint h centur y a Musli m theolog y wa s bein g shape d fo r th e first time , an d a more or less coherent bod y of Islamic law a s well. Th e requisit e spirit o f rationalizatio n an d systematizatio n owe d a goo d dea l t o Helleni c influ ences, whic h alon g wit h Irania n one s wer e bein g fel t i n Baghdad , 'Islam' s Alexandria/' Nevertheless , i n thi s encounte r 'th e Musli m accepte d neithe r th e language no r th e humanisti c value s nor , h e thought , th e religio n o f th e Greeks ; his borrowing s cam e exclusivel y throug h translatio n an d wer e severel y limite d t o a technical an d scientifi c Hellenism." 49 Prominent amon g element s o f th e Helleni c heritag e tha t th e Muslim s di d no t acquire was the corpus of institutions of municipal self-government , th e magistracies an d council s o f th e polis—thoug h i t canno t b e sai d tha t th e caliphat e destroyed them ; they wer e moribun d o r dea d throughou t th e Nea r Eas t b y th e time of Justinian, befor e th e Prophe t wa s born. Th e cities , alon g with th e res t of the Islami c empire , wer e governe d b y officials—military , civilian , o r both—i n accordance wit h th e precepts of the newly shape d Islami c law, th e Shari'ah . The nam e Shari'a h mean t somethin g lik e "th e way"—tha t is , th e roa d o f righteous lif e leadin g to God. 50 I n th e nint h centur y th e ter m cam e to be used fo r law and no t theology . Despit e doctrinal rejectio n o f literalism, i t came to mean i n fact chiefl y th e lette r o f th e law . An d ye t i t wa s no t reall y a lega l code ; i t wa s rather a syste m o f mora l philosoph y o r ethics , a lis t o f "oughts. " Tha t la w onl y "regulated [th e Muslim's ] worshi p o f Go d an d hi s contract s wit h hi s fello w Muslims; it gav e him n o instruction o n ho w t o rule, n o model of a state, n o ideal prince o r idea l constitution." 51 Hodgso n note s tha t thoug h th e Shari'a h wa s originally create d i n par t t o neutraliz e calipha l powe r an d diffus e i t amon g society, i t neve r le d t o limiting th e powe r o f th e rule r o r anythin g lik e a right of resistance t o him. 52 Islam ha d n o politica l theor y o f it s own . Th e mos t tha t ca n b e sai d i s tha t conflicting notion s abou t rulershi p gre w up . Shi'a h legitimis m insiste d tha t th e caliph shoul d com e fro m Ali' s family ; th e radica l Kharijit e conceptio n wa s tha t the rul e migh t b e wielde d b y anyone, "eve n a n Ethiopia n slave " in th e Kharijit e phrase; Sunnis m woul d accep t an y rule r fro m th e Prophet' s tribe , th e Quraysh , though a t first suggestin g tha t th e rule r mus t "satisf y certai n qualifications." 53 However, soo n Sunn i teachin g cam e t o demand obedienc e "eve n [to ] a tyrannica l ruler." Earl y Isla m ha d conserve d th e ol d principle s o f th e Ara b desert: electio n of th e rule r an d exercis e o f authorit y throug h consultation . Bu t i n settled , postheroic Baghdad suc h custom s wer e laid aside. It wa s unde r th e 'Abbasid s tha t a religiou s orthodox y wa s worke d ou t i n th e

Beginnings of European Freedom 9 7 form o f Sunnism . I t avoide d th e emotiona l an d sectaria n tendencie s o f the Shi'a h and th e mystica l path s o f Sufism—ascetic , ecstatic , an d intuitiv e b y turns . 'While condemnin g schism s an d brandin g dissen t a s heretical, " write s Fazlu r Rahman, "Sunnis m develope d th e opposit e tren d o f accommodation , catholicity , and synthesis.' 54 Th e seemingl y tota l determinis m o f th e Qura n wa s shunte d aside, an d a plac e wa s foun d fo r man' s responsibilit y a s wel l a s God' s omnipo tence, thoug h som e Sunni teacher s stresse d th e forme r mor e than other s did . Under Harun-ar-Rashi d (d . 809) , contemporar y o f Charlemagne i n hi s rough hewn capita l of Aachen, 'Abbasi d Baghdad soo n radiated magnificence. Politicall y it wa s not a s unqualified a success. Nearl y independen t vassa l state s appeare d i n the remot e provinces , an d Baghda d wa s s o filled with disorderl y provincial s tha t in 83 6 a caliph move d t o a new capital a t Samarr a i n th e north . Shadows appeare d o n th e cultura l scene . A period o f religious an d philosophi cal inquiry an d experimentatio n wa s terminate d b y Mutawakkil, calip h fro m 84 7 to 861. H e sough t t o return t o primitive Musli m doctrine , raze d th e mausoleu m of th e marty r o f Karbala' , Husayn , an d banne d Shi'a h pilgrimage s thereto . H e also cruelly persecute d Christians , Jews , an d nontraditionalis t Muslims , notabl y the intellectuall y sophisticate d Mu'tazilite s wh o espoused th e notio n o f free will , taught a deity of justice an d reason , an d ha d hel d a dominant rol e in th e cultura l world of Islam fo r hal f a century. Mutawakkil wa s assassinated . Wha t followe d wa s shor t reign s an d lon g pe riods o f chaos . I n th e capital , th e vizier s ofte n governe d instea d o f th e caliphs , and th e Turkis h guardsme n virtuall y controlle d th e army ; i n th e provinces , hereditary potentate s bega n t o appear . I n th e lat e nint h century , th e 'Abbasi d caliphate los t it s easter n provinces—Ira n an d Turkestan—t o ne w dynasties an d states. In 90 9 a new family aros e in Tunisia callin g itself th e Fatimids , sinc e it trace d descent from th e Prophet's daughter Fatim a and 'Al i through Isma'il , an d offerin g a ne w versio n o f religiou s Shi'is m calle d Isma'ili . I n vie w o f th e fac t tha t th e Fatimids ha d proclaime d themselve s caliphs , thu s breakin g th e traditio n o f th e single caliphate , th e Umayya d prince s o f Spai n sough t t o duplicate thei r feat . I n 929 th e Sunn i religiou s leader s o f th e peninsul a accorde d recognitio n o f thei r new title , whic h they kep t unti l 1031 . Thu s i n th e tent h centur y ther e wer e three caliphates: Abbasid , Fatimid , an d Umayyad . By now th e oldes t caliphat e wa s th e weakest . Fo r th e Sunn i 'Abbasids , ther e could b e n o suc h thin g a s a n Imamat e separat e fro m th e Caliphate. 55 Fo r them , as equall y fo r th e Shi'ah , ther e coul d b e n o mor e tha n on e caliphate , bu t they were willin g t o accep t regiona l power s tha t acknowledge d calipha l unity . Th e 'Abbasid caliph s wer e controlle d b y Shi'it e Persia n warlords , th e Buyids , wh o effectively rule d Ira q an d wester n Iran . I n Khurasa n (easter n Ira n an d Afghani -

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stan), th e Turkis h Ghaznavid s hel d swa y unti l i n 104 0 a new horde , a groupin g of Oguz Turks le d by the Selju q family , struc k an d broke their power . The wester n region s of th e Abbasid s fel l t o the Fatimi d advance . Conquerin g Egypt afte r severa l unsuccessfu l tries , th e Fatimid s abandone d th e cit y tha t ha d hitherto bee n th e Musli m capital , Fustat , an d bega n constructio n o f a new one , al-Qahirah (Cairo) , "th e Victorious. " Th e Fatimid s pushe d a s fa r eas t a s Syria . They claime d a t various time s to be headed b y an imam, on e who would adminis ter th e law , o r a Mahdi, a divine messenge r o f som e sort—o r bot h o r neither; — but alway s b y a caliph , o f whic h they (an d man y othe r Muslims ) believe d ther e could b e onl y on e legitimat e exempla r a t an y give n time , n o matte r wha t hi s conduct o r ho w man y claime d th e title . A certainl y eccentric , perhap s ma d Fatimid caliph , al-Hakim , persecute d Christian s an d Jews, destroyed th e Churc h of th e Hol y Sepulche r i n Jerusalem , an d i n 102 1 rod e of f int o th e nigh t an d disappeared forever . Out o f th e welte r o f Turki c people s wh o no w ranged ove r muc h o f centra l Asia emerge d th e Seljuqs . Th e mos t prominen t leade r amon g them , Tughril , entered Baghda d i n 1055 . H e an d hi s successor s no w calle d themselve s sultan s ("rulers") wit h th e permissio n o f th e no w powerles s caliphs . I t wa s Tughril' s nephew, Al p Arslan , wh o smashe d th e Byzantin e arm y a t Manziker t i n 1071 , provoking the Crusades . In th e sam e yea r hi s force s deal t th e Fatimid s a decisiv e blow , thoug h they lingered a hundre d year s longer . Th e 'Abbasi d Caliphat e survive d t o b e over thrown b y th e Mongol s i n 125 8 whe n Hulag u too k Baghdad , bu t i t ha d los t it s significance b y the middle of the eleventh century . The Umayya d Caliphat e i n Cordov a brok e u p i n 1031 . Th e wil d Berbe r Dynasty o f the Almoravids fro m Nort h Afric a invade d Spai n i n 108 6 to assist th e small Mooris h (Muslim ) successo r states , bese t b y th e Christia n pressur e fro m the north , bu t the y soo n settle d dow n t o enjo y th e civilize d delight s o f th e country. Th e Almoravid s rule d i n th e nam e o f th e 'Abbasi d calip h i n Baghda d with n o fea r tha t i t woul d interfer e wit h them . I n general , th e late r elevent h century witnesse d a lastin g downtur n i n th e fortune s o f Islam , show n i n suc h events a s th e los s of Sicil y t o the Norman s (1060—91 ) and th e captur e o f Jerusa lem by the Crusader s i n 1099 . For fou r hundre d year s Isla m ha d brough t t o a vast are a som e degree of order, fluctuating level s o f religiou s toleranc e an d persecution , an d a concep t o f unit y that might be honored mainl y in th e breach bu t was never forgotten. Ther e migh t be one caliphat e o r several , an d withi n a caliphate ther e migh t b e severa l sultan s or amirs . However , throughou t Islami c society , fro m Morocc o t o India , som e common feature s o f socia l developmen t ma y b e observed . I n Egyp t an d Syri a many Byzantin e institution s survive d an d wer e retained . Man y landowner s fled

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from thos e region s an d wer e replace d b y Arabs , wh o established themselve s o n the estate s concerned , adde d t o their holding s b y purchase, an d transmitted the m through inheritanc e t o the next generation . And ye t secur e an d stron g form s o f lande d propert y di d no t develop . I n th e words o f Karl Wittfogel , In th e later feuda l an d postfeudal societie s o f th e West th e landed noble s wer e abl e t o create th e one-side d syste m o f inheritanc e calle d entai l an d primogenitur e primaril y because the y wer e arme d an d because the y wer e nationall y an d politically organized . I n hydraulic [includin g Islamic ] societ y th e representative s o f privat e propert y lacke d th e strength t o establish similarl y consolidate d an d strong form s o f property, firs t becaus e the governmental monopol y o f armed actio n prevente d th e property holder s fro m maintainin g independent militar y forces , an d second because the governmental networ k of organization (corvee, stat e post and intelligence, integrate d army , an d universal taxation ) prevented the property holder s fro m protectin g thei r interest s b y means o f an effective nationa l organi zation.56 By now it shoul d b e increasingly clea r that , i n earlie r histor y throughou t mos t of th e world, preventio n o f the fragmentation o f landholding throug h inheritanc e was a ke y to th e creatio n o r preservatio n o f a clas s stron g enoug h t o chec k th e growth o f despotism, an d thus t o pave th e way for a wider socia l pluralism . A s for the landlord s o f Musli m society , the y wer e no t abl e t o prevent fragmentatio n o f their holdings , wit h on e interesting , significan t exception : th e waqf, o r endow ment. Thi s Peter s define s a s "a n inalienabl e beques t whos e usufruc t i s directe d toward th e suppor t o f som e piou s purpos e specifie d b y th e donor' ' an d fo r suc h purposes i s kep t undivided—unlik e othe r lands. 5 7 However , th e stat e coul d stil l seize a waqf, and the beneficiaries o f such endowment s neve r organize d effectivel y or emerge d a s a discernible class . T h e mos t commo n for m o f landholding wa s service tenure , i n whic h th e lan d in questio n (iqta) wa s held conditionall y upo n service , whic h wa s usually militar y service. Privat e lan d existed , bu t i t wa s a rarit y i n th e first centurie s afte r th e Muslim conquest s an d neve r becam e a majo r facto r i n th e societ y o f Islam . Bureaucracy overshadowe d landlordism ; propert y di d no t becom e strong ; la w remained withou t a cutting edg e fo r thos e wh o wished t o ignore it s precepts . Of th e Islami c socia l orde r tha t ha d emerge d b y th e thirteent h century , Hodgson write s tha t it s hallmar k appeare d t o b e "occasionalism, " improvisatio n without referenc e t o establishe d positio n o r precedence , i n contras t t o Wester n "legitimism." Bu t i f th e latte r sometime s le d t o absurdity , h e adds , Islami c occasionalism "coul d b e reduced t o the arbitrary rul e o f violence." 5 8 T h e subsequen t stor y nee d no t detai n us . T h e Mongol s conquere d muc h Muslim territor y an d set up three majo r realm s (Il-khan s i n Persia , Chaghata y i n Central Asia , Golde n Hord e i n Russia) , whic h the n accepte d Isla m an d fell apar t

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not lon g afterward. Islami c expansio n continue d eve n i n th e thirteent h century , when th e stil l pagan Mongol s were defeatin g al l opponents (excep t th e Mamluk s of Egypt) , an d later , eastwar d int o India , Indo-China , an d Malaysi a an d west ward into Europe—by Ottoma n conquest . The Ottoma n Turk s wer e delayed in thei r offensive westwar d by the crushin g but transitor y onslaugh t (1402 ) o f Timur , wh o may serv e a s a reminder o f wha t the "arbitrar y violence' ' of oriental despotis m migh t mean: h e piled u p mountain s of severe d heads , burie d aliv e fou r thousan d o f th e Ottoma n armies ' Christia n regiments, an d i n on e tow n buil t tower s o f tw o thousan d liv e me n wh o wer e bound an d the n face d wit h brick s an d mortar. 59 Bu t th e Ottoman s soo n re covered; they went on to capture Constantinopl e an d later t o reach Vienna twice . Hodgson conclude s tha t Isla m wa s a ventur e "inspire d b y th e prophets ' de mand fo r uncompromisin g justice, i n transformin g th e world' s socia l order throug h the resource s o f propheti c vision." 60 T o th e exten t tha t suc h transformatio n occurred ove r th e centuries , i t canno t b e sai d tha t muc h spac e wa s lef t fo r pluralism o r freedom .

CHAPTER 5

The High Middle Ages: The West, Byzantium, and Islam, 1050—1350

In th e elevent h century , Byzantiu m passe d i n a shor t tim e fro m th e height s o f successful militar y an d civi l achievemen t t o th e depth s o f crisis . I n 102 5 th e Macedonian dynast y ende d wit h th e deat h o f Basi l II ; i n 107 1 th e Seljuq s destroyed th e Byzantine arm y at Manzikert , an d during the following decade they advanced throug h Asi a Mino r t o Nicaea whil e th e Byzantine s squabble d an d di d nothing to stop them . In th e wester n region s o f the empir e othe r disaster s occurred . "Th e on e grea t general o f th e post-Macedonia n era, " Georg e Maniaces , wa s recalled fro m th e struggle wit h th e Norman s i n Sicil y an d executed ; th e Norman s the n advanced , captured Bar i in th e calamitous yea r 1071 , and ende d Byzantin e rul e in Italy. 1 I n 1054 ther e too k plac e a schis m betwee n th e churche s o f Eas t an d West , th e patriarchate o f Constantinopl e an d th e papacy . Th e spli t wa s give n theologica l and ritua l for m bu t wa s triggere d b y dispute s abou t ho w t o mee t th e Norma n advance int o Italia n territory . A t th e tim e th e ecclesiastica l schis m appeare d minor an d temporary ; late r politica l an d militar y event s turne d i t int o a lastin g affair. The Wes t wa s a welter o f competing political an d religiou s entities , fo r whic h the ter m feudalis m wa s becomin g increasingl y inadequate . Empir e an d papac y were both imposin g and risin g powers. Ther e wer e monarchies o f varying magnitude outsid e the m i n Lati n Christendom : England , Scotland , France , Castile , 101

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Poland, Bohemia , Hungary , Norway , Sweden , an d Denmark . A s the monarchie s grew in strength , fre e institution s secure d a foothold i n them . Fo r th e nex t thre e centuries an d more , Byzantiu m an d th e Islami c empire s woul d b e n o threat s t o the youn g Western states , an d a t time s thei r weaknes s woul d invit e o r permit a t least temporaril y successfu l Wester n attack , notabl y in th e Crusades . As tende r shoot s o f fre e institution s mad e thei r appearanc e i n th e West , movements i n a contrar y directio n occurre d farthe r east. 2 Th e Muslim s con quered much of India, beginnin g from th e late twelfth century , leadin g eventually to the foundatio n o f th e grea t Mugha l Empir e (1526—1857 ) tha t cam e t o contro l much o f th e peninsula . I n Chin a th e Sun g dynast y (960-1279) , brillian t i n th e cultural level s i t achieved , stil l constitute d a "turnin g poin t i n th e histor y o f authoritarian government " i n tha t country . B y weakening th e military , wherea s "military force s tha t coul d readil y contes t th e powe r o f th e stat e ha d bee n a prominent featur e o f Chinese histor y fro m th e thir d centur y t o the tenth, " whil e the old aristocracy als o declined, th e Sung s gave the stat e "fisca l an d military an d organizational power s whic h i t ha d no t possesse d previously/ ' I n addition , a n "over-centralization o f authority " occurred , marke d b y a parin g dow n o f th e powers o f local officials. I n sum , write s Hsia o Kung-ch'iian, "th e development of the despoti c for m o f government durin g th e Sun g period mor e or les s reache d it s completion."3 Amon g Asia n state s grea t an d small , onl y Japa n seeme d t o mov e institutionally i n a differen t direction . Especiall y i n th e elevent h an d twelft h centuries, ther e emerge d a feudalis m i n som e way s strikingly resemblin g tha t o f Europe; "th e method s o f mixtur e wer e quit e differen t i n Japa n an d i n Europe , but th e basic ingredients see m t o have been muc h th e same." 4

The West, 1050-1200 Within th e West , th e questio n wa s whethe r th e tren d woul d b e towar d unit y o r plurality, a unit y tha t woul d b e politica l a s i n th e ancien t Roma n Empir e o r theocratic a s i n th e earl y Islami c entit y o n th e on e han d or , o n th e other , a plurality o f states , whic h migh t coexis t i n mor e o r les s peacefu l fashio n whil e accepting a common religion . The empir e an d th e papac y bot h endeavore d t o attain unity , an d bot h a t leas t at variou s time s postulate d i n theor y a kind o f singl e real m i n whic h eac h coul d play a part . Pop e Gelasiu s I , writin g t o Empero r Anastasiu s I just befor e 500 , had se t fort h th e norm : "Ther e ar e tw o powers b y which thi s worl d i s governe d in chief, th e consecrate d authorit y o f priests an d th e roya l power." 5 Priest s mus t submit t o royal laws pertaining t o the secula r realm ; kings must submi t t o priests where salvatio n i s concerned . Somewha t late r th e ide a wa s expresse d i n th e

The High Middle Ages 10 3 doctrine of symphonia (best translate d a "harmony") embodie d in Justinian's Sixt h Novella. Putting th e ide a int o practice , i n Wes t o r East , prove d mos t difficult . Indee d the theoretical equalit y sometime s assumed by such statement s wa s in other case s modified; Gelasiu s himsel f declare d tha t th e greate r burde n fel l o n th e priests . St. Augustin e ha d argue d tha t th e kin g mus t b e a Justus homo, a righteou s ma n obeying God's commandments . Wh o would determine i f th e monarc h wa s or was not righteous? Th e priest . An d what i f the monarch wa s unrighteous? The pries t must depos e him . S o ran th e papa l case . Ye t Augustine himsel f ha d envisage d a royal and no t priestly Constantin e a s regularly occupyin g the position o f headshi p of th e earthl y church , an d Justinia n ha d declare d th e ruler' s responsibilit y t o be enforcement o f obedienc e t o God ; a s th e "Lord' s anointed " h e wa s n o ordinar y layman.6 And i n feuda l Europ e th e kin g enjoye d a n extraordinar y positio n base d o n religion. Mar c Bloc h adduce s a s proof tha t thi s wa s s o the fac t that , i n a n ag e of widespread violenc e an d frequen t case s of defiance, disobedience , o r rebellio n b y vassals, wh o migh t seiz e an d impriso n thei r monarchs , onl y thre e wer e kille d i n the perio d i n question : Edwar d th e Marty r (978 ) in England , Rober t I of Franc e (923), an d Berenga r I , las t o f th e "phanto m emperors " (924). 7 I t wa s thu s th e secular ruler , bearin g th e titl e "emperor " o r not , wh o partoo k o f th e "divinit y [that] dot h hedg e a king," 8 an d share d i n th e medieva l conceptio n o f a unifie d order of social life sanctifie d b y the church . The papacy had not always been prepared t o mount a successful defens e o f the ecclesiastical power , an d unlik e th e situatio n i n th e secula r sphere , ther e wer e no independen t authoritie s i n th e churche s o f th e Wes t tha t coul d replac e th e Roman see . Th e papac y ha d sun k t o a shamefu l nadi r i n th e tent h century . However, th e foundations ha d alread y been lai d for it s recovery . In 91 0 an abbe y was established a t Clun y i n th e souther n par t o f the duchy of Burgundy. I t wa s exemp t fro m an y authority , la y o r clerical , excep t papal ; i t strictly observe d th e Benedictin e Rul e (tha t is , th e se t o f regulation s lai d dow n for monasti c lif e b y Benedic t o f Nursi a i n th e sixt h century) . B y th e elevent h century Clun y wa s th e mothe r hous e o f a n Orde r o f it s own , wit h grea t wealt h and influence . I t institute d monasti c refor m an d supporte d ecclesiastica l refor m of al l sorts ; th e Clunia c recip e fo r refor m o f th e papac y wa s acceptanc e o f th e help of emperors in bringing it about . In 104 6 Emperor Henr y II I ha d give n refor m grea t impetu s b y wrenching th e papacy fro m th e contro l o f th e Roma n noble s an d the n choosin g t o be pop e fou r German bishop s i n a ro w wh o wer e concerne d t o end th e abuse s i n th e church . But a papacy controlled b y the empire , however , benevolently , wa s not a solution the reformer s coul d accept . Severa l pope s i n a ro w reflecte d Clunia c influenc e

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A History

but determine d t o wi n independenc e fo r th e papacy . I n 105 9 a papa l decre e enacted tha t th e pope s shoul d hencefort h b e elected b y the cardina l clerg y alone, a measur e tha t i n tur n mad e th e Colleg e o f Cardinals , a t first wit h fifty-five members, a body with grea t power . In 107 3 th e cardinal s electe d a gifte d ma n shor t i n heigh t bu t tal l i n mora l stature. Hildebrand , a s Gregor y VII , undertoo k t o carr y ecclesiastica l refor m through t o a conclusion an d als o deal wit h th e dange r tha t th e emperors , a s th e chief force s behin d reform , woul d consolidate contro l of the church. Hi s struggl e to curb tha t threa t cam e t o center o n th e practic e o f la y investiture , tha t is , th e ceremony b y whic h a kin g investe d o r bestowe d upo n th e bishop-elec t th e rin g and staf f tha t wer e th e emblem s o f hi s clerica l office . Th e pop e prohibite d th e practice i n 107 5 an d seem s a t first t o hav e wishe d t o engag e th e emperor' s cooperation i n resolvin g the issue. It wa s no t forthcoming . Th e empire , afte r a slow star t followin g it s resuscita tion i n th e tent h century , acquire d stron g leadershi p i n th e Franconia n (o r Salian) dynasty . Th e centur y followin g 102 4 wa s "th e grea t imperia l age." 9 Conrad I I shrewdl y gaine d contro l o f most o f the grea t dukedom s on e by one; h e effectively use d th e ministeriales (lay vassal s o n th e roya l domain ) a s officials . Henry III , "stronges t o f the German emperors, " asserted hi s authority i n Poland , Bohemia, an d Hungary . However , on e Franconia n polic y militate d agains t mak ing th e empir e int o a unitar y state : th e encouragemen t o f hereditar y tenur e o f fiefs.10 After link s wer e establishe d an d severe d tw o o r thre e time s betwee n th e empire o n th e on e han d an d Hungar y an d Polan d o n th e other , the y wer e finally broken. I n 105 8 th e Hungarian s regaine d ful l independenc e an d soo n afterwar d Boleslaw I I th e Bol d o f Polan d di d likewise . Bohemi a alon e o f th e non-Germa n states t o the east became a permanent par t o f the empire . When Henr y I V bega n t o reign , i n 1067 , h e wa s caugh t u p i n conflic t wit h the grea t Germa n nobles . Bu t th e centra l dram a o f hi s reig n wa s th e struggl e with th e papacy . I n it s first phase , th e empero r suffere d excommunication , undertook th e famou s penanc e a t Canoss a i n norther n Italy , an d seeme d t o b e bound t o accept th e papa l decre e agains t la y investiture: "n o cleric wa s t o accep t investiture o f bishopric, abbey , or church fro m th e hand of Emperor, king , or any lay person, mal e or female." u It appeare d tha t papa l victor y wa s complete . I t wa s not . Gregor y VI I an nounced th e depositio n o f th e emperor . Henr y le d a n arm y al l th e wa y t o th e Eternal City . Gregory' s Norma n allie s drov e th e empero r ou t o f Rome , bu t ravaged th e cit y s o brutally tha t th e pope for safet y ha d t o withdraw t o the sout h with hi s rescuers an d died in 1085 . Despite hi s sa d end , Gregor y ha d a grea t an d lastin g achievement : i t wa s t o

The High Middle Ages 10 5 make papa l authorit y effectiv e almos t everywher e i n Lati n Christendo m wit h respect t o th e church . Th e exceptio n wa s England , wher e Willia m I th e Con queror wa s ferven t enoug h i n pursui t o f ecclesiastical refor m t o make i t difficul t for th e pop e t o argu e tha t onl y Rom e coul d brin g i t about . Gregor y als o foun d support fo r th e positio n tha t a n evi l rule r violate s th e contrac t h e ha s implicitl y made wit h hi s subjects , s o that th e pope , wh o is responsibl e fo r th e salvatio n o f mankind, ma y depos e him . A certain Manegol d o f Lautenbac h s o held. Henry' s own lega l adviser s no t surprisingl y argue d th e contrary . Tha t argumen t wa s no t resolved, bu t th e traditio n tha t Christianit y sanctione d th e remova l o f a n unjus t ruler, forcefull y enunciate d b y St. Augustine , wa s strengthened . Gregory's policie s wer e continue d b y th e handsom e an d learne d Frenchman , Urban II . Ignorin g monarch s an d appealin g directl y t o th e noble s an d peoples , the pope summoned th e whol e of the West t o the first o f a series (a s it proved) of Crusades t o retak e th e Hol y Places o f Palestin e fro m th e Muslims . I t wa s "th e first grea t victor y of the reforme d Papacy, " an d demonstrated bot h th e ne w papa l prestige and th e weakening of the emperors. 12 The investitur e controvers y wa s finally compromise d an d terminate d b y th e Concordat o f Worms , draw n u p in 1122 . B y its term s secula r ruler s coul d gran t the temporalitie s bu t no t th e spiritua l symbols , th e rin g and th e staff . The struggl e of emperor an d pope was, however , no t over. Th e empir e face d a recrudescence o f th e powe r o f th e dukes , especiall y i n Saxony , Bavaria , an d Swabia. I n thei r challeng e t o imperia l authority , th e papac y wa s abl e t o pla y a part. Wit h papa l aid , i n 112 5 th e grea t archbishop s o f Main z an d Cologn e prevented th e electio n o f Frederic k o f Swabia , o f th e Hous e o f Hohenstaufen , and place d o n th e thron e a s emperor instea d th e duk e o f Saxony , Lothair , o f th e party of Welfs. For th e nex t decad e Welf s an d Waiblinger s (o r Hohenstaufens ; i n Ital y th e parties wer e calle d Guelf s an d Ghibellines ) contested . I n 1138 , however , th e Hohenstaufens establishe d themselve s a s th e imperia l dynasty , an d i t laste d 13 0 years. Emperor Frederic k I Barbarossa , wh o bega n us e o f th e ter m "Hol y Roma n Empire," cam e t o b e regarde d a s th e idea l medieva l Germa n monarch . Thoug h he conciliate d th e Germa n magnate s wit h som e success , h e faile d i n repeate d expeditions t o forge unit y wit h Italy . I n 1176 , a t th e battl e of Legnano, occurre d the first majo r defea t o f feuda l cavalr y b y infantr y an d witha l th e victor y o f th e townsmen fro m th e commune s o f Lombard y ove r th e imperia l forces . Althoug h the peac e tha t followe d affirme d th e genera l suzeraint y o f th e empir e i n Italy , i t provided for effectiv e autonom y fo r th e Lombar d towns . Moreover, th e sout h was irretrievably beyon d imperial control. Th e boot of the peninsula an d the island of Sicily were combined under a single Norman kingshi p

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conferred b y th e pop e i n 1130 . Roge r I I establishe d a centralized administratio n drawing o n Norman , Greek , an d Sarace n elements , an d ar t an d learnin g flourished a t his court . Thus Frederic k I faile d i n som e way s an d succeede d i n others . H e retaine d effective contro l o f th e churc h i n German y an d rebuffe d certai n sort s o f papa l claims. During hi s unusuall y lon g (1159-81 ) papacy , Alexande r II I wa s abl e t o gen erate sufficien t momentu m fo r refor m s o that th e Thir d Latera n Counci l i n 117 9 decreed tha t a two-third s vot e o f th e cardinal s wa s neede d t o elec t a pope— a provision tha t remain s i n forc e eigh t centurie s later , a t th e tim e o f writing . Alexander i s remembere d a s a legislator an d lawyer , an d indee d th e papac y wa s coming to have mountainous legal burdens a s well as the disposition of substantia l legal powers. After peac e in Italy was arranged, Frederic k I returned t o Germany to confron t the great nobles . H e partitioned th e realm of the powerful duk e of Saxony, Henr y the Lion, an d sliced off som e of Bavaria. H e then departed fo r th e Third Crusade , and drowned i n 119 0 while en rout e t o the Hol y Land . Despite hi s blow s agains t th e dukes , h e seem s t o hav e mad e littl e sustaine d effort t o consolidate th e imperia l powe r or t o convert hi s office int o one of lastin g national rulership . Th e Germa n noble s wer e "stil l nominall y roya l officials , an d did homage to the king for th e offices they held, a s his subjects no t his tenants." 13 But in realit y the y were becoming minor sovereign s in thei r ow n right . Frederick I bor e par t o f th e responsibilit y fo r th e tren d i n tha t direction , i n particular b y making concession s i n German y i n orde r t o assist hi s campaign s i n Italy; h e ende d u p weake r i n both . Afte r th e brie f interva l o f Henr y Vi s reign , the empir e experience d a perio d o f civi l wa r terminate d b y th e ascen t t o th e throne i n 121 1 of a quite differen t sor t of emperor tha n hi s predecessors, Freder ick II . During th e latte r hal f o f the elevent h centur y th e Frenc h monarch y exhibite d the capacit y t o grow in strengt h an d extent . A slow an d painfu l process began t o occur by which th e king s annexed th e holdings of feudal lord s and amassed powe r in thei r office . I n th e reig n o f Phili p I (1060—1108) , th e duke s o r count s o f Aquitaine, Anjou , Flanders , an d abov e al l Normandy—whos e duk e wa s kin g i n England—were mor e powerfu l tha n th e king . Unde r Loui s V I an d Loui s VII , whose reigns stretche d t o 1180 , the royal initiative made headway. The y began t o reduce th e feuda l holding s nort h o f th e Loire . Bot h depende d fo r counse l o n Suger, th e lowbor n abbo t of St.-Denis . I t wa s he who started constructio n o f th e first wholl y Gothi c buildin g i n architectura l history , th e abbe y churc h o f St. Denis. On suc h humbl e bu t devote d official s th e ris e of both th e Frenc h an d Englis h

The High Middle Ages 10 7 monarchies partl y depended—a s contraste d wit h Germany , whic h lacke d suc h assets. Loui s VI I gav e u p th e land s Eleano r o f Aquitain e ha d brough t hi m b y their marriag e an d Eleano r hersel f t o Henr y II , duk e o f Normand y an d Aqui taine, coun t o f Anjou , Maine , an d Touraine , wh o inherite d th e Englis h thron e in 115 4 an d becam e immensel y stronge r a s a result . Loui s VI I rule d onl y th e royal domain , bu t durin g hi s reig n th e king' s cour t (curia regis) at Pari s wa s increasingly used fo r case s originating i n al l parts o f the kingdom . Hi s successor , Philip II , pave d th e street s an d buil t th e wall s o f Paris , ver y significantl y ex tended th e roya l domain, an d consolidated th e monarchy . In England , Norma n feudalizatio n wa s proceedin g apace , o n a muc h mor e centralized basi s tha n ha d characterize d Saxo n feudalism . In theory , th e kin g owned ever y scra p o f lan d i n England ; i n practice , h e ha d abou t one-sixt h an d apportioned les s tha n hal f t o hi s followers . Th e churc h hel d perhap s a fourth . The Saxo n shire s an d hundred s wer e continue d a s unit s fo r loca l government , under sheriff s (usuall y barons ) wh o could be removed b y the kin g but wer e ofte n left alone . The Anglo-Saxo n Wita n wa s replaced , o r fo r th e mos t par t simpl y renamed , as the curia regis, o r Grea t Council . I t consiste d o f tenants-in-chief, th e chancel lor (a n innovatio n o f Edwar d th e Confessor) , th e justiciar ( a new officia l manag ing justice an d finance an d replacin g th e kin g whe n absent) , an d head s o f th e royal househol d staff . Th e Smal l Council , includin g onl y th e tenants-in-chie f who happened t o be on hand (rathe r tha n th e ful l complemen t o f 170) , tende d t o become the more important body. 14 The Conquero r wa s a shrewd a s well as powerful man . I n 108 5 ne w a s a ° l e t o order an d carr y ou t th e grea t Domesda y survey , describe d b y F . W . Maitlan d a s "an exploi t whic h ha s n o paralle l i n th e histor y o f Europe." 15 I t ha s bee n suggested tha t th e device had been borrowe d b y the Norman s fro m th e Byzantin e and Sarace n ruler s o f Sicily , muc h o f whic h the y conquere d i n 1072. 16 Kar l Wittfogel comment s tha t ''evidently , systemati c an d nationwid e registratio n wa s as ou t o f plac e i n feuda l societ y a s i t wa s customar y i n th e real m o f Orienta l despotism."17 The Domesda y survey , a t an y rate, remaine d uniqu e i n th e histor y of Englan d and of western Europe . Unde r Willia m I the country prospered ; an d afte r a short reign by a much-hated so n of his, anothe r son , Henr y I , resume d a policy of order and growth . Anselm , archbisho p o f Canterbury , defende d th e papa l positio n o n lay investiture , an d i n 110 7 obtaine d a compromis e no t fa r fro m wha t h e ha d sought. After a n episod e o f feuda l anarchy , Henry' s grandso n Henr y I I (1154—89 ) combined inherite d an d acquire d territorie s i n a mixed "empire. " H e attempte d to revers e th e extensio n o f "benefi t o f clergy " (exemptio n o f ecclesiastic s fro m

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civil punishmen t o f variou s kinds ) tha t ha d bee n takin g place . Afte r Thoma s a Becket wa s murdere d b y knight s o f th e cour t wh o though t the y wer e carryin g ou t the king' s orders , i t wa s a practica l impossibilit y fo r Henr y I I t o prosecut e th e effort. T h e kin g di d manage , however , t o advanc e substantiall y th e growt h o f a la w applying equall y t o th e whol e realm—an d s o terme d th e "common " law—an d the discardin g o f th e ordea l a s a supernatura l mean s o f determining crimina l guil t or civi l righ t i n favo r o f th e jury, tha t is , a statemen t mad e unde r oat h o r decisio n taken b y swor n freemen . Durin g th e reign , Wales , wit h n o nationa l kingship , and Ireland , wit h man y regiona l bu t n o nationa l monarchs , wer e mor e o r les s reduced t o Englis h possessions ; Scotland , wit h it s ow n ruler , acknowledge d suzerainty. I n al l thre e realm s Anglo-Norma n aristocracie s spread . It i s no t enoug h t o establis h a n aristocracy ; measure s ar e neede d t o continu e it, i f continuatio n i s desired . I n Englan d th e adoptio n o f th e custo m o f primogen iture wa s a crucia l ste p i n preventin g th e lan d o f th e noble s fro m bein g frag mented int o dwar f holdings . T h e eldes t so n inherite d bot h titl e an d estate ; th e other son s wer e drive n t o mi x an d marr y wit h th e lowe r order s o f society , a process hastenin g th e fusio n o f Norma n an d Saxon . Durin g th e reig n o f th e mainly absen t Richar d I Coeu r d e Lion , th e countr y wa s wel l rule d b y Huber t Walter, archbisho p o f Canterbur y an d justiciar . H e di d muc h t o brin g th e monarchy an d th e middl e clas s o f tow n an d shir e close r together . Charter s wer e granted t o towns ; Londo n wa s give n th e righ t t o elec t it s ow n mayor . T h e knight s of th e shire , electe d b y th e loca l gentry , wer e assigne d loca l function s supple menting thos e o f th e royall y appointe d sheriffs . However, th e tren d towar d conciliatio n betwee n th e Norma n dynasty , littl e more tha n a centur y old , an d th e Saxo n peopl e wa s interrupte d b y th e reig n of John . H e becam e embroile d i n a serie s o f conflict s wit h th e papacy , th e French King , an d th e Englis h barons . I t wa s th e Englis h barons , o f course , wh o were th e chie f gainers . I n 121 5 the y extorte d fro m th e kin g th e Grea t Charte r (Magna Carta) , whos e mos t significan t provision s ar e summarize d b y Pau l Cra m thus: (1) Chapte r 12 : n o scutag e o r ai d (excep t fo r th e traditiona l feuda l three ) t o b e levie d without th e consen t o f the Grea t Council ; (2 ) Chapter 14 : definition o f the Great Counci l and it s powers : (3 ) Chapte r 39 : "No freema n shal l b e arreste d an d imprisoned , o r dispossessed, o r outlawed , o r banished , o r i n an y wa y molested ; no r wil l w e se t fort h against , nor sen d agains t him , unles s b y th e lawfu l judgmen t o f hi s peer s an d b y th e la w o f th e land." Eve n thes e clause s wer e feuda l an d specifi c i n background , bu t centurie s o f experience transforme d the m int o a generalize d formul a o f constitutiona l procedure , making the m th e basi s o f th e moder n Englis h constitution . A t th e tim e thei r chie f significance la y in th e assertion o f the supremac y of law over the king. 18

The High Middle Ages 10 9 In thi s manne r on e o f th e personall y mos t contemptibl e o f al l Englis h monarch s became a n unintentiona l architec t o f Anglo-Saxo n liberty . Durin g th e previou s years he had already in a curiously comparable way advanced th e cause of English unity; h e ha d bee n worste d i n th e contes t wit h Phili p Augustu s throug h whic h he trie d t o preserve hi s Frenc h possessions ; finally the land s nort h o f th e Loire , including Normandy , escheate d t o thei r overlor d i n Paris . I n consequenc e th e attention an d concern s o f bot h th e Plantagene t roya l hous e an d th e Norma n nobles were driven t o focus bac k on England . In 109 5 Urba n I I summoned al l Europ e t o a crusade . Th e Englis h an d th e Germans ha d responded , bu t abov e all the French ; th e pope himself wa s French , to be sure. Wit h remarkabl y fe w difficulties , th e Crusader s swep t int o Jerusalem and founde d fou r Lati n state s i n Syri a an d Palestine . Therewit h feudalism , a strong church , an d a non e to o powerfu l kingshi p wer e introduce d int o th e ne w Latin Kingdo m o f Jerusale m an d th e thre e othe r entitie s ove r whic h i t enjoye d nominal suzerainty . Whe n th e Muslim s capture d th e northernmos t Crusade r state, Edessa , i n 1144 , a Secon d Crusad e wa s mounted , heade d b y th e Frenc h and German monarchs . I t soo n failed . Then i n 118 7 th e rule r o f Egypt , Saladin , capture d Jerusale m an d uninten tionally evoke d a Third Crusade , le d b y the thre e outstandin g ruler s o f the time : Emperor Frederic k I Barbarossa, Richar d I Coeur de Lion of England, an d Phili p II Augustu s o f France . The y di d no t recaptur e th e cit y bu t di d succee d i n arranging for Christia n acces s to it. By this tim e i t wa s clea r tha t th e Christia n Wes t wa s no t goin g to retake an y large part of the Nea r East . I n the Fourt h Crusad e (1204) , however , th e Crusad ers wer e diverte d fro m thei r goa l i n a dramati c an d fatefu l way : they capture d Constantinople. Drivin g ou t th e Byzantines , they establishe d a Lati n Empire . That empir e di d no t last , bu t Easter n memorie s o f th e conques t an d pillag e o f their capita l seeme d ineffaceable . The Christia n Wes t wa s mor e successfu l i n th e Iberia n peninsula ; th e ter m "crusade" i s usually no t employe d fo r th e reconquest , bu t i t i s surel y applicable . The Caliphat e brok e u p i n 1031 . Thereafter hal f a dozen o r mor e smal l Musli m states appeare d i n it s place, soo n absorbe d b y the Berber dynast y of the Almorav ids, wh o had been summoned b y one of them t o help defend agains t th e resurgen t Castilians. Alfons o VI , a t first kin g o f Leo n an d the n als o o f Castile , capture d Toledo in 1085 . His advanc e was briefly checke d b y the Almoravids. H e was abl e to resume i t wit h th e assistanc e o f Rodrig o de Bivar , th e "Cid " (th e wor d mean s "lord"), wh o in legen d becam e th e grea t Christia n champio n an d hero of Spanis h history bu t i n fac t serve d bot h side s a t differen t time s an d wa s note d fo r bot h cruelty an d vanity .

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A History

Other Christia n state s joined Castil e i n pushin g bac k Musli m frontiers . Th e county o f Portuga l becam e a kingdom i n 113 9 and during th e nex t decad e moved its borde r sout h t o th e Tagu s River . Th e Almoravid s di d no t last ; a ne w se t o f Berber invaders , th e Almohads , struc k the m fro m th e rea r an d crushe d thei r army i n 1114 . Th e Almohad s wer e abl e t o restore Musli m unit y i n Spai n an d i n 1195 overwhelmingly defeate d Alfons o VIII o f Castile. Christian unit y wa s no t observabl e a t thi s point ; Leo n an d Navarre , no t fo r the firs t time , trie d t o invad e prostrat e Castile . However , Arago n cam e t o th e rescue o f th e Castilians . Alfons o VII I wa s a t lengt h successfu l i n rallyin g th e Christian state s an d wo n a decisive victor y agains t th e Muslim s a t La s Nava s d e Tolosa in 1212 . I t was the climax of the whole Reconquista. The politica l lineament s o f Castile an d Arago n wer e no t especiall y unusua l i n the West o f the day. I n bot h state s a royal council met periodically , includin g lay and ecclesiastica l magnates . B y 115 0 th e nam e Corte s ha d becom e attache d t o the tw o councils. Townsme n wer e growing in number s an d wealth an d therefor e in importance . I n 118 8 their representative s becam e th e first i n al l Europ e t o sit with thos e fro m th e nobilit y an d clergy , i n th e Corte s o f Leon . Barcelon a wa s unique i n th e peninsul a i n havin g a municipa l governmen t wit h consul s a t it s head, a n inheritance fro m th e Roma n Empire . In th e elevent h century , i n Lati n Europ e t o the east of Germany, Christianit y and civilizatio n wer e just takin g hold . Th e Viking s ha d appeare d i n histor y wit h a rai d o n Lindisfarne , th e Hol y Islan d o f norther n England , i n 793 ; they ha d subdued muc h o f Irelan d an d Englan d befor e 900 , an d afte r a century o f peacefully exploitin g their conquere d lands , bega n a new series of raids about 1000 . By abou t 1050 , however , the y wer e read y t o settl e down , an d th e so-calle d Viking Ag e wa s a t a n end . Aroun d 96 0 Haral d Bluetooth , unifie r o f Denmark , converted t o Christianity ; Ola f Haraldsso n wa s decisiv e i n th e conversio n o f Norway an d wa s canonize d onl y a year afte r hi s deat h i n 1028 ; the conver t kin g of Sweden , Olo f Skotkonung , wa s a contemporary o f his. Durin g th e Vikin g Age most Scandinavian s wer e engage d i n farming ; som e wer e freemen , equa l befor e the law , whil e other s wer e thrall s o r slave s wit h fe w rights . Th e freeme n o f a given area met in a thing to choose a king, mak e laws, an d execute justice.19 About 105 0 ther e wer e thre e Scandinavia n kingdom s (Icelan d wa s a n aristo cratic commonwealt h wit h a nationwid e parliamen t o f sorts , th e Althing , whic h was founded i n 930) : Norway, Denmark , an d Sweden . Sometime s each had more than on e king, sometime s n o king. Norwa y expanded westward int o the norther n islands o f Britain , Denmar k southwar d int o German y (an d experience d Germa n expansion northward ; on e mus t remembe r tha t n o clea r nationa l frontier s ye t existed), Swede n eastwar d int o Finlan d an d th e easter n shore s o f th e Baltic . I n 1262 Icelan d submitte d t o become th e persona l fief of th e kin g of Norway ; afte r

The High Middle Ages 11 1 1380 it wa s rule d b y Denmark an d regaine d effectiv e independenc e a s a republi c only in 1944 . The chie f orga n o f governmen t i n medieva l Scandinavi a wa s th e assembl y o f the prelate s o f th e churc h an d lande d magnates . I n Denmar k i t wa s calle d th e Hof, i n Norwa y th e Novingmot e o r Riksmote , i n Swede n th e Herredag . I n eac h case i t assiste d th e roya l administrator s bu t protecte d aristocrati c interests . Th e beginnings ar e shadowy ; Denmark , th e most advance d state , wa s unified unde r a single king, Valdema r I , i n 115 7 with th e capita l in Copenhagen . Th e Ho f seem s to date t o th e reig n o f Valdemar I I th e Conqueror , whic h bega n i n 1202 . I n th e later twelft h centur y Uppsal a becam e a n archbishopri c (1164) , an d Swede n wa s brought unde r on e king, Erik , wh o died in 1196 . I n 120 0 Norway wa s in turmoi l but woul d soo n emerge therefrom . The Polis h stat e too k for m i n th e elevent h century . It s rea l organize r wa s Boleslaw I Chrobr y ("th e Brave, " d . 1025) , wh o wa s th e successo r o f th e first Christian rule r o f Poland . Despit e th e nominall y absolut e monarchica l power , there wer e fro m th e star t source s o f centrifuga l pressure . Th e ol d cla n syste m survived an d wa s reinforce d whe n prince s strengthene d loca l lords by bestowin g land o n the m i n retur n fo r service . Th e Slavi c practic e o f dividin g th e roya l domain instea d of transmitting i t intact t o one successor led to much civi l strife . Part o f the tim e Polan d wa s tributar y t o the Hol y Roman Empire , par t not . I n order t o avoi d suc h dependence , th e Polis h monarch y ofte n allie d itsel f wit h th e papacy. I n 113 8 Bolesla w II I divide d Polan d int o five state s fo r hi s sons , th e eldest t o hol d th e titl e o f gran d princ e an d resid e i n Cracow . Thi s disastrou s arrangement enable d th e grea t lord s (magnates ) an d lesse r lord s (gentry , o r szlachta) t o increase thei r power . B y the tim e of Lesze k I the White (1194—1227 ) the nobles , alon g with th e clergy, virtuall y controlle d Poland . Bohemia wa s th e scen e o f dynasti c struggle s whos e participant s migh t appea l either t o th e Empir e o r Polan d fo r support . A decisiv e stag e i n conversio n t o Christianity ha d bee n reache d befor e th e yea r 1000 , an d th e lan d wa s joined t o its wester n neighbo r b y mor e tha n religion ; closel y associate d a s a vassa l stat e with Germany , i t ha d remaine d separat e an d electe d it s ow n duke . Th e duk e controlled justice, taxation , an d administration . The proces s o f administerin g wa s carrie d ou t b y noble-official s wh o live d i n castles withou t muc h land . A s i n Poland , th e Slavi c traditio n prevente d primo geniture i n th e monarchica l succession , an d ye t th e real m wa s no t permanentl y divided. I n 115 7 th e Bohemia n rule r wa s give n a hereditary crow n b y Frederic k Barbarossa, i n gratitude for support against the Lombard cities. Ottoka r I I (1197 1230) manage d t o mak e th e ne w kingshi p a might y forc e i n th e affair s o f th e Empire. Hungary wa s a stat e muc h lik e Bohemia . Sinc e St . Stephe n (d . 1038) , wh o

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received a crown fro m th e pope in iooo , th e monarchy ha d built u p a substantia l royal domai n an d establishe d countie s administere d b y count s wh o wer e roya l officials. Hungar y gaine d th e statu s o f complet e independenc e fro m th e Hol y Roman Empir e i n 1058 . Ther e wa s a period whe n th e Byzantine s hope d t o join Hungary t o thei r empire . However , thei r hope s wer e dashe d whe n Bel a III , though h e had been educate d i n Constantinople , turne d rathe r i n the direction of France. His successo r Andre w I I los t s o muc h powe r b y grant s o f lan d t o clerg y an d nobles tha t h e wa s compelled , i n th e Golde n Bul l o f 1222 , t o promis e freedo m from taxatio n an d annua l assembl y t o the magnates , knights , an d clergy . B y that time Hungar y ha d definitely cas t it s lot with th e West. Nevertheles s ther e wa s a "period o f tw o hundre d an d fifty year s [fro m th e mid-tent h century , whe n a Byzantine missio n ha d bee n establishe d eas t o f th e Tisza , t o about 1200 ] durin g which Hungary , despit e he r forma l affiliatio n t o Latin Christendom , belonge d i n several respect s t o the Byzantine Commonwealt h o f nations." 20 Byzantium and Its Neighbors, 1050—1200 In 105 6 the Empress Theodora , las t of the Macedonia n dynasty , died . Th e perio d of Macedonia n greatnes s wa s alread y shadowe d b y events darkening th e horizon . Two years earlie r th e schis m ha d opene d betwee n Eas t an d Wes t i n th e church . Ostensibly i t ha d been occasione d b y the dispute ove r th e singl e theologica l poin t of th e phras e filioque in th e Nicen e Creed ; mor e prosaically , a basi c caus e wa s the jurisdictional struggl e ove r th e sout h Italia n churc h betwee n th e papac y an d the patriarchate o f Constantinople . Venice, whic h ha d accepte d clos e tie s wit h Byzantium , an d Pis a an d Genoa , which ha d not , wer e fas t attainin g master y o f th e Mediterranea n a t th e expens e of th e Muslim s o f Nort h Africa . Th e Easter n Empir e di d no t regre t th e conse quent discomfitur e o f Islam , bu t i t wa s soo n t o suffe r a t th e hand s o f th e newl y powerful leader s o f th e tw o Italia n ports . I n 107 1 th e Byzantine s los t thei r las t outpost i n Italy—Bari—t o th e Normans . Adde d t o thes e misfortune s wa s th e appearance o f th e Selju q Turks . Havin g just entere d Baghda d an d assume d th e real power in th e caliphate, they now struc k westward . The perio d wa s one of competing Comnenu s an d Duka s families . Afte r a brief reign b y the blunt , upright , an d unpopula r genera l Isaa c Comnenus , hi s succes sor Constantine X Dukas courted popularit y by allowing the siz e and efficienc y o f the arm y t o decline . Th e nex t ruler , Romanu s I V Diogenes , sough t i n vai n t o restore th e Byzantin e fighting force s an d went dow n t o defeat a t th e hand s of th e Seljuqs a t Manziker t i n 1071 . Out of the shocked confusion tha t ensued , ther e acceded t o the throne Alexiu s

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Comnenus, relate d t o bot h Isaa c Comnenu s an d Constantin e Dukas . H e face d mountainous problems . Muc h o f Asi a Mino r wa s lost . A ne w Selju q principalit y established it s capita l a t Nicaea , 12 0 mile s fro m Constantinople ; thereupo n th e old recruitin g groun d o f Byzantin e armie s fo r centurie s disappeared . Alexiu s played of f hi s enemie s agains t on e another , trie d t o refor m th e financial system , and di d hi s bes t t o offse t hi s dependenc e o n th e grea t landlord s b y courtin g th e support o f th e hig h clergy . Alexiuss wea k predecessor s ha d begge d th e Wes t fo r hel p agains t th e Seljuqs . Now th e Crusader s came , no t s o muc h t o hel p th e Easter n Empir e a s t o recon quer th e Hol y Lan d fo r themselves . The y di d recaptur e Nicae a fo r Alexius , bu t a complex misunderstandin g le d hi m no t t o appea r a t th e sieg e o f Antioc h an d le d the Crusader s no t t o han d i t ove r t o him . Suc h incident s foreshadowe d th e mor e serious trouble s tha t la y ahea d fo r th e Byzantine s a t th e hand s o f th e "Franks. " T h e empero r neede d t o rebuil d militar y strength , an d Alexiu s exerte d himsel f mightily t o d o so . Grea t estate s calle d pronoiai (singular , pronoia) ha d bee n granted b y th e monarch s o f th e late r Macedonia n dynast y an d th e Duka s famil y but wer e no t tie d t o military service . T h e ver y importan t step s take n ar e describe d by Ostrogorsk y thus : It wa s unde r Alexiu s I Comnenu s tha t thi s syste m [o f th e pronoiai] receive d th e militar y service whic h i t retaine d unti l th e downfal l o f th e Empire . Th e pronoia r no w ha d th e obligation o f military servic e . . . [his ] estate wa s not th e privat e propert y o f the pronoiar , but was unalienable, an d t o begin wit h i t was also not heritable. Ownershi p . . . remaine d with th e state , wh o grante d i t ou t an d withhel d i t a t discretion . Bu t a s lon g a s i t wa s i n his possession , th e pronoia r was , however , th e absolut e lor d an d maste r o f th e estat e granted hi m and of the peasants settle d on it. . . . 21 Such development s seeme d t o promot e th e growt h o f feudalism , fo r purel y inter nal reasons , i n th e Byzantin e Empire . The y als o seeme d t o converge wit h paralle l developments t o th e south . As Lati n principalitie s becam e establishe d i n Syri a an d Palestine , ther e ' West ern feudalis m too k roo t i n it s pures t form. " T h e relationshi p o f vassalage , whic h characterized tha t betwee n Alexiu s an d th e Crusade r princes , "wa s soo n applie d to other prince s i n th e Byzantin e spher e an d thu s becam e a permanent featur e o f the lat e Byzantin e state. " Nevertheless , add s Ostrogorsky , "th e two-wa y contrac t between lor d an d ma n whic h wa s characteristi c o f Wester n feudalis m woul d hav e been inconceivabl e betwee n Empero r an d subjec t i n Byzantium." 2 2 T h a t i s t o say, feudalis m introduce d fro m th e to p b y a n absolut e monarc h wa s no t an d coul d not b e tru e feudalism , i n Byzantiu m o r anywher e else . T h e subsequen t Comnen i ruler s mad e som e headwa y i n climbin g ou t o f th e pit int o whic h th e Easter n Empir e ha d falle n a t Manzikert . Joh n Comnenu s (1118-43) administere d a final defea t t o th e Turki c Pechenegs , regaine d par t o f

i i 4 Freedom:

A History

southwestern Asi a Minor , an d too k Antioc h fro m th e Crusaders . Hi s successo r Manuel I was much influence d b y the ideas and customs of the West, bu t aspire d to restore th e seat of universal empir e to Byzantium. I n th e wake of the disastrous failure o f th e Secon d Crusade , h e establishe d suzeraint y ove r th e Lati n state s i n the Nea r East ; increase d Byzantin e influenc e i n Hungary ; acquire d Dalmatia , Croatia, Bosnia , an d th e distric t o f Sirmium ; an d mad e th e Serbia n zupan , Stephen Nemanya , hi s vassal . Unde r Andronicu s Comnenu s i n th e 1180 s thes e acquisitions wer e lost again, an d a n invading army of Normans fro m Sicil y struc k from Dyrrhachiu m (toda y Durazzo ) throug h t o Thessalonica , precipitatin g a revolt an d th e overthrow o f the Comneni . The Norman s wer e driven back , bu t soo n thereafter a great uprising broke out in Bulgari a tha t establishe d wha t ha s bee n calle d th e "secon d Bulgaria n empire " under Joh n an d Pete r Asen , whos e successo r an d brothe r Kaloya n secure d a crown fro m th e pope in 1204 . The new state , which had a substantial Wallachia n (Romanian) a s wel l a s Bulgaria n population , wa s t o las t unti l th e Turkis h con quest (1393). 23 In betwee n Eas t an d Wes t fo r som e tim e wer e th e Serbs . I n th e first hal f o f the elevent h centur y a smal l Serbia n state , calle d first Diocle a an d late r Zeta , appeared aroun d th e ba y of Kotor. Fo r a while it wa s a vassal stat e of the papacy . By the earl y twelft h century , however , Zet a decline d an d wa s supplante d a s th e center o f th e Serbs b y Rask a (Rascia) , whos e prince s wer e th e Gran d Zupans . Stephen Nemanya , wh o ha d bee n twic e baptize d b y Lati n an d the n Orthodo x priests, regaine d Raska n independence . Hi s so n Stephe n receive d a papal crow n (hence h e wa s calle d Stephe n th e First-Crowned ) bu t wa s persuade d b y th e king's brother, St . Sava , t o accept a n Easter n Orthodo x diade m i n a new corona tion hel d i n 1222 . Th e even t ma y be regarde d a s decisive i n castin g th e Serbia n lot with Byzantin e an d not Roma n Christianit y an d culture . Byzantine civilizatio n reache d eastwar d a s fa r a s Russia , wher e a stat e emerge d in th e nint h centur y wit h a Vikin g ("Varangian" ) elit e rulin g a Slavi c society . Such a state was first established i n th e north, aroun d Novgorod . Then , afte r th e city o f Kie v wa s conquere d fro m th e ethnicall y Turki c Khazar s (thoug h they accepted Judais m a s a religion, on e of the ver y few non-Jewis h people s in histor y to have done so) , a single real m wa s shaped b y Oleg about 882 . Severa l time s th e Russians (perhap s bette r describe d a s "Rus, " th e ethni c resul t o f th e Slavs ' gradually absorbin g thei r Vikin g overlords) raide d Constantinople . However , th e Rus also traded wit h th e Byzantine s an d serve d in thei r armies . In 87 4 th e Easter n Empir e dispatche d a n archbisho p fo r th e Christian s wh o were alread y t o be foun d i n Rus . Th e conversio n o f th e rule r wa s delaye d unti l 988. I t appear s tha t Vladimir , gran d princ e o f Kie v an d th e closes t thin g t o a single rule r th e Ru s possessed , aide d Basi l I I i n defeatin g th e rebelliou s genera l

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Bardas Phocas , an d thereafte r wa s rewarde d b y a n arrange d marriag e wit h th e emperor's siste r Anna ; a t th e sam e tim e Vladimi r becam e a Christian. 2 4 For a tim e th e Christia n principalit y o f Kieva n Ru s flourished. B y th e reig n o f Vladimir Monomak h (d . 1125 ) hi s famil y wa s linke d t o nort h Europea n royalt y through hal f a dozen marriages , an d trad e wit h th e Wes t vi a th e Kiev-Regensbur g route wa s continuous . B y th e mid-twelft h century , however , Ru s wa s n o longe r a unified stat e whos e chie f cit y wa s Kie v bu t rathe r a congeries o f principalities , o f which th e mos t importan t wer e th e tw o centerin g i n Vladimi r (whos e no t to o distant neighbor , Moscow , cam e t o overshado w it ) i n th e nort h an d Galic h i n th e west. Rus wa s o n th e expose d frontie r o f wha t wa s b y th e yea r 100 0 Christia n Europe (wit h mino r exceptions) . N o geographica l barrier s shielde d i t fro m th e successive wave s o f Asia n nomad s wh o crosse d th e Blac k Se a stepp e fro m th e east. I n 103 6 th e Turki c Pecheneg s wer e defeate d an d move d o n westwar d t o harass th e Byzantine s instea d o f th e Rus . I n th e lat e twelft h centur y a ne w horde, th e Cuman s o r Polovtsy , nearl y severe d th e link s betwee n Ru s an d Constantinople, bu t b y abou t 120 0 th e princ e o f Galic h ha d struc k the m a might y blow an d reduce d thei r power . These tw o nomadi c group s wer e abl e t o caus e muc h damag e an d disruption , but a fa r mor e dreadfu l invadin g forc e no w mad e it s appearance . T h e principali ties o f Ru s wer e no t stron g enoug h t o resist . T h e Mongol s struc k first throug h the Caucasu s i n a brie f rai d o f 1223 ; i n 124 0 the y returne d t o conque r th e principalities. T h e Golde n Horde , establishin g it s headquarter s a t Sara i (nea r present-day Volgograd) , wit h onl y a thi n uppe r laye r o f Mongols , wa s ofte n referred t o a s th e Tatars . Thei r rul e wa s t o las t unti l th e lat e fifteenth century . During th e roughl y fou r centurie s tha t precede d th e Mongo l conquest , Ru s had a curiou s mixtur e o f societa l elements : a sizabl e slav e population , a thrivin g commercial clas s i n contac t wit h neighborin g land s o n al l sides , a partiall y fre e peasantry; th e prince s ha d servitor s wh o hel d som e land s i n hereditar y tenur e and wer e linke d t o thei r overlord s b y tie s tha t coul d wel l b e terme d semifeudal , though no t identica l wit h th e relationship s o f th e uppe r classe s i n contemporar y Europe. T h e churc h soo n becam e a powerfu l institution , an d th e hig h clerg y i n particular wer e a forc e t o recko n with . Al l thos e elements , excep t th e positio n o f the church , change d dramaticall y durin g th e perio d o f Mongo l rule . In th e elevent h century , Europ e ha d achieve d a remarkabl e unity . Tak e th e case o f Harol d Hardrada , wh o i s t o b e see n successively fighting fo r hi s half-brothe r St . Olaf , kin g o f Norway ; a commande r i n th e armies o f Yaroslav , princ e o f Kiev ; arriving i n Constantinopl e wit h five hundred warrior s about 1034 ; employe d fo r nin e year s b y thre e Byzantin e emperor s . . . bac k i n Russi a during th e winte r o f 1042—3 , where h e marrie d Yaroslav' s daughte r Elizabet h . . . pro -

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claimed kin g o f Norwa y . . . finally a s prospectiv e conquero r o f England , wher e h e me t his deat h a t th e battl e o f Stamfor d Bridg e i n 1066 . . . . Th e appearanc e o f a serie s o f strikingly accurat e imitation s of contemporary Byzantin e coin type s on Danis h coin s of the mid-eleventh centur y was almos t certainl y du e t o th e arriva l i n Scandinavi a o f th e vas t treasure which Harol d Hardrad a is known to have accumulated whil e in imperial service. 25 But th e part s o f Europ e di d no t develo p evenly . T h e Wes t becam e civilize d an d grew i n wealt h an d strength , whil e th e civilized , eve n decaden t Eas t faltered — after th e en d o f th e Macedonia n dynasty—an d weakened . I n 100 0 th e Wes t wa s by fa r inferior ; b y 120 0 th e situatio n wa s reversed . A s th e warrior s o f th e Fourt h Crusade swep t int o Constantinople , th e superio r powe r o f th e Wes t wa s al l to o clearly demonstrated . T h e Greek s neve r forgo t th e sufferin g an d sham e o f 1204 . Severa l Byzantin e rulers woul d subsequentl y tr y t o patc h u p th e divisio n o f th e churches , whic h dated fro m 105 4 bu t becam e fixed an d froze n i n th e consciousnes s o f th e Eas t only wit h th e Fourt h Crusade . T h e emperors ' purpos e wa s t o obtain Wester n ai d — i n on e case , th e ai d o f th e papac y agains t th e Angevi n threat , bot h locate d i n the West ; bu t i n others , agains t th e Turks . Bu t th e popula r resentmen t i n th e Byzantine Empir e wa s to o great , an d al l suc h effort s cam e t o naught .

Islam, 1050-1200 In th e elevent h centur y th e Selju q Turk s overra n muc h o f wester n Asia , fro m Khorasan throug h Georgi a an d Armeni a t o wester n Anatoli a an d sout h t o Syria , in th e "mos t nearl y successfu l attempt' * t o restor e Musli m unity. 2 6 T h e real m then splintere d int o state s unde r variou s general s an d notable s o f th e origina l Seljuq cla n o r sept . In th e meantim e th e Fatimi d caliphat e i n Egypt , whic h too k shap e i n th e tenth century , becam e th e "mos t brillian t cente r o f Mosle m culture" 2 7 durin g a period when , t o b e sure , ther e wa s no t grea t competitio n fo r tha t title . However , in th e magnificenc e o f th e court , architecture , an d learning , Fatimi d achieve ments wer e noteworthy . I n th e twelft h centur y th e Egyptia n caliphat e weakene d and collapsed , an d wa s replace d b y th e Ayyubids . T h e founde r o f th e ne w dynast y was Sala h al-Din , know n t o Westerner s a s Saladin , wh o overra n th e Lati n Kingdom o f Jerusalem an d defeate d th e Wester n attemp t t o retak e th e are a i n th e Third Crusad e (1190—93) . During th e mid-elevent h century , Musli m Spai n wa s a "patchwor k o f pett y states." 2 8 T h e Christian s seize d thei r opportunity ; the y capture d Toled o i n 108 5 and administere d th e decisiv e blo w o f th e Reconquista i n 121 2 a t La s Nava s d e Tolosa. T h e resul t wa s tha t cultura l influence s move d powerfull y i n bot h directions .

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French cultur e penetrate d southward ; afte r th e fal l o f Toled o Mooris h influence s streamed northward . T h e receptio n o f Aristotl e an d othe r Gree k writers , me diated throug h Islam , greatl y affecte d th e ris e o f Wester n universitie s an d con tributed mightil y t o th e cultur e o f th e Hig h Middl e Age s i n wester n Europe . T h e exten t t o whic h suc h writing s an d idea s ca n b e sai d t o hav e invigorate d the cultur e o f th e Musli m countrie s is , however , modes t an d limite d i n th e ex treme. As th e powe r o f Isla m i n th e wester n Mediterranea n wa s broken , however , advances occurre d i n th e East . Write s Brockelmann : While i t wa s th e Turk s wh o b y centurie s o f persisten t maladministratio n inflicte d th e worst damag e o n th e onc e s o flourishing civilizatio n o f Ira n an d Mesopotamia , i t wa s reserved t o th e relate d trib e o f th e Tatar s o r Mongols , a t th e beginnin g o f th e thirteent h century, t o brin g tha t wor k o f destructio n t o completion . I n hi s chronicl e fo r th e yea r 617H (122 0 A.D.) , th e Ara b historia n ibn-al-Athir , i n a moving lamentation, rightl y call s their breakin g int o th e Nea r Eas t th e greates t misfortun e t o come upo n th e humanit y h e knew.29 T h e perso n wh o welde d th e Mongol s togethe r wa s Chingi s Kha n (th e title , meaning "might y king, " o f th e ma n Temujin) , wh o bega n t o subdu e hi s neighbor s in 1206 . A t tha t poin t th e Mongol s wer e pagans , tha t is , adherent s o f n o highe r religion. Thei r conques t inflicte d untol d destructio n o n th e Christia n Ru s an d the Musli m Persian s alike , whethe r o r no t the y woul d hav e hesitate d i f the y ha d been coreligionist s o f on e o r th e other . The y di d becom e Musli m i n thei r wester n territories—not i n Mongoli a proper—bu t onl y decade s later .

The West, 1200-1350 As th e twelft h centur y ended , i t looke d a s i f bot h empir e an d papac y wer e stron g contenders fo r furthe r growt h i n wealt h an d territory , bot h empero r an d pop e promising candidate s fo r th e augmentatio n i n powe r o f thei r offices . Followin g fifteen year s o f civi l war , th e puzzlin g figure o f Frederic k I I becam e emperor . T h e mos t powerfu l o f al l popes , Innocen t III , ha d playe d a n importan t rol e throughout th e civi l wa r an d emerge d wit h tw o objective s achieved : Frederick' s promise t o kee p th e Germa n an d Sicilia n crown s separate , an d fre e electio n fo r bishops i n th e churc h i n Germany . Brilliant an d comple x i n hi s menta l make-up , Frederick , wa s bot h intereste d in an d sympatheti c towar d Isla m an d th e East . H e manage d peacefull y t o restor e Jerusalem t o Christia n contro l fo r a fe w years . Southerne r i n outlook , h e wa s much mor e intereste d i n Sicil y tha n Germany . B y th e Constitution s o f Melf i (1231), h e swep t asid e muc h o f Sicilia n feudalis m t o impos e roya l absolutism ,

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partly o n Ara b models . H e the n trie d t o move i n th e directio n o f unifyin g Sicil y and north-centra l Ital y int o a singl e kingdo m a s par t o f th e empire , bu t h e die d suddenly in 1250 . Innocent II I ha d no t merel y curbe d Frederick' s ambitions ; h e ha d aspire d t o theocracy i n Christendo m an d cam e clos e t o realizing it . Th e ruler s o f England , Aragon, Portugal , Hungary , Denmark , Poland , Bulgaria , an d Serbi a acknowl edged themselve s papa l vassals . Th e Pop e systematize d hi s claim s a t th e Fourt h Lateran Counci l i n 1215 . B y preaching a crusad e agains t th e Albigensia n here tics, h e pave d th e wa y fo r hi s successor' s creatio n o f th e Inquisitio n i n orde r t o deal with al l heresy henceforth . Ironically, th e mos t lastin g resul t o f his papacy fro m th e secula r poin t o f view was tha t th e Albigensia n crusad e h e sanctione d cam e t o a larg e exten t t o b e a struggle betwee n norther n an d souther n France , i n whic h th e Capetia n king s extended thei r effectiv e contro l t o the Mediterranea n Sea ; and it was the Frenc h monarchy tha t wa s t o threate n dominatio n o f th e papac y durin g th e subsequen t period. Innocen t II I first preache d th e Fourt h Crusade ; wa s horrifie d b y it s diversion t o sac k Constantinople ; and , finally, havin g bee n persuade d (wrongly ) that a by-product o f that even t ha d been th e reunion o f the Easter n an d Wester n churches, wa s brought t o accept it as justifiable. Germany wa s now at th e crossroads. Th e so-calle d Grea t Interregnu m (1254— 73) sa w shar p struggle s betwee n th e pope s an d th e Hohenstaufens , th e las t legitimate hei r o f whic h famil y wa s kille d i n 1268 . Th e medieva l emperor s virtually cease d thei r effort s t o establis h a unifie d Germa n state . I t wa s durin g this perio d tha t importan t work s of political theor y wer e compose d t o uphold th e supremacy o f th e empir e agains t papa l claims : notabl y Marsigli o o f Padua' s Defensor Pacis (Defende r o f th e Peace ) an d Dant e Alighieri' s De Monarchia (O n Monarchy), bu t thei r mai n effec t wa s t o strengthen th e part y supportin g genera l councils within th e church, no t t o arrest th e decline of the empire. The empire' s ol d antagonis t fo r supremac y i n Europe , th e papacy , fare d n o better. A t th e beginnin g o f th e thirteent h centur y i t ha d bee n a t th e pea k o f it s power an d prestige , b y th e middl e o f th e centur y i t retaine d a good deal of both , but b y the en d secula r power s ha d gaine d enoug h t o overtake th e se e of Peter . I t was not , however , an y longe r th e empir e tha t wa s it s mai n challenger , bu t France. There wa s a significant differenc e betwee n th e clas s compositio n o f German y and it s wester n neighbors . I n Englan d an d Franc e th e socia l component s gaine d rights withi n th e sam e politica l entity . I n th e empire , however , ther e wer e fou r or five group s eac h o f whic h ha d unit s i n whic h i t wa s dominant : th e grea t secular tenants-in-chie f (th e Ascanians , duke s o f Saxony ; th e Welf s i n Bruns wick; th e Wittelsbach s i n Bavaria ; th e Premysli d king s of Bohemia); the ecclesi -

The High Middle Ages 11 9 astical prince s (archbishop s o f Mainz , Trier , an d Cologne) ; th e knights , o r Ritterschaft; and th e imperial cities, o r Reichstadte. Election of the monarch wa s first b y all tenants-in-chief, the n b y a small group of seve n "electors" ; in th e thirteent h centur y tha t developmen t wa s accompanie d by th e emergenc e o f a two-hous e diet , o r Reichstag , thoug h it s power s wer e limited an d it s function s undefined . Th e Grea t Interregnu m wa s ende d b y th e election o f Rudol f o f Habsbur g (shortene d fro m Habichtsburg , th e family' s origi nal sea t in th e Rhineland) . H e began a long process of growth; but i t wa s not th e power o f th e emperorshi p tha t gre w bu t rathe r tha t o f th e Habsbur g famil y an d the holdings it amassed, ofte n throug h dynasti c marriage . When th e las t Premysli d kin g die d i n 1306 , Alber t I acquire d th e crow n o f Bohemia fo r th e Habsburgs , temporaril y bu t foreshadowin g late r developments . During th e previou s centur y tw o change s ha d bee n significan t i n Bohemia : substantial immigratio n o f Germans an d expansio n (unde r Ottoka r I I th e Great ) and the n contraction , i n a relativel y shor t time , o f th e territor y o f th e kingdom . Germans ha d als o been invite d int o Polan d an d entere d i n larg e number s i n th e wake o f th e Mongo l invasio n o f 1241 , whic h devastate d muc h o f th e countr y without occupyin g it . Alon g wit h Germa n immigratio n wen t a growt h i n bot h Bohemian an d Polis h towns , whic h obtaine d muc h autonom y b y wa y o f th e so called Magdebur g La w enumerating urba n privileges . The Mongol s ha d als o lai d wast e t o Hungary ; ther e th e upsho t wa s no t German settlemen t bu t rathe r th e buildin g o f castle s b y feuda l lord s wh o ha d already secure d sweepin g privileges i n th e Golde n Bul l o f 1222 . Th e las t kin g of the Arpa d dynast y die d i n 1301 , an d afte r a fe w chaoti c year s a n Angevi n (member o f th e Hous e o f Anjou), Charle s I (1308-42), restore d som e semblanc e of royal power in a state whose feudal aristocrat s wer e by now well entrenched . In th e thirteent h an d fourteent h centurie s th e Habsburg s acquire d severa l territories, bu t becaus e th e famil y wa s no t governe d b y the la w of primogenitur e repeated divisio n o f th e land s amon g son s weakene d th e influenc e o f th e hous e within th e empire (the y would retur n t o the emperorshi p only in 1438) . During th e perio d o f Habsbur g eclips e i t wa s unde r Empero r Charle s I V o f the Hous e o f Luxembur g tha t th e organizatio n o f th e empir e wa s mad e mor e formal i n th e Golde n Bul l approve d b y th e Die t i n 1356 . Seve n elector s wer e specified: th e archbishop s o f Mainz , Cologne , an d Trier ; th e electo r palatin e o f the Rhine ; th e kin g o f Bohemia ; th e margrav e o f Brandenburg ; an d th e duk e o f Saxe-Wittenberg. Th e majorit y o f electors were to make the decision. I n additio n to regulatio n o f th e mod e o f election , th e Golde n Bul l introduce d primogenitur e into th e fou r la y electorate s (sinc e th e ecclesiastica l one s coul d not , o f course , produce heir s o r a t an y rat e acknowledg e them) . Greate r stabilit y thereb y cam e to the empire, bu t scarcel y greater unity .

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Eastward fro m th e empir e German s extende d bot h settlemen t an d powe r through th e growth o f two organizations. Th e Teutoni c Knights , originatin g a s a crusading order in the Holy Land, founde d Rig a in 119 8 as a military and religious center. Thei r swa y reache d ove r a large stretc h o f the Balti c coast ; they subdue d the Estonian s an d Latvian s an d fo r al l practical purpose s exterminate d th e Prus sians (whos e ver y name , belongin g t o speakers o f a Balti c no t a Germani c lan guage, the y stole). The pressur e exerte d b y th e Knight s o n Polan d an d Lithuani a le d t o th e dynastic unio n o f th e tw o state s i n 1385 , resultin g i n th e final acceptanc e o f (Catholic) Christianit y b y the Lithuanians , th e las t pagan people in Europe . Th e united Polish-Lithuania n armie s the n inflicte d a grav e defea t o n th e Knight s i n the battl e o f Tannenber g (1410) ; b y th e Secon d Peac e o f Thor n i n 146 6 th e Teutonic Orde r wa s confine d t o Eas t Prussi a an d recognize d a s a fief o f th e Polish crown . The secon d organization t o expand eastward wa s the Hanseati c League , whic h developed ou t o f German tradin g settlements o f the late r twelvet h centur y o n th e island o f Gotlan d an d elsewhere , wit h a n offshoo t i n th e Russia n cit y o f Novgo rod. Thos e settlement s sprea d t o severa l nort h Europea n citie s an d founde d a n association calle d th e Hansa at a time that cannot be precisely established, thoug h the ter m wa s first use d i n a document o f 1344 . Th e leagu e laste d effectivel y int o the seventeent h an d technicall y eve n into the nineteenth century . The situatio n wa s quit e differen t o n th e wester n border s o f th e empire . I n 1291 th e thre e Fores t Canton s (Uri , Schwyz , an d Unterwalden ) o f Switzerlan d revolted an d hencefort h maintaine d a commo n identit y an d effectiv e autonomy , though independenc e fo r th e Swis s confederation, b y that tim e much larger , wa s granted i n fac t onl y i n 149 9 an d formall y i n 1648 . Th e province s o f th e Lo w Countries (Nederland ) starte d t o develop their ow n strengt h an d loca l pride; an d Luxemburg, th e Franche Comte , an d Savoy exhibited characteristics of their own that mad e th e whole western frontie r o f Germany see m spongy . While th e empir e faile d t o demonstrate th e abilit y t o become a political uni t with a n effectiv e centra l government , bot h Englan d an d Franc e wen t o n makin g slow i f sometime s irregula r progres s i n tha t direction . I n Englan d th e repulsiv e King John wa s succeede d b y Henr y III . Hi s wa s a n importan t reig n i n Englis h constitutional history . Whil e h e rule d (1216-72 ) th e institutio n o f "Parliament " got its name , abou t 1240 , an d bega n t o take o n a shape differen t fro m th e Grea t Council tha t preceded it . The process wa s influence d b y th e growt h o f nationa l consciousness , stimu lated b y resentmen t agains t financial an d othe r sort s o f involvemen t i n Franc e and agains t papa l exaction s tha t wer e fel t t o be burdensome. Suc h feeling s le d t o the Provision s o f Oxfor d (1258) , b y whic h th e baron s undertoo k i n essenc e t o

The High Middle Ages 12 1 restore Magn a Carta , wit h th e suppor t o f many clerg y an d townsmen . However , the knight s wer e dissatisfied , believin g themselve s t o be lef t out . The y manage d to mobilize som e of the younger barons , clergy , an d townsme n t o demand furthe r reform, i n a coalition whos e leade r wa s Simo n d e Montfort . (Hi s fathe r ha d le d the crusad e agains t th e Albigensian s i n France. ) Th e summonin g of tw o knight s from eac h shir e an d tw o townsme n fro m eac h borough , i n "d e Montfort' s parlia ment" (1265) , i s counte d a n importan t mileston e i n Britis h parliamentar y evolu tion. Henry's successor , Edwar d I (1272-1307) , ha s been calle d "a n abl e rule r an d great legislator , fit t o rank wit h Frederic k II , Loui s IX, an d Alfonso th e Wise." 30 Parliament wa s stil l a n administrativ e an d judicial orga n a s much a s a legislative one, an d it s compositio n an d power s remaine d uncertain . Bu t th e crow n wa s coming to treat it with cautio n i f not respect . Edwar d I consulted th e knights an d burgesses, a s well as the nobles, i n Parliamen t an d out of it. In 129 8 h e summone d th e "Mode l Parliament, " th e summon s t o whic h in cluded th e fame d phras e quod omnes tangit ah omnibus approbetur (le t tha t whic h touches al l b e approve d b y all) . Th e resul t wa s th e Confirmatio n o f Charters , which adde d t o th e provision s o f Magn a Cart a th e stipulatio n tha t n o nonfeuda l levy coul d b e impose d b y th e kin g withou t parliamentar y approval . Th e grea t common-law court s acquire d muc h cleare r identities : th e courts of King's Bench , Exchequer, Commo n Pleas , an d th e highe r King' s Council . Th e commo n la w itself cam e t o b e recorded , systematized , an d transmitte d i n th e ne w Inn s o f Court. A s this process unfolded, Roma n law was largely abandoned. I n summary , the formation o f the Englis h "constitution " wa s well under way . Edward I subdue d a Wels h uprisin g an d mad e hi s so n th e first Princ e o f Wales; he was in fact bor n in Caernarfon i n 1284 . There an d elsewhere in Wale s Edward I built roya l castle s t o buttress hi s rule. 31 I t i s one of th e ver y fe w case s where castle s d o no t signif y th e powe r o f feuda l lord s an d th e pas t presenc e o f feudalism: castle s ar e no t t o be foun d i n Russia , China , o r India . (The y d o exist in Japan.) In Scotlan d th e outcom e wa s quit e different . Whe n thre e me n claime d th e Scottish crown , Edwar d wa s called upo n t o arbitrate bu t ende d u p by fighting for the possessio n o f th e country . H e manage d t o conquer Scotland . However , afte r his deat h Robert Bruc e smashe d a n Englis h arm y a t Bannockbur n (1314 ) an d thereby secure d Scottis h independenc e fo r thre e mor e centuries . I n th e thir teenth century , th e Anglo-Norman colon y in eastern Irelan d too k root, expanded , and prospered. Th e Iris h clan s in th e west of the island were little affected . Under Edwar d I I dissatisfactio n wit h th e kin g an d hi s favorite , th e Gasco n knight Pier s Gaveston, le d to baronial succes s in forcing on the crown th e Refor m Ordinances. The y require d consen t o f th e "ordainers " t o roya l appointments ,

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declarations o f war , an d eve n trave l fro m th e kingdom . Th e Ordinance s di d no t last; the y wer e repealed , bu t th e kin g himsel f wa s depose d an d the n kille d b y a cabal organized by his queen, daughte r o f Philip IV of France . During th e reign s o f bot h Edwar d I I an d III , Parliamen t me t severa l times , gaining influenc e littl e b y littl e ove r taxatio n an d appointments . I t wa s no t necessarily o f benefi t t o th e commo n people ; i n th e 1330 s th e majo r burde n o f royal taxatio n bega n t o fal l mos t heavil y o n th e peasantry , whic h ha d previousl y enjoyed exemptio n fro m taxes. 32 In th e 1340s , th e division of Parliament int o th e House o f Common s an d th e Hous e o f Lord s too k form . Littl e parliamentar y hostility wa s show n agains t Edwar d III , i n contras t t o his predecessor. Th e kin g was popular, an d th e openin g stage s of the Hundre d Years ' War mad e hi m mor e so. The Frenc h monarch y wa s experiencin g no t to o dissimila r development . A t the battl e o f Bouvines , i n Flanders , Phili p I I Augustu s (1180-1223 ) defeate d John o f Englan d an d allie s o f his , includin g severa l feuda l lord s o f norther n France. The n an d earlie r h e wa s abl e t o increase b y threefol d th e roya l domain . It wa s easie r fo r hi m t o do s o because i n Franc e ther e wa s n o custo m (a s ther e was i n Germany ) tha t escheate d fiefs had t o be granted t o new tenants , an d thu s the kin g could la y hands o n them . I n thi s wa y he gained muc h lan d i n th e nort h and als o i n Anjou , whos e grea t vassa l famil y starte d wit h holding s greate r tha n his own. In a reign ofte n compare d wit h tha t o f England' s Henr y II I (hi s almos t exact contemporary), St . Loui s I X (1226-70), wh o was canonized befor e th e end of the century, cam e t o enjo y a reputatio n a s th e idea l medieva l king . T o b e sure , h e benefited b y th e fac t tha t hi s predecessor s ha d reduce d a serie s o f prou d an d powerful vassal s an d bequeathe d t o hi m a much-strengthene d real m an d office . But h e earne d widesprea d respec t b y his just an d uprigh t character . H e strov e to extend France' s boundaries ; b y patien t diplomac y h e fixed th e frontie r wit h Aragon a t th e Pyrenees , thoug h h e wa s unabl e t o en d Henr y II I o f England' s ducal titl e over Guienne (aroun d Bordeaux) . During hi s reig n th e Frenc h Curi a Regi s or roya l cour t (i n th e judicial sense ) acquired mor e powe r an d specialize d section s o f i t too k form : i n particular , th e professional lawyer s o f th e Parlemen t o f Pari s an d th e financial official s o f th e Chambre de s Compte s (t o use a couple of later designations) . Loui s sough t peac e in Europ e bu t ardentl y undertoo k tw o crusade s t o the Hol y Land ; o n th e secon d he die d e n route , i n Tunis . Hi s successor s wer e les s nobl e an d les s saintly . Nevertheless they wer e abl e t o retain a n importan t qualit y h e ha d bequeathe d t o them—that o f servin g a s a foca l poin t o f loyalty : "henceforwar d Frenchme n looked t o the kin g for justice, fo r reform , an d for safety." 33 The increas e i n siz e of the roya l domain continued , an d decad e by decade th e

The High Middle Ages 12 3 kingdom o f Franc e becam e mor e obviousl y th e leadin g continenta l power . Thu s when Phili p I V the Fai r clashe d wit h th e papac y i n th e perso n o f Boniface VIII , the latte r face d a formidable adversar y indeed . Th e Frenc h monarc h reduce d th e role o f cleric s an d increase d tha t o f la y lawyer s i n hi s administration , bu t sup ported th e hig h clerg y of the Frenc h churc h a s they too k step s t o claim ecclesias tical autonom y or "Gallica n liberties " that woul d attrac t mor e attention later . As th e demand s o f roya l governmen t mounte d i n Franc e (a s wel l a s othe r European states) , Phili p looke d t o th e churc h fo r assistance . Clerica l subsidie s had bee n grante d earlie r ostensibl y fo r th e suppor t o f crusades . Th e pop e no w balked a t approving any more. Boniface , apparentl y believin g he stil l had as much power a s Innocen t III , flung dow n th e gauntle t wit h th e decreta l Clericis laicos (1296), forbiddin g al l levie s b y la y ruler s o n th e clerg y unles s authorize d b y th e pope. Phili p retaliate d wit h variou s financial an d mercantil e prohibitions , an d other ruler s did likewise . Nevertheless th e conflict seeme d t o center o n the relation betwee n Franc e an d Rome. Bonifac e no w lifte d th e leve l o f papa l clai m i n th e tempora l aren a t o th e highest poin t eve r reache d befor e o r sinc e wit h Unam sanctam (1302), a bul l i n which th e ol d doctrin e o f th e tw o sword s wa s give n a twist . Bot h sword s wer e said t o belon g t o th e papacy : th e spiritua l sword , obviously , an d th e tempora l sword t o be exercised b y monarchs bu t onl y under papa l supervision . Philip's respons e wa s t o resor t t o force . Hi s chie f advise r invade d th e papa l palace an d woul d hav e abducte d th e pop e i f th e townsme n o f Anagn i ha d no t frustrated hi s plan . Bu t Bonifac e die d shortly afterward , partl y a s a result o f th e scandalous scene . Soo n a Frenc h pop e wa s elected , Clemen t V , wh o too k u p residence i n Avigno n (i n present-da y Franc e bu t no t the n i n Frenc h territory ) i n 1309. Th e papac y woul d remai n there , unde r th e dominatio n o f th e Frenc h monarchy, unti l 1376 , i n wha t wa s calle d b y many th e "Babylonia n captivity " of the popes. Philip th e Fai r wa s a s ruthles s wit h othe r Frenchme n a s h e wa s wit h th e papacy. H e determined t o destroy th e Knight s Templar , whos e wealth lure d hi m and whos e forc e o f arme d knight s h e feared , an d di d s o largely throug h confes sions extorted b y torture an d deceit . Hi s nee d fo r mone y t o pay for hi s wars wit h England an d Flander s compelle d hi m t o tur n t o th e Estate s General . Althoug h delegates o f th e noble s an d clerg y ha d bee n occasionall y summoned i n individua l provinces durin g th e thirteent h century , an d townsme n ha d bee n calle d togethe r by St . Loui s IX , t o ratif y taxe s o r t o consul t o n othe r matters , th e assembl y o f 1302 seem s t o hav e bee n th e first "undoubte d ancesto r o f th e late r States General." 34 The Frenc h estates , however , di d no t develop the strengt h suc h bodie s gaine d in Englan d an d severa l othe r countries . Th e powe r an d prestige o f the monarch y

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were great , define d b y the king' s legist s an d buttressed b y the traditio n o f loyalty to th e crown , an d th e powe r o f th e grea t vassal s ha d bee n broken b y Philip' s predecessors. A t th e king' s death , Franc e ha d som e thirt y division s o f th e roya l domain, i n whic h th e roya l authorit y wa s represente d b y appointe d officials — bailiffs i n th e north , seneschal s i n th e south—i n tur n supervise d b y the centra l bureaucracy. Phili p th e Fai r als o manage d t o anne x Gascony , an d h e mad e a n alliance (1295 ) with Scotlan d tha t woul d persist fo r centuries ; however, h e faile d in his attempts t o seize Guienne an d to make good his annexation o f Flanders. The mal e lin e o f th e Capets , havin g produced a n uninterrupte d serie s of son s since 987 , faile d i n 1328 . Clearl y n o woman coul d hav e th e throne ; th e questio n was raised, however , whethe r a woman coul d transmit t o her so n the righ t t o the throne. A n assembl y o f feuda l lord s wa s aske d th e questio n an d answere d i n th e negative; tha t rul e wa s late r terme d th e "Sali c law " fro m th e ancien t provisio n among the Salia n Frank s tha t a woman coul d no t inherit land . Applicatio n o f th e rule i n 132 8 meant confermen t o f the kingshi p on th e so n of Philip IV' s brother , the count of Valois, an d Phili p VI acceded t o the throne . His real m stil l di d no t includ e Brittan y o r Burgundy , o r hi s uncle' s misse d objectives, Flander s an d Guienne . Th e Englis h crow n coul d coun t o n th e ai d of the latte r two , i n cas e of conflict, an d on e soo n erupted . Edwar d II I wa s th e so n of Philip IV' s daughter, wh o had been th e wif e o f Edwar d II . O n th e strengt h of that relationship , h e declare d himsel f kin g of France , flouting th e Sali c la w an d renouncing hi s vassalag e o f Guienne . Phili p V I thereupo n declare d Guienn e forfeit t o the Frenc h crown . The wa r tha t no w bega n i n 133 7 wa s th e first i n a serie s o f conflict s tha t would ear n th e nam e o f th e Hundre d Years ' War , thoug h i t woul d las t eve n longer tha n that , unti l 1453 . Th e issu e wa s England' s possession s o n th e main land territor y o f France , whic h th e Englis h king s wer e determine d t o kee p an d the Frenc h king s wer e determine d t o take . I n th e initia l stage s o f th e wa r th e English bowme n slaughtere d th e Frenc h knight s a t th e battl e o f Crec y (1346) , and Edwar d II I capture d Calais , a n importan t militar y an d commercia l bas e fo r over two centuries. During thes e year s France , afte r a spectacula r ris e i n wealt h an d territor y under roya l leadership , entere d a perio d o f decline . Th e epidemi c o f buboni c plague called the Black Death, whic h struc k in 134 8 and may finally have reduced the population o f northern Europ e by a third, probabl y hit Franc e n o harder tha n its adversary but nevertheles s seeme d t o many Frenchme n t o portend doom. In th e Iberia n peninsul a th e reconques t continue d wit h certai n interestin g political developments . Afte r th e grea t victor y o f 121 2 a t La s Nava s d e Tolosa , the Christian s ha d th e upper hand . Unde r St . Ferdinan d II I (kin g and saint , lik e Louis I X o f France) , th e kingdom s o f Leo n an d Castil e wer e finally unite d fo r

The High Middle Ages 12 5 good (1230) . Ferdinan d wa s stron g enoug h t o retak e Cordov a (1236 ) an d Sevill e (1248), hi s conquests reachin g the se a of Cadiz for th e first time . Meanwhile th e king s o f Portuga l wer e clearin g ou t th e Algarve . Afte r th e Moorish stat e o f Murci a wa s conquere d b y Arago n an d annexe d b y Castil e i n 1266, onl y on e fragmen t o f th e peninsul a remaine d t o Islam . Th e mino r poten tate, ibn-Nasr , ha d accepte d vassalag e t o th e Castilia n kin g an d eve n len t hi m help in th e captur e o f Seville from hi s fellow Moors . A s a result h e had been abl e to establis h a kingdo m i n Granada . I t wa s t o surviv e unti l 1492— a smal l stat e both riche r an d more cultured tha n it s Christian neighbors—throug h th e skil l of the Nasrid s i n playing a sharp diplomatic game. King Alfons o X th e Wis e (1252-84 ) wa s indee d a culture d man , codifie r o f law i n th e collectio n terme d Las Siete Partidas, historian , an d poet , bu t h e wa s clumsy a s a ruler. H e disputed th e Algarv e wit h hi s contemporar y Alfons o II I o f Portugal; a treat y o f 126 7 finally fixed th e boundar y wit h Castil e tha t prove d permanent. H e wasted effor t i n seekin g to make good his election a s Holy Roma n Emperor i n 125 7 fo r seventee n year s thereafter , an d bungle d arrangement s fo r the successio n tha t woul d occu r a t hi s death . Th e grea t noble s o f Castil e wer e strong enough t o begin a struggle fo r influenc e durin g hi s reig n tha t woul d g o on long afterward . However, Alfons o X' s year s a s kin g witnesse d anothe r sor t o f beginning. Th e idea of the stat e a s a public institution reappeared , owin g to the reviva l of Roma n law an d th e rediscover y o f Aristotle' s Politics; i n th e Siete Partidas th e idea l o f absolute monarch y wa s se t fort h i n th e notio n o f th e kin g a s God' s vica r o n earth. 35 Thoug h Alfons o th e Wis e wa s abl e t o do little o r nothin g t o realiz e th e ideal, an d b y hi s concession s t o a nobilit y tha t n o longe r feare d Moor s an d fel t strong enoug h t o challenge monarch s actuall y weakene d th e throne , subsequen t rulers buil t o n suc h lega l foundations . Roma n la w increase d i n influence , an d when Alfons o X I promulgate d th e Ordenamiento de Alcald, in 1348 , i t wa s se curely rooted . In th e othe r Christia n state s o f th e peninsul a th e Cortes , o r estates , als o gained muc h powe r a t th e expens e o f th e respectiv e monarchies . Th e Corte s o f Portugal, i n whic h afte r 125 4 townsme n cam e t o join clerg y an d nobles , di d s o under Alfons o III . Catalonia , unite d wit h Arago n i n 1137 , wa s th e onl y Iberia n state i n whic h feudalis m becam e deepl y entrenched . Th e Usage s o f Barcelona , promulgated b y Count Ramo n Berengue r I , 1035-76 , remaine d th e basi c law fo r this multipl e real m i n th e thirteent h century . I n a long reign (1213—76 ) James I the Conquero r wo n th e Baleari c Island s i n th e Mediterranea n an d trie d t o establish a hold in Nort h Africa . H e also fixed a lasting frontier, a t th e Pyrenees , by working out what wa s in effec t a n exchang e of lands with Franc e in 1258 . There wa s a Corte s fo r eac h o f th e thre e lands : Aragon , Catalonia , an d

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Valencia (t o the south) ; the kin g sometimes convene d al l three together . I n 128 3 Peter II I pledge d t o conven e th e Cort s (Catala n spelling ) annuall y an d t o mak e no general la w withou t it s consent . Suc h promise s wer e often broken , bu t coul d be appeale d t o an d cite d b y thos e seekin g t o limi t monarchica l power . Aroun d 1300 a noteworthy official, calle d the Justicia Mayor, mad e his appearance; he was appointed b y th e kin g fro m amon g th e lesse r noble s an d wa s entruste d wit h th e supervision o f the entir e syste m of the courts , th e executio n o f the laws , an d th e preservation o f th e right s o f al l citizens . Jame s I I proclaime d th e indissolubl e union o f Aragon, Catalonia , an d Valenci a i n 1319 , an d ther e wer e no w onl y tw o large states (Navarr e an d Granad a wer e small) that woul d constitute th e Spai n of the future : Arago n an d Castile . Th e Iberia n lega l and constitutional developmen t was as rapid as anywhere in Europe; in particular, th e assemblies of the peninsul a acquired th e righ t t o approv e taxes , whic h wa s th e ke y t o th e growt h o f parlia ments in th e West . In Scandinavi a king s an d noble s continue d t o struggle . Valdema r I I th e Con queror (1202—41 ) conducted crusadin g expedition s int o Estonia, Livonia , an d th e southern coas t o f th e Balti c o n behal f o f Denmar k bu t coul d no t hol d thos e territories. I n orde r t o engage in suc h adventure s th e king s neede d warriors , an d rewarded the m wit h fiefs. Th e resultin g noble s gre w stronger ; th e hig h clerg y resisted roya l effort s t o ta x them . I n consequenc e a charte r ofte n compare d t o Magna Cart a was extorted i n 128 2 from Eri c V dipping, th e Danis h king , whic h called fo r th e Ho f t o b e convene d yearly , enacte d protection s fo r noble s an d clerics, prohibite d imprisonmen t o n suspicio n only , an d subordinate d th e mon arch t o the law. The Hanseati c towns 36 tha t dominate d Balti c trad e becam e influentia l i n Danish politics , an d man y Germa n noble s wer e settle d i n roya l fortresses . Th e counts o f Holstei n gaine d muc h powe r an d i n effec t rule d Denmar k i n th e 1330 s when ther e wa s n o king . Th e Danis h noble s profite d b y th e weaknes s o f th e monarchy. I n 134 0 Valdema r I V accede d an d di d hi s bes t t o regai n ascendanc y over th e German s "and th e Danis h clerg y an d nobility . Unfortunatel y fo r th e throne, h e was forced t o yield Scani a (southernmos t Sweden ) an d Estoni a (t o th e Teutonic Knights ) an d i n th e Peac e o f Stralsun d (1370 ) t o accept Hanseati c predominance i n th e Baltic. In Swede n a s in Denmar k th e monarch y wa s not clearly hereditar y during th e period, retainin g a substantia l electiv e component . Althoug h Birge r Jar l o f th e powerful Folkun g family mad e his so n king in 125 0 and curbed th e magnates, hi s achievements did not last. I n th e 1280s , a hereditary nobility was created, exemp t from taxatio n a s wa s soo n als o churc h property . I n 131 8 th e magnate s wer e strong enoug h t o seiz e contro l o f Swede n an d instal l a s kin g th e infan t Magnu s VII Smek . Th e privilege s o f th e churc h an d th e nobilit y wer e confirmed ; th e

The High Middle Ages i2 7 monarch wa s forbidde n t o rais e taxe s withou t approva l o f th e nationa l counci l and the provincial assemblies . I n abou t 135 0 a new law code provided for electio n of th e king , thoug h preferenc e wa s t o b e give n t o roya l sons , an d Germa n merchants i n th e town s were guaranteed certai n privileges . In Norwa y Haako n I V becam e kin g in 121 7 followin g a period o f turbulence , and a Golden Ag e began fo r Norway . Haako n I V create d a chancellorship an d a royal council . I n 126 0 a ne w la w o f successio n wa s adopte d b y th e Hovingmot e that confirme d inheritanc e o f the crow n b y the king s eldes t son ; in 127 6 Haakon IV's so n Magnu s V I acquire d th e sobrique t "Lawmender " b y replacin g th e pro vincial laws with a common nationa l code. By this tim e th e clas s of thralls ha d virtually disappeared. Th e aristocrac y ha d lost no t onl y thei r quasi-slav e labo r bu t th e incom e fro m muc h o f th e commerc e that had yielded them profit, fo r it had passed into the hands of the Hansa. Unde r Haakon V , wh o accede d t o th e thron e i n 1299 , th e monarch y consolidate d it s ascendancy over the nobility . The Norwegia n stat e ha d secure d it s hol d o n Icelan d an d Greenland , bu t Haakon's transfe r o f th e capita l fro m Berge n t o Osl o signale d a shif t o f interes t away fro m th e wes t an d towar d th e south . I n 130 0 Norwa y wa s uniqu e amon g the thre e Scandinavia n kingdom s i n it s stron g monarchy , bu t it s favorabl e posi tion di d no t las t long . Th e Blac k Death , whic h kille d nearl y hal f th e population , was a t leas t partl y responsible , leavin g official an d ecclesiastica l post s t o be filled by Dane s an d Swedes , th e mor e easily ; becaus e Magnu s Sme k wa s kin g of bot h Sweden an d Norwa y fro m 131 9 to 1355. Byzantium and Islam, 1200—1350 From 120 4 to 126 1 the Frank s rule d i n Constantinople . However , th e res t o f th e former Byzantin e dominions were parceled ou t amon g Crusaders, Venetians , an d Byzantine notables . Th e Greek s establishe d themselve s i n th e Empir e of Nicaea , the Despotat e o f Epirus , an d th e Empir e o f Trebizond , whil e th e Latin s se t u p small state s i n othe r part s o f th e peninsula . Feuda l institution s wer e implante d in th e area around Athens, i n th e Peloponnesus , an d elsewhere; they did not tak e root. Fro m hi s bas e i n Nicae a Michae l Paleologu s mounte d a n effor t o f recon quest tha t succeede d i n 1261 , and Constantinopl e wa s once agai n th e Byzantin e capital. Michael's victor y wa s partl y du e t o a n allianc e wit h th e Bulgarians . Thei r Second Empir e reache d th e peak of its development unde r John Ase n (1218-41) , but i n th e late r thirteent h centur y it s declin e wa s apparent . B y th e battl e o f Velbuzhd i n 133 0 the Serb s attaine d ascendanc y ove r th e Bulgars , an d th e rule r in th e succeedin g decades, Stephe n Dusan , carrie d medieva l Serbi a t o its zenith .

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We kno w o f nationa l assemblie s (sabori) amon g th e Serb s ove r severa l centuries , but the y degenerate d fro m a genuinel y consultativ e institutio n t o a powerless on e with brillian t ceremonia l unde r Dusan , i n clos e imitatio n o f Byzantin e autoc 37

racy. T h e Byzantin e Empir e wa s restore d bu t wit h bot h politica l an d geographica l limitations. T h e ris e o f th e nobilit y le d t o n o lega l curb s o n th e monarc h bu t resulted i n restriction s o n hi s freedo m o f action . I n Michae l VIII' s reig n ther e began th e transformatio n o f th e pronoia fro m a n inalienabl e an d conditiona l holding t o a hereditar y one . I n th e word s o f Obolensky , b y th e lat e elevent h century, in plac e o f th e fre e peasant-soldie r commune , tw o type s o f lan d holdin g ha d becom e prevalent i n th e Byzantin e Empire : on th e one hand th e large hereditary estat e of the civil or militar y magnat e and , o n th e other , crow n propert y hande d ou t t o eminent Byzantine s or foreigner s t o administer , usuall y i n retur n fo r militar y service , fre e o f stat e taxatio n [the latter wa s th e pronoia system] . Th e gran t of pronoia differed fro m a gift o f land o f th e first typ e i n tha t i t wa s hel d fo r a limite d time , usuall y unti l th e recipient' s death , an d was, unti l [c . 1250] , inalienable . Fro m th e tim e o f Michae l VIII , however , pronoiarioi were allowe d t o bequeath thei r estate s an d revenue s t o their heirs , thoug h the y coul d no t be otherwise alienated , an d th e obligation o f service remained. 38 Obolensky goe s o n t o point ou t tha t th e hereditabl e pronoia "closel y resemble s th e West Europea n fief," an d tha t th e doubl e relationshi p o f lan d tenur e t o militar y service an d o f th e landlor d t o th e peasant s (paroikoi) wa s th e basi s fo r th e growt h in powe r o f th e lande d militar y aristocrac y tha t wa s t o b e s o importan t i n th e ensuing period . Comparable development s occurre d i n th e Serbi a o f Dusan , whic h cam e t o extend eastwar d a s fa r a s Macedoni a i n th e nort h an d th e Gul f o f Patra s i n th e south, s o tha t th e Serbia n monarc h coul d describ e himsel f wit h partia l justifica tion a s 'lor d o f almos t th e whol e Roma n Empire. " T h e Byzantin e emperor , Michael VIII , ha d t o conten t himsel f wit h gainin g a foothold i n th e Peloponnesu s around Mistra , whic h becam e a n importan t cente r o f lat e Byzantin e cultur e an d expanded afte r hi s death . Fearing th e prospec t o f renewe d assaul t fro m th e Wes t i n th e perso n o f Charles o f Anjou , kin g o f Sicily , Michae l agree d t o reunio n o f th e Easter n an d Western churche s unde r papa l leadershi p a t th e Counci l o f Lyo n (1274) , bu t fe w of hi s subject s wer e read y t o follo w hi s path . W h a t save d hi m fro m th e Angevi n danger wa s th e grea t uprisin g agains t Charles , calle d th e Sicilia n Vesper s (1282) , which wa s followe d b y Aragones e acquisitio n o f th e island , whil e Charle s re tained Naple s wit h grea t difficulty . Michael ha d achieve d muc h b y wardin g of f threat s t o th e restore d empire , bu t he als o straine d th e resource s availabl e b y usin g larg e mercenar y forces . H e wa s

The High Middle Ages 12

9

unable t o regai n th e los t territorie s nort h an d sout h i n th e Gree k peninsula , an d his successor s manage d t o d o n o better . Andronicu s I I (1282—1328) , wh o repu diated th e ecclesiastica l unio n wit h Rome , face d shar p financial constraint s an d dealt wit h the m b y reducin g th e siz e o f th e arm y an d makin g th e decisio n t o rel y on th e nav y o f Genoa , whic h ha d replace d Venic e a s Byzantin e ally . He neede d al l th e arme d force s h e coul d muster , fo r a ne w an d powerfu l enemy ha d mad e it s appearance : th e Ottoma n Turk s (fro m Osman , th e founde r of th e dynasty) , wh o ha d overru n almos t al l o f Asi a Minor . B y 130 0 the y ha d seized al l bu t a fe w Byzantin e outposts . Andronicu s hire d a forc e o f Catalan s t o hold of f th e Turks . A t first the y wo n victorie s bu t the n turne d t o pillag e amon g the Byzantine s an d ha d t o b e gotte n ri d of . T h e emperor' s grandson , Andronicu s III, becam e hi s riva l an d finally hi s successor . H e wa s helples s t o sto p th e continuing advanc e o f th e Ottoman s i n Asi a Minor , an d coul d d o no better agains t the Serb s i n Macedonia . During hi s reign , Joh n Cantacuzen e wa s th e chie f ministe r an d th e rea l ruler . When Andronicu s died , a s Joh n V I h e becam e coemperor , wit h th e suppor t o f the magnate s o f Thrace , an d the n sol e empero r fro m 134 7 t o 1354 . Face d wit h an offensiv e o f th e Serbs , h e calle d i n th e Ottoma n Turk s t o hel p him . The y di d manage t o narrowl y defea t th e Serbs , bu t th e mai n thin g the y accomplishe d wa s to establis h themselve s i n Europe , nea r Gallipoli , i n 1352 , a foothol d the y wer e to expan d i n a fatefu l manner . T h e Serb s unde r Stephe n Dusa n no w capture d Adrianople an d advance d towar d th e capital . Providentiall y fo r th e Byzantines , he die d suddenly , an d th e Serbia n Empir e (s o proclaime d i n 1345 ) immediatel y fell apart . At almos t th e sam e momen t th e legitimat e Paleologu s emperor , Joh n V , re gained Constantinople , drivin g ou t Cantacuzene . T h e Paleologu s dynast y woul d remain t o th e en d o f th e empire . Bu t th e financial syste m an d th e machiner y o f administration o f Byzantiu m ha d irretrievabl y collapsed . I t ha d bee n reduce d t o a Turkish dependency . Georg e Ostrogorsk y writes : At th e heigh t o f it s powe r Byzantin e absolutis m ha d buil t u p a powerfu l bureaucrati c system on th e ruins of the old municipal administratio n an d urba n lif e ha d been compelle d to come unde r th e yok e of it s all-embracin g centralization . Whe n th e centra l powe r gre w weaker, loca l influenc e ha d begu n t o gai n groun d onc e mor e an d independen t tow n lif e seemed t o reviv e again . Thi s reviva l o f urba n self-governmen t wa s no t du e t o th e rise o f new social forces, bu t rathe r t o the weakening of the central power which was undermine d by feudal elements ; town life in Byzantium therefor e produce d in the late Byzantine period no flourishing clas s o f merchant s an d craftsmen , a s i n th e West , bu t wa s dominate d b y the local landed aristocracy. 39 No partnershi p o f rura l lord s an d urba n burgesse s coul d b e forge d t o sav e Byzantium.

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The tie s o f th e Byzantin e Empir e wit h it s northernmos t Orthodo x brothe r state, Russia , wer e severel y weakene d b y th e Mongo l conques t o f Russi a itsel f (1240) an d b y th e Frankis h conques t o f Constantinopl e (1204) . Th e princ e o f Novgorod (later , o f Vladimir), Alexande r Nevsky , submitte d t o the Mongol s afte r holding th e Swede s an d Teutoni c Knight s a t ba y o n th e west . I n th e divide d Russian principalitie s som e plan s wer e hatche d t o driv e ou t th e Mongol s (o r Tatars), bu t they came to nothing. Th e ol d center o f Kiev was devastated . Newer center s aros e i n th e north , amon g whic h firs t Vladimi r an d the n Moscow becam e important . Moscow' s grand prince , Iva n I Kalit a ("Moneybags" ) (d. 1341) , came to be so trusted b y the Tatars tha t he was charged with collectio n of th e tribut e fro m hi s fello w princes , an d hi s successor s too k car e t o continu e the sam e policy. I n thi s way the principality o f Moscow came to dominate centra l Russia an d asser t religiou s an d politica l continuit y wit h Kiev , no t leas t becaus e the hea d of the Orthodo x churc h o f Russia, th e metropolitan, ha d com e to reside in Mosco w city . Meanwhil e th e smal l stat e o f Lithuani a ha d expande d fro m it s center, Wilno , int o the Dniepe r valley and, b y 1362 , all the way to the Black Sea . Islam ha d absorbe d it s Mongo l conquerors . A s they swep t acros s Asi a int o Europe an d th e moribund Caliphate , they were not Muslim s but pagans . Bu t th e western Mongol s soo n accepted th e Islami c religion . Berk e (d. 1266) , khan of the Golden Horde , converted , an d his Turkicized subject s either preceded or followe d him. Hulegii , th e Mongo l conquero r o f Baghda d an d final destroye r o f th e Cali phate (1258) , wa s marrie d t o a Christia n an d ha d man y Nestorian s i n hi s entourage, bu t onl y unde r Ghaza n Kha n (d . 1304 ) di d th e Mongo l dynast y o f Persia, th e so-calle d Il-Khans , adop t Isla m i n it s Sunn i variant . Hi s brothe r an d successor, Uljait u Khodabanda , however , switche d t o Shi'it e teaching , an d Ira n would remai n th e chie f cente r o f Shi' a Islam . Th e Chaghata y khanate , thir d o f the majo r state s t o b e establishe d i n Musli m territory , wa s als o chronologicall y third t o accep t Islam ; bu t a t th e sam e tim e (aroun d 1350 ) al l thre e bega n t o disintegrate, an d soo n (1368) the Mongol s were overthrown i n Chin a a s well. 40 In 126 0 th e Mongo l armie s attacke d th e Mamluk s nea r Moun t Gilbo a i n Palestine; fo r th e ver y first time , th e Mongol s wer e defeated . Th e cor e o f th e Mamluks consiste d o f fugitiv e Cuman s (o r Polovtsy ) fro m th e Europea n steppe , first havin g serve d a s bodyguards o f th e Ayyubid s an d the n i n 125 0 having take n over direc t rul e i n Egypt . The y proceede d nominall y t o reviv e th e Caliphat e i n Cairo i n th e perso n o f a descendant o f th e Abbasids . I t wa s the y wh o capture d the las t o f th e Crusade r state s o n th e Nea r Easter n mainland ; th e islan d o f Cyprus wa s stil l a feudal monarchy , wher e th e "mos t feuda l o f legal codes, " th e so-called Assize s o f Jerusalem , wa s composed. 41 Th e las t Christia n cit y o f th e whole region , Acre , fel l t o the Mamluk s i n 1291 . They remaine d i n powe r unti l 1517, whe n th e Ottoma n Turk s too k Cairo.

The High Middle Ages 13 1

The Heritage of the High Middle Ages Islam continue d t o b e capabl e o f hig h cultura l achievement , bu t th e successo r states to the defunct (thoug h ostensibly revived ) Caliphate were minor despotism s unrelieved b y an y nascen t pluralit y o f institutions . Th e Crusades , leavin g asid e the unquestionabl e sincerit y o f th e religiou s motive s o f man y o f thei r leader s a s well a s followers , wer e earl y colonia l venture s o f th e burgeonin g West . T o th e extent tha t the y resulte d fro m worldl y ambition s and greed , they were marked by self-serving, fratricida l actions . An d ye t they partially an d temporaril y implante d in th e worl d o f mainlan d Asi a feuda l institution s tha t migh t hav e ha d importan t consequences an d nurture d th e beginnings of freedom . By 130 0 al l tha t wa s bu t a memory . B y 1350 , i n contrast , th e feuda l institu tions o f wester n Europ e wer e weakenin g bu t wer e givin g wa y no t t o despotis m but t o an earl y stat e o f parliamentary development , accompanie d b y the systema tization o f law—customary , Roman , o r mixed—an d th e codificatio n o f privi leges. Fro m Norwa y t o Castile, Franc e t o Hungary, monarch s an d lande d aristo crats pulle d an d tugge d an d sometime s kille d eac h othe r bu t mor e characteristicall y clustered, thre w dow n gauntlets , an d issue d demand s befor e settlin g o n som e new lega l arrangement . Townsme n increasingl y too k a hand. Socia l classe s wer e taking shap e tha t coul d ac t collectivel y (mor e o r less , a t leas t a t times ) an d produce a balance of political forces . During th e Hig h Middl e Age s th e contras t betwee n th e institution s o f Occi dent an d Orien t (havin g i n min d wester n Asi a an d Nort h Africa ) becam e muc h clearer tha n before . I n learning , Isla m wa s th e superio r o f Christendo m in , say , the twelft h century . Ibn-Rushd , o r Averroes (d . 1198) , deserve s th e chie f credi t for transmittin g Gree k philosoph y t o th e Wes t an d i s onl y on e o f man y Musli m writers, thinkers , an d student s of the natural worl d who registered grea t achievements during th e period . There wer e a number o f outstandin g personalities : Saladi n (Salah-ad-Din , d . 1193), fo r example , wa s i n nobilit y of character a t leas t th e equa l o f the Crusad ers befor e an d afte r him . An d ye t non e o f th e Musli m empire s o r estate s devel oped th e politica l an d socia l system s tha t woul d permi t th e ful l developmen t o f human personalit y an d fre e association , an d befor e lon g the institutional arrange ments o f Isla m woul d see m repulsiv e indeed . Th e earl y Ottoma n sultan s revive d the practic e o f th e ancien t Persia n Empire ; whe n on e ascende d th e throne , h e had hi s brother s executed . (Seli m th e Gri m extende d th e practic e t o include hi s nephews.) 42 Th e Ottoman s als o used eunuch s i n responsibl e civi l an d militar y positions (thoug h slave s an d forme r slave s playe d a more importan t par t i n wha t Barnette Mille r call s a ''government b y a slave class"). 43 In th e Byzantin e Empir e eunuch s wer e no t s o simpl y a n instrumen t o f th e

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ruler a s in th e despotisms of the Nea r East . Steve n Runcima n writes , wit h iron y not very visible, tha t fo r a boy to be really successful , i t might b e wise to castrate him. H e wa s the n ineligibl e t o b e empero r an d physicall y unabl e t o transmi t anything by inheritance bu t otherwise coul d rise to high office i n stat e or church . It was ' employ[ment] of eunuchs, o f a strong bureaucracy controlle d by eunuchs, that wa s Byzantium' s grea t weapo n agains t th e feuda l tendenc y fo r powe r t o b e concentrated i n th e hand s o f a hereditar y nobility , whic h provide d s o muc h trouble for th e West. Th e significanc e o f eunuchs i n Byzantin e lif e wa s that the y gave th e Empero r a governin g clas s tha t h e coul d trust . "4 4 Kar l Wittfoge l finds fault wit h thi s contention , o n th e ground s tha t eunuchis m wa s "alread y full y institutionalized" i n fourth-centur y Byzantium , whe n ther e wer e n o feudal ten dencies about. 45 Tha t fac t doe s no t prov e tha t eunuch s wer e les s tha n a vitall y important too l o f th e imperia l offic e i n resistin g partia l o r nascen t aspect s o f feudalism fro m developin g into the full-blown phenomeno n o f the West . In th e word s of Herber t J . Muller , "i n som e basic respect s th e feuda l syste m was th e antithesi s o f Oriental despotism." 46 An important par t of that character istic o f feudalis m wa s wha t i t prevente d fro m happening : i t produce d a ''militar y stalemate," owin g t o th e fac t tha t mounte d knight s coul d no t tak e a castle , bu t the castl e coul d no t overcom e th e knights . Neithe r lor d no r vassa l wa s supreme ; the lord' s right s wer e limited , an d th e vassa l wa s of honorable estate , i n contras t to what th e moderns hav e made of the term . As for th e monarch, h e was able to benefit fro m ancien t traditions that stresse d his authorit y bu t als o was constrained b y other conflictin g o r not very compatibl e legal elements. Th e notio n tha t th e kin g was the anointe d o f God and tha t i t wa s generally incumben t o n hi s subject s t o obey and no t resis t hi m wa s derived fro m the memor y o f Davi d an d othe r example s o f Jewish kingship , fro m th e Orienta l view o f th e rule r a s partl y o r wholl y divin e tha t date d t o earl y Egyp t an d Mesopotamia bu t wa s brought int o th e Roma n Empir e onl y wit h th e annexatio n of Egypt , an d fro m th e portion s o f Roma n la w tha t mad e hi m suprem e an d gav e legal statu s t o hi s wis h o r eve n whim . Suc h tendencie s i n th e jurisprudence o f pre-Christian time s wer e reinforce d b y St . Paul' s lette r t o th e Romans an d Gregory th e Great' s reflection s o n th e Christia n dut y o f obedience, thoug h ther e were othe r note s sounde d i n earl y medieva l Christia n literature—notably , Au gustine's idea s about th e justifiability o f resisting an unjust ruler . However, th e theoretica l base s fo r late r limitatio n o n monarchica l powe r ar e to b e chiefl y foun d i n feudalism . Specifically , b y replacin g earlie r notion s o f decision b y th e rule r according t o hi s ow n wil l wit h th e Wester n belie f tha t h e must als o respec t th e right s o f others , th e feuda l cour t wa s th e institutio n o f greatest importance . Th e cour t wa s

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3

a counci l o f th e lor d an d hi s me n fo r th e settlemen t o f disputes. . . . Th e strikin g fac t i s that bot h th e lor d an d th e vassa l ha d precisel y th e sam e remed y i n cas e eithe r believe d that hi s righ t ha d bee n invaded : h e coul d appea l th e decision o f th e othe r member s o f th e court. . . . Th e court' s decisio n wa s enforceabl e b y th e unite d powe r o f it s members , and i n th e extrem e cas e enforcemen t wa s conceive d t o ru n eve n agains t th e king . . . . Under a typical feuda l organizatio n th e kin g was primus inter pares, and th e court itself, o r the kin g an d th e cour t together , exercise d a join t rule , whic h include d al l that , i n a modern state , woul d b e distinguishe d a s legislative , executive , an d judicia l function s o f government. A t the sam e time the essentially contractual relatio n betwee n th e members of the court, includin g the king, tende d to prevent the concentration o f authority anywhere. 47 T h e righ t an d th e powe r o f th e noble s t o curb th e arbitrar y powe r o f th e monarc h were not , t o b e sure , unalloye d blessing s i n th e histor y o f fre e societies . T h e monarch, whateve r hi s persona l shortcomings , stoo d fo r publi c authorit y an d potentially embodie d th e commonwealt h a s agains t th e particularis m o f th e nobil ity. T o suc h me n a s th e Comt e d e Boulainvillier s an d Montesquieu , writin g i n the ag e o f eighteenth-centur y absolutism , "th e mos t strikin g characteristi c o f th e Middle Age s wa s th e parcelin g ou t o f sovereignt y amon g a hos t o f pett y princes , or eve n lord s o f villages." 48 T h e prince s an d lords , however , ha d no t alway s bee n th e same . T h e medieva l mobility migh t clai m descen t fro m th e Roma n senatoria l orde r or , mor e rarely , from th e fe w edelinge, o r nobl e families , amon g Germani c tribes . Fro m th e nint h to the elevent h centur y th e wor d noble (Latin , nobilis) i s t o be foun d i n document s but lacke d precis e lega l meaning . T h e ritua l o f knightin g date s fro m aroun d 1050 , and a centur y o r mor e late r th e righ t t o b e knighte d become s a hereditar y privilege. A nobl e clas s begin s t o emerg e i n th e twelft h century . Whe n th e institution s of th e fief an d vassalag e wer e movin g towar d ful l decline , i n th e thirteent h century, th e nobilit y too k definit e shape : i n Englan d an d France , barons , dukes , and marquise s (th e latte r two , head s o f severa l counties ) alon g wit h counts , wh o had existe d al l alon g sinc e Roma n times . I n th e fourteent h century , however , kings bega n t o creat e mor e counts . A hereditar y an d title d nobilit y thu s evolved , not i n a n instant . It seeme d i n th e earl y Middl e Age s a s i f hereditar y clerg y migh t als o emerge . Gregory VII , a s par t o f a zealou s effor t t o refor m th e church , di d muc h t o enforc e celibacy o r a t an y rat e preven t priests ' wive s fro m bein g recognize d a s legal ; an d if propert y o r powe r wa s t o pass fro m generatio n t o generation, i t ha d increasingl y to find it s wa y throug h nephews , rea l o r alleged , o r othe r alternative s t o direc t inheritance. 4 9 T h u s a stron g hereditar y nobilit y bu t n o comparabl e ecclesiastica l class wa s i n existenc e b y th e en d o f th e perio d unde r discussion . Perhaps i t wa s becaus e medieva l societ y wa s stil l fluid tha t Joh n o f Salisbury ,

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author o f "th e first elaborat e medieva l treatis e o n politics/' 50 completel y ignore s the conflictin g claim s o f "th e differen t politica l powers , feudal , royal , imperial , which wer e a t th e momen t s o hotly contendin g wit h on e anothe r fo r a demarcation of their respectiv e jurisdictions."51 I n th e Policraticus (i 159), John, secretar y of tw o successiv e archbishop s o f Canterbury , th e secon d o f whom , Thoma s Becket, woul d b e murdere d eleve n year s later , wa s rathe r concerne d wit h th e "higher law " tha t wa s fundamenta l t o medieva l politica l though t an d tha t wa s associated wit h Christianit y an d it s church . Comparin g th e bod y politi c wit h a human body , Joh n declare d tha t thoug h th e princ e wa s th e head , th e priesthoo d was th e soul. 52 Hi s boo k i s ful l o f contradictions , bu t agains t hi s prais e o f th e good an d law-obeyin g princ e mus t b e se t hi s defens e o f resistanc e t o a tyrant , going as far a s tyrannicide . St. Thoma s Aquinas , whos e teaching s abou t th e stat e wer e onl y par t o f hi s attempt t o embrac e al l knowledg e i n a seamles s web , rejected John' s defens e o f tyrannicide bu t nevertheles s justified resistanc e t o tyrants . Thos e resistin g mus t assure themselves , however , tha t thei r actio n i s less injurious t o the general good than th e abuse s they objec t to . Aquina s regard s th e rule r a s boun d t o make th e positive law , o r th e huma n law , confor m t o natural law . Thu s "h e ma y not tak e private propert y beyon d wha t publi c nee d requires , thoug h strictl y speakin g property i s an institution o f Human rathe r tha n Natura l Law." 53 Rulership mus t abov e al l leav e intac t th e fre e mora l agenc y o f th e subject . Therefore th e tyrant , wh o fail s t o d o so , bring s upo n himsel f resistanc e tha t i s not merel y a righ t bu t a duty . A s fo r th e sacerdotium , th e authorit y o f th e church, i t represent s somethin g o f cours e highe r tha n th e imperium ; neverthe less, Sabin e describes Aquina s plausibl y a s a "moderate papalist " wh o was unim pressed b y th e argument s o f cano n lawyer s tha t th e spiritua l superiorit y o f th e church coul d b e translate d int o lega l supremac y o f th e papac y or other ecclesias tical powers . Thoma s die d i n 1274 , leavin g importan t work s o n politica l matter s unfinished. A half-centur y late r Dant e Alighier i (d . 1321 ) an d Marsigli o o f Padu a (hi s book, Defensor Pacis, was written i n 1324 ) too k th e cas e fo r la w a s suprem e ove r the princ e a s proven , bu t i n th e relatio n betwee n papac y an d empir e associate d themselves wit h th e latter . Th e doctrin e o f th e tw o swords , formulate d particu larly b y Pop e Gelasiu s I seve n centurie s before , hel d tha t "th e tw o power s ar e united onl y in Go d and consequently tha t th e emperor has no human superior." 54 It wa s possible , t o b e sure , t o stres s th e specia l ultimat e responsibilit y o f th e spiritual power—tha t is , th e papacy—i n interpretin g o r eve n enforcin g God' s will. Dant e an d Marsiglio , however , emphasize d th e prerogatives of the emperor ship; they were Ghibellines no t Guelphs . Marsiglio's work was perhaps th e most influential o f the genre, thoug h possibly

The High Middle Ages 13 5 William o f Occa m (d . 1349 ) ha d mor e effec t i n hi s ow n time . Pop e Joh n XXI I had trie d t o interven e fro m Avigno n i n a n electio n t o th e emperorship ; th e arguments mad e b y the tw o men resounde d throug h th e whol e debat e tha t wen t on fro m 132 3 to 1347 . The y supporte d th e candidac y o f Lewi s th e Bavarian , bu t they bot h showe d mor e concer n wit h limitation s o n papa l powe r tha n wit h wha t happened i n Germany , an d Marsigli o bases hi s observations clearl y on th e theor y and practic e o f governmen t i n th e Italia n city-states . H e write s o f th e church , regarding i t a s th e entir e bod y of believers la y an d clerical , an d defend s th e vie w that onl y a n ecumenica l counci l (o r genera l council , t o us e th e lat e medieva l term) coul d mak e decision s fo r th e institution . Bu t th e clerg y i s on e socia l clas s among others, i n hi s view, an d must submi t t o civil control. William o f Occa m wa s a t pain s t o den y tha t th e imperia l election s neede d papal confirmatio n o r tha t th e emperor' s authorit y depende d i n an y wa y o n th e pope. Th e powe r o f th e empero r stemme d fro m th e Colleg e o f Electors , wh o spoke fo r th e "people. " I n Sabine' s words , "i n thi s genera l sens e he conceive d of the imperia l power—indee d an y roya l power—a s arisin g fro m th e consen t o f a corporate bod y o f subjects , expresse d throug h thei r magnates." 55 Bu t abov e al l such huma n institution s stoo d th e law , huma n la w dependin g a t roo t o n natura l law with les s distinction mad e between th e tw o than Aquina s ha d done. Occam argued similarl y with respec t t o the church. I t was the general council, not th e papacy , tha t coul d mak e determinations . Th e papa l clai m o f plenitudo potestatis, se t forth b y Innocent I V and carried t o its most uncompromising exten t by Bonifac e VI I i n Unam sanctam (1302), wa s rebutte d an d rejected . Bonifac e asserted tha t th e papacy wa s supreme withi n th e church ; moreover , th e Gelasia n doctrine o f tw o sword s wa s interprete d i n suc h a manner a s t o make th e churc h in effec t custodia n o f both , eve n i f i t di d no t wiel d th e tempora l sword . Fo r th e temporal swor d was, Bonifac e declared , t o be employed by kings "at the comman d and wit h th e permissio n o f priests." Fo r Willia m o f Occam , suc h claim s ha d le d to th e scandalou s situatio n o f th e papac y a t Avigno n an d wer e a n intolerabl e infringement o f Christian freedom . Within th e contex t o f th e developmen t o f politica l theor y i n th e West , th e differences betwee n Aquina s an d Marsiglio , Guelph s an d Ghibellines, supporter s of th e pop e an d supporter s o f th e emperor , see m significant , an d on e o r anothe r view may be thought t o foreshadow thi s or tha t late r theoris t o r rationalizatio n o f actions take n b y a monarch, cleric , o r noble . I n th e settin g of world history , th e perspective i s somewha t different . Al l th e theorist s mentioned , a s wel l a s th e chief ecclesiastica l an d politica l figures o f th e period , professe d t o shar e a belief in la w i n general , i n th e distinctio n betwee n natura l an d positiv e la w (eve n though slightl y differen t term s migh t b e used ) an d th e nee d fo r th e latte r t o conform t o the former , i n th e distinctio n betwee n th e sacre d an d secula r power s

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and th e inadmissibilit y o f efforts t o reduce on e t o the other. Eve n Bonifac e VIII , in hi s claims imperiling the notion of separable secula r power, di d not dare attac k it outright . Theoretical excursuse s int o th e desirabilit y o f representativ e governmen t i n the churc h wer e parallele d b y reference s t o th e fac t tha t i t alread y existe d i n the governmen t o f th e empire . Th e elector s chos e th e empero r an d thereafte r his power s wer e exercise d i n conjunctio n wit h th e Die t (limite d b y i t woul d b e too strong a n expression) . Th e councils , representin g th e bishop s o r a t leas t th e senior bishop s o r patriarc h o f th e whol e church , ha d onc e governe d th e churc h and ough t t o again . N o on e the n spok e o f direc t participatio n o f al l citizen s i n government, bu t ther e agai n wa s wid e acceptanc e o f th e clai m tha t th e justifica tion o f th e stat e wa s th e welfar e o f th e citizenry . Dant e pu t i t thus : th e ai m of the rightfu l commonwealt h i s liberty, t o wit tha t me n may live for thei r own sake. Fo r citizens are not for th e sake of the Consuls, no r a nation fo r th e King ; but contrariwise th e Consuls are for th e sake of the nation. 56 By 135 0 th e mai n outline s o f severa l o f th e monarchie s ha d bee n shaped , though non e o f th e nationa l boundarie s o n th e continen t woul d sta y exactl y th e same. Th e organizatio n o f society depended on one church (eve n if in 135 0 it was in tw o ecclesiastica l piece s dependen t o n Rom e an d Avigno n respectively ) i n Europe u p to the eastern borde r of Livonia, Poland , Transylvania , an d Croatia — but on not just on e empire but severa l state s outside it as well. In fac t ther e ha d neve r been a single empire in th e Mediterranea n worl d sinc e Rome accepted permanent division in 395 , nor had there been in western Europe , at any rate sinc e 476. Ther e wer e important state s outside Charlemagne' s empir e and Otto' s an d hi s successors' . Bu t ther e ha d bee n i n th e Wes t developmen t i n the direction o f a single church; an d b y 105 4 it wa s unified i n th e West i n a way not tru e of the East , an d by 120 0 it approached reality . By 1350 , howeve r thing s ha d changed . Politica l theor y migh t stil l cente r o n the papacy , whic h ha d los t much strengt h i n th e previou s centur y o r so , an d th e empire, whos e chance s o f achievin g rea l unit y eve n withi n it s ow n territorie s were fast disappearing ; however, th e increasingly clea r existence of a multiplicity of state s kep t intrudin g itsel f o n politica l thought . A s fo r th e theme s o f th e importance o f th e citizenr y an d th e denia l o f absolut e powe r t o any individual o r institution, however , the y remaine d pertinen t t o th e changin g situation , an d served withou t difficult y t o resis t excessiv e claim s b y nationa l monarch s whe n they were made in succeedin g centuries .

CHAPTER 6

The Renaissance and the Reformation, 1 3 50—1650

In 135 0 Byzantium ha d stil l a century o f tenuous an d truncate d existenc e ahead , but th e Ottoma n Turk s wer e poise d t o cross int o Europ e an d migh t hav e take n the Ne w Rom e then i f it had no t been fo r th e appearance behind the m of a threat in th e shap e o f th e arm y o f Tamerlane . Whe n th e Turk s a t lengt h ende d Byzantine history , a ne w Easter n Orthodo x stat e wa s jus t gainin g effectiv e independence i n th e north: Muscovy . In th e Wes t th e promisin g politica l development s o f th e Hig h Middl e Age s seemed temporaril y interrupte d o r diverted: Franc e an d Englan d fough t a long if sporadic war ; empir e an d papac y conducte d a n inconclusiv e struggle , a s a resul t of whic h neithe r German y no r Ital y coul d achiev e politica l unity ; th e smalle r states had other adventures , notabl y in th e Age of Discovery. Th e mixe d politica l picture tende d t o be overshadowed b y th e ar t an d letter s o f th e Renaissanc e an d the religiou s renewal an d conflict o f the Reformation . From abou t 130 0 on e ma y spea k o f a Renaissance , no t i n th e litera l sens e of the rebirth of something that was dead (Greek and Roman classical art, literature , and spiri t wer e wha t thos e coinin g th e ter m ha d i n mind) , bu t i n a n accelerate d spread o f learnin g an d a n outburs t o f artisti c creation , firs t i n norther n Italy , then th e Lo w Countries , France , England , an d elsewher e a s fa r eas t a s Poland , with fain t echoe s i n Russia . Thes e developments wer e accompanie d b y greate r stress, i n though t an d action , o n th e rol e of the individua l an d b y the emergenc e of prince s o r princeling s wh o glorie d i n an d wer e glorifie d b y th e ne w ar t an d literature. Earlie r generation s o f historian s wer e mor e incline d t o regar d th e l

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Renaissance a s a thrillin g brea k wit h th e disma l medieve l past ; recen t scholar s have stresse d th e way in whic h i t marke d a culmination an d fulfillmen t o f trend s increasingly visibl e in th e Hig h Middl e Ages. The West, 1350-1450 England and France. Wa r require s money ; mone y mean s taxes ; and , i n th e emergent state s o f th e Wes t (no t i n th e orienta l empires) , th e monarc h neede d the consen t o f representativ e bodie s t o lev y taxe s s o tha t h e coul d pa y fo r hi s wars. Fro m th e need fo r suc h consen t came the growth of parliaments. The so-calle d Hundre d Years ' Wa r (1338-1453) , a dynastic conflic t betwee n England an d Franc e tha t produce d a few overtone s o f protonationalism, impose d heavy burdens . Th e Frenc h Estate s General , unwisel y meetin g i n tw o separat e bodies fo r Languedoi l an d Languedo c (th e area s wher e th e wor d fo r "yes " wer e pronounced "oil " an d "oc " respectivel y i n th e nort h an d i n th e south) , wer e le d by Etienne Marcel , th e riches t man i n Paris. Th e Estate s General took advantage of the situatio n arisin g when Edward , th e Black Prince, defeated th e French kin g and too k hi m prisone r a t th e battl e o f Poitiers . Th e powe r an d prestig e o f th e French monarch y fel l t o a low ebb; the powe r o f th e Estate s Genera l reache d it s apogee: th e Grea t Ordinanc e o f 135 7 provided fo r th e supervision , b y a standin g committee, o f taxation an d of expenditure o f the funds raised . Tormented b y taxe s impose d b y thei r ow n kin g an d th e pillagin g o f enem y soldiers, th e peasant s wreake d vengeanc e o n th e noble s wh o woul d no t o r coul d not protec t the m i n th e revol t calle d th e Jacquerie. l Marce l wa s discredite d b y intrigues wit h th e Englis h an d th e peasants ; th e noble s no w turne d o n him . H e was murdered , an d th e so-calle d constitutiona l movement , spearheade d b y Mar cel's townsmen, ende d fo r th e tim e being. Charles V th e Wis e no w ascende d t o th e throne . H e manage d t o elud e th e constraints impose d b y th e Estate s Genera l b y obtainin g thei r consen t t o th e principle tha t onl y new levie s needed thei r approval . H e introduced a new heart h tax (particularl y onerou s fo r th e poor) , entruste d th e collectio n o f indirec t taxe s to tax-farmers , thereb y creatin g a lastin g sourc e o f corruption , an d i n genera l strengthened roya l powers over taxation . W . T . Waug h declare s tha t th e Frenc h Estates Genera l ough t t o hav e insiste d tha t thei r consen t b e obtaine d fo r al l extraordinary taxation ; "tha t demand , steadil y an d wisel y pressed , migh t hav e given th e Estates-Genera l th e stabilit y whic h wa s being acquire d b y th e Englis h Parliament." 2 Bu t they di d no t insis t an d wer e repeatedl y outsmarte d b y th e French monarchy . Charles V even ha d luc k wit h matter s outsid e hi s control . Afte r th e pop e ha d been persuade d t o retur n fro m Avigno n t o Rom e i n 1376 , anothe r scandalou s

The Renaissance and the Reformation 13 9 dispute kep t one papacy in Rom e and sen t anothe r on e back. Charle s V welcomed the return , havin g found a papacy in Avignon a political asset . In 137 7 the Englis h king , Edwar d III , die d afte r a reign of fifty years. H e was popular, an d thoug h Parliamen t gaine d i n powe r throug h manipulatin g th e need s of war , i t wa s no t throug h direc t clas h wit h th e monarc h tha t i t di d so . A s th e war progressed, anti-Frenc h feeling s prompte d hostilit y t o the French-influence d popes of Avignon. Severa l measure s wer e passe d reducin g papa l influenc e o n th e English church : i n particular , th e Statute s o f Provisors , limitin g th e importatio n of foreign clergy , an d of Praemunire, prohibitin g appeal s t o foreign courts . National prid e wa s bot h caus e an d effec t o f suc h developments . A t th e sam e time, however , th e natio n wa s disturbe d b y socia l cleavage . A s th e Blac k Deat h wiped ou t a sizable proportio n o f the population, th e Statut e o f Labourers sough t to fix wages and prices. I t coul d not , t o be sure, remed y th e rea l shortag e of labor or stop the change now under wa y from servil e to free tenure s in land . During th e minorit y o f Richar d II , landlord s trie d t o reestablis h servil e ten ures; the resul t wa s th e grea t Peasants ' Revol t (Wa t Tyler' s rebellion ) of 1381 . It was pu t dow n throug h trickery ; lik e th e Frenc h Jacquerie o f a quarter-centur y earlier, i t yielded the participants n o visible benefits. Th e kin g got into a squabble with Parliament , wit h whic h h e had been on good terms at the start . I n a dispute over finances, h e resorte d t o packin g th e membershi p o f Commons , provokin g Henry of Bolingbroke, o f the Hous e of Lancaster, t o lead an uprising against him . Richard wa s force d t o abdicate an d died , o r wa s killed , i n th e Towe r o f Londo n in 1399 . H e wa s th e las t Plantagene t t o rule . Henr y IV , th e first o f thre e Lancastrian kings , ha d a dubious titl e t o the thron e an d wa s therefor e compelle d to conciliate Parliament . In 1380 , whe n Charle s V I acceded , th e Frenc h monarch y wa s i n a stron g position. Th e reig n was , however , a lon g an d unhapp y one . Th e ne w kin g wa s plagued by increasing periods of insanity; uncle s of his produced gros s misgovernment. I n a civil wa r betwee n th e noble-oriente d Armagnac s o f the sout h an d th e Burgundians, includin g man y o f th e lowe r classe s o f the north , th e Burgundian s enjoyed a temporary triumph . Led b y th e skinne r Simo n Caboch e an d hi s "Cabochian " followers , th e Bur gundians force d th e kin g t o issue a n ordinanc e reformin g th e centra l administra tion. I t se t fort h th e obligatio n o f th e kin g an d certai n official s t o consul t th e royal Council , th e Parlemen t o f Paris , o r th e Chambr e de s Compte s (not e th e absence of the Estates General fro m thi s plan) to obtain approva l before undertak ing importan t action s o f severa l kinds . I n Waugh' s words , th e author s o f th e ordinance "ha d grea t fait h i n 'election. ' Mos t publi c office s wer e t o hav e a n electoral committe e attache d t o them." 3 I n an y event , mos t o f th e provision s o f the la w wer e stillborn . Th e Cabochian s inaugurate d a minor reig n o f terror ; th e

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Armagnacs swep t int o Paris , puttin g a n en d t o it , an d bega n t o behave badl y i n their turn . Meanwhile Henr y V of Englan d lande d a t th e hea d o f an arm y an d smashe d a French forc e thre e time s th e siz e of his own a t th e battl e o f Agincouil (1415 ) i n Artois. Fo r som e tim e h e continued , i n fragil e allianc e wit h th e Burgundians , t o conquer regio n afte r region . Bu t i n 142 2 Henr y V died, followe d onl y day s late r by Charles VI of France. The infan t Henr y VI of England was acknowledged a s king of France by much of th e north ; th e holde r o f th e Frenc h crown , Charle s VII , wa s physicall y an d morally wea k an d n o ver y likel y challenge r o f th e ascendan t English . Neverthe less h e wa s persuade d b y th e peasan t gir l wit h visions , Jeann e Dar e (liste d i n a later patent of nobility as d'Arc, whenc e "Joa n of Arc"—or s o one version has it), to rouse himsel f fro m lethargy . Afte r sh e hersel f le d a n arm y t o relieve th e sieg e of Orleans , sh e persuade d Charle s t o be crowne d a t Reims . Bu t whe n th e Mai d fell int o Englis h hands , Charle s woul d no t lift a finger to save her fro m th e stak e where sh e was burned i n 1431 . Falling back fo r a time in confuse d incompetence , onc e agai n th e kin g experienced goo d fortune . A s a consequenc e o f havin g advisor s s o capabl e a s t o yiel d him th e appellatio n Charle s th e Well-Served, h e registered significan t successes . As ther e wer e n o longe r Francophil e pope s eithe r i n Avigno n o r Rome , hi s reign sa w the first of several assertions of the autonomy of the Frenc h church . I n 1438 an assembl y o f clerical an d la y notables dre w up , an d th e kin g adopted, th e Pragmatic Sanctio n o f Bourges . I t affirme d th e superiorit y o f general council s t o the papacy, forbad e appeal s t o Rome except when al l French judicature ha d bee n exhausted, an d s o forth . Th e monarc h als o establishe d th e first roya l standin g army an d carrie d ou t othe r militar y reforms . Th e resul t wa s tha t fro m 144 9 French force s drov e th e Englis h ou t o f Normandy , Guienne , an d th e southwes t generally. I n 145 3 th e onl y bi t o f th e Frenc h mainlan d t o remai n i n Englis h hands was the port of Calais. Charles VI I eithe r permitte d o r undertoo k th e creatio n o f provincia l parlernents, whic h wer e mainl y judicia l institution s an d quit e unlik e th e Englis h Parliament. A s th e reig n wor e on , th e estates—o f Languedoil , Languedoc , an d the provinces—me t wit h decreasin g frequency . Th e monarch y gre w i n powe r and prestige , an d th e en d o f th e Hundre d Years ' Wa r enhance d both . Thoug h there wa s n o forma l treaty , an d eve n a fe w skirmishe s occurre d afte r 1453 , contemporaries recognize d tha t th e wa r wa s ove r an d bestowe d th e titl e Charle s the Victorious . I n th e word s o f one writer , "seldo m ha s s o inglorious a king ha d so glorious a reign." 4 While th e Lancastria n king s of Englan d ha d bee n conductin g th e wa r agains t France, they first sparre d wit h Parliamen t an d then , durin g th e lon g reig n o f

The Renaissance and the Reformation 14 1 Henry VI , wh o wa s incapabl e o f ruling , th e monarch y los t control . Th e feuda l lords o f th e countr y battle d wit h on e anothe r wit h smal l privat e armies , wit h chaos th e result . Whe n Englishme n gav e up th e struggl e i n France , th e ingredi ents o f civi l wa r wer e present , an d soo n ther e erupte d th e War s o f th e Rose s (1455—85) between th e families o f Lancaster an d York. Italy. Culturally , Ital y wa s beginnin g a flowering unmatche d befor e o r since ; politically, i t wa s i n a sa d state . I n th e nort h ther e ha d bee n fre e communes , which b y th e firs t hal f o f th e fourteent h centur y ha d disappeared . The y wer e replaced b y tyrants : fo r example , th e Visconti s i n Mila n fro m th e 1270 s an d th e Medicis in Florenc e from th e 1430s . I n th e south th e Aragonese monarch Alfons o reunited th e kingdom s o f Naple s an d Sicily , thoug h they wer e soo n separate d again. During th e absenc e o f th e pope s i n Avignon , th e papa l state s o f centra l Ital y were i n turmoil . I n 137 8 a pop e wa s electe d i n Rome . Another , however , wa s also chosen b y cardinals alarme d b y the Roma n prelate' s promises o f reform , an d he returne d t o Avignon . Ther e ensue d th e doubl e papac y o f th e perio d o f th e Great Schism , whic h brough t grievou s scanda l t o the whole Western churc h an d anguished debate s abou t how t o end it . The devic e employe d t o reunit e th e churc h wa s th e genera l council . Th e theories o f Marsigli o o f Padu a foun d applicatio n i n th e council s o f Pis a (1409 ) and Constance (1414-17) . Firs t th e two popes were both deposed and a third wa s elected, bu t sinc e th e depose d prelate s defie d th e council , ther e wer e no w thre e popes. Bu t th e Counci l o f Constance finally got rid of two, ignored th e third , an d elected stil l another : Marti n V (1417-31) . Th e council s o f Base l an d Ferrara Florence continue d th e effor t t o regularize th e revive d institutio n o f representa tive governmen t withi n th e church , bu t i t wa s a failure . B y 144 9 th e concilia r movement wa s a t a n end . Nichola s V inaugurated th e "Renaissanc e papacy"— a historian's ter m fo r th e centur y i n whic h th e popes patronized ar t an d culture , t o their eterna l credit , an d neglecte d th e problem s o f th e characte r an d qualit y o f the clergy and th e morality of the church i n general , i n a nearly suicida l fashion . Central and Eastern Europe, 1350-1450 The Empire. I n th e German nort h a noteworthy transmutatio n wa s taking place. The struggl e t o produc e a unifie d Hol y Roma n Empir e an d a n emperorshi p capable o f challengin g th e papac y wa s o n th e wa y t o being lost , bu t a ne w stat e was takin g shap e i n th e southeast . Afte r th e Golde n Bul l o f 135 6 th e metho d o f electing the empero r wa s fixed, but th e power of the office wa s almost negligible . In theor y th e empero r coul d issu e law s fo r al l th e people . Bu t eve n i f law s wer e

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promulgated, th e empero r ha d n o wa y o f enforcin g them , an d thu s th e whol e process was nugatory . In consequenc e emperor s ofte n occupie d themselve s elsewhere . Charle s I V of the Hous e o f Luxembur g spen t hi s energ y o n Bohemia , o f whic h h e wa s king . When hi s successor , Wencesla s IV , wa s depose d b y th e elector s an d b y a grea t assembly a t Frankfurt , th e monarc h refuse d t o accept th e decision , an d ther e were soo n thre e riva l emperor s "t o correspond t o the thre e riva l popes." 5 I t was a far cr y fro m th e day s whe n a n Innocen t II I coul d overaw e king s o r a Frederic k Barbarossa coul d aspir e t o b e a ne w Charlemagne ; bot h papac y an d empir e ha d fallen t o a lo w estate . Th e papac y woul d revive ; th e ol d empire , i n it s earlie r guise, woul d not . For the moment, indeed, ther e emerged from among the conflicting claims a single emperor: Sigismund of Luxemburg, in 1410 . The emperorship retained one significant prerogative—tha t o f nominating t o vacant fiefs. Sigismund exercise d it , fo r example, b y conferring th e mark of Brandenburg on his closest confidant, Frederic k of Hohenzollern—a n ac t o f grea t importanc e fo r late r times , sinc e i t wa s a ste p in th e ris e of Prussia. Bu t Sigismun d wa s able to do little els e within th e empire . He le t th e elector s gover n whil e h e fough t th e Turks , an d h e faile d eithe r t o conciliate o r conquer th e Hussites . Hi s chie f accomplishmen t ma y have been th e extent t o which h e played a part i n endin g the Great Schis m withi n th e church . When Sigismun d die d h e wa s succeede d b y Albert I I o f th e Hous e o f Habs burg, wh o als o too k hi s plac e o n th e throne s o f Bohemi a an d Hungary . Tw o Habsburgs ha d bee n empero r i n th e thirteent h century , fro m 130 8 t o 1438 , th e imperial dignity resided i n other hands ; it then returne d t o the Habsburgs . Bohemia ha d a period o f glory under th e Luxemburg s an d especiall y Charle s I (the Bohemia n titl e of the Empero r Charle s IV , 1347-78) . It s brightest light was its ne w university , founde d i n 1348 , th e first universit y i n centra l an d easter n Europe. Ther e John Hus , a professor an d then rector , attracte d a group of radical supporters wh o adhered t o the teachings of the Englishma n John Wycliffe. Lure d to th e Counci l o f Constanc e b y a safe-conduc t tha t wa s the n violated , Hu s wa s burned i n 1415 . His death se t off a series of wars (1420—34) in which th e zealou s Hussites bot h attacke d an d resiste d wit h startlin g success thei r Catholi c neigh bors. A t length Rom e came t o terms wit h th e moderate Hussit e party, an d one of them, Georg e of Podiebrad , becam e kin g (1459-71). Th e radica l Taborite s wer e suppressed, thoug h som e aspect s o f thei r movemen t wer e continue d b y th e Moravian Brethren . Poland, Lithuania, and Hungary. Casimi r II I th e Grea t o f Polan d wa s i n som e respects comparabl e t o Charles I of Bohemia; h e le d a thriving countr y unde r a n

The Renaissance and the Reformation 14 3 efficient administration . Polan d enjoye d als o a cultural flowering that centere d i n Cracow, wher e a higher schoo l founded b y Casimir i n 136 4 was raised t o university statu s i n 140 0 and becam e th e mos t importan t intellectua l cente r i n easter n Europe. During Casimir' s reign , however , th e nobilit y solidifie d it s position . Th e kin g appointed a starosta capitaneus fo r eac h region ; fo r almos t hal f a millenniu m th e position remaine d decisiv e i n Polis h politica l life . Th e starosta s wer e basicall y aristocrats, no t courtiers—thei r ow n men , no t creature s o f th e monarchy . Th e nobles were governed by their ow n law , calle d th e jus Polonicum, as distinguishe d from the jus Teutonicum that governe d th e burghers an d th e peasants. Under Casimi r Ill' s chose n successor , Loui s I I o f Hungary , however , th e Polish monarch y bega n it s decline. I n orde r t o try t o assure th e successio n t o his descendants, th e kin g grante d sweepin g concession s t o th e nobles , o r szlachta. By th e provision s o f th e Charte r o f Koszyc e (1374) , th e Polis h nobilit y wo n unprecedented privileges . Numberin g i n th e thousands , the y wer e ''exempte d from almos t ever y dut y o r obligatio n t o th e State.' 6 However , the y wer e no t tranquil i n consequence ; the y continue d t o badge r th e thron e an d t o fight on e another. In 138 6 Louis' s daughte r Jadwiga , recentl y electe d quee n o f Poland , marrie d Jagiello (Yagailo) , gran d princ e o f Lithuania . A t th e sam e tim e h e embrace d th e faith o f hi s wife , a Roma n Catholic , an d carrie d wit h hi m hi s people , th e las t pagans o f Europe . Th e resultin g persona l unio n laste d 18 7 year s befor e bein g replaced b y virtual amalgamatio n o f the tw o states. In previou s decades , th e Lithuanian s unde r Gedymi n (1316-41 ) an d Olger d (1341-77) ha d expande d t o rule th e entir e Dniepe r basi n an d reache d th e Blac k Sea a t Oczakow . I n Norma n Davies s words , 'wher e Casimi r th e Grea t ha d merely nibbled , th e son s o f Gedymi n gorged . "7 A s a result th e populatio n o f th e great sprawlin g stat e wa s mainl y Orthodo x Easter n Slav , it s rulin g clas s Slavi c boyars, it s official languag e Ol d Belorussia n (t o use today's term) . The armie s o f Poland an d Lithuani a joined togethe r t o challenge an d adminis ter a crushing defea t t o the Teutoni c Knight s a t Grunwal d (Tannenberg , 1410) , with th e suppor t o f Russian s an d Tatar s an d th e hel p of Bohemian mercenaries , sending th e Knight s int o a prolonged decline . Th e Jagellonia n dynast y fo r a tim e furnished king s t o Bohemia an d Hungary , an d b y the en d o f the reig n o f Casimi r IV Jagiellonczy k i n 1492 , th e kin g rule d som e 336,00 0 squar e miles , whil e hi s son Wladyslaw rule d 174,00 0 squar e mile s more: Bohemia, Moravia , Silesia , an d Hungary.8 In th e Unio n o f Horodl o (1413) , i t wa s enacte d tha t bot h th e kin g of Polan d and th e grand princ e o f Lithuania , regarde d a s equa l i n importance , wer e t o b e

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elected b y th e joint diet s o f bot h states . "Th e newly-create d Lithuania n nobles , provided tha t they wer e Catholi c Christians , wer e t o enjo y al l th e privilege s o f the Polis h nobles." 9 But th e roya l powe r wa s limited . I n th e thirteent h century , th e king s con sulted only their smal l council of high officials, whos e advice they were not bound to accept. Bu t th e situatio n graduall y changed . Th e nobles ' consent wa s require d for taxe s fo r "an y majo r enterprise. " A s a result, th e fifteenth centur y "sa w th e rise rapidl y t o the positio n o f partne r wit h th e kin g in th e conduc t o f th e state' s affairs."10 Jews, unde r th e jurisdiction o f th e kin g sinc e 1334 , wer e th e beneficiarie s o f greater toleratio n i n Polan d tha n elsewhere . Whe n Casimi r I V becam e kin g i n 1447, a half-centur y o f prosperit y opene d i n thi s multiethni c realm , an d onc e again Polan d an d Lithuani a wer e ruled b y a single sovereign . If th e Polis h noble s thwarte d attempt s b y th e monarch y t o subdu e them , th e same wa s tru e i n Hungary . Th e Angevi n dynasty , establishe d i n Hungar y i n 1308, attempte d t o gain contro l over th e proud an d independent-minded Hungar ian nobility , exemp t fro m taxatio n an d casua l abou t thei r suppose d responsibilit y for defense . Loui s th e Great , wh o establishe d hi s cour t i n Buda , limite d th e rights o f th e grea t magnate s t o dispose o f thei r property , reaffirme d th e right s of the lesser nobility , an d regularize d th e obligations of the peasantry . Louis intended tha t hi s oldest daughter, Maria , succee d hi m on the thrones of both Polan d an d Hungary ; th e Pole s frustrate d hi s pla n b y accepting instea d hi s younger daughte r Hedwig , o r Jadwiga , an d marryin g he r t o th e paga n gran d prince of Lithuania . Mari a marrie d Sigismun d o f Luxemburg. H e ruled Hungar y for a full half-centur y (1387-1437) ; he was also emperor, a s discussed previously. Sigismund belong s t o the list of European monarch s who , by their spendthrif t and oppressiv e rule , courte d resistanc e tha t wreste d fro m the m constitutiona l concessions an d thereb y unintentionall y furthere d th e growth of freedom i n thei r countries. I n hi s reig n th e principle becam e established tha t th e Diet , represent ing the uppe r classes , mus t approv e any additional gran t of revenue an d late r an y legislation whatever , i f it were to be valid. Iberia. I n th e southwester n corne r o f Europ e Christian s wer e advancin g i n triumph. I n 134 0 Alfonso X I of Castile defeated a combined arm y of Spanish an d Moroccan Muslim s a t th e battl e o f Ri o Salado , afte r whic h n o African threa t t o Christian Iberi a existe d an y longer. Castil e enjoyed a plethora of charters (fueros) applying to the whole state , t o individual regions , an d t o towns. A featur e peculia r t o Castilia n societ y wa s th e brotherhood s (hertnandades), committed t o the defens e o f la w an d o f th e propert y an d live s of thei r members . They often supporte d th e monarchy an d wer e also associated wit h th e strengt h of

The Renaissance and the Reformation 14 5 the Castilia n towns . I n th e fourteent h centur y bot h th e brotherhood s an d th e towns entered a period o f decline. Alfons o X I appointed ne w officials, th e corregidores, who somewha t limite d municipa l autonomy , an d impose d a new sale s tax , the alcabala, whic h injure d th e towns ' economy. But th e monarch y lacke d th e powe r t o end th e exemptio n fro m taxe s an d th e other specia l privilege s o f th e noble s an d th e clergy . Henr y I I (1369—79 ) mad e extensive grant s of land an d revenu e t o the nobility . Th e Corte s of Castile had t o consent t o any extraordinar y direc t ta x an d t o the repea l of any law, an d petitio n by one or another of the thre e estate s often le d to new legislation fro m th e crown . Around 1400 , writes Waugh, "th e powers of the Castilian Corte s were much lik e those of the contemporary Englis h Parliament. " n Why wer e thos e power s no t retaine d an d expanded ? Perhap s partl y becaus e the "mutua l obligation s characteristi c o f medieva l feudalism " t o b e foun d i n England, a s wel l a s Franc e an d Germany , wer e rarel y t o b e encountere d i n Spain, excep t fo r Catalonia . Th e Castilia n monarch y seeme d t o weake n i n th e reign of Henry I V (1454-74), bu t hi s stepsister, Isabella , rescue d it . Sh e marrie d Ferdinand o f Aragon i n 1469 , an d th e tw o reyes catolicos (Catholi c kings ) were t o bring about th e unit y of Spain . The kingdo m o f Arago n remaine d a pastich e o f thre e realms : Aragon , Cata lonia, an d Valencia . Eac h lon g retaine d it s ow n politica l institutions . It s estate s were fou r i n number , includin g lesse r noble s alon g wit h greate r nobles , clergy , and townsmen . Th e Cort s wa s more powerfu l tha n tha t o f Castile , an d th e pos t of Justicia of Arago n wa s terme d b y a n occupan t aroun d 140 0 "th e greates t la y office tha t existe d anywher e i n th e world." 12 A famous oat h was attributed t o the nobles of the kingdom : We who are as good as you swear to you who are no better tha n we, to accept you as our king and sovereign lord, provided you accept all our liberties and laws; but if not, not. The wordin g seems to be a forgery o f about 1550. 13 Nevertheless, a recent write r declares tha t i t doe s "summariz e ver y wel l th e relation s betwee n th e king s o f Aragon an d th e Aragonese nobilit y [i n th e fifteenth century]. 14 But i f kingship in Aragon wa s les s tha n all-powerful , it s possession s mad e th e stat e a n imposin g one. I t stil l held Sicil y and Sardinia , an d Alfonso V the Magnificen t adde d Naple s to the empire in 1435 . As a result of the exploits of Catalan mercenarie s calle d in by the Byzantines, fo r much o f the fourteent h centur y Aragon s swa y extended t o the Duch y of Athens. Portugal ha d gaine d it s late r shap e i n 129 7 unde r th e well-love d Kin g Dini z the Worker. I t won its more or less permanent independenc e by dint of its victory over Castil e a t th e battl e o f Aljubarrota i n 1385 . Thi s wa s immediatel y followe d by th e long-lastin g allianc e wit h Englan d an d no t lon g afterwar d b y th e im -

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mensely significan t expedition s sen t ou t b y Princ e Henr y th e Navigator . Neve r king an d no t himsel f a navigator , h e launche d th e Ag e of Discover y tha t wa s t o bring th e European s int o contac t wit h al l th e res t o f th e globe . Beginnin g wit h the captur e o f Ceut a i n 1415 , Portugues e sailor s venture d eve r farthe r sout h until they rounde d th e Cap e o f Goo d Hop e an d reache d Indi a i n 1498 . Th e first law code of the Portugues e wa s adopted in 1446 . Scandinavia. Scandinavia n problem s wer e no t unlik e thos e o f th e countrie s t o the sout h an d west . Slaver y ha d die d ou t b y 1350 . A dependent peasantr y wa s subject t o a nobilit y exemp t fro m taxe s fo r roughl y a centur y i n Denmark , Norway, an d Swede n alike . Th e Norwegia n monarch y wa s hereditar y an d wielde d more power, bu t th e Swedis h an d Danis h kingship s wer e a blend o f elective an d hereditary elements . Th e earlie r council s o f magnate s (alone ) ha d bee n supersede d in eac h countr y b y nationa l councils , consistin g o f bishops an d aristocrati c lead ers, whic h became powerful i n Swede n an d Denmark . Waldema r I V of Denmar k wrestled wit h th e powe r o f th e noble s an d th e churc h an d wit h th e waxin g influence o f Germans—trader s a s wel l a s nobles . H e fough t tw o war s wit h th e Hanseatic Leagu e an d wa s beaten ; th e Peac e o f Stralsun d gav e th e Hans a a veto over succession t o the throne . After hi s reig n Margaret , mothe r o f th e boy-king , becam e regen t o f Denmar k and the n als o of Norway . I n 138 7 she was chosen queen , an d i n 139 7 assemble d representatives o f al l thre e state s agree d upo n th e so-calle d Unio n o f Kalmar . I t was neve r give n lega l force , bu t it s basi c principles, retentio n b y each countr y of its ow n law s bu t a commo n kingshi p an d foreig n policy , wer e effectiv e fo r a considerable period . At th e tim e o f th e Unio n Margaret' s grandnephe w Eri k o f Pomerani a wa s crowned kin g of all thre e realms . Margare t wa s skillfu l i n placin g her supporter s in "th e highes t loca l administrativ e positions , tie d t o th e possessio n o f th e roya l castles." 15 She had trie d t o conciliate th e powerful Coun t o f Holstein b y granting him Slesvi g a s a fief. Whe n h e died , th e quee n sough t t o recove r it , wit h th e result o f a prolonged wa r between Holstei n an d Denmark . At th e sam e tim e troubl e erupte d i n Sweden . Kin g Erik ha d ridde n roughsho d over indigenous sensibilitie s i n appointin g Dane s t o the castl e posts. No w Engel brekt Engelbrektsso n le d a risin g wit h muc h peasan t support , an d a Die t tha t included representative s o f th e peasantr y electe d hi m regen t i n 1435 . Bu t th e revolt sprea d fro m Swede n t o Norwa y an d force d Eri k t o flee fro m Denmark . Christopher o f Wittelsbac h wa s the n calle d t o rul e al l thre e countrie s fo r a fe w years, promisin g to appoint only native aristocrats a s bailiffs i n th e roya l castles. Part o f th e motivatio n fo r th e unio n o f 139 7 wa s t o mak e commo n caus e against th e Germans . I t wa s therefor e ironi c tha t Christopher , a German , wa s

The Renaissance and the Reformation 14 7 nearly powerles s a t th e hand s o f th e Germa n Hans a a s wel l a s th e Scandinavia n nobles. I n 145 0 the Norwegia n assembl y decreed perpetual unio n wit h Denmark , and th e combinatio n laste d unti l 1814 . I f "perpetuity " i n a legal documen t last s over three hundre d year s in fact , rar e succes s has been achieved . In 145 0 it looked a s if the Danis h council , whic h ha d just electe d Christia n o f Oldenburg kin g bu t reserve d rea l powe r t o itself , an d th e noble s wh o wer e th e decisive elemen t i n al l thre e countries , ha d mastere d th e monarchy , thoug h th e Hansa town s stil l threatened t o dominate al l Scandinavia . Byzantium, Russia, and Islam. In th e middl e o f th e fourteent h century , th e Mongols rule d Russia , an d th e shado w o f th e Ottoma n Turk s wa s loomin g larg e over th e Byzantin e Greeks . I n 135 3 th e Ottoman s becam e establishe d o n th e European sid e of the Dardanelles ; in 135 7 they capture d Adrianople , whic h soo n became th e chief cit y for thei r Europea n possession s an d remaine d s o for nearl y a century. Joh n V Paleologus , restore d t o powe r a t th e tim e o f th e expulsio n o f John V I Cantacuzen e i n 1355 , trie d t o obtai n hel p fro m th e West . Hi s effort s were i n vain , an d h e proceede d t o acknowledg e th e sultan , Mura d I , a s hi s suzerain. Joh n actuall y campaigne d wit h hi m i n Asi a Minor . Suc h a n empero r was in n o position t o rally Christians t o resist Muslims . Byzantium ha d othe r dangerou s neighbors , t o b e sure . Stephe n Dusa n ha d claimed th e emperorship himself a few year s before h e died, i n 1355 . His Serbia n state promptl y fel l apart . Th e tw o majo r piece s wer e a norther n principalit y between th e Morav a an d th e Danub e an d th e stat e o f Serre s i n easter n Mace donia. Th e real m of the Bulgarian s la y to the east . To it s nort h th e tw o principalitie s o f Wallachi a an d Moldavi a no w carr y Romanians clearl y int o history fo r th e firs t time . Fo r both , "th e beginning s o f an organized politica l lif e see m t o hav e bee n linke d wit h th e successfu l struggl e o f their prince s t o shak e of f Hungaria n rule." 16 Sulta n Mura d ende d th e indepen dence of Serre s b y a victory i n 1371 ; at th e fable d battl e of Kosovo Polje i n 1389 , northern Serbi a wa s overwhelmed . I n th e lat e twentiet h century , th e battl e remains th e mos t memorabl e even t o f Serbia n antiquit y (an d immensel y compli cates th e questio n o f wha t t o do abou t a n are a wit h a large populatio n o f ethni c Albanians). I n 139 3 Murad' s successo r Bayezi d I crushe d Bulgaria . I t looke d a s if the tur n o f Byzantium woul d come next . However, a repriev e arrive d fro m a n unexpecte d quarter , i n th e advanc e o f Timur (Tamerlane) , a Mongo l wh o ha d overthrow n th e emi r o f Khorasa n an d built a brilliant capita l a t Samarqand . Hi s force s attacke d an d route d th e Otto mans a t Angor a i n 140 2 an d capture d Bayezid , bu t h e di d no t tr y t o remai n i n Asia Minor . I n a confuse d serie s o f dispute s an d wars , Greek s an d Turks , Christians an d Muslims , marche d an d countermarched . Muhamma d I th e Re -

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storer emerge d triumphan t an d prepare d th e wa y fo r th e tw o sultan s wh o fol lowed his death (1421 ) to win final victory over the Easter n Roma n Empire . The Byzantin e rule r Manue l I I (1391-1425) rule d only Constantinople, Thes salonica, an d th e Morea . Thessalonic a wa s sol d to Venice, bu t th e Frankis h par t of More a wa s adde d t o th e Byzantin e provinc e an d remaine d thu s fo r a quarter century. A last desperat e attemp t wa s made b y John VII I t o obtain wester n hel p at th e Counci l o f Florenc e i n 1439 . Agai n reunio n o f th e churche s wa s th e Byzantine offer ; agai n i t wa s accepte d b y Rom e bu t repudiate d i n th e East . A western crusade , le d b y th e grea t Transylvania n genera l Joh n Hunyadi , wa s smashed a t th e battl e o f Varn a i n 1444 , thoug h othe r wester n troop s unde r Venetian an d Genoes e comman d too k par t i n th e final defens e o f th e imperia l city. In 145 3 Constantin e XI , th e las t Byzantin e emperor , die d fighting o n th e battlements o f Constantinople . Th e las t holding s i n Greec e fel l b y 1461 , Wallachia immediatel y afterward . Moldavia , unde r it s princ e Stephe n th e Great , retained independence , an d Stephe n resiste d th e Turk s successfull y unti l hi s death i n 1504 . Tha t wa s th e en d o f Christian-rule d southeaster n Europ e fo r more tha n fou r centuries , unles s virtuall y independen t thoug h tin y Montenegr o be counted a n exception . Muhammad I I th e Conquero r mad e Constantinople hi s capital an d rename d i t Istanbul. H e entrusted hi s Christian subject s t o the mercies of their ecclesiastical authorities, wh o wer e permitted , o r required , t o wield civi l powe r a s well . Th e high clerg y of th e Orthodo x churc h wer e a s a result compelle d t o conform t o th e Ottoman syste m o r eve n participat e i n it , wit h it s concomitants : influence , bribery, corruption , an d murder . Al l thi s they ha d t o do if they wer e t o gain an d hold the positions in which they could hope to protect thei r flocks and avoid worse fates fo r them . I t wa s a n anticipatio n o f th e dilemma s tha t th e Orthodo x woul d face unde r Communis t rul e five centuries later . The Slavs , Romanians , an d Greek s o f th e Balka n peninsul a di d no t suffe r greater oppressio n tha n th e Turkis h subject s o f th e sultan ; Jews might b e bette r off tha n they wer e i n countrie s rule d b y Christians . An d ye t despit e wha t on e Byzantine nobl e was heard t o say—that h e would rathe r se e a Turkish turba n i n the imperia l cit y tha n a cardinal' s hat— 1 7 ther e wer e man y Christian s wh o found Musli m rul e degrading , unpleasant , an d oppressive . I n th e twentiet h century, a Balka n statesma n aske d rhetorically , "Wha t ca n on e d o wit h peopl e who for five hundred year s never cease d t o regard Turkis h rul e a s anything but a stopgap?" And doubtless many s o regarded it . In 135 0 th e Easter n Slav s wer e divide d betwee n th e gran d principalit y o f Lithuania an d th e principalit y o f Moscow . Lithuani a wa s soo n (1385—86 ) t o join Poland i n dynasti c union ; th e paga n Lithuania n elit e becam e Roma n Catholic ,

The Renaissance and the Reformation 14 9 and in neithe r incarnatio n di d the y shar e th e religion o f their Ruthenia n subject s in th e vast eastern reache s of the realm . By th e secon d hal f o f th e fourteent h century , Novgoro d wa s i n effec t a n independent republic . A t th e tim e o f th e conques t th e Mongol s ha d no t reache d the city, althoug h i t nominally ha d become tributary t o the Golden Hord e like th e other Russia n principalities . Actuall y Novgoro d develope d a s a tradin g cente r linked wit h th e Hanseati c towns . I t als o maintained direc t ecclesiastica l connec tions wit h th e Byzantin e Empire , whic h brough t alon g wit h the m artisti c influ ences brilliantly developed an d adapted b y Novgorodian painters . The politica l shap e of the Russia n principalitie s wa s not fixed by their Mongo l overlords, thoug h i t has been suggeste d tha t Muscov y nevertheless ended u p with a societal pattern close r t o that o f the Mongol s than tha t of the West, i n ways not easy to understand o r describe. Lega l enactments, partl y indigenous in origin an d partly borrowed , yiel d som e tantalizin g clues . Th e first Russia n la w code , th e Pravda Russkaia, was issued b y Yaroslav, princ e of Kiev, i n th e elevent h century . It "show s littl e evidenc e o f bein g base d o n a Byzantin e model" 18 bu t exhibit s much similarity wit h th e la w of th e Frank s an d Anglo-Saxons . Onl y on e Byzan tium-derived lega l documen t ma y b e foun d i n ol d Russia : th e Churc h Statut e o f St. Vladimir , th e rule r unde r who m Kieva n Ru s wa s converte d t o Easter n Orthodox Christianity . Eve n tha t statut e contain s a provision assignin g one-tenth of all revenue t o the church, an d sinc e th e tith e wa s unknown i n Byzantiu m i t is thought t o be a Western borrowing . Bu t th e apparen t leanin g t o the Wes t o f th e law, an d perhap s th e societa l pattern , o f earl y Ru s was , i f rea l fo r a time, a t an y rate abortive. At th e tim e o f th e deat h (1015 ) o f Yarosla v th e Wise , th e vas t real m o f th e Rus wa s divide d int o five linke d principalities . Hi s wil l prescribe d a seniorit y system, wit h Kie v a t th e top , th e princel y offic e t o pass fro m brothe r t o brothe r not fathe r t o so n ( a syste m aki n t o tha t followe d i n Polan d durin g th e sam e period). Th e unit y o f the real m wa s clearly intende d t o take precedence ove r any single prince or his heirs, whic h ought t o have been a n impediment t o any wouldbe autocrat . However, th e syste m di d no t last . Vladimi r Monomak h (d . 1125 ) strov e t o preserve th e unit y o f Rus , bu t a quarter-century late r uncle s an d nephew s wer e fighting ove r seniorit y i n Kiev , an d i n 116 9 th e cit y wa s sacked . B y 120 0 ther e were twelve principalities, n o longer subject t o Kiev in any sense and not prepared to acknowledge an y authority i n th e grand princes of Vladimir. 19 I n an y case they were soo n overshadowed b y their neighbors , th e princes of Moscow. Moscow slowl y an d painfull y absorbe d he r Russia n neighbors , aide d b y tw o facts: he r prince s manage d t o gain an d kee p th e trus t o f th e Mongo l khan s wh o ruled Russi a fro m 124 0 t o about 1450 , an d th e metropolita n an d primat e o f th e

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Russian Orthodo x churc h move d fro m Kie v first t o Vladimir (1300 ) an d finally to Moscow (1328) , thoug h "Kie v and al l Russia" remaine d th e formal designatio n of his see . Stil l later , i n 1408 , th e diocese s i n Lithuani a wer e place d unde r Mos cow's jurisdiction. The governmenta l structur e o f th e principalitie s centere d o n th e assembl y (veche) o f townsmen , o n th e prince , an d o n hi s officials. Th e veche withered an d disappeared altogethe r i n Moscow . Th e princ e wa s o f littl e momen t i n th e tw o northern tradin g republic s bu t becam e all-importan t i n th e Muscovit e state . B y the middl e o f th e fifteenth century , th e prince s o f Mosco w wer e onl y nominall y subject t o th e Mongol s (o r Tatars , a s the y cam e t o b e calle d a s th e ethni c composition o f th e Golde n Hord e shifted) . Iva n III , wh o ascende d i n 1462 , wa s in effec t independen t a t th e star t o f hi s reign , a s h e wa s formall y b y th e tim e i t ended i n 1505 . Thus almos t a t th e sam e moment a s the Byzantin e Empir e passe d int o histor y through conques t b y th e Ottomans , Russi a ende d it s dependenc e o n Musli m rulers. Russi a wa s b y no w th e larges t o f th e Easter n Orthodo x countries , inde pendent o r not . Withi n Russi a th e principalit y o f Mosco w wa s fas t becomin g master o f it s neighbors . Unfortunatel y fo r th e histor y o f freedo m i n Russia , Muscovy surpasse d it s neighbo r state s i n tw o respects : th e powe r o f th e princ e was stronger ; th e institution s o f government outsid e th e principat e wer e weaker . The stat e tha t stoo d a t th e opposit e pole—wea k princel y power , stron g veche— was Novgorod, whic h woul d fall t o Muscovy in 1471. In 145 3 th e Ottoman s stil l ha d t o exten d thei r conquest s t o th e sout h an d east. Th e Mamluk s stil l rule d i n Egyp t and als o Syria. Ther e wer e other Musli m states t o the east . Th e Il-Khan s o f Persia died out i n 134 9 and thei r real m fel l t o pieces. B y th e mid-fifteent h centur y th e mos t imposin g fragmen t o f th e Persia n state wa s Turcoman . Bu t Musli m glorie s wer e pas t excep t fo r th e still-growin g power of the Ottoma n Turks , an d neithe r i n thei r empir e no r east of it could any wisp of pluralism b e detected.

The Reformation Dissatisfaction wit h th e pope s o r th e highe r o r lowe r clergy , wit h respec t t o morality, financial probity , o r political claims , ha d been periodicall y expresse d i n the Wes t fo r centuries . Th e Wes t ha d produce d littl e theologica l heresy — nothing lik e th e grea t heretica l movement s of Arianism, Nestorianism , o r Mono physitism tha t ha d earlie r arise n i n th e Eas t an d agitate d larg e territorie s an d populations fo r centurie s bu t only , an d fo r a short time , a few scattere d individu als an d groups , chiefl y th e Albigensians , wh o revive d th e ancien t Manichea n

The Renaissance and the Reformation 15 1 doctrines, an d th e Waldensians , whos e identification a s heretic s wa s mor e a misunderstanding tha n anythin g else. The teaching s o f Joh n Wycliff e an d Joh n Hu s ha d ha d th e potentia l o f challenging th e fundamental s o f Christia n belie f bu t ha d no t develope d t o th e point o f doin g s o despite th e Hussit e controvers y an d wars , finally mor e o r les s compromised. However , b y th e earl y sixteent h centur y th e convergenc e o f stronge r secular prince s wit h deepe r religiou s disconten t produce d outrigh t challeng e t o the churc h a s i t ha d existe d hithert o an d a n organizationa l a s wel l a s doctrina l breach wit h Rome . The Reformatio n ha d tw o branches . Th e first wa s th e so-calle d Magisteria l Reformation, i n three subdivisions: the following of Martin Luthe r in the Germa n states, takin g shap e fro m th e Protes t (whenc e "Protestant" ) offere d a t th e impe rial Die t o f 1529 ; that o f John Calvi n (Jea n Cauvin) , wh o introduced th e Refor mation i n Genev a i n 1541 , spreading the n wes t an d east ; an d thos e who followe d the Englis h king , Henr y VII I (Ac t of Supremacy , 1534 , makin g hi m hea d o f th e English church) . The secon d branc h wa s th e Radica l Reformation , beginnin g wit h Anabaptis t defection fro m Luthe r i n German y an d endin g with Antitrinitarianis m (o f whic h Unitarianism i n Transylvani a an d Polan d wa s th e chie f variant) . Wha t deter mined th e exten t o f success of the various religiou s dissenters wa s th e power an d steadfastness o f the princes , beginnin g wit h th e suppor t give n Luthe r b y Freder ick th e Wis e o f Saxony , withou t whic h th e Reformatio n migh t hav e bee n stifle d at birth . The West, 1450-1650 England. Afte r th e Hundred Years ' War ende d in 1453 , England underwen t th e additional tormen t o f th e War s o f th e Rose s (1455-85) . The y wer e length y bu t not ver y destructive , bein g mainl y engagement s o f th e feuda l force s o f Yor k (which wor e a whit e rose ) an d Lancaste r ( a re d rose) . I n th e earl y fifteenth century Parliamen t ha d profite d fro m th e shakines s o f th e roya l titl e fro m whic h the Lancaster s suffered ; i t asserte d it s righ t t o redress of grievances an d began t o insist o n initiatin g financial legislation . However , th e Roya l counci l manage d t o relegate t o th e backgroun d o f decisio n makin g first th e feckles s Kin g Henr y V I and the n th e Parliament . A victory of Edwar d o f York in 146 1 carried hi m t o the throne. I t was , however , a turbulen t reig n followe d b y intrigu e an d murder , ending in th e defeat an d death o f Richard II I o n th e field of Bos worth i n 1485 . The victo r a t Boswort h wa s Henr y Tudor , wh o no w becam e Henr y VII . Th e works of Si r John Fortescue , contrastin g th e constitutiona l spiri t of th e Commo n Law o f Englan d wit h th e absolutis t spiri t o f th e Roma n La w o f Franc e an d i n

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general praisin g th e Englis h monarch y a s agains t tha t o f France , seeme d t o anticipate th e political stanc e take n b y this, th e firs t o f the Tudor kings . However, th e political realitie s of his reign wer e somewhat different. Th e ne w king suppresse d th e feuda l armie s tha t ha d brough t abou t suc h prolonge d disor der, develope d a n effectiv e syste m o f managin g roya l finances , an d expende d th e jurisdiction o f th e cour t o f th e Sta r Chambe r t o quell disorder . H e increased th e centralization o f th e real m b y reversin g th e degre e o f autonom y Irelan d ha d gained i n th e 1450 s and , i n "Poynings ' laws, " enacte d tha t n o Iris h Parliamen t should b e hel d no r an y bil l b e brough t forwar d i n i t withou t th e consen t o f th e English king . The nex t Tudor, Henr y VIII, wo n fame from hi s procession throug h si x wives, in searc h no t o f pleasur e (whic h wa s easil y enoug h availabl e t o him i n whateve r form h e chose ) bu t o f a male heir . A staunch Catholi c i n belief , h e wa s awarde d the titl e o f Defende r o f th e Fait h b y a pop e gratefu l fo r hi s attack s o n Luther anism. Nevertheless, i n one of history's more notable ironies, h e emerged a s architec t and executo r o f th e Englis h Reformation . Afte r th e Ac t o f Supremac y (1534 ) made th e monarc h hea d o f th e Churc h instea d o f th e pope , Henr y promptl y too k advantage o f hi s ne w positio n t o seiz e a grea t dea l o f ecclesiastical property , especially th e monasterie s th e ruin s o f whic h do t Englan d still . Parliamen t cooperated wit h th e kingshi p i n carryin g ou t th e Reformation , an d Henr y re warded i t b y granting it s members th e righ t o f freedom fro m arrest. 20 Asid e fro m the awar d t o Ireland of the no t very meaningful titl e of kingdom (1542), little else of moment fro m th e constitutional standpoin t occurre d i n hi s reign . Several ironie s no w supervened . Th e mal e hei r achieve d a t th e cos t o f suc h turmoil, Edwar d VI , died after a short undistinguishe d reign . Soo n Mary accede d to th e throne ; sh e wa s th e gir l t o who m Henr y VII I ha d bee n a t suc h pain s t o provide a mal e alternative . She , too , ha d onl y a brief an d trouble d fe w year s a s monarch. Finall y Henry' s othe r daughter , Elizabeth , becam e queen an d preside d over possibly th e most glorious half-century (t o be precise, forty-fiv e years : 1558— 1603) in al l English history . The religiou s questio n remaine d i n th e forefron t o f publi c an d governmenta l concern durin g th e reign s o f Edwar d V I an d Mar y I . Th e adviser s o f Edwar d moved th e Churc h o f Englan d a bit close r t o Calvinis t Geneva ; Mar y attempte d outright t o restor e Catholicism . Elizabet h strov e t o conciliat e partie s pullin g i n both direction s b y overseein g th e so-calle d Anglica n Compromise. A Protestant tinged catalogu e o f belief s wa s thereupo n joine d t o a mostly Catholi c liturg y an d ecclesiastical organization , an d religiou s conflic t wa s postpone d t o th e nex t cen tury. England's energie s wer e free d t o see k othe r objectives . Elizabet h sen t Si r

The Renaissance and the Reformation 15 3 Francis Drak e t o explore the Ne w World , chartere d th e Eas t Indi a company tha t would serv e a s advanc e guar d o f Britis h penetratio n o f Asia , an d buil t th e fleet that destroye d th e Spanis h Armad a (1588) , settin g Englan d o n th e pat h t o world power. He r general s pu t dow n a n Iris h revol t an d afte r a tortuou s serie s o f intrigues vis-a-vi s Scotlan d he r riva l an d cousi n Mar y Quee n o f Scot s wa s exe cuted (1587) . The domesti c politica l scen e i n Englan d exhibite d a mixtur e o f roya l powe r and parliamentar y potentiality . Elizabet h arreste d Pete r Wentwort h fo r speakin g in suppor t o f fre e speech , bu t pretende d i t wa s fo r othe r reason s (thoug h th e arrest violate d a righ t he r fathe r ha d granted) . Th e secretar y o f state , Thoma s Smith, declare d resoundingly : "Fo r ever y Englishma n i s intended t o be ther e [i n Parliament] presen t . . . an d th e consen t o f th e Parliamen t i s intende d t o b e every man's consent." 21 Th e arres t o f Wentworth wa s more representative o f th e realities o f th e reig n tha n th e declaratio n o f Smith , an d ye t th e latte r wa s no t nonsense. It may be said of the Tudors, fro m Henr y VII t o Elizabeth, tha t they strength ened roya l authority , infringin g th e la w especiall y i n collectin g revenue s bu t fo r the mos t par t stayin g withi n it s bounds . Fro m Henr y VI I onwards , th e crow n cultivated th e middle class, an d Henry VIII face d n o opposition fro m tha t quarte r when h e carrie d ou t man y execution s o f members o f th e ol d nobilit y an d create d new noble s obligated t o him. Thos e executions , accordin g t o one writer, "consti tute a s flagrant example s o f tyranny a s can b e found i n th e sixteent h centur y [i n England], bu t th e definitio n o f treaso n wa s expande d b y ac t o f parliament , an d the execution s rarel y too k place unti l arres t ha d bee n authorize d b y warrant an d guilt had been pronounce d b y a jury o r by the peers of the accused." 22 The Roya l Council , s o powerfu l i n th e day s o f th e Lancastria n kings , wa s converted int o a n instrumen t o f th e Tudors ; ther e continue d t o be nobles amon g its members , bu t me n o f th e middl e clas s wer e mor e prominent . Unde r Henr y VIII a small group of the Counci l wa s chosen t o attend th e monarch whereve r h e was, wherea s th e res t remaine d occupie d a t Westminster. Th e forme r cam e to be called th e privy council. In 153 9 Parliamen t enacte d th e lex regia, whic h "gav e t o proclamations mad e by the kin g in counci l th e forc e o f law, provide d the y did not destroy th e forc e of existing la w o r impos e punishmen t extendin g t o forfeitur e o r los s o f lif e o r limb." 23 I t i s explici t i n it s language , bu t i t spelle d ou t a medieva l righ t o f th e monarch an d did not create a new one. I n th e sam e year anothe r statut e deprive d councilors o f a vote in Parliamen t unles s the y were peers (an d a s such coul d vot e in th e House of Lords) or had been electe d t o the Hous e of Commons. A s a result the councilor s no w sough t electio n t o Commons , usuall y wit h success , an d th e tie between th e kingshi p and Common s was made firmer.

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The Tudor s use d th e Council , an d throug h th e Counci l create d o r extende d the spher e o f activit y o f a serie s o f loca l council s an d specia l courts . Th e latte r took thei r poin t o f departur e t o som e exten t fro m Roma n law . Ther e i s disput e about ho w restraine d th e dynast y wa s i n employin g th e court s i n questio n arbi trarily agains t rea l o r imagine d enemie s o f th e publi c weal , bu t non e abou t ho w easy i t wa s fo r late r ruler s t o misuse them . Th e Tudor s used threat s an d bribe s to bring about th e election o f members of Commons they chose. However, they als o did muc h t o make th e Hous e o f Common s mor e powerfu l and t o enable its members t o claim certain privileges , notabl y freedom fro m arres t and freedo m o f speec h i n thei r parliamentar y capacities . Suc h privilege s wer e sometimes denie d an d ye t wer e persistentl y an d ofte n successfull y sustained. 24 Finally, roya l influenc e wa s extende d downwar d int o th e localitie s throug h as signing new importanc e t o the parish (i n essence , a n ecclesiastica l unit ) an d ne w powers t o the appointe d justices o f the peace. Th e latte r migh t appea r t o be mere tools of the ruler ; i n fact , the y did dispense justice a s often a s the roya l will. Elizabeth die d withou t issue . I n anothe r grea t irony , th e so n of her dangerou s rival, Mar y Quee n o f Scots , succeede d the m both . A s James V I o f Scotlan d an d James I of England (1603-25) , h e was the first of the Stuar t dynasty. Jame s trie d repeatedly bu t i n vain t o convert th e personal unio n o f England an d Scotlan d tha t his reig n ha d brough t abou t int o a n organi c union . H e was firm, eve n truculent , in his insistence on the episcopacy in a church no w possessing a large and growing number o f Puritan s (no t a denomination , an d no t man y o f the m wer e breakin g off fro m th e Churc h o f Englan d t o for m ne w denomination s unti l later) . H e affirmed a religious basi s fo r hi s position ; i t wa s he wh o first made public pla y of "the divin e righ t o f kings. " A king, h e declared , i s responsibl e t o God alon e an d is th e sol e legitimat e foun t o f powe r o n earth . Suc h claim s le d Parliament , meeting severa l time s durin g hi s reign , t o tangl e wit h him . Th e clima x wa s th e Great Protestatio n (1621) : That th e liberties, franchises , privileges , an d jurisdictions o f Parliament ar e the ancien t and undoubted birthright and inheritance of the subjects of England, and that the arduous and urgen t affair s concernin g th e king , state , an d defens e o f th e real m . . . ar e proper subjects and matter of council and debate in Parliament. In a fur y Jame s dissolve d tha t parliament , summone d another , an d die d soo n afterward. Within day s of his accession, Charle s I (1625-49) was moving toward collisio n with hi s first parliament . Th e king' s demand s fo r revenu e o r "supply/ ' counter demands fro m th e Common s fo r enforcemen t o f anti-Catholi c law s an d Puritan sponsored morals , an d foreig n adventure s produce d a formidable mixtur e leadin g to dissolution o f two parliaments. Whe n Charle s opened th e Thir d Parliamen t i n

The Renaissance and the Reformation 15 5 1628 wit h cur t insistenc e o n mor e revenue , Common s replie d wit h th e Petitio n of Right. The documen t affirmed : "n o ma n hereafte r [should ] b e compelle d t o make o r yield an y gift , loan , benevolence , ta x o r suc h lik e charge , withou t commo n consent b y Ac t o f Parliament. " Soldier s wer e no t t o b e billete d i n homes ; n o martial law was to be declared i n peacetime; and imprisonment wa s to be possible only o n specifie d charges . I t wa s t o b e a mileston e i n Englis h constitutiona l history, spellin g out right s tha t indee d ha d thei r antecedent s an d precedent s bu t had lacked explici t an d systemati c exposition . Charles agree d t o the Petitio n o f Right. Nevertheles s ther e promptl y ensue d a dispute betwee n kin g an d Common s ove r a for m o f previousl y existin g taxation , called tonnag e an d poundage , whic h wer e custom s dutie s grante d a s ever y reig n began sinc e Edwar d Ill's . Ther e wa s a lega l cas e t o b e mad e fo r th e king' s position, bu t th e Commons ' trus t i n hi m wa s fas t disappearing . Afte r a scen e of open defianc e o f th e king , Parliamen t wa s dissolve d i n 162 9 and Charle s under took to rule without one . He persiste d fo r eleve n years , skatin g o n th e margi n o f illegalit y t o produc e financial expedient s sufficien t t o run th e government . I n 163 4 a t a x o n seaports , called ship-money , wa s extende d t o th e whol e country . A countr y squir e fro m Buckinghamshire name d Joh n Hampde n refuse d t o pa y an d wa s convicte d i n court—but wa s acquitted , s o t o speak , b y publi c opinion . Meanwhil e th e Hig h Church an d anti-Purita n policie s an d practice s o f the archbisho p of Canterbury , William Laud , arouse d growin g antagonis m i n England . Whe n th e kin g at tempted t o impos e th e Anglica n for m o f worshi p o n Scotland , however , h e provoked resistanc e fro m a whole people. To obtain suppor t i n subduin g th e Scots , h e summoned a body whose leader s had bee n waitin g fo r thi s moment : th e Shor t Parliamen t o f April—Ma y 1641 . Deadlock wa s immediate. Th e kin g now ha d t o call th e Lon g Parliament (1641 60). Le d by Hampden, th e hero of ship-money, an d financier Joh n Pym , i t passed a bil l o f attainde r fo r Charles' s chie f la y assistant , th e ear l o f Strafford ; i t proceeded t o requir e triennia l convokin g o f Parliament , abolishe d th e specia l courts, an d compelle d th e kin g t o accept wha t i t ha d done . Meanwhil e Puritan s were overthrowin g accepte d form s o f worship , an d conservative-minde d peopl e recoiled int o suppor t o f the kin g in bot h religiou s an d political respects ; the Iris h also preferred Charle s t o the Protestan t zealots . The di e wa s cast . Th e kin g himsel f trie d t o arres t five leader s o f Common s within th e wall s of th e House ; Parliamen t submitte d t o Charles ninetee n propo sitions tha t woul d hav e conveye d sovereignt y int o it s hands . Th e monarc h too k refuge i n th e north wit h abou t one hundred member s of Lords and Commons an d raised hi s standar d a t Nottingha m i n August 1642 .

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The Civi l Wa r wa s t o las t fou r years . B y an d larg e th e gentry , clergy , an d peasants stoo d b y th e king ; th e middl e classe s an d man y noble s too k th e sid e of Parliament. I n 1644 , a t Marsto n Moor , th e royalis t cavalr y wa s decisivel y de feated b y Olive r Cromwell , a countr y gentleman , an d hi s newl y traine d troop s termed th e Ironsides . Abou t a year later , a t Naseby , th e mai n royalis t arm y wa s wiped out, an d by early 164 6 Charles wa s a king without a n arme d force . But th e victor s no w ha d falle n out . Parliamen t ha d committe d itsel f t o a Presbyterian stat e church ; th e arm y wa s b y thi s tim e heavil y influence d b y Independents, wh o wer e radica l Protestant s separatin g fro m th e Churc h o f England bu t als o opposed a religiou s establishmen t o f ''presbyters. " On e sectio n of th e Independent s i n th e arm y forme d somethin g clos e t o a politica l part y determined o n radica l change : th e Levellers . Thei r leader , Joh n Lilburne , wa s a thoroughgoing democrat i n a pre-democratic age . Th e Leveller s produced a document terme d th e Agreement o f the People ; they demanded tha t i t be submitted t o popular referendum . I t provide d fo r a unicameral parliamen t electe d by universa l manhood suffrag e an d a bill of rights tha t parliamen t coul d not abridge . The Levellers ' proposed constitutio n (fo r tha t i s what th e Agreement was ) had been draw n u p only when th e kin g had rejected a n offer mad e by Cromwell fo r a compromise settlement . Cromwel l ha d grea t difficult y maintainin g a middle wa y between th e Leveller s and Parliament , whic h trie d for its own peace with Charle s while th e arm y was busy defeating a combination o f Scots and royalist s i n th e socalled Secon d Civi l War o f 1648 . Now th e arm y purge d Parliament ; a smal l Rum p o f fifty o r sixt y remained . The kin g was beheaded i n 1649—th e onl y Britis h monarc h eve r t o be executed . The Rum p Parliamen t abolishe d th e monarch y an d th e Hous e o f Lord s an d proclaimed Englan d t o b e a "commonwealth " controlle d b y th e singl e remainin g chamber; thu s th e Agreemen t o f th e Peopl e wa s roughl y pu t int o effect, withou t having been adopted . O r rather , it s principle s wer e proclaimed ; fo r th e realit y of the revolutionar y governmen t wa s military despotism presided ove r by Cromwell. The Leveller s wer e challenge d fro m th e fa r lef t b y a smal l grou p o f "Tru e Levellers," o r Diggers , whos e spokesma n wa s Gerar d Winstanley . I n 164 9 the y attempted t o seiz e an d cultivat e unenclose d commo n lan d an d t o give wha t the y grew t o th e poor . The y preache d agraria n communism , denounce d privat e prop erty as the chief roo t of evil, an d declared tha t "Jesu s Chris t i s the head Leveller " —that is , "Tru e Leveller " o r Digger . The y wer e forerunner s onl y an d ha d n o significant impac t on thei r time . The mai n thrus t o f th e Englis h Revolutio n la y just ahead . I t wa s a revolutio n in th e sens e of overthrowing (temporarily ) a government an d no t merely a person or person s i n authority ; i t wa s als o on e o f th e fou r grea t religiou s war s o f th e period.

The Renaissance and the Reformation 15 7 France. Charle s VI I wa s succeede d b y a talented statesma n o f repulsive charac ter. Loui s X I di d much , perhap s mor e tha n an y othe r king , t o creat e a formall y unlimited monarchy . H e revoke d th e Pragmati c Sanctio n o f Bourges, bu t whe n i t became clea r tha t th e papac y woul d d o littl e b y wa y o f compensatio n fo r tha t concession, h e reasserte d roya l powe r wit h regar d t o th e church . Louis' s hatre d of hi s fathe r le d hi m t o revers e Charles' s policie s whereve r h e could ; h e ofte n deprived noble s o f officia l position s o r pension s simpl y becaus e the y ha d serve d Charles VI I faithfully . Louis X I mad e ever y effor t t o reduc e th e powe r o f th e feuda l lords . H e managed t o annex bot h th e duch y an d count y o f Burgundy , an d i n rapi d succes sion acquire d Anjou , Bar , Maine , an d Provence . Brittan y wa s t o los e it s auton omy durin g th e nex t reig n whe n Kin g Charle s VII I marrie d it s duchess . Th e royal domain ha d com e to be nearly identical wit h France . In 148 4 Charle s VII I wa s stil l a minor . Durin g tha t year' s meetin g o f th e Estates General , Philipp e Pot , seigneu r d e L a Roche, declare d tha t whe n a kin g is incapable o f ruling ''governmen t an d guardianship " ar e temporaril y transferre d to "all subjects o f the crown , o f what ran k soeve r they be." 25 One writer declare s that suc h contentions , 'startlin g thoug h they may sound t o those unfamiliar wit h the Middl e Ages, have been aptly described a s 'commonplaces of the schools' [tha t is, o f th e learne d me n o f th e grea t universities], " an d thi s particula r statemen t may b e relate d t o th e interest s o f th e nobl e hous e o f th e Beaujeus , wh o wer e powerful adviser s t o the throne. 26 Nevertheless suc h declaration s pave d th e wa y fo r lega l an d actua l limitation s on th e powe r of the rule r an d guarantee s o f the right s of his subjects , no t only in France. O n th e occasio n i n question , a numbe r o f statement s o f grievance s an d desires were presented, bu t afte r heate d argumen t th e Estate s General adjourne d with minima l result . For th e tim e bein g th e curren t ra n i n th e directio n o f a strengthened , no t weakened, monarchy . Th e Beaujeu s wer e bolstering royal officialdom b y appointment o f me n wel l traine d i n administratio n an d finance. Th e King' s Council , consisting o f a few hig h officials , severa l nobles , an d man y lawyers , a t thi s stag e usually operate d i n thre e parts : a High Counci l concerne d wit h polic y matters, a treasury, an d th e Parlemen t o f Paris . Th e Parlement , originall y consistin g o f royal prince s an d grea t nobles , throug h th e infusio n o f lawyer s ha d bee n turne d into a virtual instrument o f the crown; over and over it had successfully combate d the claim s o f noble s an d clerg y an d relegate d the m t o roya l jurisdiction. O n th e territorial an d politica l foundation s lai d b y Loui s XI , th e crow n wa s steadil y growing in power . Charles VIII , attracte d b y th e "wealt h an d splendou r an d weaknes s o f Italy " as i t approache d th e er a o f th e Hig h Renaissance , invade d i t i n 1494 27 —but t o

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little profit. Franci s I did better, an d hi s Italia n successe s le d to the Concorda t of Bologna (1516) , b y whic h th e kin g chos e th e bishop s an d abbot s althoug h th e pope wa s t o receiv e th e annate s (th e first year' s revenu e o f churchl y holding s subject t o the king). Francis inaugurate d tw o policie s o f th e Frenc h monarch y tha t seeme d para doxical bu t wer e t o be pursue d fo r centuries ; h e pu t ou t tentativ e feeler s t o th e Protestants o f Germany , an d h e forme d a n entent e wit h Suleima n th e Magnifi cent, sulta n o f Turkey . Bot h ha d i n vie w th e curbin g o f th e Habsburgs , whos e domains encircle d Franc e unde r Charle s I an d V , Francis' s contemporary , an d remained stron g i n bot h Austri a an d Spai n whe n Charles' s heir s divide d hi s inheritance. Henry I I undertoo k t o pursue th e contacts wit h th e Protestants , whos e envoys offered th e Frenc h kin g th e "thre e bishoprics " (Metz , Toul , an d Verdun—tha t is, muc h o f Lorraine) i n retur n fo r hi s assistance ; he occupied the m fo r good . H e also seized Calai s from th e English , wh o were supportin g his Habsbur g adversar ies a t tha t point . Th e peac e mad e a t Cateau-Cambresi s i n 155 9 then terminate d the wars between th e Habsburg s an d Valois. In th e precedin g decade s ther e ha d bee n severa l war s i n whic h th e religiou s issues betwee n Protestant s an d Catholics , an d sometime s betwee n Protestant s and Protestants , ha d bee n present ; bu t th e peac e o f 155 9 * s usually considere d the poin t afte r whic h dynasti c motive s pas s t o th e backgroun d an d th e "war s of religion" ensu e fo r a century. I n fact , th e phras e war s o f religion i s used specifi cally t o refe r t o th e conflict s i n Franc e (1562—98) , thoug h i t ma y als o designat e the broade r categor y includin g th e Revol t o f th e Netherlands , th e Thirt y Years ' War, an d th e Civi l War i n England . Herbert J . Mulle r ha s plausibly asserte d tha t wha t worke d th e Englis h middl e classes u p to fighting pitch wa s not economi c factor s bu t thei r Purita n religion. 28 There wer e also people in thos e days who seemed th e incarnation o f religious zeal and at root were anything but. O f Catherine de' Medici, th e dominant personalit y of wha t wa s no w th e mos t centralize d stat e i n wester n Europe , i t ha s bee n sai d that "i t i s th e greates t mistak e t o imagine tha t an y confessiona l fanaticis m la y at the bottom o f her politica l action . . . . Her chie f motiv e was the desire t o govern, and he r husband' s deat h gav e her th e opportunity a t last." 29 Sh e was th e mothe r of three king s in a row and was the real ruler during their reigns . The monarch y ha d gaine d ascendanc y ove r th e noble s o f th e previous , feuda l times; but the y were not read y t o knuckle under . Man y nobles joined th e Hugue nots (th e Frenc h Calvinists ) an d thereb y turne d a ragta g ban d o f burgesse s an d lawyers int o a powe r i n France . I n th e 1550 s th e kin g an d Huguenot s sparre d with eac h other , an d nobl e an d Thir d Estat e demand s fo r a continuin g rol e i n

The Renaissance and the Reformation 15 9 government wer e voice d i n th e Estate s General , summone d i n 1560 . Soo n after ward civi l war broke out. The wa r trouble d th e countr y intermittentl y fo r thirty-od d years . I n th e infamous Massacr e o f St . Bartholome w (1572) , Catherin e trie d t o wip e ou t th e Huguenot leaders . I n 157 6 the las t of her sons , Henr y III , accepte d th e so-calle d Peace o f Monsieu r (suc h wa s th e officia l titl e o f th e duk e o f Alengon, th e king' s brother), whic h grante d religiou s libert y i n a sweepin g manner , exemptin g onl y Paris an d th e cour t fro m th e righ t o f th e Huguenot s t o worship a s the y chose . I t was th e produc t o f a ne w an d growin g bod y o f Catholic s calle d politiques who wished religiou s peace . Bu t a group of intransigent Catholic s oppose d th e Peace ; in 158 9 a monk murdered th e king , an d th e house of Valois came to an end. 30 The crow n wen t t o Henr y o f Navarre , wh o ha d bee n kin g of th e fragmen t o f Navarre nort h o f th e Pyrenee s tha t remaine d afte r Spai n seize d th e rest . Hi s house, th e Bourbons , wer e t o be king s throughout mos t of the remainin g years of monarchy i n France . A t tha t poin t h e wa s th e leade r o f th e Huguenots . H e stil l had t o fight fo r hi s throne , abjurin g th e Protestan t fait h i n 159 3 befor e bein g crowned. However , h e sough t an d obtaine d religiou s peac e a t las t b y granting i n 1598 toleratio n i n th e Edic t o f Nantes— a ver y successfu l measure , thoug h les s extensive in it s provisions tha n ha d been th e Peac e of Monsieur . Henry I V ha d muc h succes s i n restorin g a n effectiv e kingshi p ove r a unite d country. Ther e wer e stil l a few provinces , i n particula r Languedo c an d Brittany , which a s pays d! etats retained self-governmen t b y thei r ol d Estates , bu t mos t o f France wa s pays d' election, where roya l official s hel d sway . Henr y differentiate d the clerica l an d la y dignitaries o n th e Roya l Counci l fro m th e twelv e rea l admin istrators appointe d b y himself, an d h e ha d a secre t counci l o f four , chie f amon g them th e Hugueno t duk e o f Sully , wh o advise d hi m mos t intimately . H e under mined th e libertie s o f th e cities ; and le t th e Estate s Genera l wither . I n contrast , he unwisely strengthene d th e Parlement s when , i n 1604 , h e introduced a system that mad e membershi p hereditar y an d independen t o f th e monarch . Thereb y h e secured th e paulette—a sixtiet h par t o f the value of the offices eac h year—whic h aggregated a sizable su m but lef t t o Henry's successor s a growing problem. Sully restore d solvenc y t o th e Frenc h state , bu t h e di d no t alte r th e burden some system of taxation whereb y th e taille (direct ta x on the lan d or houses of the lower classes) and gabelle (salt tax , agai n affecting th e unprivileged only ) made u p the chie f source s of revenue. Th e feuda l lord s were reduce d t o a shadow, bu t th e Huguenots, possessin g almos t 10 0 town s an d noble s s o powerful tha t they coul d raise an arm y of twenty-five thousan d a s compared wit h th e peacetime roya l forc e of ten thousand , offere d a new threa t t o the power of the monarch . From th e standpoin t o f hig h culture , ther e i s littl e doubt : th e seventeent h

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century wa s France' s greatest . I t wa s a strikin g exampl e o f ho w toleratio n benefits al l parties . Th e Huguenot s thrived ; "no r wa s th e ai r o f freedo m les s favorable t o th e Roma n Churc h i n France , whic h no w entere d o n it s mos t glorious period , an d th e en d o f Protestan t libertie s wa s th e en d als o of Gallica n [French Catholic ] brilliance. "31 Henry I V was assassinate d i n 1610 , an d fourtee n year s of confusion followed . The State s Genera l wer e summoned i n 161 4 t o quel l a n incipien t revol t o f Huguenot nobles , wh o objecte d t o th e paulette and wer e suspiciou s o f th e rap prochement wit h Spai n tha t th e boy-king s adviser s ha d arranged . (Th e Estate s General woul d no t mee t agai n unti l 1789—or , mor e precisely, the y woul d neve r meet again , fo r a t tha t tim e they instantly turne d int o something else. ) Louis XII I wa s no t a nonentity , bu t h e wa s overshadowe d b y th e Cardinal Duke o f Richelieu , a ma n "o f surpassin g abilit y devoi d o f al l engagin g huma n weakness,'' wh o becam e hi s chie f ministe r i n 1624. 32 A s a cleri c h e wa s no t memorable; as a statesman h e has had fe w equal s in al l modern history . The Thirt y Years ' Wa r bega n i n 161 8 an d wa s no t conclude d fo r si x year s after Richelieu' s deat h i n 1642 . However , i t wa s hi s victory , rathe r tha n anyon e else's, ove r hi s chosen enemy , th e Habsburgs , rathe r tha n an y religiou s group , that shape d th e outcome. Domesticall y Richelie u ha d t o deal with th e Huguenot s as an armed force , whic h h e overcame by the capture of La Rochelle in 1628 , but he wa s carefu l t o leav e the m thei r freedo m o f religion . Whe n h e died , leavin g affairs i n th e hand s o f Cardina l Mazari n a s regen t fo r th e five-year-old Loui s XIV, h e bequeathe d t o them a much-consolidated roya l power. H e ha d employe d a categor y o f official s know n a s intendants effectively, an d h e ha d prevente d th e nobles, Hugueno t an d Catholic , fro m gettin g out of hand. In 164 8 th e Peac e o f Westphali a codifie d th e Frenc h triump h an d yielde d France much territory ; yet the old nobles rose against th e crow n i n th e adventur e termed th e Fronde , i n a curious sho w o f indifference t o the settlement . Th e ol d "nobility o f th e sword " wa s soo n mastered ; th e "nobilit y o f th e robe " to be foun d in th e Parlements , wh o sough t "t o substitute governmen t b y law fo r governmen t by royal or any other irresponsible will," 33 lasted longer , an d both rebellion s wer e not pu t dow n unti l 1653 . Mazari n wa s bac k i n power , an d Loui s XIV , i n th e longest o f all reign s i n th e annal s of recorde d history , wa s about t o put hi s stam p on a whole Age. Italy and Iberia. Th e Frenc h successe s i n norther n Ital y a t th e tur n o f th e sixteenth centur y ha d repercussion s i n othe r part s o f th e peninsula . Girolam o Savonarola, th e Dominica n prio r i n Florence , predicte d doo m fo r a wicke d city , and Charles VII I obliged by making his appearance. Th e resul t wa s the expulsio n of th e Medic i ruler s an d th e purificatio n o f th e republica n institution s tha t th e

The Renaissance and the Reformation 16 1 Medicis ha d flanked an d used fo r thei r ow n purpose s rathe r tha n abolished . Th e reform dre w partiall y o n Venetia n models . Abou t thre e thousan d citizen s o f Florence, me n wh o ha d certai n qualification s base d o n ag e an d officeholding , were t o govern . Unlik e i n Venice , however , appointmen t b y lo t wa s abolished , and n o head of state comparabl e t o the Dog e was to be named. Savonarol a helpe d bring about his own rui n an d execution , an d th e Medici s returne d i n 1512 . As for Venic e itself, i t boasted institution s retainin g som e Greco-Roman char acteristics an d was , i n th e vie w of A. J. Grant , "th e mos t perfect specime n o f an oligarchy know n t o history/' 34 It s Senat e an d Counci l o f Ten manage d a tradin g empire whos e diplomat s wer e inferio r t o none o n th e plane t an d whos e commer cial locatio n wa s perhap s superio r t o al l others—unti l th e Turk s blocke d th e eastern Mediterranea n an d th e Portugues e an d Spaniard s discovered other route s to the Orient . The papa l state s wer e brough t unde r som e degree o f rea l contro l b y Rome , i n part owin g t o the exploit s o f th e notoriou s Cesar e Borgia , so n of Pop e Alexande r VI. H e wa s one o f th e so-calle d "Renaissanc e popes, " on whos e shoulder s mora l considerations sa t lightl y an d wh o spen t muc h o f thei r energ y a s wel l a s mone y on embellishin g th e Eterna l Cit y wit h art . The y wer e als o draw n int o th e wa r and diplomac y o f th e Frenc h invasion s o f th e Italia n peninsula . Th e attentio n o f Pope Le o X (so n o f Lorenz o th e Magnificent , wh o wa s th e bes t know n o f th e Medicis) wa s thu s fixed i n almos t ever y directio n excep t Wittenberg , wher e Martin Luthe r woul d i n 151 7 nai l u p hi s these s an d thereb y inaugurat e th e Reformation. In th e sout h ther e wer e tw o institutiona l feature s virtuall y absen t elsewher e in Italy : monarchy an d feudalism. A t the end of the fifteenth centur y tw o Spanish dynasties ruled : th e illegitimat e branc h o f th e Hous e o f Arago n i n Naples , an d the legitimate branch o f the sam e house, whos e scio n was now th e kin g of unite d Spain, i n Sicil y an d Sardinia . I n Naple s th e grea t nobles , s o alien t o culture an d politics a s t o convince Machiavell i tha t nothin g coul d b e don e t o improve thing s unless i t wa s decide d t o "wip e the m ou t entirely, " ha d assiste d som e unpleasan t monarchs t o stifle th e liberties of the towns. I n th e early 1500s , the Spanis h roya l house acquired Naples ; they would rul e ther e unti l 1713 . Finally, a n obscur e stat e i n th e wester n Alps , Savoy , unde r heav y Frenc h influence a t th e outse t o f th e sixteent h century , bega n a ris e t o prominence; it s duke, Emanue l Philiber t (1553-80) , mad e headwa y i n curbin g th e powe r o f th e nobles and establishin g a n effectiv e duca l authorit y of his own. Italy lacke d unity , wa s th e playthin g o f foreig n ruler s an d armies , an d re mained fo r centurie s longer , i n Metternich' s words , onl y a "geographical expres sion." Yet in th e citie s of the nort h fre e me n raise d painting an d sculptur e t o the greatest height s t o date, practice d self-governmen t wit h impressiv e success , an d

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demonstrated a capacity fo r livin g happy lives—skill s als o shared t o some degree in th e center an d sout h o f the peninsula . After a lengthy perio d o f preparation durin g whic h th e Iberia n peninsul a ha d been i n fragments , Spai n rockete d int o th e first ran k o f Europea n power s an d became th e metropoli s o f th e first empir e t o b e buil t acros s th e oceans—alon g with tha t of Portugal, whos e overseas possessions were on a smaller scale . Portugal's achievemen t wa s th e mos t astonishin g o f th e Ag e o f Discovery , epoch-making a s it wa s fo r muc h o f Europe . Thi s tin y stat e sen t ou t expedition s that crep t alon g th e Africa n coas t t o roun d th e Cap e o f Goo d Hop e (1497 ) an d reached India , wher e Go a soo n becam e headquarter s fo r th e Portugues e i n Asia , and finally China at Macau . Th e expeditio n (thoug h no t the person) of Ferdinan d Magellan circumnavigate d th e glob e in 1519—22 . Wealth flowed into the countr y during th e reig n o f Manoe l I , wh o inherite d th e strengthene d roya l powe r hi s father ha d gaine d throug h hars h measure s agains t th e nobility . However, a t tha t poin t Portugues e luc k seeme d t o fail. Th e refusa l o f John I I to suppor t Columbus' s proposa l fo r a voyag e westwar d appear s symbolic ; th e expulsion o f th e Jew s i n 149 6 wa s a grav e self-inflicte d woun d o n Portugues e society. Th e sixteent h centur y sa w a pause an d the n a decline. I n 158 0 Portuga l passed unde r th e rul e o f Phili p I I o f Spain , an d wa s t o regai n it s independenc e only in 164 0 by way of revolt supporte d b y Richelieu's France . Joh n IV , first kin g of th e Hous e o f Braganza , inaugurate d a perio d i n whic h th e powe r o f th e monarchy waxed , tha t o f th e nobilit y waned , an d th e overal l prosperit y o f th e country sli d downhill. For th e first tim e sinc e th e Visigoth s Spai n becam e a reality a s a result o f th e marriage i n 146 9 o f Isabella , a t th e tim e th e uncertai n heires s o f Castile , an d Ferdinand o f Aragon, carrie d ou t i n secrec y i n a modest hous e in Valladolid . Sh e succeeded t o th e thron e o f Castile , the n h e t o th e thron e o f Arago n (1479) , including the Baleari c Islands , Sicily , an d a claim t o Naples. I n 149 2 a campaign against Granada , unwisel y provoke d b y th e Mooris h ruler , ende d afte r severa l years b y conques t o f tha t state . In 151 2 Navarr e wa s annexed . Onl y Portuga l remained outsid e th e ne w entit y calle d Spain . I n 149 2 the first voyag e of Colum bus, financed b y Ferdinand an d Isabell a (thoug h the y to o had initially refused , a s had th e Portugues e king) , bega n th e grea t Spanis h empire , mainl y i n th e Ne w World bu t extendin g a s fa r a s th e Philippines , whos e very nam e wa s take n fro m Philip II . Spain unde r on e pai r o f ruler s retaine d th e separat e institution s o f Castile , Aragon, an d Navarre , bu t th e reyes catolicos sough t t o construc t a unifie d an d absolute monarchy . Face d wit h th e strengt h o f feudalis m i n Aragon , Ferdinan d and Isabell a concentrate d o n increasing th e powe r o f the crow n i n Castile . The y

The Renaissance and the Reformation 16 3 removed al l but thre e o f the noble s who had dominated th e Roya l Council, an d i t now containe d i n additio n on e cleri c an d eigh t lawyers . I t ha d bot h judicial an d administrative function s an d exerte d som e influenc e i n legislation , actuall y thoug h not legally throughout Spain , no t merely in Castile . The ruler s appointe d official s calle d corregidores t o control th e cities , an d the y in tur n ha d a decisive sa y regardin g whic h burgesse s wer e sen t t o th e Corte s o f Castile—which stil l had three separat e chambers of clergy, nobles , an d commons (representing man y peasant s i n th e capacit y o f citizens o f town s they live d near , as well a s the townsme n themselves) . Ferdinan d wa s elected gran d maste r o f th e great order s o f knighthood—Santiago , Calatrava , an d Alcantara—an d wa s abl e to draw on their grea t wealth i n distributing patronage . The grea t noble s ha d ofte n place d younge r son s i n th e riche r appointment s o f the church , bu t th e reyes gaine d contro l ove r man y o f them . Nevertheless , th e property o f th e noble s wa s littl e affected . Exemp t fro m taxatio n an d enjoyin g many legal privileges, th e nobles comprised a n array that range d fro m th e twenty five grandees throug h th e res t o f th e title d nobilit y t o sixty-thousand hidalgos , o r knights, an d a comparabl e numbe r o f urba n nobles . Th e lineament s o f thi s hierarchy, al l sharply distinguished fro m th e common people, were spelle d out by Charles I in 1520 . The distinctio n woul d be long lasting. In Arago n ther e wer e fou r chamber s i n th e Corts , habituate d t o ac t rathe r more independentl y o f th e monarc h tha n wa s th e cas e i n Castil e an d entitle d t o join i n th e approva l o f legislation . Bu t th e Aragones e Cort s wa s als o brought t o heel b y Ferdinan d an d Isabella . Ecclesiastica l instrument s wer e importan t too : foremost, th e Spanis h Inquisitio n (differen t fro m th e papal or Roman Inquisition , a les s fearsom e agency) . It s zea l t o discover hidde n Jewis h belief s backfire d an d provoked a cessatio n i n conversion s an d eve n reversio n o f converte d Jew s t o Judaism. Th e upsho t wa s expulsion o f the Jews and, a s in Portugal , los s of much wealth an d ability . Th e Moor s of Granada, a t first treate d gentl y and fairly , wer e the victim s o f a drastic turnabou t i n policy . I t mus t b e sai d tha t wha t Ferdinan d and Isabell a di d t o th e Jew s an d Moor s reverse d th e traditio n o f th e medieva l Spaniards. Som e o f Spain' s mos t notabl e figures o f th e perio d wer e conversos o r their descendants : St . Teres a o f Avila, th e grea t jurist Francisc o d e Vitoria , th e defender o f Lati n America n Indian s Bartolom e d e La s Casas , th e humanis t Lui s Vives.35 The devic e o f roya l marriag e ha d unite d Spai n permanently ; i t wa s no w t o produce ye t mor e spectacular , thoug h transitory , results . Mar y o f Burgundy , daughter o f Charle s th e Bold , hel d th e loyalt y o f Flander s afte r he r fathe r fel l a t Nancy in 1477 , an d thereupo n i t ''wa s los t t o France forever." 36 Sh e hastened t o marry Maximilian , princ e o f th e Habsburgs—wh o a t thi s poin t wer e fa r fro m

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what the y woul d become . Thei r so n Phili p marrie d Joanna , Ferdinan d an d Isabella's daughter , younge r tha n bot h a brothe r an d a siste r bu t nevertheles s finally heiress o f Spain . The so n o f Phili p an d Joanna , afte r hi s grandfathe r hesitate d betwee n hi m and hi s younger brother a s the more suitable heir , a t last became king of Spain as Charles I an d Hol y Roma n Empero r a s Charle s V . H e wa s maste r o f mor e tha n half o f wester n Europ e an d mos t o f th e Ne w World . Ther e wa s muc h luc k i n that amazin g outcome , thoug h whos e wa s th e luck ma y b e debated , sinc e Spai n was drawn int o many burdensome affair s i t might otherwise hav e escaped . From th e first Charle s wa s clumsil y disrespectfu l o f th e right s o f th e Corte s and th e privileges of the region s an d citizen s of Spain. Soo n a rising (1520) of the northern town s (comuneros), le d by Toledo, too k place that appeare d dangerous t o the throne ; i t wa s suppresse d a s it s leader s fel l ou t wit h on e anothe r an d th e nobles tardil y combine d t o resist . Th e monarch y wa s no t wel l entrenched . Th e towns retaine d som e autonom y bu t wer e watche d ove r b y th e corregidores; th e Cortes continue d bu t onl y eightee n "roya l towns " no w sen t deputies , wh o wer e mainly urba n noble s exempt fro m th e taxe s the y were willing to vote. Charles propose d t o infring e th e nobility' s exemptio n fro m taxatio n i n 1538 , but th e reactio n brough t hi m t o execut e a hast y retreat . Th e Spanis h nobilit y remained fre e o f obligation s an d a n ever-heavie r burde n o n th e commo n people . Unable t o restore th e religiou s peac e Luthe r ha d broken , Charle s fough t severa l wars with France , ofte n ove r Italy. Th e las t one was concluded b y peace in 1559 ; by tha t tim e th e king-empero r ha d abdicate d i n a n acces s o f wearines s an d il l health t o enter a monastery. His successor , Phili p II , zealousl y pursue d no t religiou s peac e bu t victor y i n the struggl e wit h Protestantism . Succeedin g t o all his father' s possession s excep t Germany, h e adde d Portugal , winnin g th e crow n partl y b y Spanis h arms . Bu t other extra-Iberian involvement s were failures. Eve n the memorable naval victory over th e Turk s i n 157 1 a t Lepant o ha d littl e resul t becaus e i t wa s no t followe d up. H e sen t a Spanis h arm y int o th e Netherland s t o put dow n th e Dutc h revol t in 1567 . I t finally proved impossibl e t o do. T o cut of f Englis h hel p to the Dutch , Philip dispatched th e great Armada i n 1588 , which wa s destroyed. I n 1609 , afte r his death, a truce i n effec t woul d yiel d acceptance of Dutch independence , whil e the south , Flanders , wa s t o remain unde r Spanis h rule , thoug h onl y the Peac e of Westphalia i n 164 8 recognized th e "Unite d Provinces " as independent i n law . At home, however , Philip' s power reache d ne w heights. Th e Corte s of Castil e and Arago n stil l met , bu t th e roya l bureaucracy becam e increasingl y formidable ; Philip rule d throug h th e Roya l Counci l an d othe r council s tha t wer e founde d during his reign, wit h littl e challenge . Reddaway assert s tha t "Spai n ha d owe d he r amazin g ris e t o the emergenc e of

The Renaissance and the Reformation 16 5 exceptional publi c servants " — Ferdinand an d Isabella , Columbus , an d Charle s I, amon g others. 37 I n th e "Golde n Century"— a sligh t misnome r fo r 15 0 years, the whol e sixteent h centur y an d th e first hal f o f th e seventeenth—Spaniard s attained th e first ran k i n religion , law , art , an d literature . In contrast , th e politica l scen e wa s less inspiring . Phili p II I (1598—1621 ) wa s a religiou s reclus e whos e chie f minister , th e Duk e o f Lerma , preside d ove r a system o f court-centere d corruption . Nobl e estate s gre w t o giganti c proportions ; high noble s wer e given a share i n government . Th e roya l administration , leanin g heavily o n lawyers , wa s reasonabl y efficien t bu t wa s hampere d b y a declin e i n agriculture, industry , an d trade , an d specificall y b y th e vas t debt s th e stat e ha d accumulated. Lerm a expelle d th e Morisco s (converte d Muslim s suspecte d o f retaining fait h i n Islam) , inflictin g thereb y furthe r economi c damag e o n th e country. Before Phili p Ill' s death , Spai n wa s plunge d int o th e Thirt y Years ' War . Before tha t wa r ended , Phili p IV' s reig n ha d brough t Spai n ne w troubles . H e chose an able minister, th e Count-Duke Olivares . Th e minister coul d no t revers e the introductio n o f hig h noble s int o th e centra l administrativ e picture , bu t h e had plan s o f broa d scop e fo r governmenta l refor m tha t h e coul d no t brin g t o fruition. B y endeavorin g t o mak e th e law s o f th e non-Castilia n land s unifor m with thos e o f Castile , h e provoke d th e grea t revol t i n Cataloni a tha t laste d thirteen year s (1639-52) . H e finally managed t o put i t down, bu t h e lost Portuga l for goo d (1640). Th e splendi d arm y of the Spaniards , th e env y of Europe fo r ove r a century, wa s defeated b y the Frenc h i n a crucial battl e at Rocroi in 1643 . Spain had passed th e cres t of its greatness. Central and Eastern Europe, 1450-1650 The Empire. Frederic k III , " a handsome, placi d faineant," i s memorable fo r five things, non e representin g an y particular achievemen t o f his own: he was the first Habsburg t o succee d a Habsbur g a s empero r (thereb y beginnin g a serie s nearl y unbroken unti l 1806 , th e en d o f the empire) ; he married hi s so n Maximilian , th e real founder o f the family' s fortunes , t o Mary of Burgundy an d thereb y ca n clai m much credi t fo r th e creatio n o f Charle s V' s world-empire ; h e adopte d th e fivevowel motto , AEIOU (Austriae est imperare orhi universo, or , Alles Erdreich ist Osterreich unterthan), whic h h e di d nex t t o nothin g t o mak e reality ; h e wa s th e last empero r t o be crowned i n Rom e (1452), a distinction tha t ha d littl e effec t o n anything bu t symbolize d th e empire' s retreat , geographicall y an d otherwise ; an d since th e las t Byzantin e empero r die d alon g wit h th e fal l o f Constantinople , h e was th e first empero r t o hav e n o riva l i n th e East . O f greate r importanc e tha n these point s wa s hi s conclusio n o f th e Concorda t o f Vienna i n 1448 , whereb y h e

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supported papa l defianc e o f th e las t phas e o f th e concilia r movemen t an d i n return gaine d a degre e o f contro l ove r th e churc h i n Habsbur g land s tha t laste d for centuries . His so n Maximilia n attempte d onc e agai n t o refor m th e empire . T h e Die t a t Worms (1495 ) se t u p a n Imperia l Chambe r Cour t (Reichskammergericht). T h e main significanc e o f thi s bod y wa s t o brin g abou t th e ful l receptio n o f Roma n la w in Germany , sinc e doctor s o f Roma n la w wer e t o mak e u p hal f th e membershi p initially an d a s tim e wen t o n i t wa s necessar y fo r th e othe r hal f a s wel l t o b e learned i n th e subject . I n 149 8 th e Cour t acquire d a competing bod y i n th e Auli c Council (Reichshofrat), whic h late r too k ove r muc h o f it s jurisdiction . In 150 0 an d 151 2 a tota l o f te n imperia l circle s (Reichskreise) wer e se t u p t o preserve th e publi c peace . The y include d mos t o f th e 24 0 state s o f th e empire , though no t th e tin y domain s o f th e multitudinou s imperia l knight s o r Bohemia , Prussia, an d effectivel y independen t Switzerland . T h e Estate s o f th e variou s principalities survive d an d i n severa l case s gre w i n strength , bu t tha t proces s di d not necessaril y mea n significantl y limitin g princel y power . "I n general, " write s Waugh, the Estate s o f fifteenth-centur y German y wer e oppose d t o th e partitio n o f principalities ; they wer e eage r fo r peace , interna l an d external ; an d the y encourage d soun d administra tion an d th e employmen t o f capabl e officials . Thus , whil e apparentl y placin g limitation s on a prince's authority , the y were often reall y helping to increase it. 38 T h e principalities ' Estate s wer e a s indifferent , however , a s thei r prince s wer e (both la y an d ecclesiastical ) t o th e concern s o f German y a s a whole . Man y citie s were experiencin g a marke d declin e i n thei r powe r an d considerabl e restrictio n on thei r liberties ; whethe r the y trie d t o ac t individuall y o r i n grouping s seeme d t o make n o difference . Eve n th e Hans a coul d no t besti r itself . T h e powe r o f th e princes gre w steadily ; th e powe r o f th e empero r di d not . T h u s withi n th e empir e th e shap e o f th e futur e bega n t o b e perceptible . I n 1417 th e Hohenzoller n famil y ha d establishe d itsel f i n Brandenburg . B y th e dispositio Achillea o f 147 3 i t wa s enacte d tha t th e Germa n custo m o f divisio n o f inheritance amon g son s shoul d no t appl y t o thi s state . A junio r branc h o f th e family heade d th e Teutoni c Knights , whos e land s wer e jus t t o th e east . T o th e west o f Brandenbur g la y Saxony , divide d betwee n th e tw o brother s Ernes t an d Albert b y a compac t o f i486 , th e Ernestin e portio n retainin g th e electorship ; fo r many year s i t wa s hel d b y Frederic k th e Wise , soo n t o becom e th e patro n o f Martin Luthe r an d th e guaranto r o f Luthera n survival . I n th e south , Bavari a under th e Wittelsbach s ha d grea t strengt h an d a relate d famil y hel d th e Palatin ate, locate d clos e t o France , wher e th e electo r Palatin e wa s th e mos t importan t

The Renaissance and the Reformation 16 7 of all German la y princes. Bavari a seemed capable of absorbing the Swabia n land s to its west , an d th e Habsburg s trie d t o prevent an y suc h thin g b y encouraging a buffer t o form aroun d th e count of Wiirttemberg . It seeme d tha t th e imperia l electio n o f 151 9 offere d a chance—perhap s th e last chance—o f makin g th e empir e onc e agai n int o som e kin d o f unifie d entity . Charles V emerged a s empero r fro m a welter o f bribery an d intrigue , combinin g Spanish an d Austria n land s wit h hi s ne w crown—bu t befor e final acceptanc e h e had t o promis e t o lev y n o ne w tax , mak e n o wa r o r treaty , convok e n o Diet , without approva l o f th e seve n electors. 39 Bu t hi s failur e t o unify th e empir e wa s not chiefly cause d by such promises . The mos t importan t obstacl e t o genuin e unificatio n ha d alread y com e int o view: Luther's criticis m of Rome, which became defiance an d finally led to schism (or, a s Roma n Catholic s believed , heresy ) i n th e church . Som e prince s becam e Protestant, som e remained Catholic , an d there was for years no room for religiou s minorities: th e princ e determine d th e religio n o f th e state . Ther e coul d b e n o political unit y while religiou s disunity persisted . When Luthe r mad e goo d hi s saf e departur e fro m th e Die t o f Worm s (1521) , the potentiality o f lasting ecclesiastical division wa s apparent. A rising of imperial knights claime d affinit y wit h th e reformers , bu t wa s pu t dow n b y th e princes , without hel p from th e imperial authorities . A great Peasan t Revol t also seemed t o associate itsel f wit h th e movement . Th e Twelv e Article s o f th e peasant s (1525 ) demanded redres s of their grievance s against th e excessive exactions of their lord s and th e powe r o f th e princes , appealin g a t ever y ste p t o the Bibl e an d Christia n teaching fo r support . Agai n th e prince s joined t o crush th e revolt ; Luther , afte r hesitating, calle d fo r th e harshes t measures—"strike , throttle , stab" ; late r h e acknowledged tha t h e ha d "commande d the m t o be slaughtered." 40 Luthe r brok e not onl y wit h th e peasant s bu t wit h th e gentle r humanist s an d th e mor e intran sigent an d radica l Anabaptists . And thus th e Magisteria l Reformatio n wa s thrust bac k on the protection o f the princes. Frederic k th e Wise , electo r o f Saxony , havin g preserve d th e Luthera n movement throug h th e crucia l years , die d i n 1525 . Bu t other prince s too k up th e cause: Philip , landgrav e o f Hesse ; Albert , margrav e o f Brandenbur g an d gran d master of the Teutonic Order , no w secularized, s o that h e became the first "duk e of Prussia" ; an d others . Severa l imperia l citie s followe d suit , amon g them Niirn berg and Augsburg . The Habsburg s stoo d firm a s Catholics . I n 152 6 they wer e bolstere d i n a n ironic wa y b y quit e differen t events . Afte r th e captur e o f Constantinople , th e Ottoman Turk s ha d paused fo r a time, the n renewe d thei r marc h o f conquest. I n 1517 they too k Cairo and installed i n Egyp t a Turkish governo r who left rulin g to

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the Mamluks ; i n 152 6 th e greates t o f th e sultans , Suleima n th e Magnificent , advancing t o th e north , defeate d an d kille d Kin g Loui s of Hungar y an d Bohemi a at th e battle of Mohacs. Now Ferdinand , Charle s V' s brother , wa s chose n t o succee d hi m a s kin g i n both realm s (thoug h onl y a smal l fractio n o f Hungar y remaine d outsid e Turkis h rule fo r th e next 170-od d years), an d he managed t o hold Vienna agains t Ottoma n siege. However , neithe r Ferdinan d no r Charle s coul d tur n hi s energie s full y toward crushin g Protestantism , becaus e Franci s I o f Franc e wage d severa l war s against th e Habsburg s i n cooperatio n wit h Suleiman , an d fro m 153 6 i n forma l alliance with th e Turks . In 153 1 th e majorit y o f Protestan t principalitie s an d citie s joine d i n th e Schmalkaldic Leagu e (fro m th e tow n o f Schmalkalde n i n Thuringia) . I n th e fac e of th e Ottoma n dange r i t wa s agree d tha t intra-Germa n quarrel s shoul d b e lai d aside; i n th e meantim e severa l mor e citie s an d states , notabl y Wurttember g an d ducal Saxony , wen t ove r t o Lutheranism . Charles V wished mightil y t o heal th e religiou s breach , an d a general counci l was summoned t o try. Bu t war could n o longer be postponed amon g the Germans; for nin e years , of f an d on , th e tw o side s fough t befor e concludin g th e Religiou s Peace o f Augsbur g (1555) . Formall y i t wa s a "recess " (legislativ e act ) o f th e Imperial Diet ; i n effect , i t gav e prince s (bu t no t th e imperia l government ) th e choice o f Catholi c o r Luthera n ("th e Augsbur g Confession" ) religion s an d thei r subjects n o choice at all. Protestantism ha d won something of a victory. Bu t by now the Roman Catholi c church wa s mobilizin g fo r counterattack . Th e ne w Societ y o f Jesu s serve d a s spearhead; th e Counci l o f Tren t (conclude d i n 1563 ) inspire d th e resistanc e b y its decrees. Th e Counter-Reformatio n mad e remarkable progress in severa l areas. Bavaria wa s reclaime d fo r Rome ; Cologn e wa s narrowl y held ; Bohemi a wa s superficially scoure d clea n o f Protestantism , wit h th e expulsio n o f th e Bohemia n Brethren; th e Habsburg s impose d sever e restriction s o n th e Protestant s o f Hun gary an d stoppe d thei r growth . Th e smal l imperia l cit y o f Donauwort h wa s forcibly wrenche d awa y fro m Protestantism ; th e respons e wa s formatio n o f th e Union o f Evangelical Estate s an d the n th e Roma n retor t i n th e Catholi c League . The Lutheran s ha d bee n joine d i n thei r brea k wit h Rom e b y th e Calvinists , whose "hostilit y t o Rom e wa s muc h keener ; thei r idea s o n theolog y an d churc h government mor e definite ; thei r organizatio n muc h better." 41 Th e follower s o f John Calvin , th e greates t figure o f th e Reformation , ha d mad e palpabl e gain s i n France, Switzerland , Poland , Hungary , an d Transylvani a befor e th e Counter Reformation rolle d the m bac k i n th e las t thre e named . I n Scotlan d the y capture d the country—thei r onl y permanen t conques t o f th e sort . Th e tw o Protestan t

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groups wer e sharpl y a t odd s wit h eac h other , an d a s tim e wen t o n division s withi n Protestantism wer e no t reduce d bu t multiplied . On Charle s V' s abdicatio n i n 155 6 hi s domain s wer e divide d int o tw o parts : the Spanis h Habsburg s wer e t o las t unti l 1700 ; th e Austria n Habsburg s woul d survive i n powe r int o Worl d Wa r I . Powerles s t o reviv e th e institution s o f th e weakening empire , fo r th e secon d hal f o f th e sixteent h centur y the y concentrate d on thei r famil y holdings . B y th e reces s o f th e Die t o f Augsbur g i n 155 5 th e "imperial circles " wer e give n greate r administrativ e authority ; th e resul t wa s t o diminish th e powe r o f th e emperor . Since religiou s antagonism s ha d prevente d electio n o f a presiden t o f th e Impe rial Chambe r Cour t i n 1608 , tha t bod y wa s suspended . I t wa s replace d b y th e Aulic Council , a chang e tha t migh t hav e bee n expecte d t o buttres s th e emperor' s authority. T h e effec t wa s negligible . T h e circle s wer e to o strong . The Circle s embodie d a permanent arrangement , comprisin g both stron g and wea k states , with a Die t fo r eac h Circl e an d a president chose n b y themselves . Th e disturbe r o f on e Circle foun d himsel f face d b y one , thre e o r five o f them , accordin g t o hi s estimate d strength. I f necessary , th e five migh t appea l t o th e senio r Elector , th e Archbisho p o f Mainz (Mayence ) t o summon representative s o f the Imperia l Die t t o Frankfort. Onl y if all this prove d insufficient , wa s th e Empero r petitione d t o convok e a ful l Diet . Autonom y could hardl y b e more amply affirmed. 42 T h e Germa n nobilit y proliferate d i n number , sinc e th e nobl e transmitte d hi s titl e to al l hi s sons , an d i n numerou s case s hi s propert y wa s divide d amon g them , s o that th e clas s coul d no t gro w i n strength . T h e principalitie s an d princel y house s were separate d b y ol d rivalries . A s religiou s antagonism s wer e adde d t o an d compounded wit h them , th e doo m wa s seale d o f an y furthe r attempt s t o unif y th e empire. Religious antagonism s wer e importan t i n th e Thirt y Years ' Wa r (1618—48) , which administere d th e coup de grace t o imperia l unity ; som e feare d i t woul d destroy al l o f Germany . Bu t fro m th e star t politica l consideration s wer e als o present an d becam e mor e significan t a s th e wa r continued . T h e grievance s o f th e Bohemia n Protestant s provoke d th e "defenestratio n o f Prague," i n whic h tw o Catholi c governor s wer e throw n ou t th e windo w o f Hradcany castl e bu t survived . T h e resul t wa s war . Ferdinand , duk e o f Styria , the mos t uncompromisin g Catholi c o f th e Habsbur g line , wa s electe d empero r (a s well a s king ) i n 1619 . H e smashe d th e Bohemian s i n th e battl e o f th e Whit e Mountain i n 1620 , virtuall y destroyin g Protestantis m amon g th e Czechs , greatl y damaging thei r nationa l pride , an d lef t bitte r feeling s stil l unforgotte n i n th e twentieth century . Three successiv e champion s kep t th e Protestan t caus e alive : Christia n I V o f

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Denmark, Gustavu s I I Adolphu s o f Sweden , an d non e othe r tha n France' s Cardinal Richelieu , wh o ha d bee n providin g subsidie s t o th e foe s o f hi s church . Finally h e intervene d wit h Frenc h troops . T h e Peac e o f Westphalia 4 3 (1648 ) brough t t o a n en d th e dreadfu l conflic t tha t reduced th e Germa n populatio n b y perhap s one-half . I t marke d a crucia l lega l and politica l watershed . I n Reddaway' s words : For th e medieva l theor y o f Pop e an d Emperor , th e Peac e substitute d a famil y o f equa l independent territoria l states . I t wa s henceforwar d t o b e assumed , indeed , tha t thes e states wer e bor n t o be friends. Whereve r an d wheneve r necessary , diplomati c representa tives were exchange d betwee n them , an d wer e regarde d a s sacrosanct. T o imprison on e of them o n th e outbrea k o f wa r marke d th e barbaris m o f th e Turks , a powe r lyin g outsid e Europe an d fundamentall y hostile . European s trade d wit h on e another , excep t fo r goo d cause, an d likewis e admitte d eac h other' s subject s t o thei r realms . Bu t thei r religio n henceforth admitte d o f n o outside interference , unles s suc h wa s desired b y the individua l state. Th e Pop e influenced onl y those countries which welcome d hi s intervention, an d th e Emperor wa s merely the senio r amon g the sovereign s of Europe. 44 T h e territoria l result s o f th e peac e ma y b e summarize d thus : Swede n receive d part o f th e souther n coas t o f th e Baltic ; Brandenburg wa s awarde d adjoinin g land s in compensatio n fo r th e right s t o Pomerani a i t gav e up ; Franc e receive d titl e t o most o f Alsace-Lorraine ; th e independenc e o f Switzerlan d an d th e Netherland s was recognized . An eight h electo r wa s designate d fo r Bavaria . Bu t wh o electe d th e empero r and rule d th e empir e hencefort h mattere d little . Eac h stat e withi n i t coul d mak e alliances (i f no t directe d agains t th e empire ) an d th e princ e coul d conduc t hi s own affairs , includin g th e choic e o f religio n (eithe r Catholic , Lutheran , or , no w also, Calvinist) , althoug h subject s wh o di d no t accep t th e choic e h e mad e ha d th e right t o emigrate. T h e Reichskammergericht wa s re-created , bu t i t ha d littl e power . Germany wa s bot h devastate d an d reduce d t o political fragments . Scandinavia. T o th e north , th e unio n o f thre e Scandinavia n kingdom s agree d upon a t Kalma r (1397 ) wa s sporadicall y effectiv e fo r som e decades . Christia n I (d. 1481 ) wa s kin g o f Denmark , Norway , an d Sweden , bu t hi s power s wer e severely limited . Joh n (d . 1513 ) wa s th e las t t o reig n i n al l three . Christia n di d his bes t t o impos e effectiv e Danis h contro l o n Sweden , t o mak e th e hereditar y character o f th e monarch y secur e i n Denmark , an d t o asser t th e authorit y o f th e ruler. I n a n attemp t t o d o s o h e calle d th e fou r estate s togethe r fo r th e first tim e (1468), th e peasantr y bein g th e fourt h estate . Hi s ai m wa s t o circumven t th e national council , wher e th e clerg y an d nobilit y wer e strong . Bu t Christia n rouse d domestic rebellio n an d foreig n attack , an d faile d i n al l hi s aims . Efforts t o rene w th e Unio n o f Kalma r go t nowhere . Gustavu s Vasa , a youn g

The Renaissance and the Reformation 17 1 nobleman, le d a Nationalist part y (on e of the earliest modern use s of the term ) t o Swedish independence, an d he himself was elected king in 1523 . Another person , the duk e o f Holstein , wa s invite d b y th e Danis h bishop s an d noble s t o becom e king o f Denmar k an d Norway . Th e Unio n thu s cam e t o a n end . ( A smalle r union, however , continued ; Norwa y remaine d unite d wit h Denmar k unti l 1814. ) Gustavus als o broke th e ecclesiastica l ti e with Rom e and secure d contro l over th e Swedish church . Th e crow n no w became hereditary i n th e house of Vasa. Meanwhile Christia n III , a contemporar y o f England' s Henr y VIII , preside d over the triump h o f the Reformatio n i n Denmar k an d secularize d churc h proper ties. H e bega n t o suppor t th e Protestant s i n th e empire . Norwa y followe d th e religious path o f its Danis h masters . I n contrast , Swede n unde r th e Vasas rose to become th e chie f powe r i n th e Balti c and , fo r a time , a Europea n an d eve n a world power . It s ris e wa s perhap s du e t o the stronge r monarchy , weake r nobles , and th e less-dependen t peasantr y tha t th e Vasa s ha d inherited , i n compariso n with th e mor e aristocrati c syste m i n Denmark . I n a sixty-yea r reign , Christia n IV (1588-1648 ) wa s powerles s t o arres t th e declin e o f Danis h strength . Hi s withdrawal fro m th e Thirt y Years ' War wa s followe d b y Gustavus I I Adolphus' s spectacular interventio n wit h Swedis h forces . H e als o manage d t o anne x Ingri a (1617) through wa r with Russia , and , throug h wa r with Poland , h e added Livoni a (1629) to the Estoni a hi s predecessors ha d wo n in 1561. Gustavus Adolphu s conciliate d hi s domesti c opponent s s o that the y woul d no t impede his foreign adventures , crowne d b y the event (the battle of Lutzen, 1632 ) to whic h th e epitap h o n hi s tom b i n Stockhol m refers : Moriens triumphavit, "h e was victoriou s a t th e momen t o f death.' ' Bu t hi s chie f contributio n t o his nativ e land wa s th e For m o f Governmen t approve d b y th e Estate s i n 1634 , whic h "placed Swede n a t th e hea d o f Europ e a s a well-ordere d constitutiona l coun try." 45 Th e department s o f justice , army , navy , diplomacy , an d finance wer e each give n a singl e officia l assiste d b y a grou p terme d "college, " an d thes e five plus fifteen othe r member s mad e u p a counci l tha t ha d muc h influenc e an d i n the minorit y o f Quee n Christin a (1632—54 ) mor e o r les s rule d th e nation . Th e chief figure durin g tha t perio d wa s Gustavus' s chancellor , Axe l Oxenstierna , whose wisdom enable d Swede n t o continue it s rise to world power . Poland, Hungary, and Transylvania. I f th e German s o f th e Hol y Roma n Empir e were havin g thei r troubles , th e German s t o th e eas t wer e also . Casimi r I V o f Poland-Lithuania (fro m 144 0 t o 149 2 th e gran d princ e o f Lithuania , fro m 144 6 the kin g of Polan d a s well) ha d stil l t o deal wit h th e Teutoni c Knights , wh o ha d escaped apparentl y inevitabl e destruction afte r sufferin g defea t a t Tannenberg i n 1410. H e wa s called i n b y dissident noble s wh o had league d togethe r agains t th e grand maste r o f th e Order ; bu t th e Pole s wer e worste d agai n an d again , unti l

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Bohemian mercenarie s overcam e th e Knights . B y th e Secon d Peac e o f Thor n (1466), Polan d annexed West Prussi a and permitted th e Teutonic Orde r t o retain East Prussi a onl y a s a vassal stat e o f th e Polis h crown . Th e prou d an d indepen dent-minded Polis h noble s unintentionall y prevente d th e demis e o f th e Knight s by the way in which the y hampered Casimir' s freedo m o f action. During th e Teutoni c war s Casimi r I V ha d t o conced e "th e principl e tha t h e would neithe r summo n th e arm y no r rais e taxe s withou t prio r consultatio n wit h the nobility " (1454). 46 The resul t wa s th e formatio n o f "th e basi c uni t o f consti tutional lif e i n Poland-Lithuania,' ' th e sejmik, or dietine (tha t is , "littl e diet"), i n which th e noble s o f eac h provinc e me t regularl y t o consult , thoug h ther e ha d been earlie r les s forma l mean s o f suc h forgathering . Severa l particula r type s o f sejmik came i n tim e t o discharg e particula r function s i n regar d t o th e Sejm , o r Diet, fo r al l Poland an d th e roya l tribunals . The nationwid e Sej m ma y hav e bee n inspire d b y th e Estate s o f West Prussi a after 1466 . I t seem s tha t th e kin g first summone d i t i n Craco w i n 149 3 and tha t it wa s extende d t o includ e Lithuani a afte r th e unio n o f 1569 , shortl y t o b e mentioned. Th e Sej m ha d a n uppe r hous e calle d th e Senat e an d a lowe r hous e called Izb a Poselsk a (Chambe r o f Envoys—tha t is , fro m th e dietine s t o th e capital—a no t inapt term) . Poland was on its way to an emasculation o f the central governmen t no t unlik e that occurrin g i n th e Hol y Roma n Empire , o f whic h Lor d Bryc e ha d observed , apropos o f th e confirmatio n o f th e Golde n Bul l o f 135 6 b y Charle s IV , "h e legalized anarchy , an d calle d i t a constitution." 47 Norma n Davie s implie s agree ment wit h th e vie w tha t th e Polis h constitutio n wa s " a derivative, i f no t a copy, of th e Germa n system." 48 Th e differenc e wa s tha t Germa n disintegratio n wa s chiefly base d on territory , Polis h o n class. The nobility , o r szlachta, increased it s powe r steadil y fro m th e lat e fifteenth century. I n 1496 , a t Piotrkow , th e kin g granted th e class a monopoly of landholding. Moreover , hencefort h appointmen t t o the highest ecclesiastical position s was limited t o nobles . Alexander , first rule r o f Lithuani a an d the n als o o f Poland , endeavored t o us e th e Senate , compose d o f senio r cleric s an d roya l officials , t o curb th e nobles ; instead , h e ha d t o accept th e statut e Nihil novi a t Rado m i n 1505, whic h require d o f an y ne w la w th e approva l o f bot h chambers . Th e principle Nic 0 nas bez nas, "nothin g concernin g u s withou t us, " wa s i n effec t made law, th e basis for th e "nobl e democracy" that Polan d wa s fast becoming. 49 In th e sixteent h century , th e ris e o f th e Polis h nobility—movin g i n th e direction o f 9 % a s compare d wit h Spai n o r Hungary' s 5% , France' s 1% , an d England's 2%—wa s accompanie d b y measur e afte r measur e tha t tightene d th e reins of serfdom o n the peasantry. Di d all this amount t o feudalism? I t seem s tha t

The Renaissance and the Reformation 17

3

there wer e element s aki n t o th e syste m o f th e Wes t fo r par t o f th e fourteent h an d fifteenth centuries , alon g wit h significan t differences . T h e syste m takin g for m i n Polan d wa s extende d t o Lithuani a unde r th e reig n of Sigismun d I I Augustu s wit h th e Unio n o f Lubli n (1569) . T h e amalgamatio n o f Poland an d Lithuani a wa s mad e firm an d lasting ; th e Lithuania n noble s wer e made equa l legall y t o thos e o f Polan d an d brough t int o th e Chambe r o f Envoys . In th e interregnu m followin g th e king' s death , th e non-Catholic s secure d reli gious libert y i n sweepin g term s mos t unusua l fo r th e perio d vi a th e Confederatio n of Warsa w (1573) . By thi s tim e th e Counter-Reformatio n wa s achievin g dramati c successe s i n Poland, no t slowe d an d possibl y eve n hastene d b y th e Confederatio n o f Warsaw , and affecte d Lithuani a a s well . Catholi c zea l an d educationa l excellenc e bega n t o exert a n impac t o n th e Easter n Orthodo x wh o mad e u p muc h o f th e populatio n of th e gran d principate , finally resultin g i n th e Unio n o f Bres t (1596 ) b y whic h a large shar e o f th e Orthodo x o f th e Rzeczpospolita —the Republic , th e officia l titl e of th e post-156 9 state—accepte d th e authorit y o f th e Roma n pop e bu t retaine d their liturg y an d ritual . T h e Lubli n Union , b y transferrin g th e Ukrain e fro m Lithuania t o Poland , bolstere d th e ti e o f th e ne w "Uniat " churc h wit h Rome. 50 A ''confederation " i n Polis h la w wa s a recognize d devic e fro m a t leas t th e earl y fourteenth century . I t wa s a leagu e o f arme d me n wh o swor e t o persis t i n thei r cause "unti l justic e wa s obtained." 5 1 T h e confederatio n wa s a devic e eve r mor e frequently use d u p t o th e las t year s o f th e eighteent h century , whe n Polan d wa s torn t o pieces . Anothe r oddit y o f th e Polis h syste m wa s th e liberum veto, whic h meant tha t an y membe r o f th e Sej m coul d sto p it s deliberation s simpl y b y sayin g "I d o no t agree. " Usuall y th e stoppag e wa s temporar y i n th e earl y years , bu t beginning i n 165 2 i t wa s employe d wit h mountin g frequency . T h e resul t o f suc h practices wa s t o paralyz e centra l government . T h e dynast y itself—th e Jagellonians , wh o ha d rule d sinc e 1386—perishe d with Sigismun d II . Henr y o f Valoi s wa s electe d o n conditio n tha t h e accep t th e right o f th e noble s t o elec t th e monarc h an d consen t t o sever e restriction s o n th e ruler's power , bu t withi n a fe w month s h e thre w i t u p a s a ba d job an d returne d to Franc e t o becom e Henr y III . A capabl e successor , Stephe n Bathory , princ e o f Transylvania, conclude d peac e wit h Russi a afte r th e lon g Livonia n Wa r wit h Ivan th e Terribl e o f Muscovy , bu t coul d d o littl e wit h th e Polis h nobility . A Swedis h princ e o f th e hous e o f Vas a no w succeede d a s Sigismun d III , "th e Jesuit King. " H e wa s twic e abl e t o place Roma n Catholi c rulers—th e second , hi s own son—o n th e thron e o f Moscow . I t wa s th e highes t poin t o f Polis h politica l influence o n Russi a (thoug h th e pea k o f cultura l impac t woul d com e onl y i n th e late seventeent h century) .

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With th e loss of Livonia (take n fro m th e Teutonic Knight s in 1561 ) to Sweden in th e 1620 s and th e ending of the adventur e i n Muscovy , th e Polis h tid e recede d from foreig n parts . Ladisla s I V (1632-48), wh o had been tsa r of Russia briefly i n his youth , trie d t o restor e th e religiou s toleratio n tha t hi s fathe r Sigismun d ha d infringed. H e avoide d entanglemen t i n th e Thirt y Years ' War ; bu t Joh n I I Casimir, wh o accede d i n 1648 , bega n a reig n durin g whic h th e countr y almos t fell apar t i n a serie s o f comple x event s calle d th e "Deluge"— a grea t Cossac k insurrection, leadin g t o th e Muscovit e annexatio n o f th e Ukraine , a Polis h wa r with Muscovy , an d Swedis h an d Turkish intervention—bu t ultimatel y survived . The fortune s o f Hungar y durin g thi s perio d wer e ofte n linke d wit h thos e o f Poland an d als o o f Bohemi a (whic h wa s par t o f th e empire) . I n th e crusad e o f Varna (1444) , th e las t seriou s Wester n attemp t t o sav e Constantinopl e fro m th e Turks, Ladisla s II I o f Polan d an d Hungar y ha d die d fighting. Th e grea t soldie r John Hunyad i ha d sough t t o avoi d tha t calamitou s defea t an d ha d wo n othe r victories fo r whic h h e was made regent; but bot h h e and th e boy-king died withi n a few month s of each other . Hunyadi's son , Matthia s Corvinu s (1458-90) , becam e perhap s th e mos t no table o f al l Hungaria n kings : statesman , soldier , an d patro n o f Renaissanc e culture. Wit h doubtfu l wisdo m h e fixed hi s attentio n o n Bohemia , whic h h e thought o f bein g a ste p towar d th e imperia l thron e fro m whic h h e coul d lea d a crusade agains t th e Turks . However , h e wa s compelle d t o yiel d th e Bohemia n throne t o Ladislas, so n of Casimir I V of Poland, an d turne d t o a struggle with th e Habsburgs, i n whic h h e conquere d Moravia , Silesia , an d Lowe r Austria . Estab lishing his capital a t Vienna (1485) , h e dazzled Europ e with it s splendor . Matthias Corvinu s wa s succeede d i n Hungar y b y the kin g of Bohemia , Ladis las. H e wa s nickname d "Kin g Dobre" (O.K. ) becaus e h e wa s repute d t o say tha t to ever y pape r lai d befor e him , an d wa s a "helples s prisoner " o f th e Magya r magnates, a s Macartne y put s it. 52 Th e Diet , whic h wa s nothin g bu t a "mas s meeting o f th e nobles , brav e bu t undisciplined , exemp t fro m taxatio n an d con temptuous o f th e peasants," 53 hamstrun g Ladislas' s effort s t o rule. I n 1514 , just after a peasant revol t ha d bee n suppressed , th e Die t solemnl y boun d th e clas s t o the soil . Th e measur e wa s repeale d a fe w year s later , bu t th e conditio n o f th e peasantry i n muc h o f easter n Europ e ha d deteriorate d int o what ha s bee n calle d a "secon d serfdom, " whil e th e serf s i n th e wes t wer e movin g ou t o f thei r dependent state . Ladisla s fare d n o bette r i n Bohemia , whic h h e neglecte d fo r Hungary, an d wher e th e aristocrac y gre w i n propert y an d influenc e a s th e townsmen an d peasants los t proportionately . Ladislas's so n Loui s I I (1516-26 ) replace d hi m o n bot h thrones . Wea k an d profligate, h e fough t Lutheranis m wit h scan t succes s i n Bohemi a a s wel l a s Hungary; an d le d a poorly discipline d arm y agains t th e Turks . The y kille d hi m

The Renaissance and the Reformation 17 5 and smashed hi s soldiery at the battle of Mohacs (1526), the n advance d to besiege Vienna befor e withdrawing . Hungar y wa s partitioned betwee n th e wester n strip , which wen t t o the Habsburgs , an d th e easter n portio n ove r whic h Joh n Zapolya , leader o f th e Hungaria n nobility , wa s king—unti l h e die d an d Suleima n th e Magnificent annexe d centra l an d souther n Hungar y directly . When tha t occurred , th e Turk s lef t Ferdinan d o f Habsbur g i n hi s ow n frag ment, fo r whic h h e pai d th e sulta n tribute , an d Joh n I I (Sigismund ) Zapoly a a s prince o f th e nominall y vassa l stat e o f Transylvani a bu t actuall y hea d o f a n autonomous entity . Thre e "nations"—th e Magyars , Szekler s (Magyarize d indig enous inhabitants) , an d "Saxons " (Germans)—me t i n a Landtag, electe d th e prince, an d enacte d legislation . Th e mas s of the Romania n peasantry , wh o made up the basic population o f the region , ha d no part i n thes e constitutional arrange ments. For a time Transylvani a flourished. Calvinis m swep t th e country , followe d b y Unitarianism, whic h wa s perhaps bor n there . Th e noble s wer e stron g enough t o frustrate th e plan s o f Princ e Sigismun d Bathor y (1581-1602 ) t o join th e Habs burgs i n a crusad e t o rol l bac k th e Turks . Bu t Bethle n Gabo r (1613-29) , wh o made Transylvani a "th e cente r o f Hungaria n cultur e an d nationa l feeling,' 54 opposed th e Habsburg s a s th e Thirt y Years ' War brok e out. An d Georg e Rakocz i I skillfull y carrie d Transylvani a throug h th e conflict . In 165 0 the Peac e of Westphalia ha d just ende d th e tribulation s o f war fo r th e sorely trie d empire ; th e territorie s t o th e eas t ha d no t suffere d i n th e sam e wa y but wer e having difficulty i n preserving independence, unity , o r prosperity i n th e face o f externa l dangers . I n th e previou s tw o centurie s Poland , Bohemia , an d Hungary ha d ofte n ha d monarch s wh o rule d tw o or eve n al l thre e o f th e realms , because th e proud noble s trie d t o avoid raising one of their own numbe r t o kingly dignity an d becaus e foreig n newcomer s ha d smal l chanc e o f tamin g th e nativ e aristocracies. Polan d seeme d t o move steadil y towar d a weakening o f th e centra l government. Hungar y prope r wa s a par t o f th e Ottoma n Empire , whic h woul d soon sho w itsel f t o b e stron g enoug h t o marc h o n Vienn a again . Bohemia' s religious and political aspiration s ha d been tame d by the Habsburgs . Th e promis e of Transylvania wa s to prove transitory .

The Balkans and Russia. Afte r th e Ottoma n conques t Byzantin e an d Christia n traditions o f a sor t survive d i n Serbia , whic h enjoye d autonom y fo r it s Orthodo x church fro m 155 7 t o 1766 , an d th e Romania n principalitie s o f Wallachi a an d Moldavia, whos e ruler s wer e vassal s o f th e sulta n bu t retaine d considerabl e independence in fact. Basi l Lupu, princ e of Moldavia from 153 4 to 1653 , presided over a counci l o f Orthodo x churches , hel d i n Iasi , hi s capital , an d includin g

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representatives o f Constantinople an d Kiev ; he also patronized Gree k cultur e i n a striking "neo-byzantine " fashion. 55 In th e sixteent h century , th e sultans , i n particular Suleima n th e Magnificent , systematized th e so-called feudal syste m that had been take n over from Byzantiu m by the earl y sultans . Th e timar (the Persia n equivalen t o f pronoia) was a small fief conferred o n soldier s fo r meritoriou s service . Persona l servic e migh t carr y on e t o a larger estate, th e ziarnet, "bu t his son unqualifiedly ha d t o begin wit h a timar." 56 The fief holder (sipahi) ha d t o furnish a certain numbe r o f horseman fo r th e arm y or sailors for th e navy (as did Europea n vassals) . But th e differences wer e crucia l betwee n th e feudalis m o f th e Wes t an d th e Ottoman institution s tha t seeme d t o correspon d t o it . First , th e tenur e o f th e lands o f th e Ottoma n fief holders wa s no t full y hereditary . Second , th e timar and ziarnet (though no t th e khass, a large r fief give n t o provincia l governors ) wer e subject t o inspectio n b y specia l officials . Thes e me n wer e agents o f th e sultan , yet they gaine d fo r themselve s th e righ t o f arbitrary enfeoffmen t an d deprivatio n of fiefs, and use d it liberally. Man y fief holders managed t o evade their obligation s to furnish arme d men . Suleiman an d successor s o f his trie d t o curb suc h abuse s but ha d onl y limite d success. A s the "feudal " troop s became les s dependable, mercenarie s too k a more prominent rol e in th e army . Th e cor e remained , however , a s before th e Janissar ies, th e produc t o f th e lev y o f Christia n boy s te n t o fifteen year s ol d tha t continued unti l abou t 1700 . Th e arm y wa s wel l disciplined ; th e officialdo m wa s not. I t wa s ridde n wit h corruption , venality , an d cruelty . Th e grea t foray s int o central Europ e were followe d b y campaigns t o the east as well. But th e Ottoma n Empir e acquire d a formidable easter n riva l whe n a homogeneous Irania n stat e wa s restore d b y Ismail. H e was proclaimed sha h an d decree d the Shi' a t o be the official fait h i n 1501 , founding th e Safavi d dynasty . A s for th e Ottomans, they seeme d t o hav e exhauste d thei r energies . Fro m th e las t year s of the sixteent h centur y they fel l int o a rapi d decline , fro m whic h the y woul d b e partially an d temporaril y rescue d b y a n Albania n grand vizier . Fo r th e outsid e world, i t seeme d tha t "th e imposin g outwar d strengt h o f th e Ottoma n Empir e concealed th e dee p weaknesse s o f a militar y autocrac y wit h a decayin g socia l order. Th e mora l bon d o f religiou s unit y wa s o f diminishin g effectiveness . Cor ruption an d disorde r i n governmen t an d a decline i n standard s wer e aggravate d by economic backwardness.' 57 Nevertheless , th e Muslim s i n th e Balkans , west ern Asia , an d Nort h Afric a hel d o n fo r decade s an d eve n centurie s afte r i t appeared tha t thei r empir e was near collapse . The Muslim s i n Russia—fo r suc h th e Tatar s ha d become—wer e anothe r story. Iva n II I th e Grea t o f Muscov y face d the m of f i n a bloodless confrontatio n in 1480 , subsequentl y calle d "th e en d o f the Tata r yoke. " He had mor e powerfu l

The Renaissance and the Reformation 17 7 enemies tha n th e flimsy shred of the once-great Mongo l Empir e t o which h e no w refused tribute . H e fough t Lithuania , annexe d th e merchan t republi c o f Novgo rod (1478 ) an d th e principalit y o f Tve r (1485) , th e mos t formidabl e riva l o f Moscow remaining in Russia . Ivan II I buttresse d hi s claims and pretensions a s a newly independent rule r by marrying th e niec e o f th e las t Byzantin e emperor , thoug h sh e brough t int o Muscovy th e influence s o f th e Ital y wher e sh e wa s reare d rathe r tha n thos e o f Greece. Notion s o f translatio imperii, earlier moote d i n connectio n wit h Con s tantine, Charlemagne , an d others , wer e no w give n th e for m "Moscow , th e Thir d Rome." This ideologica l ta g shoul d no t b e take n to o seriously . I t wa s a n ecclesiastica l not a political o r nationa l claim ; i n an y case , i t amounte d t o a repudiation o f th e Byzantine heritage , sinc e th e "Secon d Rome " (Constantinople ) ha d perishe d fo r its sins and deservedly so , according to the monks who worked al l this out. Russi a sought acceptanc e rathe r i n th e "famil y o f Europea n nation s whos e sovereign s were equa l i n status, " a notion tha t "resemble d neithe r th e Christia n universal ism o f Byzantiu m no r Philotheus ' [th e cleri c wh o firs t used th e "Thir d Rome " phrase] notio n o f a world supremac y exercise d b y the Muscovit e tsardom." 58 Ivan II I informall y style d himsel f "tsar " (fro m "Caesar") ; Iva n I V di d s o formally. Thereb y the y desired t o assert th e independence o f their state ; that wa s the reaso n fo r th e ter m "autocrat " ("th e on e wh o himsel f rules" ) whe n adopted . But ove r tim e th e ter m too k o n additiona l meaning , a s th e element s o f pluralis m in Muscovit e societ y diminished unde r assaul t fro m th e power of the monarch . The cause s of the process by which Russi a became an autocracy, o r despotism, are i n dispute ; th e natur e o f th e en d result , muc h les s so . Th e Russia n nobilit y was a curiousl y amorphou s an d wea k group , neve r approachin g th e strengt h enjoyed b y th e powerfu l clas s tha t le d th e wa y t o Britain' s limite d monarchy , much les s th e oligarch y constitute d b y th e Polis h nobles . Befor e th e Tabl e o f Ranks i n 172 2 ther e wa s no t eve n a generi c nam e fo r th e nobility ; ther e wer e simply th e tsar' s "servic e peopl e o f variou s degrees. " Ove r severa l centurie s tw o main group s ma y be discerned: thos e who held lan d by hereditary tenur e (boyars ) and thos e th e tenur e o f whose lan d wa s conditiona l o n servic e (pomeshchiki, wh o came t o b e th e sam e a s dvoriane, or gentry ) o n th e mode l o f th e Ottoma n an d Byzantine empires. 59 The cor e o f th e Muscovit e boyar s wa s th e nontitle d familie s wh o entere d th e service o f th e Mosco w princ e i n th e fourteent h century . However , man y wer e later take n int o hi s servic e fro m th e lesse r princes , thoug h cautiously , o n wha t was i n effec t a probationary status . The y continue d t o hol d hig h position s righ t down t o th e reig n o f Pete r I . I t wa s th e landholdin g gentry , however , o n who m the tsar s came to rely most, an d they in tur n wer e dependent o n the rulers .

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Ivan I V the Terribl e (th e Englis h ter m i s not a n exact translatio n bu t render s the characte r o f th e monarc h accuratel y enough ; 1533-84 ) kille d an d plundere d many rea l o r imagine d enemies . Th e pressur e h e exerte d o n th e peasantr y drov e them int o increasin g dependenc e an d i n th e directio n o f serfdo m an d provoke d much flight t o the sout h o f Muscovite borders . I n killin g his only stron g son , th e tsar destroyed th e dynasty tha t ha d rule d sinc e Kievan times . Despite al l this , ther e seem s t o be littl e evidenc e tha t h e change d ver y muc h the natur e o f th e nobilit y o r th e autocrac y tha t dominate d it . Beginnin g i n 154 9 he severa l time s summone d a n Assembl y o f th e Lan d (Zemskii Sobor), which ha d similarities wit h th e estate s o f Wes t Europea n countries , bu t neithe r i n Ivan s reign no r subsequentl y wa s it effective i n claiming comparable prerogatives. Soo n after 1662 , when townsme n demande d i n vai n tha t one be called, i t withered an d died. Ivan I V conquere d tw o fragment s o f th e Mongo l Empire , Kaza n an d Astrak han; an d th e newl y formin g freeboote r bands , calle d Cossacks , overcam e a third , Sibir, whic h gav e its nam e t o the whol e vas t expans e stretchin g beyon d i t t o th e Pacific. Bu t th e tsa r becam e trappe d i n a lon g an d inconclusiv e Livonia n Wa r with Polan d an d Swede n an d i n th e cours e o f it los t th e tenuou s foothol d o n th e Baltic he had earlie r gained . There followe d th e brief reign s of Ivan's surviving son, a weakling, an d the illfated Bori s Godunov. The n cam e the Tim e of Troubles" (1604—13), when Polis h armies captured Mosco w twice and a series of shadowy figures claimed the thron e for shor t periods . A t leas t twic e interestin g constitutiona l experiment s wer e undertaken, whe n th e "boya r tsar " Vasil y Shuisk y an d a littl e late r Ladislas , prince o f Poland , o n accedin g t o th e Muscovit e throne , promise d t o consult th e realm an d accep t limitation s o n th e powe r o f th e tsar . Bu t the y wer e abortive , and the y neede d mor e tha n a piec e o f pape r t o prevai l i n th e fac e o f th e ''stat e stronger tha n society " (accordin g t o Pau l Miliukov ) tha t ha d existe d befor e th e "Troubles" and was restored i n 161 3 when Michae l Romano v was elevated t o the throne, th e first rule r of Russia's las t dynasty . The Swede s withdre w fro m Novgorod , whic h the y ha d occupied, bu t stil l blocked acces s t o th e Balti c fo r anothe r century . Severa l Russia n town s wer e handed ove r t o th e Pole s whe n peac e wa s mad e wit h them . I n 163 9 Cossack s reached th e Pacifi c Ocea n afte r a rapid crossin g of Siberia . Othe r Cossack s too k Azov, a Turkish fortres s o n th e Black Sea , bu t coul d not hold it. In 164 5 Alexi s succeede d Michael , an d i n 164 9 a ne w cod e o f law s (th e Vlozhenie) was issued . Sinc e th e cod e finally reduce d th e Russia n peasantr y t o serfdom an d provide d n o secur e protectio n o f anyone' s right s o r privileges , i t di d not see m t o harmoniz e wel l wit h th e gentl e an d unworldl y personalit y o f th e young tsar . Bu t bot h Michae l an d Alexis , mil d a s the y wer e personally , stil l

The Renaissance and the Reformation 17 9 presided ove r a stat e wher e th e autocra t wa s supreme , th e gentr y dependen t o n him, th e commercia l classe s servant s o f stat e needs , an d th e peasantr y enserfe d (or nearl y so) . All Pete r I neede d t o do was t o turn th e screw s a bit t o produce a despotism tha t was , i f not tidy , a t any rate tidie r tha n before. 60 Conclusion By the early sixteenth century , write s Georg e H. Sabine , absolute monarch y eithe r ha d become , o r wa s rapidl y becoming , th e prevailin g typ e of government in western Europe. Everywhere there was an enormous wreckage of medieval institutions, for the absolute monarchy was a thing of blood and iron which rested in large part quite frankly on force.61 It i s true tha t durin g th e perio d 1350-165 0 th e nationa l monarchie s o f th e Wes t took great stride s towar d territoria l unit y an d roya l supremacy. Wha t Sabin e calls "the mos t characteristi c o f al l medieva l institutions"—th e church—suffere d tremendous losses . Th e grea t wealt h o f th e monasterie s wa s seize d b y bot h Protestant an d Catholi c rulers ; th e secula r powe r o f cleric s wa s muc h curtailed , the abilit y o f pope s t o clai m equalit y (o r eve n superiority ) fo r th e sacerdotium i n relation t o th e imperium had vanished , an d th e ecclesiastica l lega l syste m wa s decisively limite d t o the churc h itself . Muc h clerica l propert y wa s either hande d over o r fel l int o th e hand s o f th e risin g middl e class . A t th e sam e tim e th e excesses of feudal warfar e wer e curbed an d th e noble s brought t o heel. All this wa s so, an d yet it is wise to guard agains t th e historians' temptatio n t o draw shar p line s tha t woul d puzzl e mos t o f th e peopl e wh o live d i n th e nea t periods tha t th e textbook s distinguish . Fo r on e thing , th e ne w "absolute " mon archs inherite d no t merel y thei r crown s an d propertie s bu t thei r legitimacy : the y could profi t fro m th e feuda l traditio n o f persona l loyalt y t o th e lor d an d th e medieval Christia n conceptio n o f sacre d kingship . Bu t b y th e sam e toke n they could no t thro w of f th e limitation s o n wha t the y coul d d o that wer e th e heritag e of feudalis m an d medieva l Chrisitianity . I f they tried , they migh t stil l provok e protest—as, fo r example , th e Englis h Petitio n o f Right—o r revolt—a s i n th e case of the Frond e in Franc e an d th e Englis h Revolution . The absolut e monarch s di d no t rel y mainl y o n "bloo d an d iron. " Mulle r declares, "b y an d larg e th e king s wer e a progressiv e force , th e leader s i n mor e rational government . Ideall y representin g al l classes i n th e nation , t o a reputabl e extent they di d i n fac t serv e th e interest s o f al l bu t th e mos t ambitiou s nobles. " And t o thi s plausibl e positio n Mulle r add s a n assertio n no t quit e s o convincing : the noble s ha d "n o idea l o f constitutiona l government , onl y a selfis h interes t i n recovering thei r feuda l privileges." 62 N o doub t tha t wa s s o i n man y instances :

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Muller cite s th e War s o f th e Roses , th e Fronde , an d th e Polis h reductio n o f th e kingship t o impotence . T h e Polis h cas e i s th e cleares t one . T h e noble s o f Polan d reduce d th e mon archy t o a nullity , an d wen t o n t o emasculat e thei r ow n assembly , th e Sejm . T h e result wa s t o court partitio n b y neighboring powers , whic h totall y remove d Polan d from th e ma p fo r a centur y an d a quarter . An d ye t eve n tha t disma l recor d ha d another side . I n th e word s o f th e novelis t Jame s Michener : Poland love d freedom ; i t wa s a restricte d freedom , t o b e sure , an d i t applie d onl y t o th e very rich , bu t nevertheles s i t wa s freedom . Specifically , ever y inciden t i n Polis h histor y testified t o the nation's determination t o avoid autocracy an d dictatorship. 63 The peasan t majorit y ha d to o little freedom , an d th e nobl e minorit y fa r to o much . Perhaps wha t wa s o f stil l greate r importanc e wa s th e weaknes s o f th e monarch y — the institutio n tha t i n othe r countrie s enfranchise d an d se t fre e th e peasantry , curbed th e ambitio n o f th e nobles , an d contribute d t o th e ris e o f th e middl e class . But th e absenc e o r presenc e o f right s an d privilege s i n on e socia l grou p ma y stil l affect th e consciousnes s o f th e natio n a s a whole , an d s o i t wa s i n Poland . Moreover, it s recor d i n regar d t o th e severa l ethni c group s withi n th e border s of , say, 177 2 (Jews , Ukrainians , Germans , an d others) , wa s fa r fro m perfec t bu t was muc h bette r tha n tha t o f a numbe r o f othe r Europea n countries . T h u s Poland , thoug h i t wa s soo n t o perish, mad e it s contributio n t o the histor y of fre e societies , a s di d Hungary , Bohemia , an d eve n Russi a (tha t is , Muscovy ) i n the perio d i n questio n t o a les s strikin g extent . T h e Scandinavia n countrie s an d Spain an d Portuga l too k par t also . Spai n ofte n ha s bee n credite d wit h originatin g the absolut e monarch y o f earl y moder n Europe , an d b y th e seventeent h centur y the kingshi p wa s powerfu l indeed—an d ye t th e noble s an d th e churc h wer e b y no mean s securel y i n roya l control . In fact , Europea n "absolut e monarchy " i s somethin g o f a misnomer . T h e claims o f "divin e right " mad e b y an d o n behal f o f Jame s I ma y i n retrospec t b e regarded a s havin g pave d th e wa y fo r revolutio n an d civi l war , an d neve r wer e turned int o reality . Suc h absolutis m a s ther e wa s ha d it s chie f exempla r i n France, an d late r tha n 1650 . In an y even t i t wa s durin g th e perio d concerne d her e tha t politica l theor y came t o b e mos t develope d i n England , France , an d Nort h America . Buildin g o n clear medieva l foundation s o f a polarit y o r pluralit y o f powers , duties , an d func tions a s describe d an d defende d b y a serie s o f clergymen , th e theorist s undertoo k to defen d a s wel l a s writ e criticall y o f th e rol e o f monarchs . Fro m Niccol o Machiavelli (1513 ) throug h Jea n Bodi n (1576 ) an d th e anonymou s Vindiciae contra tyrannos (1579 ) t o Richar d Hooke r (1594—97 ) a n d Thoma s Hobbe s (1640—51) ,

The Renaissance and the Reformation 18 1 the ne w (o r a t leas t significantl y transformed ) rol e o f th e rule r wa s examine d from ever y angle. Machiavelli admire d wha t h e considere d th e fre e an d self-governin g Roma n republic, bu t i t ha d bee n gon e fo r sixtee n centuries , wherea s befor e hi m stoo d the Renaissanc e princes—th e intelligen t an d ruthles s ruler s o f the Italia n state s of his day and als o the king s of Spain, Franc e an d England : Ferdinand , Loui s XI, Henry VII . Th e latter , h e said , wer e justified i n foundin g a stat e o r settin g on e in order; but onc e that wa s done, th e people should participate i n government . Bodin foun d a lack o f morals an d indee d philosoph y i n genera l i n Machiavelli . The latte r sometime s i n fac t go t carrie d awa y wit h hi s admiratio n fo r suc h possessors o f virtu as Cesare Borgia . Bodi n di d see k t o indicate limitation s o n th e power o f th e monarch , whic h h e believe d la y i n bot h divin e an d natura l law ; however, h e also maintained tha t th e sovereig n wa s the sourc e of law. Th e famil y was basi c t o society , an d th e right s o f propert y wer e essentia l t o th e family ; therefore th e rule r coul d not tak e property without consen t of the owner, an d th e king could tax only with th e consent of the estates. The contradictions ar e evident (and Bodin has more than th e ones just mentioned) . Machiavelli antedate d th e Reformation ; Bodi n sough t t o hea l it s wound s o n the politique assumption tha t Catholic s an d Protestant s woul d exis t sid e b y sid e in Franc e an d elsewher e an d mus t d o s o in civi l peace . Bot h writer s cam e fro m Catholic countries . The Protestan t legacie s wer e complex . The y include d bot h th e dut y o f stric t obedience t o ruler s an d th e justifiabilit y o f resistanc e t o them , an d ultimately , through th e la w o f unintende d consequences , th e growt h o f freedom . Luthe r declared, " I wis h t o be free," an d refuse d "t o become th e slav e of any authority " (even thoug h h e insiste d upo n th e authorit y o f th e Bible , a s h e interprete d it) . He argue d fo r "spiritua l liberty " but no t a t al l necessaril y fo r politica l liberty . I n his matur e politica l position , h e se t fort h th e absolut e necessit y o f obedienc e t o "established authority " (not , o f course , popes) , howeve r tyrannica l o r unjus t i t might appear . As for Calvin , h e was even les s a defender o f freedom. Th e regim e of Calvin' s Geneva, Mulle r writes , demonstrate d tha t "freedo m wa s th e leas t concer n o f th e Reformers, excep t a s a menace t o the monopol y the y claime d o n th e tru e faith. " He believe d ma n t o be utterl y depraved , a creature "wholl y unfi t fo r freedo m o f any sort," and sternl y adjure d obedienc e eve n t o the "mos t iniquitous kings. " Nevertheless, havin g challenged authority , assertin g th e righ t o f men t o thin k for themselves , th e Protestant s wer e ap t t o be ope n t o ne w though t and , write s Muller, "thenc e t o ideal s o f freedo m o f thought , speech , an d press. " A furthe r step led t o a right o f resistance . Eve n i n Calvin' s Geneva , Christophe r Goodma n

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held tha t eve n th e common people had such a right if the magistrates trie d t o take away al l thei r "powe r an d liberty. " Th e positio n wa s then expande d an d general ized b y th e Vindiciae contra tyrannos, an d wa s acte d upo n b y the Puritans , i n th e English Revolutio n an d i n Ne w England. 64 The autho r o f th e Vindiciae 65 was a French Hugueno t wh o held religio n t o be the determining facto r i n th e life of the state . Governmen t i s justified b y a double contract, th e first betwee n Go d on th e on e hand an d th e rule r an d peopl e on th e other, an d th e secon d betwee n rule r an d people . Th e king s powe r derive d fro m God, ye t i f h e violate d God' s law—tha t is , becam e a hereti c an d adopte d fals e doctrine—it wa s justified t o resist him ; i n fact , i t wa s th e dut y o f th e peopl e t o do so . Bu t i t wa s no t lawfu l fo r a n individua l t o resis t (unles s th e kin g wa s a n usurper, an d the n regicid e wa s warranted); it wa s for th e corporat e bodie s of th e realm, le d b y nobles an d othe r "principa l person s o f th e kingdom" 66 t o represen t the peopl e i n an y legitimat e resistance . Thu s wen t a French Calvinis t argumen t for a right of resistance. In contrast , fro m Englis h Anglicanis m cam e on e challeng e t o an y righ t o f rebellion an d anothe r ringin g defens e o f absolutism . Richar d Hooker' s boo k The Laws of Ecclesiastical Polity (1594 an d later ) wa s intende d t o refut e England' s Calvinists—that is , th e Puritans . I n "th e las t grea t statemen t o f wha t migh t b e called th e medieva l tradition, " Hooke r affirm s tha t civi l societ y rest s o n commo n consent, tha t th e la w o f th e communit y ultimatel y derive s fro m divin e law , an d that church an d state are (in many respects) one. The Puritans , h e argues, woul d separate the m an d perhaps mak e the church dominant . "Law s they are not which public approbatio n hav e no t mad e so, " he declares . Moreover , t o govern withou t consent i s tyranny . Nevertheless , ther e i s n o justification offere d fo r resistanc e or rebellion . Governmen t an d churc h ar e indissolubl y linked , an d they are , fo r Hooker, English—tha t is , national; and here th e medieval view is compromised . Finally, wit h Thoma s Hobbes' s Leviathan (1651) the . medieval conceptio n i s transformed beyon d recognition . True , th e churc h an d stat e ar e identica l a s fa r as governmen t i s concerned , bu t th e state , an d i n particula r th e monarch , i s supreme. Ther e ha d bee n a disorderly conditio n o f mankin d wherei n th e lif e o f man wa s "solitary , poor , nasty , brutish , an d short, " an d i t ha d bee n terminate d by a social contract. Bu t th e contrac t conferre d suc h power o n th e sovereig n tha t it wa s virtuall y unlimited— a subjec t coul d no t b e force d t o injur e himsel f o r confess t o hi s crimes , bu t practicall y i n ever y othe r wa y h e wa s a t th e king' s mercy—and coul d no t b e withdrawn . Eve n i f peopl e considere d hi m a tyrant , they had n o right t o resist him . I n Hobbes' s syste m ther e i s no room for interme diate bodies , corporations , o r associations . Ther e i s a monarc h an d individua l human beings , eac h motivate d b y self-interest ; ther e i s nothin g significan t i n between.

The Renaissance and the Reformation 18 3 Hobbes trie d t o mak e al l thi s par t o f a n integrate d an d systematize d vie w o f the worl d restin g o n geometr y an d mechanics—materialism , a s i t ma y be calle d today. H e ha s muc h t o say , indeed , o n religio n an d th e church , bu t non e o f i t touches him . H e i s the spokesma n o f absolut e monarch y pa r excellence . An d ye t he woul d no t hav e bee n a suitabl e servan t o f a n orienta l despo t becaus e o f hi s individualism—which is , write s Sabine , th e "thoroughl y moder n elemen t i n Hobbes an d th e respec t i n whic h h e caugh t mos t clearl y th e not e o f th e comin g age." 67 Not onl y religio n bu t als o sentiment , culture , an d histor y ha d n o plac e i n Hobbes's scheme . Alread y on e perceive s anothe r "modern " elemen t i n hi s writ ing: the conviction tha t politic s must b e assimilated t o physical science . H e wrot e much abou t "power " an d littl e abou t "justice " or "freedom. " I n suc h respect s h e has many imitators in th e late twentieth century , an d seemingly fe w challengers . Nevertheless, a s Mulle r point s out, h e was not " a reliable guid e t o the histor y of hi s ow n age . [For ] unde r a limited monarch y wit h guarantee d right s hi s ow n country woul d becom e th e stablest , stronges t natio n i n Europe." 68 Hobbe s ha d taken u p hi s pen i n defens e o f his king . Charle s I had perished, bu t hi s kinsma n Charles II , a rather les s able and attractive figure, woul d se t England on the path Muller indicates . In th e centur y endin g i n 165 0 th e religiou s wars , whic h wer e th e upsho t o f the Reformation , di d a goo d dea l o f damag e t o th e caus e o f freedo m whil e the y were i n progress . Man y suffere d fo r thei r belief s i n th e cours e o f th e War s o f Religion i n France , th e Thirt y Years ' War , an d th e Englis h Civi l Wa r an d th e period of the republi c (Commonwealt h an d Protectorate ) tha t i t inaugurated, an d no pluralisti c politica l institution s wer e introduce d whil e they raged . However , the aftermat h wa s more promising. I n Franc e th e peace-making king , Henr y IV , issued th e Edic t o f Nantes . I n th e empire , th e Peac e o f Westphali a accepte d a wider religiou s and political diversity tha n precede d th e Thirty Years' War. Afte r the Restoratio n o f the Stuart s in Britain , fre e institution s resume d thei r growth . In som e respect s th e cleares t gai n t o freedo m cam e i n th e religiou s wa r tha t lasted th e longest : th e revol t of the Netherlands , whic h erupte d i n 156 8 and wa s formally ende d onl y b y th e peac e o f 1648 . Th e seventee n province s ha d bee n brought unde r th e rule of Spain by Mary of Burgundy's marriage to the Habsbur g Maximilian an d division o f Charles V' s domains a t his abdicatio n i n 1556 . I t ha d no real institutional unity , despit e the introduction o f an Estate s General in 146 3 based o n Frenc h models , whos e meeting s wer e "conference s o f ambassador s rather tha n a real instrument o f central government." 69 Th e individua l province s were th e significan t politica l units , eac h wit h it s governo r (stadhouder) an d it s estates, th e cities having their own institutions i n addition . Sentiments fo r churc h refor m owe d thei r beginning s i n th e Netherland s t o

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Erasmus o f Rotterda m an d wer e deepene d b y th e sprea d o f th e idea s o f Marti n Luther. However , th e newl y establishe d Netherland s Inquisitio n i n 152 9 pre scribed deat h fo r thos e wh o eve n discusse d suc h notion s (unles s they wer e theologians). Afte r Phili p I I becam e kin g o f Spai n i n 1556 , h e reorganize d th e bishoprics i n a manner placin g appointmen t t o the m i n roya l hands . Th e imme diate resul t wa s resistance , i n th e for m o f both word s an d violence . Firs t Phili p withdrew th e Inquisitio n an d peac e wa s restored ; the n h e sen t a n arm y unde r the Duk e of Alva, wh o imposed a harsh regime . William, Princ e o f Orange , inaccuratel y calle d "th e Silent, " too k th e leader ship o f th e seventee n province s bu t wa s unabl e t o kee p the m together . I n 157 9 the souther n province s mad e peac e wit h Spain ; th e seve n norther n province s replied i n th e Unio n o f Utrecht , whic h le d t o th e Republi c o f th e Unite d Provinces (an d late r th e Kingdo m o f th e Netherlands) . I t wa s th e first federa l government of modern times. 70 To begin with, eac h province remaine d nominall y independent, an d unanimity of the seven was required for any important decision . However, th e Estate s Genera l o f th e seve n province s proceede d i n 158 1 t o formal abjuratio n o f th e authorit y o f Phili p II : whe n a kin g fail s i n hi s dut y t o cherish hi s peopl e a s a shepher d doe s hi s flock, "h e i s n o princ e bu t a tyrant . Then ma y th e Estate s o f th e lan d legall y remov e hi m an d pu t anothe r i n hi s place." 71 And thu s wha t modern s would call the right of revolution, th e assertio n of whic h coul d b e trace d bac k i n th e Christia n traditio n a s fa r a s Augustin e a t least, wa s finally acte d upon , o r a t an y rat e use d a s justification o f a ste p tha t scandalized man y contemporaries . Willia m th e Silen t wa s assassinate d i n 158 4 and ha d n o singl e successo r o f hi s politica l ability . Bu t th e province s stuc k together; i n 160 9 Spain concede d a Twelve Years' Truce. Although Dutc h independenc e wa s acknowledge d onl y b y th e Peac e o f West phalia i n 1648 , th e seve n province s fro m th e beginnin g o f th e centur y extende d their commerc e roun d th e world , establishe d colonie s i n bot h hemispheres , an d registered astonishin g achievements i n culture. The y pioneered religiou s freedo m by reluctantl y acceptin g th e forma l toleratio n o f Arminian s (wh o followe d th e path o f Erasmu s i n assertin g fre e wil l agains t th e Calvinis t vie w o f predestina tion) and Roma n Catholics . In Hug o Grotius th e Dutc h produce d th e founde r o f modern internationa l la w in hi s On the Law of War and Peace (De jure belli ac pads, 1625) . Lik e Erasmu s defending th e realit y o f huma n freedom , Grotiu s sough t t o establis h i n th e natural la w tha t h e drew fro m th e ancient s a basis fo r relation s amon g states. I n a world where th e assumptions of a universal stat e (th e Empire ) and church wer e vanishing, h e sough t t o char t rule s an d limit s tha t al l migh t accept . Thei r acceptability wa s maintaine d o n th e ground s tha t they wer e a s certai n a s ge ometry.

The Renaissance and the Reformation 18 5 As a Christianity tha t coul d bind—o r serve—bot h Protestant s an d Catholic s fell ou t o f reach , th e natura l science s o f th e seventeent h centur y seeme d t o replace i t a s a basi s o f certainty . Thoma s Hobbes , Baruc h Spinoza , Samue l Pufendorf, an d other s adopte d th e languag e an d method s o f mathematic s t o buttress thei r view s o n politic s an d ethics . I t woul d becom e clea r late r tha t physics an d mathematic s coul d b e used eithe r t o suppor t freedo m o r attac k it ; moreover, a s a basis fo r certaint y i n religion , philosophy , o r politic s th e natura l sciences prove d unreliable . I n on e respec t th e Renaissanc e an d Reformation , however, bequeathe d a gift, o r burden, o f lasting character: th e idea that individ ual conscienc e an d judgment mus t tak e precedenc e ove r collective , corporative , and institutional determinations . Th e ide a would take centuries t o work itself ou t and t o clarify it s implications fo r freedom .

CHAPTER 7

The Birth of Constitutional Government, 1650—1800

Sometimes i t i s difficul t t o se e i n whic h direction s idea s ma y lead . Joh n Calvi n declared tha t me n ha d n o righ t t o rebe l agains t eve n th e "mos t iniquitou s kings/ ' and ye t th e Dutch , le d b y thei r Calvinis t majority , carrie d ou t th e first moder n revolution agains t th e Spanis h monarchs . I n Englan d th e seventeent h centur y saw ever y variet y o f politica l doctrin e thu s fa r expressed . T h e unprecedentedl y egalitarian Leveler s an d th e communis t Digger s passe d fro m th e scen e withou t a trace; th e temporaril y ascendan t Purita n an d republica n dictatorshi p vanished ; and th e relaxed , ofte n corrupt , unsystemati c monarch y o f th e restore d Stuart s was th e institutio n fro m whic h democrac y evolved , i n Britai n and , i t ma y b e argued, indirectl y i n America . Or , a s Herber t Mulle r put s it , ou t o f th e Englis h revolution cam e the triump h o f parliamentary government , wit h a bill of rights—th e triump h o f th e mai n principles asserted by the men who had started th e struggle against James I. Thi s outcome, which se t England squarel y in opposition t o the tendencies prevailing in all the monarchie s on th e continent , wa s certainl y it s pre-eminen t contributio n t o th e histor y o f Wester n freedom. T h e unplanned , unintended , an d "mostl y unwanted " revolutio n became , Mulle r declares, "th e prototyp e o f th e grea t politica l revolution s tha t hav e mad e Wester n civilization s o radically differen t fro m al l th e Easter n civilizations." 1 All o f thi s i s certainl y so , wit h on e importan t exception : wha t mad e Wester n civilization differen t fro m th e civilization s o f th e res t o f th e worl d i n respec t t o polity, society , an d econom y wa s no t politica l revolutio n o n an y model , tha t o f th e 186

The Birth of Constitutional Government 18 7 English o r an y other . I t i s no t a t al l necessar y t o denigrat e th e importance — positive an d negative—o f th e English , American , o r Frenc h revolution s o r t o argue tha t the y ha d n o significant effec t i n orde r t o perceive tha t th e ingredient s for th e socia l and politica l orde r o f th e moder n Wes t wer e t o be found i n embry o in medieval times . By the fifteenth century—ofte n though t t o be a particularly miserabl e perio d —the Wes t ha d a pluralisti c societ y wit h a stron g traditio n o f bot h la w an d private propert y an d a n accepte d doctrin e tha t th e individua l wa s of value i n th e sight of God. This was true of Britain, especiall y in England , th e most centralize d of an y o f th e large r nation-state s o f th e West , whic h ha d a Parliamen t counter poised t o the monarchy, a strong legal tradition, an d property a t th e disposition of lords and merchants ; France , wher e th e Estate s General , parlements, an d variou s local bodie s might challeng e th e king , an d grea t lord s stil l ha d muc h t o say along with a rising middle class ; of Spain , wher e th e estate s o f th e componen t part s of the ne w unifie d stat e survived ; o f Germany , wher e ther e wa s stil l a n imperia l struggle t o produce nationa l unit y bu t th e rea l balanc e o f socia l force s wa s t o be found withi n th e smalle r an d eve n tin y politica l component s o f th e empire ; o f Italy, fracture d betwee n th e state s of a freer an d progressive nort h an d of a poor and retrograd e south ; o f Poland-Lithuania , jus t havin g forge d a dynasti c unio n with centra l an d loca l representativ e bodies ; of Hungar y an d Bohemia , enjoyin g fluctuating connection s wit h th e empir e an d a pluralit y o f socia l forces ; an d o f the one , two , three , o r fou r Scandinavia n state s unitin g an d dividing , isolate d except whe n the y wishe d no t t o be (a s i n th e Thirt y Years ' War ) fro m man y of the conflict s t o thei r south , enjoyin g growin g representativ e institution s wit h peasants possessin g separat e representation . (Japa n ha d a numbe r o f th e sam e features bu t require s different terminology.) 2 Britain, 1650-1801 After th e executio n o f Charle s I , Englan d proclaime d th e republi c tha t i t calle d the Commonwealth , an d Scotlan d an d Irelan d proclaime d Charle s I I a s king . Cromwell massacred th e Irish and defeated th e Scots, and Charles fled to France. Soon th e Instrumen t o f Government , a written constitution , gav e Cromwel l th e title of Lor d Protecto r o f th e Commonwealt h an d establishe d a one-house Parlia ment replacin g th e remnan t o f Common s tha t existe d o n th e ev e o f creatio n o f the Protectorate . Th e Humbl e Petitio n an d Advic e o f 165 7 restore d a secon d house and deprived th e Protector of the power t o exclude members of Parliament , which h e had used liberally; it also enacted toleratio n of all Trinitarian Christian s except Anglicans an d Roma n Catholics . A few month s afte r h e ha d bee n offere d and had rejecte d th e titl e of king, Cromwel l died. Sinc e the office ha d been mad e

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hereditary, hi s so n Richar d becam e Protector , bu t afte r eigh t month s wa s per suaded t o resign. Th e Rum p Parliament followed ; Charle s I I was now summone d by a newly elected Conventio n Parliamen t t o be king. In th e previous twent y years, Englan d ha d lived throug h perhap s th e period of greatest socia l upheava l an d turmoi l i n he r history . Recen t demographi c studie s (made difficul t b y th e fac t tha t th e first nationa l censu s wa s conducte d onl y i n 1801) sugges t tha t populatio n growt h ha d somethin g t o do with th e turmoil , bu t that fo r a hundred year s or s o following th e mid-seventeenth centur y th e popula tion wa s stable, whic h mad e for political stabilit y a s well. 3 The Restoratio n (o f th e Stuarts ) di d inaugurat e a perio d o f stability , despit e the brie f episod e o f th e ''Gloriou s Revolution. " I t calle d bac k int o bein g th e limited monarch y desire d b y Py m an d Hampden , sinc e th e Conventio n Parlia ment affirme d th e validit y o f al l reform s passe d b y th e Lon g Parliamen t an d ratified b y Charle s I befor e Septembe r 1641 . Th e court s o f Sta r Chambe r an d High Commissio n existe d n o longer ; taxe s require d th e consen t o f Parliament ; the kin g stil l ha d a vet o ove r legislatio n bu t coul d no t legislat e b y decree . Nevertheless, h e retaine d muc h powe r ove r whic h Parliamen t ha d n o control . King and Parliamen t wer e now close to being evenly balanced . As for nongovernmenta l matters , Purita n prohibition s wer e resoundingl y shelve d so that dancing, th e theater , an d games returned, bu t Anglican prohibitions wer e enacted i n th e so-calle d Clarendo n Cod e (name d fo r th e Ear l o f Clarendon , th e chancellor, wh o actuall y oppose d man y o f th e act s concerned) . The y require d magistrates t o tak e Anglica n communion , clergyme n an d teacher s t o accep t th e Anglican boo k o f Commo n Prayer , an d thos e unwillin g t o d o s o ("Nonconfor mists") t o hold religiou s meeting s onl y in private home s if more tha n five persons took part . But th e growt h o f freedo m i n Englan d i s wel l illustrate d b y th e fac t tha t th e Code wa s partl y unenforceable , an d it s mos t repressiv e measur e totall y so : tha t was the Five-Mil e Act, whic h require d al l Nonconformist minister s an d teacher s to swea r neve r t o attemp t t o chang e churc h o r stat e o r t o resis t th e king , an d forbade thos e who refused tha t oat h t o come within five miles of any place wher e they had formerly preache d o r taught . Charles I I trie d t o achieve greater toleratio n fo r Catholic s an d Dissenter s tha n Parliament wa s willing to grant, bu t fo r th e most part h e left Parliamen t t o do as it wishe d an d allowe d hi s adviser s t o conduct th e affair s o f government. Wha t i s more, hi s wa s a toleran t reign ; o n hi s accessio n ther e wer e onl y " a dozen o r so " executions,4 an d th e regicid e of 164 9 went largel y unpunished . The chie f significanc e o f Charle s U s reig n fo r th e histor y o f freedo m lay , however, i n th e beginnings o f the two-part y syste m an d cabinets. Clarendon , th e chancellor an d chie f minister , wa s dismisse d i n 1667 ; he wa s largel y th e scape-

The Birth of Constitutional Government 18 9 goat for popular opposition t o the repressive measures adopte d by Parliament afte r the Restoration . N o one official bu t rathe r a group of five, called th e cabal , no w advised th e king . Th e wor d antedated thi s moment a s a common noun , bu t i t was also by coincidence a n acronym for Clifford , Arlington , Buckingham , Ashley , an d Lauderdale. The y al l agree d wit h th e roya l polic y o f religiou s toleratio n fo r differing reasons—tw o wer e Catholic , an d thre e wer e Protestant—an d oppose d the parliamentar y suppor t fo r Anglica n persecutio n o f Dissenters . Th e caba l di d not las t long . I n puzzlin g fashio n Charle s no w chos e th e ear l o f Danb y a s hi s chief minister . Danb y wa s th e hea d o f th e intolerant-Anglica n part y i n Parlia ment, bu t als o advocate d broa d power s fo r th e crown . Hi s oppositio n wa s le d by the ear l of Shaftesbury, a defender o f parliamentary supremac y bu t toleratio n fo r Dissenters. Soon thos e tw o grouping s acquire d nicknames , i n bot h case s a t first hostil e ones. Danby' s people , th e Tories , wer e s o called first b y Titus Oates , appropriat ing a ter m used fo r Catholi c bandit s wh o preye d o n Saxo n settler s i n Ireland ; Shaftesbury's follower s i n retaliatio n wer e dubbe d Whigs , meanin g Scottis h Covenanters wh o were—sometimes accurately—charge d wit h murderin g Angli can bishops. 5 Torie s include d man y gentry , thei r tenants , an d clergy , whil e Whigs combine d th e large r shar e o f th e nobility , th e urba n commercia l classes , and Dissenters . Titus Oates , a n irresponsible rumor-monger , manage d t o whip up anti-Catho lic sentimen t b y inventing a series o f plots attribute d t o adherents o f th e Roma n faith, climaxe d b y th e affai r o f th e so-calle d Popis h Plo t o f 1678 . Muc h o f thi s furor battene d of f popula r concer n a t th e likelihoo d o f th e successio n t o th e throne (sinc e th e kin g ha d n o legitimat e children ) o f James , duk e o f York , th e king's brothe r an d a Catholic . I t le d t o th e Tes t Ac t (1673) , requirin g al l officeholders t o abjure th e Catholi c doctrin e o f transubstantiatio n an d tak e com munion in the Anglican church , thereb y excluding Catholics and most Dissenter s from office , an d th e Papists ' Disablin g Act , whic h fro m 167 8 t o 182 9 kep t Catholics out of Parliament . But th e passion s tha t triggere d publi c excitemen t ove r th e issu e late r cooled , especially as the light-minded duk e of Monmouth, th e king's illegitimate son, wa s the alternativ e th e Whig s backed . Parliamen t passe d th e Habea s Corpu s Ac t i n 1679, whic h oblige d judges t o respon d t o request s t o produce th e livin g bod y of any prisone r an d sho w caus e wh y h e wa s hel d an d forbad e reimprisonmen t o f a prisoner fo r th e sam e offense onc e he was set free . The Whig s wer e fo r th e tim e being unpopular an d weak . Charle s brough t quo warranto proceedings agains t first Londo n an d the n severa l othe r citie s ("bor oughs"), a complex lega l actio n tha t resulte d i n transfe r o f power ove r municipa l governments fro m Whig s t o Tories in cas e after case .

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A History

Charles wa s succeede d b y hi s brother , a s h e ha d labore d mightil y t o permit . Though Catholic , Jame s I I ha d a s heir s tw o Protestan t daughters , Mar y an d Anne, b y his first wife . Th e parliamen t h e summone d ha d a loyal Tory majorit y but soo n balke d whe n h e sough t t o suspend th e Tes t Act , an d h e prorogue d th e body. No w h e resorte d t o blood y repressiv e measure s agains t mino r Scottis h and Englis h risings , an d arouse d Protestan t fear s b y appointing Catholi c official s in larg e number s an d assertin g hi s powe r t o dispens e wit h th e penaltie s o f th e Test Act . The kin g attempte d t o rall y th e Dissenter s t o suppor t hi s polic y o f toleratio n for al l religion s a s expresse d i n th e Declaratio n o f Indulgenc e (1687) , bu t they resisted i t strongly . A second versio n wa s draw u p an d ordere d t o be rea d i n th e churches; th e archbisho p of Canterbury an d si x other bishops petitioned th e kin g to rescin d th e order , an d mos t clerg y defie d i t o n th e Sunda y concerned . Jame s had th e seve n bishop s trie d fo r seditiou s libel ; they were acquitted , an d scene s of wild rejoicin g followed . A few week s before a son had been bor n t o the king , wh o had t o b e expecte d t o b e raise d a Catholic . Th e Whig s declare d h e ha d bee n introduced i n a warming-pan , bu t tha t h e wa s th e legitimat e so n o f hi s fathe r was accepted b y most Englishmen , an d became a reason fo r revolt . A group of "seve n eminen t persons " no w invite d Willia m o f Orange , rule r o f the Netherlands , an d hi s wif e Mar y (daughte r o f Jame s II ) t o liberat e th e country. Willia m lande d i n th e wes t o f England . James' s force s disintegrated , and h e fled. Willia m summoned al l veterans o f any parliament o f Charle s I I an d asked thei r advice . The y urged hi m t o assum e th e headshi p o f governmen t temporarily an d to call a "convention" (not formally a parliament sinc e summoned by a person no t yet a king), an d he did. Though Torie s an d Whig s agree d tha t Jame s I I ha d give n u p th e throne , th e succession wa s debated . Th e Whig s declare d th e thron e vacan t a s a resul t o f James's havin g broke n th e contrac t betwee n thron e an d people , an d carrie d a resolution t o that effect i n Commons. I n Lords , where ther e was a Tory majority , the principl e o f hereditar y righ t prevente d acceptin g an y suc h resolution , an d Mary wa s declare d th e rightfu l queen . Bu t Willia m refuse d t o b e regen t o r consort. A t this , mos t Torie s gav e wa y an d joine d th e Whig s i n offerin g th e crown t o the Dutc h rule r an d hi s wife ; they became William II I an d Mar y II . A small grou p o f recalcitrants , th e Jacobite s (fro m Jacobus, Latin fo r James) , ob jected i n vain . Thus wa s consummate d th e "Gloriou s Revolution. " Th e event s tha t deter mined th e succession , onc e James I I wa s driven out , wer e partly revolutionary — the selectio n o f Willia m III—an d partl y nonrevolutionar y an d traditional—th e choice o f Mar y II . Mor e importan t wer e th e measure s tha t accompanie d regula -

The Birth of Constitutional Government 19 1 tion o f th e succession . Chie f amon g the m wa s th e Bil l o f Rights , whic h accom panied th e offer o f the throne t o William an d Mar y and asserted : (1) law s could be enacted or suspended only by consent of Parliament, (2) th e dispensing power (asserted by James in relation to the Test Act) was illegal, (3) th e Court of Ecclesiastical Commission and other such courts were illegal, (4) taxatio n required parliamentary consent, (5) an y subject had the right to petition the king, (6) maintainin g a standing army without consent of Parliament was illegal, (7) i t was lawful t o keep arms, (8) election s of members of Parliament must be free, (9) ther e must be freedom of debate in Parliament, (10) excessiv e bail was forbidden, (11) juries should be empaneled and returned in every trial, (12) grant s of estates as forfeited befor e the offender wa s convicted were illegal, (13) Parliamen t should be summoned frequently. 6 It ha s bee n pointe d ou t tha t despit e th e constitutiona l importanc e o f thi s docu ment, onl y on e o f th e thirtee n item s wa s entirel y new—tha t wa s th e ba n o n standing armies . Al l th e others ha d forme d par t o f th e unwritte n Englis h consti tution an d were here only reiterated fo r th e sak e of clarity and certainty . Additional law s rounde d ou t th e Revolution . Th e Mutin y Ac t gav e th e kin g power to raise an army and rule it by martial law for si x months; it was thereafte r renewed frequently . Th e Toleratio n Ac t permitted al l religious groups to worship freely excep t Catholics and Unitarians , thoug h civi l disabilities for religious belief remained an d th e Tes t Ac t wa s no t repealed . Thu s Dissenter s obtaine d freedo m of worship; the act has been calle d "William' s answer t o the Revocation [b y Louis XIV] o f th e Edic t o f Nantes.' 7 A s fo r th e Catholics , a numbe r o f pett y restric tions remained , bu t th e principl e o f toleratio n cam e t o b e accepte d t o suc h a n extent tha t befor e lon g they could in fact worshi p publicly. The ac t licensin g printe d book s an d paper s wa s allowe d t o expire , s o tha t Milton's prescriptio n o f freedo m o f th e pres s wa s realized . A Triennia l Ac t limited a give n parliamen t t o thre e years . A Treasons Ac t mad e th e distinctio n between treaso n an d mer e politica l oppositio n sharpe r an d gav e protection t o th e accused i n treaso n trials . Al l the measures mentione d wer e passed between 168 9 and 1696 . Five year s late r th e Ac t o f Settlemen t deal t wit h th e successio n proble m tha t loomed in th e future—Anne's so n having died. (Ann e was the secon d Protestan t daughter o f Jame s I I an d siste r t o th e queen. ) Th e crow n wa s t o go to Sophia , electress o f Hanove r an d niec e of Charles I , an d he r heirs . Inserte d int o thi s ac t was th e prohibitio n o f th e remova l o f judges excep t b y actio n o f bot h Lord s an d Commons.

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The succession o f Willia m an d Mar y i n Scotlan d require d entirel y separat e proceedings. Despit e Scottis h attachmen t t o the Stuarts , th e anti-Catholic feelin g especially o f th e Protestan t lowlander s le d t o a convention i n Scotlan d similar t o that whic h ha d been summoned i n England . I t offere d th e crow n t o William an d Mary. A minor risin g of highlanders wa s settle d withou t difficult y excep t fo r th e hideous massacr e o f th e MacDonal d cla n a t Glencoe , a n even t du e t o misunder standing an d failur e o f communication . Willia m mad e severa l importan t concessions. Althoug h th e established churc h ha d been declared Episcopalia n (Anglica n in Scotland , tha t i s to say) at the tim e of the restoratio n o f Charles II , i t was now made Presbyteria n onc e again an d remaine d so . The ne w kin g left th e Scot s thei r own parliament, an d it promptly got into a series of disputes with tha t of Englan d over foreign commerce . In Irelan d th e overwhelmingl y Catholi c populatio n ha d preferre d Charle s I t o (the hated ) Cromwell , Jame s I I t o Charles II . Whe n Jame s fro m France , wher e he ha d fled, exhorte d the m t o ris e i n suppor t o f hi s effor t t o regai n th e throne , they di d so . However , Willia m challenge d hi m a t th e battl e o f th e Boyn e (1690 ) and defeated him . Hi s army then wen t on to capture th e last Catholic stronghold , Limerick, an d promise d th e Iris h fre e transportatio n t o France fo r thos e wishin g to enter Frenc h servic e (though Willia m was then fighting France!), fre e exercis e of th e Catholi c religio n a s unde r Charle s I I i f th e Iris h Parliamen t agreed , an d restoration o f most rebel estates . Williams lenienc y was , however , no t t o prevail. Th e Englis h Parliamen t no w legislated a prohibition o f Catholic s i n th e Iris h Parliament , an d a series o f law s providing fo r discriminatio n an d outrigh t persecutio n o f Catholic s i n Irelan d ensued. Political , religious , an d economi c measure s combine d t o make th e Iris h wretched. I n th e word s o f W . E . Lunt , th e Gloriou s Revolutio n "brough t t o England politica l libert y an d t o Scotlan d prosperity , [but ] t o Irelan d i t brough t political an d religiou s tyranny , mora l degradation , an d economi c depression." 8 Nowhere i n Europ e wa s a people o f different religio n fro m it s overlord s s o badly treated. In Englan d an d Scotland , nevertheless , th e wa y was charte d fo r limitatio n o f the powe r o f ruler s tha t woul d stan d fo r th e nex t thre e centurie s a s th e funda mental desideratu m fo r buildin g a fre e societ y i n al l corner s o f th e earth . Eve n unfree societie s fo r th e mos t part fel t compelle d t o pretend tha t th e principle wa s observed withi n thei r borders . Th e Gloriou s Revolutio n ha d much t o boast of; it s chief authors , th e Whigs , i t coul d b e argued , "di d mor e fo r freedo m tha n an y body of men wh o ever appeared o n earth" (Lor d Acton). But Willia m deserve s credi t too . H e developed muc h politica l skill . No t yield ing an y o f th e theoretica l powe r h e ha d t o choos e an y minister s h e desired , h e started t o selec t the m o n th e basi s o f thei r abilit y t o wi n th e backin g o f Parlia -

The Birth of Constitutional Government 19 3 ment. B y comparable adroitnes s h e managed t o establish a Bank of England an d a regular nationa l debt , an d thereb y succeede d i n financing th e war s tha t prove d ruinous t o th e treasur y o f hi s opponent , Loui s XIV . Thu s unde r th e constitu tional government base d on th e cooperation o f monarch an d parliament, "suppos edly weak, fractious , an d inefficient " Englan d emerge d th e victor over th e despotism of France, thre e time s as populous a s her islan d neighbor. 9 It wa s John Lock e wh o drew theoretica l conclusion s fro m th e Gloriou s Revo lution, systematize d them , an d voice d the m i n a for m tha t other s coul d adopt . His historica l rol e wa s t o challeng e Hobbes , theoris t o f th e royalis t sid e i n th e Civil War . Hobbes , th e absolutist , individualist , materialist , an d ultimatel y pes simist ("th e wa r o f al l agains t all " a s th e visio n o f man' s natura l state) , wa s confronted b y Locke , th e constitutionalist , Christian , an d optimis t (th e stat e o f nature a s "peace, goo d will, mutua l assistance") . More than that , Hobbe s rested hi s analysis of the stat e on its usefulness alone ; Locke declare d tha t i t wa s founde d o n natura l law . I n s o doin g h e trace d hi s descent t o th e medieva l notio n o f contract , mutua l dependence , an d th e righ t of revolution i f ruler s betraye d thei r sid e of the bargain, a s set forth i n th e writing s of Thoma s Aquina s i n th e thirteent h centur y an d Richar d Hooke r i n th e six teenth centur y an d acknowledge d o r a t an y rat e constantl y appeale d t o i n th e history o f kings an d estate s i n th e Middl e Ages . Natura l la w wa s th e foundatio n of natural rights , whic h wer e life , liberty , an d property . Al l of this, lai d down i n the Two Treatises of Government (1690), carrie d th e da y i n politica l theor y i n Britain an d vaulted th e channel t o France, wit h significan t consequences . Under Ann e (1702-14 ) th e shif t i n popularit y bac k an d fort h betwee n Whig s and Tories that characterized Willia m Ill' s reig n and often perplexe d hi m became regularized. Th e quee n leane d t o th e Tories , thoug h he r ministers , th e duk e of Marlborough an d th e ear l o f Godolphin , wer e no t a t al l fanatica l i n thei r adher ence t o that party . The y were , however , determine d t o prosecute th e War o f th e Spanish Succession , th e culminatio n o f th e war s o f Loui s XIV , t o a successfu l conclusion. The y wer e thu s willin g t o drop th e Torie s an d all y themselve s wit h Whigs afte r th e latte r wo n th e electio n o f 1705 , thoug h th e quee n resiste d fo r some time. Since th e Ac t o f Settlemen t (1701 ) ha d deal t onl y wit h England , i t remaine d to solv e th e questio n o f Scotland . I n 170 7 unio n o f th e tw o kingdom s wa s proclaimed; th e motivatio n o f th e Englis h wa s i n larg e par t t o reduc e Scottis h support fo r th e caus e o f th e Jacobites, havin g in min d substantia l concession s t o the Scot s b y wa y o f openin g Englis h trade , militar y service , an d industria l an d professional employmen t t o them . Actuall y Englan d benefite d enormousl y a s a result, bu t tha t wa s not know n i n advance . Th e successio n wa s to be the sam e in Scotland a s in England : th e Protestan t descendant s o f Sophia , Electres s o f Han -

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over. Ther e wa s t o be a singl e parliamen t fo r th e unite d kingdom ; Scotlan d wa s to send sixtee n electe d peers an d forty-five member s of Commons. N o more peers of Scotlan d wer e t o b e created ; Scottis h la w an d religio n (th e Presbyteria n church) wer e t o remain; th e Unio n Jack, fusin g th e crosses of St. Georg e and St . Andrew, wa s to be the flag of what no w became known a s Great Britain . On th e issue s o f successio n an d unio n ther e wa s n o significan t differenc e between th e tw o parties , bu t o n th e wa r ther e was . Th e Tories , wh o regaine d popularity i n par t becaus e o f th e tria l o f Dr . Sacheverel l (1710) , wer e ben t o n making peace. Th e clergyma n concerne d wa s impeached b y the Whig-dominate d Commons, bu t public opinion tilte d in hi s favor t o such a n extent tha t th e Whig s let hi m of f wit h a light sentence—no t ligh t enough , however , t o save them fro m a popula r backlash . Th e quee n dismisse d Godolphi n an d th e Whig s fro m th e cabinet. A n election confirme d th e Torie s i n thei r ne w control of the cabinet an d matched i t wit h a Tor y majorit y i n Commons . The y proceede d t o mak e peac e with Franc e i n th e Treat y o f Utrech t (1713) . Alread y the y ha d sough t t o mak e things difficul t fo r th e Whig s b y severa l legislativ e measure s directe d agains t Dissenters an d merchants—bot h ap t t o b e Whigs . Th e queen' s deat h i n 171 4 was followe d b y the accessio n o f th e pro-Whi g Georg e I , an d th e Tories ' vindic tiveness was soon rendered ineffective . In th e eighteent h century , "b y degree s constitutiona l monarch y gre w t o b e what wa s afterward s calle d responsibl e government . Th e machiner y b y which i t did s o was th e cabine t system . . . . After th e first ministr y o f Queen Ann e ther e was non e whic h coul d b e regarde d a s freel y chose n b y th e unguide d wil l o f th e monarch." 10 Fo r much o f the century th e monarch's ministers were peers; as late as 178 3 only one minister wa s in Commons. Bu t already beginning in th e reign of William II I a relationshi p develope d betwee n th e cabine t an d Commons . Wil liam's first cabine t wa s draw n fro m bot h Torie s an d Whig s i n orde r t o assur e broad nationa l support ; instead , the y squabble d wit h on e anothe r an d accom plished nothing . Thu s on e advise r suggeste d tha t th e cabine t b e mad e u p o f th e party wit h a majority i n Commons , an d th e kin g thereupon, thoug h no t a t once , built u p a Whig cabinet t o go with th e Whig Commons . However , h e did no t yet realize wha t a discovery h e ha d mad e or pursue consistentl y th e principle h e ha d acted o n once . Bot h kin g an d Common s stil l tende d t o regar d th e cabine t a s a gathering of the king's servants . Under Anne the principle of seeking harmony between th e party in the cabine t and th e part y wit h a Common s majorit y wa s observe d twice—th e shif t fro m Tories t o Whigs afte r 170 5 and bac k agai n i n 1710—bu t no t very smoothly , an d the first tim e despite th e queen's grea t reluctance . Sh e was in general unpredict able an d difficul t t o dea l with ; thu s th e cabine t fel l int o th e habi t o f discussin g matters amon g themselve s befor e sh e ha d a chanc e t o consul t an y o f the m

The Birth of Constitutional Government 19 5 individually, a s sh e ha d th e righ t t o do and ofte n did , i n orde r t o present a fron t of unanimity t o her tha t sh e was seldom prepared t o challenge. Finally , th e quee n used th e royal veto in 1708 , but i t proved t o be the last time; she was also brought to create twelv e Tor y peer s i n 171 1 in orde r t o make th e majorit y part y o f Lord s the sam e as that o f Commons, an d thu s mak e th e ne w Tor y cabine t abl e to avoid the previou s frustratio n o f legislatio n tha t th e Lord s ha d offered , n notabl y th e making of peace. Sir Georg e Clar k sum s u p th e Britis h governmen t i n th e eighteent h century : "Great Britai n wa s th e first moder n stat e i n whic h th e governmen t ha d t o carr y out its tasks with th e general consent of a governing class." 12 If the exact relatio n between th e cabine t an d Parliamen t wa s stil l to be worked out fully, b y that tim e only Common s an d no t Lord s coul d initiat e mone y bills , an d onl y th e cabine t could introduc e the m int o Commons . Ther e ha d t o be a general electio n n o les s often tha n ever y thre e years , befor e 1716 , an d unde r th e Septennia l Act , fro m 1716 to 1911 , at least every seven years. The increase d powe r of Parliament ha d consequences fo r extrapolitical affairs . Parliamentary vote s wer e reporte d daily . I n 170 2 th e first dail y newspape r i n world histor y bega n publicatio n i n London , an d by the en d of Anne's reig n ther e were journals i n a t leas t nin e othe r towns , rea d b y patron s o f th e coffeehouse s and, fro m 1709 , th e member s o f th e hundred s o f voluntar y societie s o f al l sort s that cam e t o characteriz e th e British . Loca l governmen t wa s stron g an d th e interference o f th e nationa l governmen t i n loca l affair s weak . Th e eighteent h century wa s a rathe r sleep y er a i n Britis h history , perhaps , bu t i t wa s als o a peaceful an d happy one in comparison t o the previous hundred years . Under Georg e I anothe r acciden t assiste d constitutiona l government : th e kin g did no t spea k English , s o rarel y attende d cabine t meetings , an d hi s English speaking successo r observe d th e sam e habit . Th e first o f th e Hanover s restore d the Whig s t o favor , an d som e frustrate d Torie s supporte d th e Jacobit e risin g of 1715, i n favo r o f James th e Ol d Pretender . Th e risin g wa s easil y pu t dow n an d had a s it s mai n effec t t o tur n th e Whi g predominanc e o f th e momen t int o a hegemony of forty-five years . It wa s threatene d i n 172 1 b y th e burstin g o f th e Sout h Se a Bubble , perhap s the bigges t financial crisi s o f capitalism thu s far . Rescu e wa s forthcoming , how ever, i n th e emergence of Sir Rober t Walpole a s chief figure of the cabinet, ofte n considered th e first tru e prim e minister—o f Britai n o r an y othe r country . Un tainted b y the financial scandal , h e go t ri d of thos e wh o had accepte d bribe s an d reorganized th e government . H e remaine d it s hea d fo r twenty-on e years ; Georg e II trie d fo r a few day s t o operate wit h a substitut e an d wisel y gav e up. Walpole , however, recognize d th e powe r o f th e kin g and cultivate d th e quee n a s a way of avoiding a test of strength .

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A History

During hi s lon g tenur e Walpol e succeede d i n establishin g th e principl e o f unanimity o f th e cabinet , s o tha t an y publi c disagreemen t b y a ministe r i n th e minority ha d t o lead t o resignation. Tw o Whig ministers droppe d i n thi s fashio n joined th e Torie s t o brin g Walpol e down , usin g th e issu e o f foreig n polic y wit h regard t o th e Wa r o f Austria n Succession . H e ha d no t wante d th e war , an d th e king's concer n fo r Hanove r place d hi m i n a n unpopula r position . H e resigne d i n 1742. However , th e cabine t remaine d Whig , withou t a stron g leade r bu t never theless showin g itself, i n a parliamentary crisi s of 1746 , stron g enough t o compel George I I t o desis t fro m a n attemp t t o nam e a prim e ministe r a t odd s wit h th e cabinet supporte d b y a Commons majority . The Jacobites ha d just trie d again , i n 1745 , to restore th e Ol d Pretende r wit h a force le d by Charles Edwar d th e Young Pretender. Th e attemp t wa s a sideshow to Britis h participatio n i n th e Wa r o f Austria n Successio n agains t Franc e an d Prussia an d helpe d t o prolon g th e Whigs ' power , thoug h they continue d t o quarrel wit h on e another . I n 175 6 th e Hanoveria n kin g le d Britai n int o a n alliance wit h Frederic k I I of Prussia, leavin g Austria t o complete th e "diplomati c revolution" b y allyin g itsel f wit h th e ol d enemy , France . A wa r followe d (th e Seven Years ' War ) o r i n som e way s continued , sinc e Englan d ha d bee n fighting France of f an d on sinc e 166 6 with change d allie s an d thu s som e historians spea k of a Second Hundred Years ' War (th e first of which als o had intervals of peace).13 After sever e British defeats, th e king felt compelle d t o turn i n 175 7 to William Pitt, who m h e deteste d fo r hi s disparagemen t o f England' s sacrifice s t o th e Hanoverian connection . Pit t becam e th e rea l leade r o f th e cabinet , nominall y headed b y th e duk e o f Newcastle . Th e Grea t Commoner , a s Pit t wa s called , rallied th e nation , reorganize d th e army , an d le d a natio n enthralle d b y hi s oratorical magi c t o victory. Bu t th e old king died, Georg e II I sough t t o regain th e monarchical powe r tha t ha d been weakene d unde r hi s tw o predecessors, an d Pit t found hi s colleague s tirin g o f hi s popularit y an d position . H e resigne d i n 1761 , and the Earl of Bute as prime minister conclude d peace, one which nette d Britai n predominance i n Nort h Americ a an d Indi a an d pave d th e wa y fo r Britis h worl d hegemony. Bute, a Tory , ha d t o resig n becaus e th e peac e wa s extremel y unpopula r (s o much fo r popula r evaluation s o f curren t events) , an d fo r th e tim e bein g th e Whigs remaine d dominan t i n th e cabinet . Soo n disharmon y wit h th e kin g le d George t o turn agai n t o Pitt, wh o now forme d a cabinet combinin g i n a coalition one Whig faction , Tories , an d a new grou p know n a s King's Friends . Popula r a t first, Georg e II I los t credi t b y hi s prosecutio n o f Joh n Wilke s fo r insultin g remarks construe d a s directe d agains t th e monarch , an d worse , hi s engineerin g of the expulsion of Wilkes from Common s four time s in a row after h e was legally elected thereto . Bu t th e king succeeded in reestablishin g much of the royal power

The Birth of Constitutional Government i9 7 by the tim e Lor d Nort h ha d put togethe r a cabinet (1770) , an d for th e tim e being the syste m tha t th e previous eight decades had built fel l apart . The 176 3 Treat y o f Pari s pu t int o th e spotligh t th e need s o f th e America n colonies an d imperia l administratio n an d defense . Successiv e attempt s t o mak e the colonists pay their fai r shar e of those costs provoked antipathy , partl y becaus e of constan t change s o f minister s owin g t o th e king' s persisten t parliamentar y intrigues bu t als o because of a lack of understanding of the American situatio n by British statesman . Finall y resistance became revolution , an d despite all the hand icaps suffere d b y th e America n leaders , they finally encompasse d th e surrende r of th e mai n Britis h arm y unde r Lor d Cornwalli s a t Yorktow n i n 1781 . Nort h resigned a few months later, an d it appeared tha t th e king's system had collapsed . George II I wa s stil l abl e t o maneuver amids t Whi g faction s an d rivals , bu t t o terminate th e coalitio n cabine t forme d b y Lord Nort h an d Charle s Jame s Fo x h e had t o dismiss it, i n a n unconstitutiona l manne r tha t evoke d a resolution i n effec t of reprimand. Nevertheles s th e kings choice for the next prime minister, Willia m Pitt ("th e Younger, " the n onl y twenty-five, so n of the leader of a quarter-centur y earlier), afte r a prolonge d politica l struggle , emerge d a s th e country' s choic e i n the 178 4 election. Bu t the young commoner, no t th e king , proved to be in charge, and no one would challenge the cabinet syste m again. I t was as if John Dunning' s motion o f 178 0 ha d bee n pu t int o effect : "tha t th e influenc e o f th e Crow n ha s increased, i s increasing, an d ought t o be diminished.' ' Pitt heade d th e governmen t fo r eightee n years . H e wa s a better administrato r than hi s father , thoug h a n orato r inferio r t o him . Hi s refor m o f stat e finances was exemplary , h e introduce d a bill t o abolis h man y rotte n boroughs , h e pu t a n end t o th e syste m o f briber y tha t wa s s o blatant i n th e eighteent h century , an d he sponsored th e legislative union of Great Britai n an d Irelan d unde r th e name of United Kingdom . Irelan d wa s to send 4 lords spiritua l an d 2 8 lords tempora l (th e latter electe d fo r lif e b y th e Iris h peers ) t o th e uppe r hous e an d 10 0 commoner s to the lower house in London . This ac t dilute d th e powe r o f th e prou d Protestant s wh o ha d mad e u p th e Parliament i n Dubli n (no w abolished ) an d prepare d th e wa y for a possible genu inely representative , therefor e largel y Catholic , representatio n i n Londo n o f th e Irish peopl e without threatenin g th e Protestant s wit h Catholi c domination (sinc e they would be only a modest minorit y i n th e British Parliament) . Pit t intende d t o follow u p th e Ac t o f Unio n b y partially emancipatin g Iris h Catholic s fro m thei r civil disabilities an d enablin g the m t o hold seat s in Parliament . Th e kin g balked, and Pit t resigned . I t wa s a n honorabl e exi t followin g o n a career tha t o n balanc e advanced th e growt h o f a fre e society , despit e th e fac t tha t h e had , jus t befor e and durin g th e wa r wit h Franc e tha t brok e ou t i n 1793 , represse d al l oppositio n and sponsore d legislatio n definin g treaso n i n a sweeping manner .

198 Freedom:

A History

The eighteent h centur y i n England—o r Britain , fro m 1707—wa s on e o f drastic economi c change , centerin g i n th e Industria l Revolutio n bu t includin g substantial change s i n agricultur e a s well. I t was not a time of religious upheava l or great cultural creativity. Politicall y it seemed on the surface fa r from attractive : corruption wa s open, widespread , an d apparently buil t int o the whole parliamen tary system; Britain's greatest leaders, Walpole and the two Pitts, wer e in various ways embroile d i n th e practice s o f preferment , pension , an d sinecure , o r i n certain instance s outrigh t bribery . Th e Common s wa s electe d bu t wa s scarcel y representative, an d seeme d t o defy reformer s wh o wished t o make it such . As for th e monarchy , th e keyston e i n th e arch , i t faile d i n th e reig n o f James II, leadin g t o the overthro w o f th e kin g in a n extralega l manner . Th e monarch y showed fe w sign s of earning popular approva l a s the dynasty petere d out an d wa s replaced b y another , an d b y th e en d o f th e centur y i t la y i n th e hand s o f a kin g who was considered mad—intermittentl y fro m 1788 , steadil y fro m 181 0 until h e died i n 1820 . (Sinc e th e Englis h titl e "protector " ha d been ruine d b y Cromwell' s use thereof , th e Frenc h "regent " wa s borrowe d fo r th e purpos e b y th e crow n prince, wh o acted for th e incompetent kin g during his last decade.) 14 And yet th e century sa w th e foundation s lai d o f Britis h representativ e government , whic h became th e mode l fo r th e whol e worl d an d compelle d th e viles t an d crudes t try ants t o pretend tha t they actually presided over an analogous system .

France, 1650-1800 It ha s lon g bee n observe d tha t Britai n an d France , th e tw o grea t antagonists , developed politicall y i n diametricall y opposit e way s during th e period . A s constitutional government , wit h fit s an d starts, too k hold in Britain, Franc e sli d towar d absolute monarchy . An d s o i t was , excep t tha t a t th e en d o f th e slid e waite d revolution. The contras t betwee n Englis h an d Frenc h freedom , however , wa s not quite so stark. Machiavelli' s prais e o f th e Frenc h constitution , whic h boun d th e kin g t o obey the law s of the land , resounde d i n Franc e stil l during th e period. I n th e age of Loui s XIV , Bisho p Bossue t obligingl y dwel t o n th e authorit y o f th e king ; Cardinal Fenelo n recalle d hi s obligations . I n Telemaque, he wrot e tha t th e kin g "has all power over the people, but th e laws have all power over him." There wa s no nationa l parliamen t i n France ; th e Parlemen t o f Pari s coul d no t clai m t o b e such. Ther e wer e loca l parlements a s wel l a s th e provincia l estate s wit h whic h Lois XI V ofte n clashed ; the y "oppose d th e roya l will , generall y i n a selfis h o r reactionary spirit , wit h an eye to aristocratic privileges rather than popular rights;

The Birth of Constitutional Government 19 9 but the y wer e nonetheles s helpin g t o maintai n th e traditio n o f constitutiona l government, a measure of political liberty." 15 By the eighteent h century , th e estate s stil l me t onl y i n Languedoc , Brittany , Burgundy, Artois , an d Beam , "an d onl y i n th e first tw o wer e th e Provincia l Estates o f an y importance" ; ther e the y ha d th e powe r t o consen t t o taxation, 16 and al l t o som e degre e manage d t o defend , o r a t leas t affirm , th e libertie s th e crown ha d promise d t o preserve whe n th e provinces ha d passed t o it. I n Langue doc th e Firs t Estate , th e clerg y (i n thi s cas e simpl y th e bishops) wer e dominant ; the Secon d Estate , th e nobility , wer e "represented " b y noble s appointe d b y th e king; th e Thir d Estat e wa s mad e u p o f tow n magistrates . A s Palme r point s out , "with doubl e representatio n fo r th e Thir d Estate , an d wit h votin g b y head , th e Estates o f Languedo c befor e th e Revolutio n enjoye d th e tw o forma l advantage s demanded b y th e Thir d Estat e o n a nationa l scal e fo r th e Estate s Genera l o f 1789."17 But th e bishops were too strong for th e lay estates. I n Brittan y th e clergy were less importan t tha n i n Languedoc , th e noble s dominant , votin g by chambe r an d not by head. I n additio n t o the provincial estates , ther e wa s a parlement, i n fac t a court o f la w suprem e i n it s area , fo r ever y regio n o f France . Th e seat s i n th e parlements wer e usuall y th e propert y o f th e person s occupyin g them . Ofte n the y had been sol d by the monarch originally , bu t by the eighteenth centur y they wer e apt t o be inherite d o r i f purchased , fro m th e owne r no t th e king . Th e parlement in Grenobl e ha d te n presidents, fifty-four councilors, an d thre e roya l prosecutin g attorneys an d was largely noble—the distinction betwee n th e noblesse de robe and noblesse d'epee having been blurred b y intermarriage an d socia l intercourse. In summary , th e "constitute d bodies"—tha t is , th e estates , parlements, and associations, loca l o r national , o r quit e a numbe r o f differen t socia l groups — offered formidabl e obstacle s t o whoeve r woul d erec t a n edific e o f absolutism . Aristocracy wa s puttin g dow n roots ; roug h burgher s wer e producin g son s an d grandsons wit h fastidiou s manners . Eve n th e king' s official s wer e increasingl y the produc t o f birth ; "th e bureaucrac y ha d alread y becom e an d wa s t o remai n a hereditary cast e whos e member s coul d n o mor e b e remove d fro m thei r office s without compensatio n tha n noble s coul d b e deprive d o f thei r fiefs." 18 Thi s wa s the resul t o f th e paulette, th e provisio n o f paymen t fo r convertin g a n offic e int o something inherited , whic h Mazari n threatene d t o en d i n 164 8 but—havin g helped thereb y t o rous e th e Frond e agains t th e monarchy—fel t compelle d t o restore in 1657 . Mazarin die d in 1661 , and Loui s XIV's personal rul e began. Hi s conception of his tas k wa s tha t o f sweepin g refor m o f government. H e believed tha t th e wil l of the rule r shoul d alway s b e obeye d an d tha t th e monarc h shoul d hav e "fre e an d

2oo Freedom:

A History

full dispositio n o f al l th e good s possessed b y clergyme n a s wel l a s b y laymen , i n order t o us e the m . . . according t o th e genera l nee d o f th e state." 19 Kings , h e thought, wer e brough t u p t o b e virtuou s an d selfles s i n thei r pursui t o f th e common good , whereas nobles , clergy , an d other men wer e selfish . Nevertheless Loui s XIV did not follow th e logic of such sentiments . A s Russell Major put s it , on e woul d expec t hi m t o 'crus h th e provincia l estate s an d othe r popular organ s o f government fo r th e benefi t o f his subjects , bu t a t hear t h e wa s too much o f a conservative traditionalis t t o do so." He did not even try. Lik e those who hel d th e thron e befor e him , h e swor e t o respec t th e privilege s o f th e provinces with estate s and—stil l i n th e eighteent h centur y i t was common—fel t bound by his oath, a t least failin g som e compelling reason fo r doing otherwise. Louis trie d t o control th e estates , th e parlernents, an d othe r bodie s tha t migh t obstruct hi s will , bu t no t t o destro y them . True , th e estate s mor e an d mor e frequently faile d t o obtai n th e consen t o f th e roya l intendant s t o mee t an d therefore di d no t meet . Thi s wa s th e cas e in th e pays d'etats, by now th e wester n and southeaster n fringe s o f France ; i n th e pays d elections, the greate r par t o f th e country, stretchin g fro m Boulogn e t o Bayonne, suc h institution s wer e moribun d and coul d b e allowe d t o disappea r withou t roya l initiative . Still , th e estate s i n former section s were not dead and sa w a vigorous revival in th e succeedin g reign . Louis XI V di d muc h t o increase roya l prestige , vi a censorship , th e patronag e of literature an d th e arts , an d th e creatio n o f a palace (Versailles ) tha t attracte d nobles t o the vicinit y o f th e capita l wher e they coul d no t make mischief. H e als o vigorously exercise d roya l powe r an d increase d th e exten t t o whic h Franc e wa s centralized. Nevertheles s absolutis m seem s a n exaggerate d ter m t o use for a king who lef t th e sam e "constitute d bodies " t o hi s successo r a s h e face d a t th e beginning o f hi s reign . Th e societ y o f 'orders " continue d an d wa s no t eve n th e object o f attack . Pomponn e d e Bellievre , th e chancellor , urged th e kin g t o carr y France bac k t o th e reig n o f Loui s XII ; th e Estate s Genera l an d th e provincia l estates woul d hav e man y responsibilitie s an d roya l official s few ; town s woul d b e semiautonomous.20 O f course he did no such thing . Louis XI V expende d vas t energies , sum s o f money , an d number s o f me n i n wars o f conquest , fro m 166 7 t o 1713 . I n doin g s o he create d a n enormou s arm y for th e time , whic h i n tur n increase d monarchica l power . Bu t it was employed t o little advantage , eithe r domesticall y o r financially i n extendin g Frenc h borders , despite th e annexatio n o f mos t o f Alsace-Lorraine . H e lef t t o his great-grandso n —since h e ha d outlive d bot h so n an d grandson— a countr y tha t groane d unde r heavy taxes an d ha d suffere d heav y casualties, bu t wa s not under th e contro l of a despotism. Perhap s hi s worst mistake in interna l polic y was the revocatio n o f th e Edict o f Nante s i n 1685 , whic h actio n resulte d i n th e prohibitio n o f Hugueno t worship, th e requiremen t tha t childre n b e educate d i n th e Catholi c faith , an d

The Birth of Constitutional Government 20 1 the forbiddin g o f emigration . Nine-tenth s o f th e Huguenot s submitte d an d ac cepted conversion ; nevertheles s som e fifty thousan d familie s di d leav e France , carrying with the m skill s and abilities tha t th e country coul d ill afford t o lose. Such policie s wer e lightene d considerabl y b y th e regenc y tha t rule d i n Loui s XV's minority . No t lon g afte r h e cam e o f age , th e kin g made hi s tuto r hi s chie f minister: Cardina l Fleury , whos e administration laste d from 172 6 to 1743 . Befor e he died , Franc e becam e involve d agai n i n wa r wit h England , whic h sh e fough t first wit h Prussi a a s ally (the War of Austrian Succession ) and then wit h Austri a (the Seve n Years' War). The monarch y wa s continuall y challenge d b y th e parlernents, especiall y th e Parlement o f Paris, which attempte d t o convert the custom of registration o f royal edicts int o somethin g aki n t o judicial review . Th e parlernents wer e actuall y abol ished b y Chancellor Maupeou , bu t oppositio n t o this actio n wa s s o strong tha t i t was reverse d i n th e nex t reign . Loui s X V was , fo r somethin g lik e thirt y years , influenced b y a succession o f mistresses . H e becam e steadil y mor e unpopula r a s they and h e wasted publi c funds o n conspicuous consumptio n an d impose d heav y taxes. His grandson , Loui s XVI , wa s quit e different—neithe r a spendthrif t no r a sybarite—but hi s Austrian-born wife , Mari e Antoinette, wa s careless about suc h things an d interfere d i n governmen t constantly , wit h disastrou s results . France' s already burdensom e deb t wa s greatly increase d b y joining th e America n colonist s in th e America n Revolution . Th e kin g ha d earlie r chosen som e abl e ministers , among them Turgo t th e Physiocrat , bu t seeme d unabl e t o pursue an y consisten t policy o r t o retai n an y ministe r long . Th e financial situatio n becam e urgen t an d then desperate . A body with only shadowy ancestry, th e Assembly of Notables, wa s summone d in Februar y 178 7 and afte r a few week s was dissolved withou t perceptibl e effect . The parlernents (restore d b y Loui s XIV a t th e outse t o f his reign ) blocke d severa l proposed remedies . Th e kin g finally turned t o the Estate s General , las t convene d in 1614 . I t me t i n Ma y 1789 : si x hundre d representative s o f th e Thir d Estat e joined thre e hundre d clerg y an d thre e hundre d nobles . Afte r argument , i t wa s decided tha t al l three , wit h approva l o f th e king , shoul d mee t together . Th e resulting body was called the Constituen t Assembly . The notio n tha t th e roya l powe r wa s no t unlimite d ha d bot h theoretica l an d practical expressio n i n th e previou s decades . Montesquieu' s The Spirit of Laws (1748) argued tha t th e legislativ e powe r shoul d b e entruste d t o bot h a "bod y of nobles, an d t o tha t whic h represent s th e [non-noble ] people , eac h havin g thei r assemblies an d deliberation s apart , eac h thei r separat e view s an d interests." 21 King, nobles , an d common s mus t al l have a part i n government ; th e Englis h ha d their Parliamen t t o give voice t o the las t two , an d th e Frenc h als o had "interme -

202 Freedom:

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diate bodies " t o fulfil l tha t function , i n th e for m o f parlements, estates , an d al l sorts o f smalle r corporat e entities . I n th e mid-1760s , th e parlements seeme d t o attempt t o put suc h idea s int o effect . Ther e wer e abou t a dozen o f them : They no w claimed tha t the y were parts of a general or super-parlement, a parlement o f all France, o f whic h th e severa l actua l parlement s wer e simpl y subdivisions . . . . Thi s parlement-in-general, the y held, represente d th e "nation," by which the y meant th e people or th e governed , whethe r o f Franc e a s a whol e o r o f Brittan y an d suc h sub-nation s i n particular. N o la w coul d b e valid , o r ta x properl y authorized , the y asserted , withou t th e consent of the nation a s shown by its representative, th e parlement. 22 This wa s new ; king s ha d sometime s accepte d th e righ t o f th e parlements t o registe r laws o r protes t agains t them , bu t a n actua l shar e i n legislatio n ha d no t eve n bee n claimed b y th e parlements i n earlie r times . T h e clai m wa s thu s revolutionary , having n o foundatio n i n th e constitutiona l histor y o f France. 2 3 I n 176 6 Loui s X V publicly rejecte d suc h a position , an d i n 177 1 hi s chancello r abolishe d th e parlements entirely , replacin g the m b y a much-improve d judicia l syste m an d enacting a significan t ta x reform . T h e measure s ha d muc h merit ; bu t th e tim e was pas t whe n eve n goo d law s coul d b e enacte d withou t consultin g substantia l sections o f th e bod y politic . Jean-Jacques Rousseau' s Social Contract (1762 ) seeme d t o g o muc h furthe r than th e parlements. H e postulate d a "Genera l Will " o f th e communit y tha t wa s different fro m th e "Wil l o f All, " a collectiv e an d abstrac t notio n tha t migh t supersede th e mer e su m o f individua l attitude . An y membe r o f th e communit y might b e compelle d t o confor m t o th e "Genera l Will, " "whic h i s t o sa y nothin g else tha n tha t h e wil l b e force d t o b e free. " T h e autho r adde d t o th e tex t a n exposition o f Deis t theology , accompanie d b y a condemnatio n o f relgiou s intoler ance. However , h e declare d tha t an y perso n wh o accepte d thes e teaching s an d then wen t agains t the m "shoul d b e punishe d wit h death, " whic h i s certainl y no t a positio n o f consisten t toleration . Rousseau ha s bee n credite d wit h "th e rediscover y o f th e community, " no t onl y abstractly, fo r h e proclaime d th e specia l importanc e o f th e "commo n people. " Rousseau declared : What i s not th e peopl e is hardly wort h takin g into account. Ma n i s the sam e in al l ranks ; that bein g so , th e rank s whic h ar e mos t numerou s deserv e mos t respect . Stud y peopl e of this humbl e condition ; yo u wil l perceiv e tha t . . . the y hav e a s much intelligenc e a s you, and mor e goo d sense . . . . i f ever y kin g an d ever y philosophe r wer e cu t of f fro m amon g them, the y would scarcel y be missed, an d th e world would go none the worse. 24 Man i s als o naturall y good , an d a t th e outse t free ; "ma n i s bor n fre e an d i s everywhere i n chains. " Ye t h e wa s no t intereste d i n removin g th e accretion s civilization ha d provide d nature ; h e stoo d fo r faith , patriotism , an d religio n an d

The Birth of Constitutional Government 20 3 defended the m agains t th e philosophes whos e unlimite d attachmen t t o reason an d science had undermined al l three . The Constituen t Assembl y proceede d t o try t o draw u p a constitution (o n th e model of the American Constitution ; ther e was no other t o imitate). Within a few weeks th e nobilit y ha d surrendere d it s feuda l rights an d privileges , an d th e Assembly had adopted th e Declaratio n o f the Rights of Man. I t owed much t o the American Declaratio n o f Independence (1776) , th e Englis h Bil l of Rights (1689), and th e idea s o f th e philosophes, notably Roussea u (wh o ha d bee n b y n o mean s always i n agreemen t wit h th e others) : fo r example , "me n ar e bor n an d remai n free an d equa l i n rights. " "Imprescriptibl e rights " include d provision s tha t n o man shoul d b e arreste d o r detaine d excep t b y law , ever y ma n wa s presume d innocent unti l judged guilty , an d s o forth . The Assembl y produced a constitution fo r a limited monarch y wit h a unicam eral legislature, a n arrangement whic h did not last; it also abolished th e provinces and th e parlements an d divide d Franc e int o departements, a measure tha t survive d all subsequen t politica l changes . Thoug h ther e ha d bee n virtuall y universa l suffrage exercise d fo r th e choic e o f th e deputie s o f th e Thir d Estates , suffrag e was now both limite d an d indirect. Th e kin g accepted th e constitution . However, ther e no w appeare d th e first fissure i n th e bod y politic : th e Civi l Constitution o f the Clergy provided fo r election of priests and bishops, dissolutio n of religiou s orders , stat e contro l o f th e church , an d th e requiremen t tha t al l clergy tak e a n oat h submitting ; les s tha n hal f di d so . A lasting for m o f disunit y afflicted th e countr y thereafter , separatin g conservative s an d Catholic s fro m th e religiously indifferent an d political revolutionaries . The ne w syste m was inaugurated i n Octobe r 179 1 with th e Legislative Assembly. I t coul d scarcel y b e pretended tha t everythin g wa s normal ; th e kin g and hi s family ha d tried t o flee from Pari s and had been intercepted; th e groups that stoo d for th e constitutio n wer e steadil y losin g strengt h an d wer e outnumbere d b y th e Left, consistin g o f th e Mountai n (highes t u p o n th e lef t sid e o f th e hall) , Girondins (fro m th e Girond e aroun d Bordeaux) , an d th e Plain , centris t literall y and figuratively. Th e Mountain , o r Montagnards , combine d th e Jacobi n club s (who met in a monastery formerl y occupie d b y the Dominican s an d named fo r St . James [Jacobu s i n Latin]) , le d b y Robespierre , wit h th e Cordelie r clubs , le d b y Dan ton and Marat . At first a constitutionalis t ministr y ha d bee n formed , bu t withi n month s i t yielded t o a Girondi n ministr y i n respons e t o th e Prussia n an d Austria n rulers ' cautious statemen t regardin g possibl e interventio n i n France , misinterprete d b y the wa r part y i n Franc e a s promisin g immediat e attack . Th e Girondin s i n tur n did no t last . I n Augus t 179 2 th e Pari s mo b storme d th e Tuileries , th e palac e where th e kin g an d famil y wer e kept , an d i n consequenc e th e monarch y wa s

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suspended. Th e republican s no w i n th e saddl e planne d a n assembl y tha t woul d be elected by manhood suffrag e an d would draw u p a new constitution . The ne w assembl y wa s calle d th e Convention . I t me t i n Septembe r 179 2 an d proclaimed wha t becam e th e Firs t Republic . A s Frenc h armie s advance d east ward, th e Montagnards , wh o wer e ascendan t i n th e Conventio n (itsel f a tri bunal), trie d an d execute d Loui s XVI ; th e quee n wa s t o follo w a fe w month s later. Th e executiv e power , a s i t ma y b e loosel y called , wa s share d b y th e Committee o f Genera l Security , th e Committe e o f Publi c Safety , an d th e Com mune's committe e of twenty (th e city council of Paris). The Revolutio n entere d it s most radical phase when th e Montagnard s arreste d the Girondi n deputie s i n Jun e 1793 . Robespierr e becam e th e leade r o f th e government, thoug h h e stil l had t o deal with rival s within th e Montagnar d camp . A Constitutio n o f 179 3 woul d hav e produce d democrac y bu t wa s neve r pu t int o effect. Th e Girondi n deputie s wer e execute d i n October , tw o week s afte r th e queen; ther e followed th e so-calle d Reig n of Terror. Abou t twent y thousan d wer e guillotined. Probabl y twent y thousan d mor e were kille d withou t tria l or any kin d of formal execution , an d hundred s o f thousands wer e jailed.25 Th e uppe r classe s provided only the minority of these casualties . The assaul t o f th e Deist s an d atheist s o n Christianit y wa s a less-notice d feature o f thes e events . I n Novembe r 179 3 th e worshi p o f Go d wa s declare d abolished, an d th e cul t o f Reaso n wa s proclaimed , a particula r interes t o f th e Hebertistes—a factio n o f the Mountain . Thi s wa s followed b y other cults : of th e Martyrs o f Liberty , o f th e Suprem e Being , an d th e cube decadaire. Som e wer e created b y th e state , other s spontaneously , eac h havin g it s ow n rituals , cate chisms, an d hymns, som e of which laste d unti l th e tim e of the Consulate. 26 But Heber t an d hi s chie f follower s wer e seize d an d execute d b y Robespierr e with th e hel p o f th e follower s o f Da n ton; th e latte r wer e the n execute d a fe w weeks later. Robespierr e becam e hig h pries t o f the cul t of the Suprem e Being , a s the cul t o f Reaso n ha d bee n abolished . Bu t thes e groping s towar d a new atheis t or Deist kin d of church-state relationshi p came to nothing. Robespierre wa s no t a singl e dictator , bu t h e preside d fo r muc h o f th e yea r and a quarte r fro m Apri l 179 3 t o Jul y 179 4 ove r a Jacobi n oligarch y tha t wa s partly inspire d by , partl y sough t t o justify itsel f b y th e idea s o f Rousseau . "Ou r [the Jacobins' ] wil l i s th e genera l will, " declare d Robespierr e t o th e Conventio n on Februar y 5 , 1794 . "I s our governmen t . . . lik e despotism? Yes , a s th e swor d that flashes in th e hand of the hero of liberty is like that with which th e satellite s of tyranny ar e armed . . . . The governmen t o f the Revolutio n i s the despotism of liberty agains t tyranny." 27 I t wa s th e argumen t tha t ther e i s good terro r an d ba d terror, goo d lawlessness an d ba d lawlessness. I t would be made again many time s by me n convince d o f th e justice o f thei r cause , ben t o n erectin g a "republi c o f

The Birth of Constitutional Government 20 5 virtue'' a s Robespierr e wishe d t o d o an d insistin g o n th e principl e tha t th e en d justifies th e means. In Jul y (9t h Thermidor , b y th e ne w revolutionar y calendar ) Robespierr e was overthrow n an d execute d b y a conspirac y o f variou s enemie s o f his , wh o were the n drive n b y publi c opinio n t o limi t an d the n brea k th e powe r o f th e Jacobin club s an d thei r instruments . Th e so-calle d Thermidorea n reactio n overtook th e Convention , whic h adopte d a ne w Constitutio n o f 179 5 tha t estab lished th e executiv e powe r i n a director y o f five an d a two-hous e legislature . Placing itsel f unde r th e protectio n o f troop s commande d b y Genera l Napoleo n Bonaparte, th e Conventio n fende d of f royalis t oppositio n an d yielde d t o th e ne w system. French armie s ha d alread y overru n th e Rhinelan d an d th e Lo w countries ; Napoleon no w invade d Italy , the n Switzerland , settin g u p ne w republic s a s h e went. Afte r a colorful bu t finally unproductiv e adventur e i n Egyp t an d Syria , h e returned t o France . H e overthre w th e Director y b y th e cou p d'eta t o f th e 18t h Brumaire (Novembe r 1799 ) and establishe d a new for m o f government calle d th e Consulate, wit h himsel f a s first consu l (wit h tw o other consuls) . A Constitutio n of the Yea r VIII wa s the n approve d by plebiscite. It s three-heade d executiv e wa s accompanied b y a Senate , a Tribunate, a Legislative Chamber , an d a Council of State. Non e of them lasted . Bu t a reform o f administration an d ta x collection wa s also enacted, an d survived .

North America, to 1800 Sir Walte r Raleig h lande d o n th e Atlanti c coas t i n 158 4 i n a n are a h e name d Virginia, bu t th e first colon y tha t laste d date d fro m Jamestow n i n 1607 . Alread y in 1619 , unde r Jame s I , th e ne w governo r brough t instruction s fo r ever y planta tion t o elec t tw o burgesses , an d al l thos e electe d forme d th e first representativ e assembly in th e hemisphere . In 162 0 i n wha t becam e Massachusett s ther e arrive d a grou p o f Separatists , called Pilgrims , fro m th e Anglica n church . O n reachin g Cap e Co d the y drew u p the Mayflowe r Compact , b y whic h they agree d t o form a government restin g o n their ow n attitude s an d desires . A grou p o f Puritan s followe d i n 1630 . Th e legislative body , o r "genera l court, " o f Massachusett s Ba y wa s create d i n 163 0 but fro m 163 4 came to include not all freemen, a s before, bu t only their represen tatives, becaus e th e number s ha d grow n to o large . A similar bod y appeare d i n Connecticut i n 1639 . Thus fre e institution s i n th e British colonie s of North America were pioneered by the Massachusett s Genera l Cour t an d th e Virgini a Hous e o f Burgesses . Mas -

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sachusetts tangle d wit h th e crow n fro m ver y early . I n 168 4 th e colony' s charte r was annulled , bu t thre e year s late r Bosto n rebelle d an d i t wa s restored , t o b e superseded b y a new charter i n 1691 . Freedom o f religio n wa s guaranteed t o all (except Catholics) , bu t a t tha t tim e this wa s an innovation. Massachusett s Ba y Colony had been conceive d a s a "City of Go d o n earth" ; thoug h founde d b y Puritan s wh o stil l regarde d themselve s a s part o f th e Churc h o f England , the y becam e i n effec t separatis t fro m tha t ecclesiastical body . Mor e important , th e charte r assume d th e propriet y o f unio n between churc h an d state , an d i t wa s th e Genera l Cour t tha t legislate d agains t heretics. Som e of the latter wer e actually executed, thoug h suc h harshness wa s a rarity. Against Purita n intoleranc e in Massachusett s Roge r Williams protested an d to avoid i t founde d Rhod e Island , wher e separatio n o f churc h an d stat e prevailed . The reaso n fo r i t wa s ver y differen t fro m tha t usuall y give n i n th e twentiet h century: i t wa s t o kee p th e churc h pur e an d fre e fro m contaminatio n owin g t o the presence of non-Separatists i n th e colony—tha t is , th e "state. " Rhode Islan d came t o exemplify wha t wa s called "sou l liberty" (freedom o f belief and worship), even thoug h i t mad e th e colon y a have n fo r crank s o f al l sorts . Marylan d ha d instituted toleratio n i n 1649 , thoug h i t discriminate d agains t Jew s an d Unitari ans; Pennsylvani a som e thirt y year s late r proclaime d toleratio n fo r al l wh o ac knowledged one God. Toleratio n wa s practiced i n both Nort h an d Sout h Carolin a (except fo r Catholics ) as well as Georgia. If th e basi s of the Purita n commonwealt h i n Massachusett s wa s th e Calvinis t views of the political elite , religio n als o played a crucial rol e in th e government of the souther n colonies , includin g Virginia . Th e paris h wa s ap t t o b e th e basi c political a s wel l a s ecclesiastica l unit , severa l parishe s formin g a county . I n Virginia eac h count y sen t tw o representatives t o the Hous e of Burgesses, electe d every tw o years . A s i n Massachusetts , th e politica l elit e wa s small , th e grea t planters usuall y makin g u p th e House . Th e smal l farmer s o f th e south , an d th e farmers an d tradesme n o f th e north , too k par t i n electin g representative s bu t generally suffere d thei r better s t o govern . A s fo r th e increasin g number s o f Negroes arriving to work the plantations of the sout h as slaves and occasionally to reach fre e statu s i n th e north , th e forme r ha d n o rights a t al l an d th e latte r ha d only a n uneas y civi c position ; i n i86 0 onl y thre e state s gav e black s an d white s equal suffrage . By th e eighteent h century , th e Nort h America n colonie s ha d take n for m i n three mor e o r les s distinc t categories . Firs t wa s th e corporat e colonies , eac h functioning unde r a sor t o f miniconstitutio n providin g fo r electio n o f th e gover nor the y wer e Massachusetts , Connecticut , an d Rhod e Island . A t first th e members of both house s o f th e legislativ e bodies were elected , bu t afte r th e ne w

The Birth of Constitutional Government 20 7 charter o f 169 1 i n Massachusett s th e uppe r hous e wa s al l appointed , a s wel l a s the governor . Th e secon d typ e consiste d o f proprietar y colonies , confide d t o th e hands o f the proprietors wh o had receive d charters , fo r example , Maryland . Th e British crow n supervise d th e third , "royal " type directly. Following the Glorious Revolutio n th e naming of governors was usually in fac t in th e hand s o f th e Englis h Parliamen t rathe r tha n th e king . Th e colonie s wer e given no more power tha n before , an d th e mother countr y was no less determined to exert it s contro l ove r th e trad e o f th e colonies . I n th e er a o f Walpol e an d th e duke of Newcastle, whos e influence survive d Walpole' s fall , th e habi t o f encour aging rathe r tha n regulatin g th e colonies ' trad e becam e ingrained . However , th e habit could and would be broken. On th e ev e o f th e Frenc h an d India n Wa r (th e nam e give n th e Seve n Years ' War i n America ) th e colonist s mad e thei r first effor t t o achieve unity . Delegate s from al l colonie s nort h o f Virgini a me t a t Alban y i n 175 4 i n orde r t o dea l wit h Indian chief s unhapp y a t th e stat e o f relation s wit h th e whites . Fumblin g tha t problem, they nevertheles s adopte d a pla n pu t forwar d b y Benjami n Franklin , from Pennsylvania , t o set u p a n intercolonia l assembl y alon g with a new official , president-general fo r al l th e colonie s together . Th e colonia l legislature s promptl y rejected th e plan . By the Treaty o f Paris (1763 ) that ende d th e war, Canad a wen t t o the British ; no longe r di d th e Frenc h dange r fro m th e nort h o r wes t threate n th e Englis h colonists. Alread y th e previou s yea r Franc e ha d cede d th e grea t expans e o f Louisiana t o Spain; mainland Frenc h Americ a thereupon disappeared . (Spai n als o ceded Florid a t o England. ) George Grenville, wh o headed th e British government in 1763 , was dissatisfie d with colonia l behavio r durin g th e wa r an d resolve d tha t th e colonist s mus t pa y a share o f th e cos t of defending th e wester n frontie r agains t th e Indian s (no w tha t the French wer e gone). Thus bega n a series of squabbles between th e British an d the America n colonist s abou t particula r taxe s levie d fo r tha t purpos e an d finally about th e righ t t o tax. The argumen t tha t taxatio n withou t representatio n wa s illega l wa s take n u p by severa l Americans . Samue l Adams , leade r o f th e popula r part y i n Massachu setts, argue d tha t wha t wa s at issue was th e Britis h constitution , which , lik e th e constitutions o f al l fre e people s (whic h di d h e hav e in mind?) , wa s "fixe d i n th e law of Nature an d of God." Virginia echoe d th e clai m tha t onl y the governo r an d legislature of the colony could ta x it . Samuel Adam s ha d organize d eight y committee s o f correspondenc e i n Massa chusetts, an d th e sam e devic e ha d sprea d t o th e othe r colonies . The y no w wen t into action , an d sen t ou t copie s of th e Virgini a burgesses ' resolutio n tha t invite d all colonie s t o elec t delegate s t o a congres s i n Philadelphia . I t me t i n 1774 ,

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consisting o f me n chosen b y th e committee s o f correspondence , mas s meetings , or legislatures of the respectiv e colonies. The Firs t Continenta l Congres s adopte d a Declaratio n o f Right s expatiatin g on th e indefensibilit y o f taxatio n withou t representation . Thoma s Jefferso n an d John Adam s argue d tha t th e colonie s owe d allegianc e onl y t o th e kin g an d tha t the Britis h Parliamen t ha d n o powe r ove r them . Eve n i f Jefferso n an d Adam s were right , th e Congres s ha d n o lega l authorit y whe n i t declare d a boycot t o f British goods , threatene d terminatio n o f export s t o Britain an d th e Wes t Indies , and inaugurate d a continuin g Associatio n o f th e colonie s fo r suc h purposes . Therefore th e America n Revolutio n ma y b e sai d t o hav e begu n whe n th e Con gress thus acted . When th e governo r o f Massachusett s sen t troop s fro m Bosto n t o seiz e muni tions th e militant s ha d stockpile d a t Concord , firing bega n betwee n th e Britis h and America n militi a a t Lexington , an d th e fighting laste d fro m Apri l 177 5 t o 1783. Plent y o f military mistake s wer e mad e on bot h sides . Politicall y sentimen t moved towar d th e goa l o f independence , helpe d b y Thoma s Paine' s pamphle t Common Sense and consecrate d b y Jefferson' s Declaratio n o f Independenc e ( 4 July 1776) . Base d o n natural-righ t doctrine s draw n fro m Joh n Locke' s Second Essay of Government, it seeme d t o revers e Jefferson' s earlie r positio n tha t th e colonies depended o n th e king , bu t fro m anothe r viewpoin t carrie d i t further: th e king was now found a t fault , an d thu s th e only bond with th e motherland wa s t o be severed . In Novembe r 177 7 th e Article s o f Confederatio n establishe d a makeshif t government fo r th e colonie s togethe r ( a document ratifie d onl y i n 1781) , bu t th e Americans wo n i n spit e of it rathe r tha n becaus e of it. I n Octobe r Genera l Gate s had compelle d th e Britis h arm y led by General Burgoyn e t o surrender. Tha t gav e the Frenc h th e encouragemen t they neede d t o make a n allianc e wit h th e Unite d States o f America , a s th e latte r no w calle d themselves . Togethe r they defeate d Lord Cornwallis a t Yorktown in October 1781 , and peace was made by the Treat y of Paris of September 1783 . The boundar y o f th e ne w Unite d State s ra n alon g th e Grea t Lake s an d jus t beyond t o th e Mississipp i Rive r an d sout h t o th e Gulf , excep t fo r Ne w Orlean s and Florida . I t remaine d t o decide how th e nation woul d be governed. In som e way s 'nation' ' wa s no t accurate . Ther e wer e thirtee n states , eac h having adopte d a constitution . Rhod e Islan d an d Connecticu t ha d charter s o f self-government tha t require d onl y t o be renamed "constitution. " Beginnin g wit h New Hampshir e an d Sout h Carolina , th e other s first enacte d temporar y consti tutions an d then , followin g th e lead of Virginia and Ne w Jersey, permanen t ones . Sometimes legislativ e bodie s simpl y passe d constitution s a s they would , o r did , ordinary laws ; in Massachusett s a directly elected constitutiona l conventio n dre w

The Birth of Constitutional Government 20 9 up a documen t an d submitte d i t t o th e towns , two-third s o f whic h neede d t o approve and did so. All th e constitution s wer e "amazingl y similar, " i n th e word s o f a standar d treatment, an d severa l containe d bill s o f rights ; "suc h notion s cam e no t merel y from th e teaching s of political philosopher s lik e Richard Hooke r an d John Locke , who argued strongl y i n favo r o f the 'natura l rights ' of men, an d wer e wel l know n in America , bu t owe d somethin g als o t o colonia l experience." 28 I n theor y an d practice ther e wa s reaso n fo r th e colonists ' determinatio n t o continu e an d mak e more secur e wha t they believe d ha d bee n their s fo r som e time , i f illegitimatel y infringed b y the Londo n government—namel y freedom . To b e sure , i f governmen t wa s boun d b y certai n limitation s unde r th e stat e constitutions, s o was freedo m limited . Negroe s ha d n o rights i f they were slaves , and lacke d ful l right s i f the y wer e freemen . Th e state s possesse d "established " churches, tha t is , churche s closel y boun d u p wit h th e government s concerned , and som e beliefs , notabl y thos e o f Catholics , wer e th e objec t o f sever e discrimi nation. Wome n ha d n o vote. Indian s wer e no t par t o f th e bod y politic. Bu t clas s barriers wer e absen t fro m lega l prescriptions , an d th e freedo m t o speak , believ e as on e wished , b e protecte d agains t arbitrar y arres t an d b e assure d a jury trial , and man y other right s wer e firmer tha n anywher e else—excep t possibl y Britain , whose exactions ha d appeare d s o unreasonable t o the revolutionaries . The constituen t part s o f th e government s o f th e respectiv e state s wer e no t identical bu t overlappe d a grea t deal . Eac h ha d a n executive , know n a s th e governor, bu t hi s power s wer e strictl y limited . H e wa s t o b e elected , b y th e legislature (on e o r bot h house s thereof ) excep t i n Ne w Englan d wher e popula r vote wa s t o mak e th e choice . Hi s ter m woul d b e short , i n mos t state s onl y on e year; seldo m coul d h e stan d fo r reelection , vet o a measure passe d b y th e legisla ture, adjour n o r dissolv e th e legislature . Fo r severa l year s Pennsylvani a ha d n o governor at all, bu t a kind of executive council instead . Legislatures usuall y ha d tw o houses , becaus e o f bot h Britis h an d colonia l tradition an d als o becaus e Joh n Adam s wante d t o restrai n possibl e legislativ e arbitrariness, sinc e th e check s o n th e executiv e wer e s o stringent. Pennsylvani a was agai n th e exceptio n i n havin g a unicamera l legislature , alon g wit h Georgia ; but bot h soo n acquire d secon d houses . Onl y Nebrask a (an d Guam) , muc h later , would retur n t o the single-hous e pattern . Suffrag e wa s limited, i n som e state s t o taxpayers o r landowner s o r thos e holdin g a certai n amoun t o f property . Still , i n New Englan d ove r half o f adult whit e male s see m t o have voted, an d i n Vermon t all me n ove r twenty-on e wer e give n th e vote . Vermont , organize d b y it s ow n people whe n Ne w Hampshir e an d Ne w Yor k squabble d ove r whic h shoul d hav e it, becam e th e fourteenth stat e in th e Unio n i n 1791 . The period of the Articles of Confederation wa s one in which th e confederate d

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government demonstrated impotenc e and incompetence i n many respects, but th e Land Ordinanc e o f 1785 , creatin g th e publi c domai n o f th e Unite d States , an d the Northwes t Ordinanc e o f 178 7 wer e legislativ e masterpieces . The y charte d the rout e fo r th e seaboar d colonie s t o become a natio n stretchin g al l th e wa y t o the Pacific . Colonizatio n an d developmen t o f a colon y wer e t o b e followe d b y admission a s a stat e coordinat e an d o n th e sam e footin g wit h th e origina l states . Finally, th e cour t syste m (o r lack of system) was built o n colonial experienc e an d was staffe d b y judges usuall y chosen b y th e legislatures . Alread y th e practic e o f judicial revie w wa s inaugurate d b y Trevett v . Weeden , i n whic h a Rhode Islan d court nullifie d a law passed by the state s legislature . The shortcoming s o f th e Article s o f Confederatio n le d t o consideratio n o f a closer union , an d par t o f th e evolvin g consciousness o f suc h a need reste d on th e Massachusetts Constitutio n o f 1780 . Joh n Adam s wrot e tha t th e bod y politi c i s "a socia l compact , b y whic h th e whol e peopl e covenant s wit h eac h citizen , an d each citize n wit h th e whol e people. " The covenant-compac t notio n goe s back, i n America, t o th e Mayflower, bu t th e term s "social " an d "citizen " probabl y deriv e from Rousseau , who m Adam s rea d carefully . However , h e wrot e i n th e enactin g clause of the preamble, "We , therefore , th e delegates of the people. . . . , " which the stat e constitutiona l conventio n change d t o "We , therefore , th e people . . . . " R. R . Palme r writes : The formula , We the people ordain and establish, expressin g th e develope d theor y o f th e people as constituent power, was used for the first time in the Massachusetts constitution of 1780, whence it passed into the preamble of the United States constitution of 178 7 and the new Pennsylvania constitution o f 1790 , after whic h it became common in the constitutions of the new states, and in new constitutions of the old states.29 Palmer compares th e Unite d State s with th e Dutc h an d Swis s federations, whic h were merely "clos e permanent alliance s between disparate corporate members" — until th e Dutc h revolutio n o f 179 5 an d th e Swis s revolutio n o f 1798 . I n th e United States , however , a ma n ha d citizenship , bot h i n th e ne w federa l unio n and i n th e ol d stat e tha t continue d t o exist . Tha t citizenship , share d b y th e "people" (with th e exceptions noted) , wa s the mainspring of sovereignty . First Virginia and Marylan d addresse d som e issues of navigation; next Virgini a sought t o broade n discussio n an d invite d al l thirtee n state s t o sen d delegate s t o Annapolis; the n th e delegate s o f th e five state s tha t di d actuall y dispatc h the m followed Alexande r Hamilton' s lea d an d calle d a meetin g t o conside r defect s o f the articles . I t me t i n Philadelphi a i n Ma y 178 7 and electe d a s chairman Georg e Washington, th e leading general of the Revolution . The basi c proble m wa s ho w t o work ou t a n acceptabl e for m o f representatio n for both citizens and states. A Virginia Plan was shaped by James Madison, givin g weight t o the large r states ; a Ne w Jerse y Pla n wa s drawn u p i n respons e b y th e

The Birth of Constitutional Government 21 1 smaller-state delegates . A compromis e wa s reache d providin g fo r a two-hous e legislature, th e lowe r hous e t o b e base d o n populatio n an d th e uppe r hous e t o represent al l state s equally . Th e forme r wa s t o b e electe d ever y tw o years , th e latter ever y si x i n staggere d term s an d b y stat e legislatures , no t popula r vote . Slaves wer e t o b e counte d a s th e equivalen t o f three-fifth s o f white s i n bot h apportioning representative s an d levyin g direc t taxes . Attempt s t o safeguar d th e predominance o f the seaboar d state s in th e future wer e turned back . Congress was to have certain specifie d powers , som e possessed by the Congres s of th e Articles , som e new; amon g the latte r wa s the powe r t o tax. Moreover , th e states wer e t o los e certai n powers , suc h a s coinag e an d foreig n relations . Th e misinterpretation o f th e Britis h Constitutio n popularize d b y Montesquie u an d the tradition s o f th e America n colonie s ma y b e assigne d roughl y equa l share s o f responsibility fo r th e effort s o f th e Philadelphi a conventio n a t separatio n o f powers. Thus th e presiden t (an offic e the n unknow n anywher e els e in th e world ) wa s to b e elected , no t b y th e Congres s bu t b y "electors " themselve s chosen a s eac h state desire d an d assemblin g i n a n electora l college . H e wa s t o be commander i n chief o f th e arm y an d navy , hav e powe r t o mak e treatie s wit h "th e advic e an d consent o f th e Senate, " nam e envoy s t o foreig n countrie s an d man y domesti c officials, especiall y judges o f al l federa l courts , an d vet o bills passed b y Congres s (though a two-thirds vote of both houses could override). Littl e attention wa s paid by th e constitution-maker s t o th e cour t system . It s best-know n power , tha t o f declaring law s unconstitutional , wa s no t provide d fo r i n th e Constitutio n bu t assumed b y th e Suprem e Court ; i t i s true , however , tha t Madiso n an d other s took for grante d tha t precisely tha t woul d occur . A method o f amendin g th e documen t wa s described ; i t wa s provide d tha t th e constitution woul d tak e effec t whe n nin e state s ratifie d it . Delawar e acte d first, in Decembe r 1787 ; Massachusetts ratifie d b y a narrow margin ; on 2 1 June 1788 , New Hampshir e wa s th e nint h stat e t o approve. Nevertheles s neithe r Ne w Yor k nor Virgini a ha d bee n amon g tha t number , an d i t wa s widel y agree d tha t the y had effective powe r t o block th e whole scheme. The y did finally ratify, Ne w York by the slimmes t margi n o f al l on 2 6 July 1788 . Durin g th e debat e th e supporter s of the Constitutio n ha d become known a s the Federalist s an d thei r opponents th e Anti-Federalists. Th e ne w natio n ha d a government ; i t woul d ver y soo n hav e a Bill o f Right s (th e first te n amendments , adopte d b y Congres s an d ratifie d b y three-fourths o f th e state s b y Decembe r 1791) ; lik e Britain , i t ha d a two-part y system an d would kee p it, despit e periods of transition . The Firs t Amendmen t provide d tha t Congres s shoul d no t "establish " a reli gion, bu t lef t untouche d th e establishe d churche s o f th e states . A t th e tim e o f the Revolutio n nin e ou t o f th e thirtee n colonie s unite d churc h an d state . Dises -

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tablishment o f th e Churc h o f Englan d accompanie d revolutio n i n th e South , bu t the Congregationa l Churc h i n Ne w Englan d wa s supporte d b y th e stat e every where excep t i n Rhod e Island . I n Massachusett s "establishment " laste d unti l 1833. "Separatio n o f churc h an d state " i s a phras e tha t ma y b e foun d i n th e writings o f Thoma s Jefferson , a Deist , bu t nowher e i n th e Constitutio n o r it s amendments. In Marc h 178 9 Congress , th e first unde r th e ne w government , convened ; i n April Washingto n wa s inaugurate d a s th e first president . Th e ne w Secretar y o f the Treasury , Alexande r Hamilton , gav e th e countr y a fiscal system ; whe n Jefferson an d other s organize d th e oppositio n t o hi m a s th e Republica n (late r Democratic) party, Hamilto n an d John Adams gave the Federalist s a clearer part y identity. Adam s succeeded Washingto n a s president i n 1797 . Jefferson succeede d Adams in 1801 , the first president t o be inaugurated i n the new capital, Washing ton. Ther e were seventeen state s (after Vermon t had come Kentucky, Tennessee , and Ohio) by 1802 ; in 180 3 the vast Louisiana Territory was bought from France , to whic h Spai n ha d retrocede d i t i n 1800 . Th e Unite d State s o f Americ a ha d greatly enlarge d it s shar e o f th e ma p an d writte n golde n page s i n history , a s attested b y the individuals, groups , an d countries tha t imitate d it , envie d it, wer e inspired b y it in th e ensuing two centuries. Palmer declare s tha t th e American Revolutio n "wa s very conservative becaus e the colonies had never known oppression, exceptin g always for slavery—because , as huma n institution s go , Americ a ha d alway s bee n free. " Th e Revolutio n wa s also radical—i n th e sam e sens e tha t th e Gloriou s Revolutio n i n Englan d wa s radical, violatin g th e previously accepte d lega l system ; in th e sens e tha t i t offere d a ne w theor y o f popula r sovereignt y carrie d int o constitutiona l document s an d governmental practic e base d thereupon ; an d i n th e sens e tha t aristocrac y fo r al l practical purpose s vanished . "Neve r again, " add s Palmer , "woul d deferenc e fo r social ran k b e a characteristic America n attitude . Elites , fo r bette r o r fo r worse , would henceforth b e on the defensive agains t popular values." 30 Elsewhere i n th e hemispher e event s wer e les s dramatic. Man y people loya l to Britain fled northwar d durin g th e America n Revolution , increasin g th e ethni c Britishers' rati o t o th e ethni c Frenc h wh o wer e th e origina l settlers . A s a resul t the Canada Act of 1791 , passed by the British Parliament , divide d chiefly Englis h "Upper Canada " fro m chiefl y Frenc h "Lowe r Canada " at th e Ottawa River . Bot h had governor s an d electe d assemblie s abl e t o legislate , subjec t t o a vet o fro m London.

The Birth of Constitutional Government 21 3 Iberia and Italy The seventeent h centur y sa w a n actua l decreas e o f som e proportion s i n th e Spanish population , owin g t o th e casualtie s o f wa r an d disease ; an d th e stat e of the centra l governmen t wa s correspondingl y disma l unde r intriguin g priest s an d ministers, especiall y during the reign of Charles II . Th e war between Franc e an d Spain wa s concluded b y the Peac e of the Pyrenee s i n 1659 . I * *s usually take n t o mark th e poin t a t whic h th e preeminen t plac e o f Franc e o n th e continen t wa s established an d th e power o f Spai n i n Europ e bega n t o decline. Th e Spanis h ha d lost Portuga l i n 164 0 an d recognize d he r independenc e a t lengt h i n 1668 ; he r losses i n 165 9 wer e mor e psychologica l tha n territorial , a symbo l o f th e damag e being th e accompanyin g marriag e o f Loui s XI V t o th e Spanis h infanta (crow n princess). Th e marriag e i n tur n lai d th e groundwor k fo r th e Bourbo n dynasty , i n the person o f Louis's grandson, t o succeed a s Philip V the last, haples s Habsbur g king of Spain, Charle s II . It was first necessary for the War of the Spanish Successio n t o confirm Philip' s title. Th e Austrians seeking to place their branch o f the Habsburgs on the thron e of Madrid seize d Barcelon a during th e war. However , Phili p V captured th e city , by th e Decre e o f Nuev a Plant a (1716 ) ende d th e loca l privileges , an d integrate d Catalonia int o Spain . Th e are a thereupo n los t mos t officia l us e o f it s languag e and suffere d har m t o it s tradition s an d pride , bu t experience d considerabl e economic growth an d prosperity . The chang e i n Cataloni a mus t b e counte d a s Spanis h expansion , bu t ther e was significan t contractio n i n th e sam e period . B y th e Treatie s o f Utrech t an d Rastadt (1713—14 ) Spain los t its mainland Europea n possessions : Belgium (whic h now becam e th e Austria n Netherlands) , Luxembourg , muc h o f Ital y (Milan , Sardinia, an d Naples) , an d eve n Gibraltar . Withi n th e border s o f Spain , th e Bourbons fough t th e privilege s o f th e prou d an d independen t churchme n an d nobles, establishe d a bureaucrac y tha t reorganize d finances an d reconstructe d the army an d navy, an d made a sizable contribution t o the economi c developmen t of th e country . Despit e conflictin g partie s a t court—on e o f whic h wishe d t o recover th e Italia n possessions , th e othe r t o concentrate o n Spanis h America— a series o f reformin g minister s mad e som e headwa y i n th e peninsul a itself . Bu t during the wars tha t bea r hi s name Napoleo n intervene d t o force th e Bourbons t o yield t o hi s brothe r Joseph , precipitatin g th e lon g Peninsula r Wa r an d dramati c political developments . In Portuga l th e monarchy was also strengthened. Th e las t Cortes met in 1697 . The noble s wer e increasingl y brough t unde r th e roya l thumb , th e Churc h t o a lesser extent. Th e chie f ministe r during the entire reig n of Joseph I , th e Marqui s de Pombal , pursue d th e objective s o f enlightene d despotism—t o weake n th e

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clergy an d nobilit y an d strengthe n th e throne—wit h mor e succes s tha n severa l of th e monarch s who m th e philosophes nominate d a s "enlightene d despots/ ' A s a symbol of his commitment t o the idea s of the Enlightenment , h e pushed throug h the expulsio n o f th e Societ y o f Jesus . Othe r Catholi c countrie s followed , an d Pombal helped persuade the pope to abolish the Society. Joseph's daughter, Mari a I (1777-1816) , curbe d th e powe r o f Pomba l an d allowe d noble s an d cleric s t o regain part of what the y had lost. Durin g the Napoleoni c Wars Franc e and Spai n agreed t o partition Portugal , bu t th e arriva l of a British arm y prevented an y suc h action. By 165 0 the energie s o f th e Counter-Reformatio n i n Ital y ha d seemingl y bee n exhausted, alon g wit h th e animositie s tha t fuele d th e religiou s war s o f th e northern countries . I n th e lat e seventeent h centur y th e papac y wa s occupied b y a series of blameless men paralyze d int o inaction b y the nee d t o avoid sidin g with either th e Bourbons or Habsburgs in their endles s conflicts, t o escape the ideological peril s resultin g fro m th e argument s o f Jansenists wit h Jesuits , an d then , i n the eighteent h century , th e threa t o f Deis m an d th e Enlightenmen t t o Catholi cism an d th e Catholi c churc h itself . Anticlericalis m gre w i n strengt h eve n i n strongly Catholic countries. I t drove Clement XI V to dissolve th e Societ y of Jesus (1773), harasse d th e churc h i n Austria , attacke d th e churc h i n th e Frenc h Revolution, an d shoo k its foundations i n both hemispheres . After Utrech t (1713) , th e papacy—a n Italia n principalit y a s wel l a s th e Catholics' sea t o f ecclesiastica l authority—wa s lodge d uncomfortabl y betwee n two possession s th e Spanis h ha d jus t los t t o th e Austrians : Mila n an d Naples . The Hol y Roma n Empero r i n Vienn a als o acquire d Sicil y i n 1720 . Tha t islan d had gon e t o Savoy , whos e ruler , Victo r Amadeu s I I (1675-1730) , ha d nimbl y scrambled fro m sid e t o sid e durin g th e Wa r o f th e Spanis h Successio n an d emerged with a royal title as well as Sicily. Bu t in 172 0 the island was exchange d for Sardinia , an d thereafte r th e ruler wa s 'kin g of Sardinia. " Reddaway writes , "endowe d wit h matchles s artisti c wealt h an d talent , th e millions of Italian s [durin g th e eighteent h century ] migh t b e regarded a s conten t to enjoy lif e withou t muc h politica l ambition." 31 Bu t tha t wa s mainly tru e o f th e rest of the peninsula. Savoy , "the Prussi a of Italy," boasted military achievement s rather tha n artisti c ones . Th e Savoyar d arm y ha d it s limitations , a s th e Frenc h would sho w afte r 1796 , bu t it s strengt h wa s sufficien t t o mak e th e Kingdo m o f Sardinia th e nucleus of the united natio n o f the next century . At the end of the War of the Polish Succession , i n 1735 , Austria ceded Naple s and Sicil y t o the Spanis h Bourbon s bu t barre d unio n wit h Spain . Th e first rule r of what wa s t o become th e Kingdo m o f th e Tw o Sicilie s wa s Charle s I V (1735— 59), a reformin g kin g wit h a reformin g minister , Bernard o Tanucci ; late r th e region fel l behind . Venic e retaine d enoug h o f its medieval strengt h t o take muc h

The Birth of Constitutional Government 2 15 of southern Greec e from th e Turks, bu t coul d not hold it, an d after th e Treaty of Passarowitz (1718 ) it s empir e consiste d onl y o f th e Ionia n Island s an d th e coas t of Dalmatia . Geno a to o preserved it s independenc e bu t los t it s chie f possession , Corsica, t o France in 1768 . The chie f remainin g stat e wa s Tuscany , whos e capital , Florence , ha d bee n the cente r o f th e Italia n Renaissance . Th e las t Medici s wer e decaden t an d ineffective. Th e lin e die d ou t i n 1737 , an d th e thron e passe d t o Franci s o f Lorraine. Eigh t year s late r h e wa s electe d a s Hol y Roma n Emperor ; h e turne d over the grand duchy t o his secon d son , Leopol d I , unde r who m Tuscany becam e perhaps th e mos t prosperou s an d bes t governe d o f al l Italia n states . Leopol d reformed th e administratio n an d promote d economi c stability , bu t abov e al l h e abolished serfdom . Serfdo m wa s not the n a single, unifor m conditio n i n al l part s of Europe; it represente d a partial surviva l of several aspect s of the lega l status of the medieva l peasant , other s havin g erode d wit h time . Bu t th e en d o f th e eigh teenth an d earl y nineteent h centurie s brough t th e institution s concerne d t o a n end i n muc h o f wester n Europe , no t onl y becaus e th e Frenc h an d thei r armie s proclaimed liberty . Iberia reduce d th e numbe r o f effectiv e states ; Ital y di d no t durin g th e perio d in question . I n neithe r wa s roya l absolutis m actuall y absolute—despit e wha t i s said o r implie d i n man y historica l treatment s o f th e period . I n th e tw o Iberia n states th e clerg y an d nobilit y retaine d muc h powe r an d wealth ; o f th e Italia n statelets i t ma y be sai d tha t thei r multiplicit y prevente d an y despot fro m workin g his will unhindered o n large numbers of people or vast areas. In th e eighteent h centur y man y Iberian s an d Italian s doubtles s sighe d an d recalled better days or tales of such. Unde r effectiv e Austria n domination, a s they had earlie r bee n unde r Spanish , th e Italia n peopl e wer e no t thei r ow n master s and coul d no t coun t o n th e law , Italia n o r Austrian , t o protec t the m fo r a certainty. Ye t even in th e judicial are a an importan t ste p was taken whe n Cesar e Beccaria, i n hi s Dei delitti e delle pene (Crimes an d punishments , 1764) , charte d the main line s of the modern scienc e of penology for th e world . Germany The Peac e of Westphalia mark s a watershed. Th e central government of the Holy Roman Empir e wa s neither stron g before 164 8 nor totall y without powe r afte r it , but th e peace condemned i t t o "protracted invalidis m durin g which it s pulse bea t ever more feebly. " B y about 1750 , i t "wa s t o slip into a long coma fro m whic h i t never emerged." 32 Th e empero r coul d mak e law s o r lev y taxe s onl y wit h th e consent o f th e Reichsta g (th e Imperia l Diet) , bu t th e resul t wa s tha t neithe r emperor nor Diet had any real power, sinc e there was no real central government .

2i6 Freedom:

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The individua l state s ha d diets , bu t everywher e excep t Mecklenbur g an d Wurt temberg their strengt h wa s reduced t o a nullity by the rise of the princes. After 164 8 ther e wer e abou t thre e hundre d Reichsstandschaften (state s repre sented i n th e Reichstag ) plu s nearl y fifteen hundre d othe r entitie s wit h n o lor d other tha n th e emperor . Naturally , therefore , th e secula r prince s trie d t o mak e up i n th e siz e o f thei r bureaucracie s an d th e splendo r o f thei r court s wha t they lacked i n area , wealth , an d possessions , an d constantl y hunte d fo r ne w way s t o tax an d ne w source s o f revenue . Th e bishop s an d abbot s di d n o better , "sinc e their lac k o f legitimat e issu e mad e the m sometime s careles s o f th e futur e well being of thei r [state s or territories].' 33 This problem , t o be sure, wa s common t o all ecclesiasticall y rule d land s an d agencie s i n th e Roma n Catholi c church , fro m the papac y o n down , ove r man y centuries . Th e relativ e indifferenc e mentione d did no t preven t th e clergyme n i n questio n fro m tryin g t o improv e th e lo t o f members of their families . Only a smal l numbe r o f princel y house s wer e abl e t o gro w significantly . Th e most importan t wer e th e Habsburgs . Sinc e 149 3 th e hereditar y lor d o f th e Austrian land s an d th e electe d Hol y Roma n Empero r ha d bee n member s o f tha t family. Usuall y on e perso n hel d bot h positions . Afte r th e en d o f th e Wa r o f th e Spanish Succession , i n additio n t o Austri a proper , thos e land s wer e Silesia , Bohemia, Hungar y (wit h Transylvania) , Moravia , Tyrol , Carinthia , Styria , part s of Slavoni a an d Croatia . T o thos e contiguou s region s wer e no w adde d th e for merly Spanis h Netherland s (Belgium) , Sardinia , Milan , an d Naples . Over thi s ethnicall y heterogeneou s conglomerat e o f territories , eac h replet e with diplomati c an d militar y involvements—actua l an d potential—reigne d Charle s VI (1711-40) . I n 171 3 h e enacte d th e Pragmati c Sanctio n tha t declare d th e indivisibility o f th e Austria n land s an d establishe d a n orde r o f successio n tha t would guarante e th e thron e t o his eldes t daughter , Mari a Theresa , i f h e shoul d continue t o be withou t a so n a t hi s death . Considerin g tha t th e Habsbur g land s had a t various time s been distributed amon g various members of the family , wer e reunited onl y in 1665 , and wha t hel d the m togethe r wa s only family ties , supple mented b y a nea r uniformit y o f religio n i n Roma n Catholicism , th e unit y o f th e realm mus t b e regarde d a s a remarkabl e achievement . Ther e ar e fe w analogue s in histor y fo r th e widesprea d existenc e o f Kaisertreue (loyalt y t o th e emperor ) i n Habsburg-ruled domain s fo r centuries an d th e nostalgi a for rul e by the dynasty to be found i n much o f that heterogeneou s territor y i n th e late twentieth century . The secon d stat e i n importanc e wa s Brandenburg , whic h becam e Prussia . I n the aftermat h o f th e Thirt y Years ' Wa r Frederic k Willia m Hohenzollern , "th e Great Elector,' ' di d hi s bes t t o rebuil d devastate d Brandenburg ; secure d th e en d of Polis h suzeraint y ove r duca l Prussi a i n 1660 , whic h h e ha d inherite d i n 161 8 as a fief outsid e th e Empire ; settle d a conteste d titl e i n 166 6 t o th e wester n

The Birth of Constitutional Government 21 7 fragment land s of Cleves , Mark , an d Ravensberg , provisionall y awarde d t o Brandenburg i n 1614 ; and create d a standing arm y tha t woul d becom e th e foundatio n of th e country' s power . I n orde r t o finance thi s force , Frederic k Willia m intro duced ne w taxes , extracte d consen t t o them fro m th e Brandenbur g Die t in 1652 , and the n relegate d i t t o obscurity . Th e Prussia n Die t wa s tackle d directl y i n 1661-63, an d it s power s i n regar d t o taxatio n wer e ended . Th e Grea t Electo r was succeede d b y Frederic k III , wh o obtaine d a crow n wit h th e emperor' s consent; hi s titl e becam e Frederic k I a s kin g in Prussi a (sinc e tha t wa s th e par t of th e real m outsid e th e Empire ) i n 1701 . Hi s successor s continue d t o build u p the Prussia n army . Other house s tha t manage d t o rais e thei r land s abov e th e leve l o f statelet s were th e Wettin s i n Saxony , th e Wittelsbach s i n Bavaria , th e Welf s i n Bruns wick an d Hanover , th e Hous e of Hesse, th e Zahringens i n Baden , an d th e Hous e of Wurttemberg . Th e electo r o f Saxon y wa s chosen kin g b y th e Pole s i n 1697 , and th e descendant s o f th e electres s o f Hanove r wer e give n th e crow n o f Britai n in 1714 . Th e Wittelsbach s o f Bavari a obtaine d th e statu s o f a n eight h electo r of the Empir e i n 164 8 bu t aspire d t o th e imperia l crow n itself . I n 174 2 th e duk e was in fac t electe d th e first non-Habsbur g empero r i n centuries , bu t Charle s VI I was soon defeated b y his enemies an d died. Ther e woul d be no other Wittelsbac h emperor, bu t th e duke successfull y assume d th e titl e of king of Bavaria in 1805 . In 174 0 Charles VI had died, an d Maria Theresa became queen and archduch ess bu t no t empress ; a t lengt h he r husban d (afte r th e Bavaria n interlude ) wa s elected empero r a s Franci s I . Bu t i t too k th e Wa r o f th e Austria n Successio n before th e coupl e wer e secure ; indeed , i t looke d fo r a tim e a s i f a second , th e Seven Years' War, als o threatened thei r crowns . Frederick I I o f Prussi a ("th e Great" ) too k a n excellen t arm y an d mad e i t th e best arm y in Europe ; h e also made his stat e into a major power . H e was gifted i n many way s an d improve d th e economy , th e government , an d th e cultura l level , but h e di d no t chang e essentiall y th e sociopolitica l syste m h e inherited . Prussi a gained Silesi a by treaty in 174 2 and kep t it throug h th e Seve n Years' War (1756 63). Frederic k th e Grea t sough t t o brin g abou t recover y i n th e kingdom , an d spent hi s las t quarter-centur y (h e die d i n 1786 ) makin g th e Prussia n bureau cracy, an d governmen t generally , a bywor d throughou t Europe . I n Maehl' s words , "the king' s versatility , industry , marvelou s abilities , an d incredibl e luck simpl y overawed everybody." 34 Moreover , Frederick' s spie s an d hi s power s a s monarc h anchored a formidable degre e of absolutism . Once again, however , th e limitations of "absolute monarchy" in the West nee d to b e clearl y perceived . Stron g socia l corporation s protecte d b y customar y law , considerable self-governmen t i n th e towns , right s an d immunitie s o f th e noble s coupled with administrativ e an d judicial functions the y were required t o exercise,

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a hig h court—th e Kammergericht —that th e kin g himsel f exhorte d t o obe y th e law of the lan d an d th e judges' consciences a t al l costs—these an d other institu tions limited th e royal power. Maehl sum s up : "Frederick' s Prussi a ma y not hav e been exactl y a Rechtsstaat, but i n i t customar y an d natura l la w circumscribed monarchica l caprice." 35 Eve n the peasantry ha d ancient an d imprescriptible rights . T o be sure, th e nobles were able t o elec t rura l councilor s (Landrate) tha t supervise d th e agraria n sector . Indeed, Frederick' s grea t domestic achievemen t wa s t o keep the noble s "usefull y employed" an d t o prevent the m fro m coalescin g int o opposition b y suc h method s rather tha n b y th e "Versaille s device, " b y whic h th e Frenc h king s attracte d nobles to a luxurious cour t an d away from politica l mischief. In th e Habsbur g Empir e th e aristocrat s retaine d muc h mor e strength . Th e regional estate s survived ; i n orde r t o safeguar d th e accessio n o f Mari a Theresa , the crow n confirme d nobl e privilege s an d libertie s o f th e region s righ t an d left . The ministe r fro m 1746 , Coun t vo n Haugwitz , manage d t o fuse th e administra tive machiner y o f Austri a an d Bohemi a an d suppres s thei r estates . I n 176 2 a seven-member Counci l o f Stat e (Staatsrat) wa s created t o decide th e question s of policy under th e leadership of Prince von Kaunitz an d th e monarch . Kaunitz an d Josep h II , especiall y afte r hi s mothe r die d i n 1780 , pushe d through a numbe r o f reforms . Josep h emancipate d th e serf s i n 178 1 an d mad e them tenan t farmer s (rathe r tha n smallholders) ; h e introduce d a muc h mor e merciful pena l code , i n accordanc e wit h th e doctrine s o f Beccaria ; h e di d muc h to replac e th e cameralist , state-directe d economi c method s the n prevailin g (a s also i n Prussia ) b y fre e enterprise ; h e enacte d religiou s toleratio n (1781 ) an d pared dow n th e privilege s an d propert y o f th e Roma n Catholi c church . H e trie d to restric t th e libertie s o f Hungary , Lombard y (th e are a o f Milan) , an d th e Austrian Netherland s (Belgium) ; in thi s respec t h e largel y failed . I n genera l hi s reforms attempte d to o much an d did not surviv e him. English rationalis m an d i n particula r Deis m le d t o th e so-calle d Enlighten ment. I t wa s a movement o f idea s tha t promoted , withi n limits , freedo m o f thought an d scientifi c inquiry , religiou s tolerance , an d oppositio n t o oppressiv e feudal privilege . T o th e exten t tha t i t ha d a politica l embodiment , i t wa s t o b e found i n th e idea s o f "enlightene d despotism, " a s preache d b y Voltair e an d Diderot. Th e assumptio n wa s tha t th e remova l o f irrationalities (chiefl y clerical , noble, an d military ) fro m th e body politic would enabl e th e natura l law s of socia l behavior t o bring happiness t o mankind. Th e philosophes who taught suc h notion s were no t democrat s an d di d no t trus t th e commo n peopl e (th e "rabble, " Voltair e called them ) an d place d thei r fait h i n chang e fro m above , b y th e rulers — preferably instructe d an d advise d by the philosophes themselves. The closes t suc h teaching s cam e t o bein g implemente d wa s i n th e Germa n

The Birth of Constitutional Government 21 9 lands—Prussia an d Austria , i n th e person s o f Frederic k I I an d Josep h II . Th e two monarchies di d not merely fight each other; they began t o move into a period of rivalr y fo r th e leadershi p o f th e Germa n lands , whic h wa s no t decide d unti l after th e middle of the nineteenth century . In 179 1 Frederic k Willia m I I o f Prussi a an d Leopol d I I o f Austri a me t a t Pillnitz and issued a declaration threatenin g intervention i n Franc e under certai n conditions; th e Frenc h responde d b y declarin g war . I t woul d las t twenty-thre e years and involve the whole of Europe. When th e brillian t youn g general o f th e Frenc h Revolutionar y armies , Napo leon Bonaparte, defeate d th e Austrians an d imposed th e Treaty of Campo Formi o (1797), Austri a ha d t o giv e u p Belgiu m an d agre e t o advanc e o f th e Frenc h frontier t o the Rhine . Followin g th e Wa r o f th e Secon d Coalition , whe n a n eve n more crushin g defea t wa s administere d t o Austria , thos e arrangement s wer e confirmed an d extende d (1801-2) . Th e Hol y Roma n Empir e wa s thereupo n drastically affecte d b y th e en d o f almos t al l ecclesiastica l principalities , whic h were annexe d b y their neighbor s a s a result o f an Imperia l Reces s (Reichsdeputationshauptschluss). I n 180 6 the Empir e wa s finally given forma l burial . N o longe r Holy Roman Emperor , Franci s I had alread y assumed th e title , whic h h e kept , of Emperor of Austria. A few weeks earlier a large part of Germany (excep t Austria , Prussia, an d tw o other states ) ha d bee n reshape d b y Napoleo n int o th e Confed eration o f the Rhine . In repl y Prussia decided t o fight. Her army was smashed a t Jena and Auerstad t (1806). I n 180 9 Austria di d likewise ; he r arm y wa s defeated a t Wagram . Ou t o f ruin wa s to come regeneration i n bot h states . Scandinavia Sweden had been carried into the rank of first-rate power s by Gustavus Adolphus, but Quee n Christin a coul d no t an d di d no t wis h t o pla y th e rol e o f suc h a monarch a s he r father . Sh e abdicate d i n orde r t o g o t o Rome , i n th e sens e o f becoming a Catholi c a s wel l a s literally . He r cousi n an d successor , Charle s X , fought severa l countries . Durin g th e Thirt y Years ' War th e Swedis h noble s ha d come t o posses s som e two-third s o f Sweden' s an d Finland' s territor y throug h transfer o f crow n properties . Charle s undertoo k t o reduc e th e nobles ' wealt h through a n extensiv e capita l levy . However , hi s chie f ai m wa s conquest . H e di d expel Denmark fro m th e souther n par t of the peninsula an d annexed Livonia . His successo r Charle s X I struc k th e Swedis h noble s har d b y a confiscation o f large fiefs legislated by the non-noble part of the Estates in 1680 . In consequence , the res t o f th e reig n i s know n a s "Carolingia n absolutism." 36 Th e propert y regained wa s allotted t o civil officials an d military officers a s well as soldiers on a

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basis o f rental , whic h mad e th e crow n les s dependen t o n th e Estates . Bu t th e resentment thi s actio n arouse d i n th e Balti c province s i n particular , amon g th e German baron s wh o rule d there , create d par t o f th e problem s o f Charle s XII . Acceding a t th e ag e of fifteen, tha t remarkabl e youn g man wa s soo n attacke d b y Peter I o f Russia , an d th e wa r laste d fro m 170 0 t o 1721 . However, h e wa s sho t to deat h i n 1718 , an d th e peac e o f Nysta d yielde d t o Pete r th e Balti c province s and marked th e end of Swedish domination o f the Baltic. The constitutiona l law s of 1720-2 3 vested muc h powe r i n th e Riksdag , whic h it kept for hal f a century. Durin g the period a kind of two-party syste m came into existence: th e Cap s wer e th e dove s an d th e Hat s th e hawk s o f th e time . The y were th e closes t analogue s o f Torie s an d Whig s t o b e foun d anywher e outsid e England, unti l th e Unite d State s produced Federalist s an d Anti-Federalists. Th e Swedish cas e wa s on e i n whic h foreig n polic y playe d a determinin g role . Th e Caps wishe d goo d relation s wit h Russi a an d als o England , an d manage d t o kee p their distanc e fro m France . I n 1738 , however , th e Hat s displace d them . Thei r leader, Coun t Gyllenborg , mad e a n allianc e wit h Franc e an d sough t t o recove r Sweden's preeminen t positio n i n th e Baltic . Th e resul t wa s wa r wit h Russia , i n which th e Swede s los t a fai r amoun t o f Finnis h territor y (1743) . I n 176 5 th e Hats lost their power . In 177 2 Gustavu s III , believin g tha t parliamentar y strengt h an d roya l weak ness accounte d fo r man y o f th e country' s troubles , restore d absolutism . Th e power o f th e counci l wa s terminated , an d th e Riksda g coul d n o longe r tak e th e lead i n legislatin g a s before . Gustavu s sough t t o follo w th e principle s o f en lightened despotism : h e reforme d th e penal laws , decreed religiou s toleration an d a fre e press , an d encourage d commerce . I n 178 9 h e reconvene d th e Riksdag , which proceede d agains t hi s wishe s t o abolis h mos t privilege s o f th e nobility . Sweden no w became involved in th e web of European war s an d intrigues. Russi a wrested Finlan d fro m he r i n 180 8 and th e Aland Island s as well. The las t Vasa king , Charle s XIII , wa s compelled t o accept a new constitutio n by whic h th e noble s regaine d muc h power , an d th e Riksda g chos e a s hei r Napoleon's Marsha l Bernadotte , wh o woul d sir e th e dynast y stil l rulin g Swede n in th e 1990s . I n 1809 , a s Charles' s reig n began , Swede n wa s a constitutiona l monarchy o f sorts , wit h a plurality o f political institution s an d socia l classes abl e to take part i n government . I n particula r mos t of th e peasantr y ha d com e to own their farm s durin g th e eighteent h century , thoug h man y tenan t farmer s re mained. Shortly afte r makin g peace wit h Swede n i n 1660 , Denmar k witnesse d a cou p d'etat o n the part of King Frederick III , supporte d by the clergy and the bourgeoisie. Th e kingshi p becam e hereditar y an d nearl y absolute ; th e counci l wa s no w merely advisory; noble privileges were ended. Th e Treat y of Copenhagen i n 166 0

The Birth of Constitutional Government 22 1 fixed th e boundarie s o f Denmark , Norway , an d Swede n a s o f th e 1990s . Th e constitution o f 1660 , defended an d systematized by Peter Schumacher , late r chie f minister a s Coun t Griffenfeld , i n a treatis e calle d th e Kongelov (King' s law ) o f 1665, laste d virtually unchange d unti l 1848 . The doctrines embodie d in th e 166 5 work were "sai d t o be most absolutist o f all European theorie s of absolutism." 37 But doctrin e wa s on e thing , practic e another . A reasonably efficien t bureau cracy wa s established , s o that th e king s coul d leav e many thing s t o the me n wh o staffed it . Th e actua l politica l leader s wer e larg e landowners , eithe r noble s o r bourgeois creditor s t o who m th e crow n sol d muc h o f th e lan d seize d fro m th e church a t th e tim e o f th e Reformation . Th e king s migh t b e absolute bu t wer e i n fact feebl e an d shadow y figures from 173 0 on. Enlightened despotis m cam e t o Denmark i n th e shap e of the administratio n o f John Frederic k Struense e (1770-72) , wh o attempte d t o limi t nobl e privilege , abolished torture , an d proclaime d freedo m o f th e press ; h e wa s overthrow n an d executed. A mor e successfu l refor m ministe r wa s Coun t Andrea s Bernstorf f (1784—88), who carried ou t th e virtual abolitio n o f serfdom i n Denmark , couple d with lan d reform , an d i n effec t terminate d th e perio d o f governmen t b y a fe w large landlords. A s in Sweden , th e majority (perhap s 60%) of the Danish peasant s became landowners . Mos t Norwegia n peasant s wer e fre e an d wer e smallholder s already. Norwa y sa w th e beginnin g o f cultura l awakenin g amon g Norwegia n students i n Copenhage n an d the n a t th e Universit y o f Christiania , founde d i n 1811, bu t remaine d unde r Danis h rul e unti l 1814 . In 179 4 Denmar k an d Swede n joine d i n a n armed-neutralit y treat y late r adhered t o b y Russi a an d Prussia . I n retaliation , th e Britis h san k muc h o f th e Danish fleet, an d Denmar k wa s drawn int o alliance with Franc e in consequence . At th e en d o f th e fighting sh e ha d t o han d Norwa y ove r t o Sweden , wher e he r former dependenc y remaine d fo r anothe r century . Kings an d nobles , clerg y an d burghers , an d (mor e visibl y tha n anywher e els e in Europe ) peasant s squabble d an d fough t bu t als o debated, dre w u p new consti tutions, an d the n scrappe d the m fo r stil l newe r ones . I n Swede n th e monarch y was notabl y stronger , i n Denmar k th e aristocrat s wer e bette r entrenched ; bu t there wer e up s an d down s fo r king s an d noble s i n bot h countries . I n th e mean time la w ha d obtaine d a secur e positio n i n Scandinavia n life , an d propert y wa s becoming distribute d amon g a large r numbe r o f people . Th e descendant s o f th e barbarous Viking s were scarcel y recognizable . Poland and Hungary Montesquieu wrot e i n th e Persian Letters (1721) tha t "Polan d make s suc h poo r use of her libert y an d of her roya l election s tha t sh e give s thereb y n o satisfactio n

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but t o her neighbors , wh o have lost both." 38 Par t of her trouble s were geographi cal; sh e ha d n o natura l frontiers , an d face d powerfu l neighbor s whic h wer e sometimes als o enemies: th e Habsbur g Empire , Sweden , Muscovy , th e Ottoma n Empire. However , th e politica l syste m certainl y di d no t contribut e t o Polis h security o r stability . Joh n I I Casimir , th e electe d Vas a king , wa s quite unabl e t o handle th e unres t amon g th e serf s an d th e Cossack s o f th e Ukraine . Bohda n Khmelnitsky, hetma n o f th e Cossacks , opte d fo r th e protectio n o f Mosco w (th e exact meanin g of the decision i s still debated) in 1654 , an d after length y struggl e Poland gav e u p al l territor y eas t o f th e Dniepe r an d th e cit y o f Kie v wes t o f it . Domestically th e liberum veto imposed paralysi s o n th e Sejm , whic h migh t other wise hav e paralyze d th e monarch . Th e king , wh o mad e a long-remembere d promise to see that justice wa s done to the serfs , abdicate d withou t actin g on it. At lengt h a n outstandin g soldie r wa s chosen king : John II I Sobieski . H e wo n lasting fam e fro m hi s leadershi p in relievin g th e Turkis h sieg e of Vienna (1683) , the last time the Ottomans managed t o reach s o far west . I n the upshot they were driven bac k a goo d distance ; b y th e Treat y o f Karlowit z (1699 ) th e Habsburg s obtained al l of Hungar y excep t th e Bana t o f Temesvar , a s well a s Transylvania , eastern Croatia , an d Slavonia ; Venic e mad e gains , an d Polan d acquire d Podolia . However, th e domesti c anarch y remaine d unrepaired . B y th e tim e o f Karlowit z Sobieski was dead. Anothe r non-Polis h king , Augustu s II , electo r of Saxony, wa s on th e thron e o f Warsaw , bu t h e manage d t o keep it onl y par t o f th e tim e u p t o his deat h i n 1733 . Th e Wa r o f th e Polis h Successio n a t lengt h place d on e of hi s three hundred-od d children , Augustu s III , o n the throne . During hi s reig n refor m sentimen t coalesce d aroun d tw o families : th e Po tockis, wh o sough t a n aristocrati c constitutio n tha t woul d actuall y functio n an d were allie d wit h France , an d th e Czartoryskis , wh o wishe d a stron g monarch y and relie d o n Russia n support . Fro m tha t nobl e famil y t o th e thron e cam e Stanislas Poniatowski , a discarded love r of Catherine I I o f Russia. T o everyone' s surprise he proved a serious reformer an d ardent patriot. Bu t he could not prevent the ruler s o f th e thre e adjoinin g states—Prussia , Austria , an d Russia—fro m making design s o n Polis h territory . I n thre e gulp s (1772 , 1793 , an d 1795 ) they swallowed th e whol e countr y (Austri a di d no t participat e i n th e Secon d Parti tion.) As Reddaway describes th e Firs t Partition , ''Austri a gaine d th e riches t an d most populou s region ; Prussia , tha t whic h sh e coul d mak e th e mos t important , and Russia, th e most easily digested/ 39 Bu t no part of Poland was very rich . Poland showe d it s mettl e i n it s deat h struggles . I n Ma y 179 1 a new constitu tion wa s adopted , makin g th e anarchicall y electiv e monarch y hereditar y an d ending th e mos t egregiou s nobl e privileges , includin g th e liberum veto. Russi a now le d th e slicin g o f th e remainin g Polis h stat e i n half , o f whic h sh e annexe d four-fifths. Wha t wa s lef t becam e a Russia n protectorate . A final desperat e

The Birth of Constitutional Government 22 3 uprising le d b y Tadeus z Kosciuszk o wa s crushed , an d Polan d disappeare d fro m the map. From 179 5 t o 191 8 ther e wa s n o stat e name d Poland , i n 177 2 th e Austrian s created somethin g the y calle d th e Kingdo m o f Galici a an d Lodomeria , wit h th e emperor a s distan t king . Economicall y i t wa s a sa d area ; som e bitterl y calle d i t the Kingdo m o f Golicia an d Glodomeri a (goly means bare , glod means hunger). 40 However, culturall y an d politicall y i t becam e th e focu s o f attentio n o f thos e wh o never los t hop e o f a restore d Polan d an d wa s regarde d a s th e "Piedmont " o f th e future nation . In 180 7 Napoleo n carve d a Gran d Duch y o f Warsa w ou t o f Prussia n Polan d and enlarge d i t a t Austria' s expens e i n 1809 . Th e kin g o f Saxon y wa s mad e hereditary gran d duke ; there wa s to be a bicameral parliament—th e uppe r hous e appointed, th e lower house elected. A constitution proclaime d equalit y before th e law an d th e abolitio n o f serfdom . Th e Pole s love d Napoleon . Polis h cavalr y wit h great losse s force d th e wa y int o Madri d fo r him , an d Polis h soldier s ma y hav e been th e most enthusiastic contingen t o f the Grand Arm y that too k Moscow . Bu t the retrea t fro m Mosco w wa s th e beginnin g of th e en d fo r Napoleo n an d fo r th e prospect o f a restored Polan d unde r hi s aegi s which fe w historian s tak e seriousl y in retrospect . As Galicia unde r Austri a wa s th e cente r o f Polis h self-consciousness , a somewhat similar rol e fo r Hungar y wa s playe d b y Transylvania , onl y nominall y a vassal stat e o f th e Turks , throug h th e reig n o f Georg e I I Rakoczi , whic h ende d in 1660 . Th e stri p of western an d norther n Hungar y unde r Habsbur g rul e sa w a tightening o f th e rein s tha t provoke d uprisings . The n th e Turk s advance d t o Vienna an d wer e drive n back , an d th e Treat y o f Karlowitz , a s noted , gav e al l Hungary excep t Temesvar t o the Habsburgs; they acquired Temesva r i n 1718 . The succession t o the Hungaria n thron e ha d been fixed in th e male line of th e Habsburgs by the Magyar Diet in 1687 . Leopold I (1658-1705) an d his successor s introduced Serbia n an d Germa n immigrant s int o th e devastate d portion s o f th e reconquered lan d an d assigne d muc h territor y t o Austrian officer s an d soldiers . The grea t magnate s gravitate d t o the Habsbur g cour t i n Vienna , an d th e gentry , though the y strov e t o defen d thei r ancien t liberties , wer e generall y ineffective ; the jus resistendi, secure d b y th e Golde n Bul l o f 1222 , wa s abolished. 41 A revol t led b y Franci s I I Rakocz i erupte d i n 170 3 an d achieve d spectacula r successe s before bein g put down . Charles V I (Charle s II I i n Hungary ) finally ende d th e wors t abuse s an d b y 1715 accepted Hungaria n liberties , includin g freedo m o f religion. A s a result th e Diet accepte d th e Pragmati c Sanction , an d Mari a Theres a succeede d t o th e throne withou t Magya r objection . I n 174 1 sh e guarantee d immunit y fro m taxa tion t o th e Hungaria n nobles . Littl e mor e wa s hear d fro m Hungar y unti l Josep h

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II. H e avoide d coronation s o tha t h e woul d no t hav e t o swea r t o uphold th e "Hungarian Constitution/ ' an d h e foolishl y brough t th e crow n o f St . Stephe n (symbol o f Hungaria n nationhood ) t o Vienna—and ha d t o sen d i t back . But , a s already noted, h e had t o retreat o n other front s a s well. The Balkans and Russia The Ottoma n Empir e experience d a n apparen t reviva l unde r th e leadershi p o f the Kopriil u viziers , o f Albania n extraction . Mehme d Koprulii , alread y pas t eighty, too k ove r th e hig h offic e i n 165 6 and combine d refor m wit h ruthlessnes s in wipin g ou t opposition . Hi s so n an d the n hi s grandson-in-la w followe d hi m i n office. Th e latter , Kar a Mustafa , i n cooperatio n wit h th e Hungaria n rebel s assaulted Vienna . Th e Turk s wer e the n force d back , an d som e a t th e cour t o f Vienna contemplate d expulsio n o f th e Ottoman s fro m Europe. 42 Fo r th e tim e being th e Habsburg s ha d t o be satisfie d wit h Hungary . Belgrad e wen t bac k an d forth betwee n Turke y an d Austria . Then Russia , graduall y gainin g in strength , too k over th e rol e of chief antago nist of the Sublim e Porte . B y the Treaty of Kuchuk Kainarji , nea r Silistri a on th e Danube, i n 177 4 Catherine I I acquire d th e righ t t o protect th e Romania n princi palities, Moldavi a an d Wallachia , an d annexe d th e chie f Turkis h fortresse s o n the Blac k Sea . Fro m the n o n i t wa s relativel y eas y t o mak e additiona l gain s a t Turkish expense . By the en d o f th e eighteent h centur y th e Ottoma n Empir e wa s wholl y o n th e defensive. I t wa s 'th e sic k ma n o f Europe, " whos e existenc e wa s prolonged onl y because th e power s eithe r foun d i t convenien t o r coul d no t settl e amon g them selves on how to terminate it . I n 180 4 an uprising of the Serb s occurred, le d by a well-off trade r in pork named Kara Djordje. I t was the beginning of the movement for independenc e amon g th e Balka n Christians , thoug h th e uprisin g wa s no t necessarily aime d a t ending Turkish rul e but rathe r sough t t o end th e oppressio n by the Janissaries i n Belgrade . The chie f alteratio n i n powe r relation s i n Easter n Europ e durin g th e seven teenth an d eighteent h centurie s wa s th e resul t o f th e ris e o f Russia . I t ha d a great effec t o n th e Ottoma n Empire ; withi n a littl e ove r hal f a centur y th e positions o f Mosco w an d Constantinopl e wer e reversed—fro m th e Treat y o f th e Pruth (1711) , i n whic h th e Turk s ha d th e uppe r hand , t o Kuchu k Kainarj i (1774), wher e th e Russians coul d do as they liked. Internally Russi a los t som e shred s o f freedo m tha t persiste d int o th e seven teenth century . Th e Assembl y o f th e Lan d (Zemskii Sobor), which ha d bee n summoned irregularl y fro m th e mid-sixteent h centur y onward , wa s calle d upo n to elect a s tsa r Michae l Romanov—th e first o f th e lin e tha t rule d unti l 1917 —

The Birth of Constitutional Government 22 5 and me t severa l time s i n th e earl y year s of his reign , bu t disappeare d b y the en d of th e century . Th e lega l cod e o f 164 9 ma y b e considere d th e noda l poin t a t which serfdo m becam e fixed o n th e landlords ' peasants . The y mad e u p roughl y half o f th e perhap s 85 % o f th e Russia n populatio n wh o live d o n th e land ; th e other hal f were stat e peasants wh o had no landlord but th e central government . At th e en d o f th e centur y Pete r I gaine d first th e thron e (1682 ) an d the n th e real powe r (1694 ) a t th e deat h o f hi s mother . H e defeate d th e Swede s i n th e Great Norther n War , an d b y th e peac e o f 172 1 annexe d Estonia , Livonia , an d the are a sout h o f Finlan d o n whic h St . Petersburg , hi s "windo w o n th e West, " had alread y bee n built . H e wa s unabl e t o subdu e th e Turk s o r th e Persians , though h e too k ove r som e territor y sout h o f th e Caspia n fro m th e latte r tha t di d not remain Russian . But Peter' s centra l effor t wa s t o buil d a stron g army , an d h e als o lai d th e foundations fo r a navy. Hi s financial, governmental , an d lega l measures wer e al l intended t o serv e th e ai m o f militar y strength . Hi s actua l governmenta l change s did no t las t i n th e for m h e gav e them , bu t h e di d muc h t o mak e th e centra l administration mor e powerfu l an d mor e effective . H e di d awa y wit h mos t o f th e privileges o f th e hereditar y noble s an d mad e th e so-calle d gentr y (dvorianstvo) a class tha t ha d t o contribute it s male s fo r al l of thei r adul t live s t o either militar y or civil service (with mino r exceptions) . On th e on e han d Pete r ma y b e assigne d th e blam e fo r fixing a despotism o n Russia, buildin g on th e wea k clas s structure , flimsy legal system , an d absenc e of strong propert y tha t h e inherited , an d o n th e othe r han d h e shoul d b e give n th e credit for beginning the process of dismantling absolutism by encouraging borrowing from th e West, i n which h e himself extensivel y engaged . In th e eighteent h century , followin g Peter' s deat h i n 1725 , th e leadin g seg ment o f th e gentry , th e Guard s regiments , mad e an d unmad e monarchs . How ever, they di d no t see k t o acquire corporat e organizatio n o r right s o r t o limit th e power o f th e monarch y tha t seeme d t o have becom e thei r plaything . A n attemp t to fette r th e autocrac y Pete r ha d create d wa s mad e i n 173 0 b y th e remnant s o f the hereditar y aristocrac y whe n the y brough t Anna , daughte r o f Peter' s half brother an d co-tsa r Iva n V , fro m Courland , wher e sh e wa s duchess, t o Mosco w as empress , subjec t t o certai n "conditions. " Bu t sh e tor e the m up , wit h th e support of the Guards, a s soon as she reached th e capital . The first seriou s ste p i n th e directio n o f moder n Russia n freedo m ma y b e traced t o 1762 , when Pete r II I announce d th e en d of compulsory stat e servic e fo r the gentry . Tha t measur e wa s confirme d an d codifie d i n 178 5 b y Catherin e II , his wife , wh o connive d a t hi s murde r an d the n rule d alon e fro m 176 2 t o 1796 . The emancipatio n o f th e gentr y mean t als o th e first privat e propert y o n an y sizeable scal e fo r th e country , sinc e th e landowner s no w receive d titl e t o th e

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estates they had previously held only on condition they served the state. However , they stil l ha d n o corporate bodie s o f significance , thoug h the y wer e permitte d b y the la w of 178 5 to elect thei r ow n loca l ''marshals' ' an d t o meet periodically . Bu t under Catherin e th e peasants' lot perceptibly worsened; serfdo m becam e in effec t slavery, wit h th e buying and sellin g of human beings . The paladin s o f th e Wes t Europea n Enlightenmen t admire d an d praise d th e empress's professe d devotio n t o th e principle s they preached . I n summonin g a Legislative Commission (1767-68) , sh e seemed poised to put suc h principles int o effect. I t has to be said that eve n if she were in earnest abou t her agreement wit h the philosophes, she woul d hav e ha d grea t difficult y i n actin g upo n it . I t wa s no t that ther e wer e limit s on he r power ; ther e wer e none . Nevertheles s he r positio n was precarious ; sh e ha d n o lega l titl e whateve r t o rule . Th e oppressio n fro m which th e serf s suffere d erupte d i n th e larges t peasant revol t in Russia n history , Pugachev's risin g on 1773-74 , an d gav e her a real fright. Fro m 178 9 on sh e kep t a wary eye on the Frenc h Revolutio n an d its possible impact on Russia . Catherine ha d her chief successe s in war and diplomacy. Kuchu k Kainarj i wa s only th e first o f he r triumph s vis-a-vi s th e Turks . Sh e proceede d t o anne x th e Crimea i n 1783 , an d b y a secon d wa r wit h th e Ottoman s Russi a move d it s boundary t o the Dnieste r Rive r (1792) . Sh e took part i n th e partitions of Poland , and her territoria l gain s from Turke y an d Poland togethe r netted he r the Ukrain e and Belorussia. Catherin e considere d partitionin g th e Ottoma n Empire , bu t th e plan neve r go t of f th e ground . Sh e remaine d aloo f fro m th e fighting tha t bega n between th e Frenc h an d thei r neighbor s i n 1792 . He r successor , Pau l I , di d not ; first h e fough t agains t Napoleon , the n mad e peac e an d allie d wit h hi m i n 1800 . The tsa r wa s kille d a few month s late r an d wa s succeede d b y Alexander I . Tha t ruler woul d lead the anti-Napoleonic coalitio n t o final victory. Conclusion In th e word s o f R . R . Palmer , durin g th e las t fou r decade s o f th e eighteent h century ther e wa s a "singl e movement " tha t wa s differen t i n differen t countrie s but was everywhere aimed against closed elites, self-selecting power groups, hereditary castes, and forms of special advantage or discrimination tha t no longer served any useful purpose. These wer e summe d u p i n suc h term s a s feudalism , aristocracy , an d privilege , agains t which the idea of common citizenship in a more centralized state , or of common membership i n a fre e politica l nation , wa s offere d a s a more satisfactor y basi s fo r th e huma n community.43 For thi s movemen t Palme r offer s th e ter m "democratic " a s "appropriat e an d enlightening." H e stresse s th e assertio n o f equality by 180 0 across the continent ,

The Birth of Constitutional Government 22 7 "an equalit y tha t mean t a wide r diffusio n o f liberty. " N o on e ca n doub t th e importance o f th e proclamatio n o f equalit y an d libert y a s slogans , an d o f th e extent t o which the y were given some practical application . Nevertheless I hesitate t o use the ter m "democracy" : i t means "th e rul e of th e people," an d suc h ha d no t com e about . O f cours e th e peopl e canno t rule , i n an y important sense , i n an y communit y large r tha n tha t whic h ca n b e crammed int o an Athenian agor a in ancien t time s or, say , a football stadiu m in our day, an d one may doubt whethe r a few decision s take n b y such "direc t democracy " can be said to constitut e rea l rul e b y th e people . I t i s safes t t o measur e democrac y b y universal suffrag e (whic h bega n wit h universa l mal e suffrag e o f freemen ) fo r some significan t governmenta l offic e o r bod y wit h th e availabilit y o f genuin e choice. I n tha t sense , democrac y la y ahead , b y man y decade s eve n i n th e mos t progressive nations. A free societ y is somethin g less tha n democracy , an d als o more. A free societ y may consis t o f a plurality o f political institutions , sharin g powe r t o some degree, and of social classes, i n whic h n o single class has a monopoly of power, property , or privilege. I t ma y boast a legal an d judicial system—a n acceptanc e o f la w a s a basis fo r regulatin g huma n relation s an d o f court s a s th e devic e throug h whic h that occurs , bot h systematize d i n theor y an d practice , no t necessaril y proo f against bribery , influence , o r favoritis m bu t resilien t enoug h t o regai n dependa bility whe n a n unjus t la w i s repeale d o r a corrupt judge removed . I t ma y rest o n a foundation o f th e acceptanc e o f private propert y a s th e natura l accompanimen t of th e labor s o f civilize d man , secure d b y la w an d als o b y th e distributio n o f strength amon g socia l group s t o prevent on e grou p fro m assaultin g th e la w wit h full success . Al l those elements ma y be present, an d yet democracy may not hav e arrived. As fo r th e bes t phras e t o describ e wha t happene d i n Europ e an d Nort h America durin g th e perio d 1650-1800 , i t ma y b e th e arriva l o f constitutiona l government. Th e Britis h hav e neve r ha d a writte n constitution , an d thu s i t i s necessary t o look beyond th e documents i n order t o date th e arriva l of such in th e United Kingdom . Writte n constitutions , s o characteristi c o f th e eighteenth century approac h t o th e affair s o f government , cam e int o bein g i n th e Unite d States, France , an d Polan d an d i n th e 1990 s retai n thei r hol d o n th e popula r mind. Not , t o be sure , th e sam e constitutions—no t eve n i n th e Unite d States , where dul y adopte d amendment s hav e mad e som e difference (especiall y th e first ten, i n effec t par t o f th e original ) an d judicial interpretation s an d extension s o f the original meaning have produced grea t changes . But th e ide a o f a constitution , th e vie w tha t a governmen t i s no t stabl e an d legitimate unles s an d unti l i t ha s one , cam e t o embrac e th e whol e planet . A constitution migh t b e flouted o r ignored , an d th e action s o f a government migh t

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make a mockery o f it ever y hou r o f every day; but eve n a people oppressed b y th e most bruta l o f tyrannie s migh t ofte n clin g t o th e knowledg e tha t th e countr y i n some sense had a constitution, whic h migh t one day be actually put int o force . Constitutional governmen t i n th e litera l sense , then , date s fro m th e lat e eighteenth century . Nevertheles s fundamenta l aspect s o f what w e mea n b y tha t phrase ar e a good deal older , an d ste m fro m th e seventeent h centur y i n Britain . The Englis h Revolutio n (o r Civil War, Commonwealth , an d Protectorate , t o take the term s tha t appea r i n many histories instead) produced interestin g innovation s and daring experiments, bu t fe w of them ha d lasting effect . The star t o f continuou s developmen t o f mid-twentieth-centur y politica l pat terns i s t o be foun d i n th e perio d o f th e Restoratio n o f th e Stuarts . I t continue d through th e Glorious Revolution , th e settlemen t o f governmental affair s tha t took place i n th e reig n o f Willia m an d Mary , an d th e trial-and-erro r perio d o f th e eighteenth century , fro m Ann e t o George III. Ne w institution s wer e created: th e cabinet, th e Ban k o f England , th e nationa l debt , th e singl e parliamen t fo r En gland an d Scotlan d together . Ne w habit s wer e formed : th e monarch y cease d t o use its veto, money bills had t o originate i n Commons , th e kin g stayed awa y fro m cabinet meetings , th e cabine t mus t operat e o n th e basi s of unanimity, an d abov e all th e cabine t mus t b e abl e t o work wit h th e majorit y o f Common s (and , later , must b e responsible t o it). A two-party syste m came into being, a novelty in worl d history thoug h mor e or less duplicate d i n Swede n an d th e Unite d State s withi n a centur y an d admire d rather tha n successfull y imitate d almos t everywhere else . Religiou s toleratio n di d not originat e i n Britain , bu t graduall y too k roo t there . Britai n i n th e lat e eigh teenth centur y wa s no t a democracy ; i t ha s bee n calle d a n "aristocracy " i n th e sense that th e privileged class, th e gentry above all, actuall y bore the burdens an d responsibilities o f governing, i n th e localities a s well as in th e central administra tion. Common s wa s mor e powerfu l tha n th e monarchy , bu t i t wa s electiv e onl y in a restricte d sens e an d woul d becom e representativ e onl y a s th e nineteent h century wor e on. Britain blaze d a trail fo r th e res t o f the worl d t o follow. Ye t in 180 0 it seeme d to have been overtake n b y the Unite d States , whos e alread y partly self-governin g inhabitants ha d won independence by persuading themselves that they were rule d by tyrant s acros s th e se a i n London . Moreover , a claim t o be i n th e forefron t o f the advanc e o f freedo m migh t b e mad e b y France , wher e th e ag e o f th e citize n inferior t o n o on e els e wa s proclaimed , an d Englan d wa s feare d a s th e mos t powerful enem y o f th e ne w dispensation . Th e Frenc h Revolution , however , wa s demonstrating tha t ther e coul d b e tyrann y exercise d i n th e nam e o f th e people , perhaps even with th e approval of many of them. I t was a new lesson for mankin d to learn. Man y stil l more painful lesson s lay ahead.

The Birth of Constitutional Government 22 9 What seem s remarkable , i n retrospect , i s tha t th e change s o f th e perio d le d toward greate r freedom . Wordswort h wrote , "blis s wa s i t i n tha t daw n t o b e alive," placing his hopes at tha t stag e in Franc e rathe r tha n hi s own country , ye t having in mind th e progress of liberty in th e world. I t was a dawn indeed, despit e all th e disappointments . An d no t onl y i n America , Britain , an d France , fo r Napoleon brough t awakenin g t o central Europ e an d eve n hastene d th e fluttering of the eyelids that wa s observable in Russia . Of cours e ther e wer e man y casualtie s i n th e war s tha t accompanie d al l this . But they wer e no t a s devastatin g a s th e Thirt y Years ' Wa r an d no t a s blood y a s World Wa r I , an d thei r scar s wer e rathe r soo n healed . Whe n th e Napoleoni c Wars began , independen t Polan d ha d disappeared , an d afte r th e shor t lif e o f th e grand duch y i t woul d disappea r again . Mos t o f Hungar y havin g throw n of f Ottoman rule , th e countr y starte d t o develo p a s a n oligarch y o f nobles . Th e beginning of the modern independence of the Balkan state s lay just ahead. Durin g his comple x confrontatio n wit h Napoleon , th e tsa r raise d hope s fo r freedo m tha t achieved partia l realizatio n outsid e o f hi s ow n countr y bu t insid e Russi a wer e t o be dashed. And yet the memory of the free r societie s of France an d Germany tha t soldier s from Russi a ha d seen , th e writing s o f th e Wester n defender s an d proponent s o f freedom tha t youn g Chines e bega n t o read , th e report s o f traveler s fro m Japa n who visite d Europ e an d America , an d al l th e variou s consequence s tha t flowed from th e presenc e o f Britai n i n Indi a mad e thei r mar k o n th e consciousnes s o f many youn g peopl e outsid e th e West , an d th e resultan t seed s o f libert y woul d sprout in th e tw o centuries tha t la y ahead.

CHAPTER 8

The Coming of Democracy, 1800-1990: Part One

The Restoration on the European Continent The Frenc h Constitutio n o f th e Yea r VII I (th e revolutionaries ' calenda r starte d from th e fal l o f th e monarchy ) wa s replace d i n 180 2 b y th e Constitutio n o f th e Year X , o n th e heel s o f th e plebiscit e tha t wa s declare d t o hav e give n virtua l unanimous consen t o f Frenchme n t o Napoleon a s Consul fo r life . Th e power s of the Senat e wer e increased , bu t Napoleo n wa s give n th e righ t t o nominat e th e majority o f senators, t o summon th e body and preside over it. H e became in effec t the hea d o f a limite d monarchy . A longis h lis t o f republic s spran g u p a t hi s bidding i n nearb y countries , bu t the y wer e i n fac t o f simila r structur e t o th e Consulate i n France . I n 180 4 a genuine conspirac y o f supporters o f the Hous e of Bourbon wa s quashed , an d th e clearl y innocen t princ e o f th e house , th e du e d'Enghien, wa s executed alon g with a few of those actually guilty . In Ma y th e Empir e wa s proclaimed , a s i f i n answe r t o th e deman d fo r a monarch, an d stil l anothe r constitutio n wa s approve d b y plebiscite . Bu t th e constitutional chang e threatene d Franc e wit h on e of the lesse r Bonapartes , sinc e the rul e wa s no w hereditary . Napoleon' s divorc e o f Josephine , who m h e loved , and marriage t o Maria Luisa , daughte r o f the Habsbur g emperor, gav e him a son, but event s wer e t o deny hi m a Bonaparte successor . I n th e Battl e o f Leipzi g h e was defeate d an d sen t t o Elba , stil l a s emperor ; a t Waterlo o h e wa s defeate d finally and sent t o St. Helena , no w as an exile. It fel l t o th e brothe r o f th e dea d Loui s XV I "t o uphol d th e socia l syste m 230

The Coming of Democracy: Part 1 23 1 introduced b y the Revolutio n an d th e law s an d institution s whic h Napoleo n ha d devised."l Loui s XVIII resume d th e throne under restriction s impose d by a charte constitutionnelle (Jun e 1814) ; a parliamentary syste m boasted a Chamber o f Peer s nominated b y th e king , a Chambe r o f Deputie s electe d b y limite d suffrage , an d written guarantee s o f civi l an d religiou s freedom . Th e restore d monarc h wa s a moderate, bu t extremis t relative s an d friend s wreake d vengeanc e o n supporter s of the regime s of the past tw o decades, an d reactionarie s swep t th e firs t election s in August 1815 . The due de Richelieu a s prime minister did his best to check th e excesses of this group in th e ne w Chamber , an d after ne w election s tha t th e kin g called in Septembe r 181 6 the deputies wer e as moderate a s Richelieu . Thus wen t th e Restoration i n France—no t reall y a restoration o f 178 9 but no t a lastin g ne w syste m either . Close r t o a rea l restoratio n wa s wha t happene d i n Spain. Ferdinan d VII , promisin g t o maintain th e Constitutio n o f 1812 , returne d to th e throne . Th e constitutio n ha d bee n worke d ou t b y a n assembl y electe d b y the are a aroun d Cadiz , th e onl y par t o f th e countr y fre e o f foreig n troops . I t provided fo r a single-chamber parliamen t an d universa l suffrage , an d its support ers, becomin g know n a s liberal, gave no t onl y Spanis h bu t als o a hos t o f othe r languages a new wor d o f great subsequen t currency . Bu t i n 181 4 Ferdinan d ha d no wish t o keep th e constitutio n an d simpl y brok e hi s promise , wit h th e backin g of th e Churc h an d th e arm y bu t als o wit h th e acceptanc e o f man y other s wh o were gla d o f th e en d o f Frenc h tutelage . Spai n ha d los t it s Lati n America n colonies durin g th e perio d preceding , an d wit h the m a majo r sourc e o f income ; the king determined t o reconquer the m bu t failed . In Ital y Napoleoni c rul e ha d shattere d muc h antiqu e inerti a an d legal particu larism. Th e reconstitute d politica l ma p showe d nin e states , th e tw o majo r one s being th e Kingdo m o f Sardini a (whos e chie f regio n wa s Piedmont ) unde r th e House o f Savo y an d th e Kingdo m o f Naple s unde r th e Bourbons . However , th e chief politica l acto r o n th e peninsula , replacin g th e Franc e o f Napoleon , wa s Austria, whos e chie f minister , Coun t Metternich , wa s th e chie f internationa l symbol o f restoration . An d attempt s a t restoratio n wer e mad e i n al l nin e states . Pius VII, who had no limits whatever on his secular power to worry about, helpe d by restorin g th e Societ y o f Jesus, abolishe d i n 177 3 (except fo r Russia , wher e i t survived throughou t th e period , an d briefl y Prussia) , whic h thereupo n returne d to several of the Italia n states . Bu t young men in al l of the state s remembered th e Napoleonic reforms (man y of whose effects coul d not be undone), longed to throw off Austria n domination , an d se t a s thei r goa l th e unificatio n o f Italy , whic h Metternich ha d terme d onl y "a geographical expression. " In order t o create barriers against a renewal of French expansion , th e Austria n Netherlands wer e unite d wit h Hollan d t o create a Kingdom o f th e Netherlands . Though h e grante d a constitution , th e forme r princ e o f Orange , no w Kin g

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William I , wa s unabl e t o bridg e th e ga p betwee n nort h an d south . Th e unio n lasted onl y unti l 1830 . I n Scandinavi a a cartographi c rearrangemen t ha d a n unexpectedly successfu l outcome . Finlan d ha d bee n annexe d b y Russi a i n 180 9 or, mor e precisely , becam e a gran d duch y unde r th e Russia n tsar , retainin g it s Swedish laws . Th e maturin g o f nationa l self-consciousnes s i n Norwa y le d t o it s readiness t o brea k awa y fro m Denmark , an d i t seeme d amenabl e t o joining th e realm of Marsha l Bernadotte , Napoleon' s gif t t o the Swedis h throne . T o be sure , this occurre d onl y afte r a n abortiv e Norwegia n rising , bu t a t lengt h Bernadott e (first chosen crown prince, i n 1810 ) became in 181 8 Charles XIV, king of Sweden and Norway . "Al l th e Danis h fetters—monopolies , privileges , censorshi p o f th e press—had thu s bee n abolishe d withou t sacrifice , an d a constitutio n gained, " writes Reddaway. 2 Th e Norwegian s di d no t a t first welcom e th e ne w order , bu t before lon g man y cam e t o accep t it . Denmark , whic h ha d remaine d to o lon g Napoleon's ally , los t no t onl y Norwa y bu t Pomerani a (t o Prussia) , bu t receive d some compensation t o the sout h i n th e Duch y of Lauenburg . The Hol y Roma n Empir e ha d bee n formall y abolishe d i n 1806 , an d wha t wa s to succee d i t remaine d a questio n fo r th e countr y wes t o f wha t wa s no w calle d the Austria n Empire . Franci s II , Hol y Roma n Emperor , ha d becom e Franci s I , Austrian Emperor . B y ac t o f th e Congres s o f Vienn a th e empero r becam e als o president o f a new entit y calle d th e Germa n Confederatio n (Deutscher Bund). I t was mad e u p o f thirty-nin e unit s instea d o f th e three-hundred-plu s sovereig n entities existin g earlier ; th e ruler s concerne d include d th e king s of Englan d (fo r Hannover), th e Netherland s (fo r Luxemburg) , an d Denmar k (fo r Holstein) . The confederatio n ha d n o centra l administratio n an d unti l 182 1 n o army . I t had a representative assembl y (Diet ) of sorts ; the lowe r house , o r Bundestag, wa s made u p o f deputie s appointe d b y th e membe r states ; th e uppe r house , o r Bundesrat, ha d a system o f voting by states, eac h o f th e eleve n larges t havin g one vote, th e others being placed into six groups each having a vote. The power of the Diet wa s negligible. Defenders o f th e syste m hav e argued tha t i t postponed violen t rivalr y betwee n Austria an d Prussi a fo r hal f a century an d tha t i n doin g so it save d German y fo r that perio d fro m Prussia n repressiveness . Durin g th e nex t five or si x years quit e a number o f the state s adopte d som e sort of constitution, notabl y in th e souther n regions: Bavaria , Wurttemberg , Baden , Nassau , an d Hesse-Darmstadt , "state s that ha d bee n integrate d withi n th e Napoleoni c orde r o r i n whic h th e middl e class wa s mos t numerous." 3 Bu t other s retaine d th e ol d syste m base d o n th e medieval estates. Austria unde r Metternic h resiste d th e chie f minister' s effort s t o moderniz e the bureaucrac y an d strengthe n th e Stat e Counci l (Staatsrat) as a n agenc y fo r modest change . Politica l oppositio n o f an y sor t wa s severel y repressed , thoug h

The Coming of Democracy: Part 1 23 3 during th e perio d Austri a enjoye d muc h cultura l an d economi c growth . Prussi a under Hardenber g a s chief ministe r fo r Frederic k Willia m II I ha d bee n th e hop e of Germa n liberals . I n Ma y 181 5 th e kin g ha d authorize d th e draftin g o f a constitution, bu t th e appearanc e o f liberal an d radica l yout h movement s i n 181 9 frightened th e Prussia n governmen t int o drawing back from reform—no t th e last time suc h a thing would occur in nineteenth-centur y Europe . Napoleon ha d neve r induce d politica l chang e i n Russia , an d i t ha d neve r experienced a militar y defea t a t hi s hand s comparabl e t o Jen a fo r Prussi a o r Wagram fo r Austria . Therefore , ther e wa s not th e sor t of restoration t o be foun d in othe r Europea n countries . Alexande r I emerge d fro m th e Congres s o f Vienn a as grand duk e of Finland, constitutiona l kin g of Poland, an d absolut e monarch of Russia. (Ther e wer e als o constitutional arrangement s mad e i n 181 8 for Bessara bia.) Perhaps th e ables t o f al l th e official s o f imperia l Russia , Michae l Speransky , encouraged th e empero r t o lea d th e countr y int o a constitutiona l system . Tw o fragments o f such a plan wer e enacted: creatio n o f a State Council (1810 ) to draf t laws an d supervis e th e legalit y of administration, an d replacemen t o f old collegi a or "colleges " establishe d b y Pete r th e Grea t b y ne w ministrie s comparabl e t o those o f th e othe r Europea n powers . A s late a s 181 8 Alexander wa s considerin g constitutional plans , thoug h Speransk y ha d been dismisse d a s his chief advise r i n 1812. However , nothin g mor e cam e o f them . Par t o f th e reaso n ha d t o do wit h the appearanc e o f liberal secre t societies , modele d on thos e of the German lands , which mad e Alexander hesitate . France, 1816-1990. I n 181 4 Napoleon wa s defeated an d sen t t o Elba, stil l wit h the titl e o f emperor , bu t afte r th e Hundre d Day s i n whic h h e attempte d a comeback (ende d a t Waterloo ) h e wen t t o St . Helen a wit h n o title . I n th e previous tw o decades , however , successivel y a s genera l o f th e arm y o f th e Con vention an d the n o f the Directory , a s First Consul , an d a s Emperor, h e had don e more tha n an y individua l befor e hi m t o chang e th e ma p (i n a wa y tha t di d no t last) and th e socia l and political system s (in a way that did) of Europe. The moderat e restoratio n ove r whic h Loui s XVII I wishe d t o presid e wa s infringed b y a series of measures beginnin g in 182 0 with th e so-calle d La w of th e Double Vote , whic h institute d a comple x electora l syste m increasin g th e influ ence of the landlord clas s that supporte d th e extreme rightists , o r Ultras. I n 182 1 Jean-Baptiste d e Villel e becam e minister . Durin g th e si x year s h e occupie d th e post, severa l laws were enacted tha t ha d as their ai m compensation t o the nobilit y for los s o f lan d durin g th e Revolution , punishmen t fo r religiou s offense s s o considered b y the Catholic church, an d lowering of the influence o f the bourgeoisie—such a s the abolitio n of the Nationa l Guard , wher e it was strong .

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Charles X , kin g fro m 182 4 t o 1830 , no w calle d a n electio n tha t wen t agains t the Ultras . Afte r a brief gestur e i n a moderate direction , th e monarc h returne d to th e extremist s b y naming th e Princ e d e Poligna c a s chief minister . H e lacke d the suppor t o f th e majorit y o f the Chambe r o f Deputies , whic h wa s not require d by th e constitutio n bu t ha d com e t o b e customary . Th e Chambe r an d th e kin g now wer e a t a stand-off . Charle s issue d five "July " Ordinance s enactin g stric t control o f th e pres s an d a ne w electora l system . Thes e provoke d immediat e violence: the so-calle d Revolutio n of 1830 . Radical Pari s drove out th e last Bourbo n king , bu t th e moderates , o r Liberals , managed th e solutio n t o th e proble m o f wh o or wha t woul d follow . I t wa s Loui s Philippe, duk e o f Orleans , fro m th e cade t lin e of th e Bourbons , proclaime d Kin g of th e Frenc h b y a rump of th e Chambe r o f Deputie s unde r a somewhat revise d constitution o f 1814 . Thoug h th e radicals , whos e hero-leade r wa s th e Marqui s de Lafayette , ha d bee n persuade d t o accep t th e 'Jul y Monarchy, " the y soo n returned t o attempted revolution . Th e most prominent figures in the government s of "le roi bourgeois" were th e due de Broglie, th e journalist Adolph e Thiers (wh o had led the opposition t o the July Ordinances), an d the historian Frangoi s Guizot, author o f a la w entrustin g contro l o f elementar y educatio n t o th e Catholi c church. I n 183 5 th e so-calle d Septembe r Law s wer e effectiv e i n bringin g th e radicals unde r control . However , beneat h th e surfac e o f event s simmere d agita tion tha t erupted, unde r th e stimulus of economic depression an d unemployment , first int o open opposition , i n a "banquet campaign " an d the n int o violent demon strations i n Februar y 1848 . Th e kin g abdicated , a republi c wa s proclaimed , bu t from th e star t i t wa s divided betwee n moderate s fro m th e Chambe r o f Deputies , led b y th e poe t Alphons e d e Lamartine , an d th e radical s o f Paris , le d b y th e socialist writer Loui s Blanc. The election s o f Apri l yielde d abou t five hundred deputie s fo r th e Lamartin e group, twohundre d fo r th e supporter s o f the Orlean s house , on e hundred fo r th e Legitimists, wh o supporte d th e Bourbons , an d fewe r tha n on e hundre d fo r th e Blanc group . Th e syste m o f wor k relie f calle d th e "nationa l workshops " cam e t o be regarde d a s th e cente r o f revolutionar y dange r t o th e ne w government , an d was abolished ; th e resul t wa s th e blood y insurrectio n o f June . Genera l Loui s Cavaignac, wh o manage d t o suppres s it , wa s a candidat e fo r th e presidency , a position wit h muc h powe r create d b y a constitution finished i n November , run ning agains t Princ e Loui s Napoleon . Th e nephe w o f Napoleo n I , h e swampe d the opposition an d became president i n December . In th e sprin g a conservative coalitio n wo n a huge majority o f seat s in th e ne w Legislative Assembly , bu t th e Radica l Republican s als o made no t a bad showing . Louis Napoleo n avoide d identifyin g himsel f wit h either . H e please d th e churc h by acceptin g th e Fallou x Law, a measur e tha t permitte d lowe r standard s fo r

The Coming of Democracy: Part 1 23 5 Catholic schoo l teacher s tha n stat e one s an d allowe d localitie s t o substitut e Catholic school s fo r stat e school s (wit h th e motiv e of saving money). H e acte d t o repress republica n agitatio n an d undercu t worke r suffrag e b y a strengthene d residence requirement . Facing a constitutiona l prohibitio n o f a secon d (consecutive ) four-yea r term , Louis Napoleo n firs t trie d t o repeal it . Havin g failed, h e carried ou t a coup d'eta t in Decembe r 1851 . H e proclaime d universa l suffrag e an d a plebiscit e o n a proposal t o allo w th e presiden t t o dra w u p a ne w constitution ; opponent s wer e arrested an d revolutionarie s wer e sho t o n Parisia n barricades . Th e constitutio n of January 185 2 provide d fo r thre e bodies : a Counci l o f State , a Senat e (bot h o f these wer e appointe d b y the president) , an d a Legislative Assembly "b y means of [which]" th e chie f o f stat e wa s t o govern . Bu t wit h a littl e prodding , publi c opinion soo n appeare d t o countenance—b y plebiscit e i n November—th e resto ration o f the empire. Napoleon III , a s h e calle d himsel f (leavin g th e numbe r I I fo r th e kin g o f Rome, wh o neve r ruled , a s Loui s XVII I ha d don e fo r th e dauphi n wh o had die d in th e Templ e a t th e ag e of ten) , promote d th e expansio n an d reconstructio n o f Paris, improvemen t o f th e lo t o f th e workers , an d th e growt h o f industr y an d trade. Th e empero r continue d t o favo r th e churc h an d it s schools . Tha t polic y also ha d importan t foreig n ramifications , a s whe n Napoleo n sen t Frenc h troop s to Rom e t o protec t th e pop e agains t revolutionarie s i n 1849 , whe n h e wa s stil l president o f th e Secon d Republic , an d whe n h e declare d wha t cam e t o be calle d the Crimea n Wa r o n Russi a i n 185 4 i n a disput e ove r wh o shoul d car e fo r th e Holy Place s o f Palestine . Bu t h e wa s n o religiou s zealot ; h e wished , a s th e first Napoleon had , t o remov e religio n fro m th e are a o f political controvers y a s muc h as possible. Napoleon II I ha d bee n calle d th e "firs t moder n dictator." 4 H e manage d t o attract wha t wa s probably rea l majorit y suppor t fo r a regime in whic h th e peopl e exercised n o power, bu t muc h o f tha t suppor t slippe d awa y a s th e year s passed . He may have been a precursor o f later leaders who in a few years or decades wen t from widesprea d popularit y t o universa l detestation ; severa l change d ove r tim e from bein g constitutional executive s with th e approval of their people to autocrats who trample d o n th e law , th e rights , an d th e welfar e o f thos e ruled . Loui s Napoleon's caree r did not undergo that dramatic a transformation . Certainly h e succeede d i n consignin g t o th e discar d th e pre-185 1 libera l an d parliamentary institution s o f France . Th e Legislativ e Assembl y wa s electe d b y universal suffrage ; bu t th e governmen t designate d onl y on e candidat e fo r eac h seat, an d an y opposin g candidat e face d formidabl e obstacles . I n an y cas e i t ha d no powe r t o initiat e law s o r an y othe r significan t power . Politica l lif e virtuall y came t o a n end , bu t publi c opinio n seem s t o hav e approve d th e orde r an d

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tranquillity, alon g wit h prosperit y an d visibl e publi c improvements , tha t th e empire had brought about . After som e foreig n misadventures , however , Napoleon' s popularit y wa s af fected, an d h e chose t o permit a certain reviva l of political parties an d parliamen tary powers . Foreig n affair s continue d t o g o badly a s th e attemp t t o establis h a Mexican Empir e a s a Frenc h client-stat e foundered . Th e empero r foun d i t wis e to permit greate r freedo m o f th e pres s an d o f assembly, an d th e election s o f Ma y 1869 yielde d 3,300,00 0 oppositiona l vote s a s agains t 4,400,00 0 fo r th e govern ment. A n eleventh-hou r attemp t t o sav e a fast-weakening empir e wa s mad e i n a constitutional refor m o f Apri l 1870 , a t onc e ratifie d b y a heav y majorit y i n a plebiscite. But Napoleo n II I wa s swept awa y by the Prussia n victor y at Seda n i n Septem ber 1870 , an d a republica n governmen t wa s proclaime d unde r Leo n Gambetta . While Pari s seethe d wit h revolution , nationa l election s produce d a n assembl y i n which republican s wer e onl y a small minority . A Paris Commune , preside d ove r by a heterogeneous council rangin g from moderat e republicans t o socialists, laste d from Marc h t o May 187 1 before th e national government, no w headed by Adolphe Thiers, overwhelme d i t b y force . Givin g u p Alsace-Lorrain e t o newl y unite d Germany, Franc e wa s monarchicall y minde d (a s i n 179 7 an d 1848) , bu t th e monarchists' candidat e fo r king , th e Comt e d e Chambord , thre w awa y a thron e by insistin g o n th e Bourbons ' fleur-de-lis a s hi s flag (instead o f th e tricolor) . B y 1875 th e Thir d Republi c ha d com e t o be a reality . Ther e wa s n o ne w constitu tion, bu t a set of laws tha t establishe d a presidency, a n indirectly electe d Senate , a Chambe r o f Deputie s electe d b y universal an d direc t manhoo d suffrage , an d a cabinet heade d b y a premier. Th e rea l executiv e wa s t o be th e premier , wh o i n turn ha d t o b e acceptabl e t o a majorit y o f th e legislativ e body , especiall y t o it s lower house. This ne w syste m would prevail throughou t th e life o f the Third Republi c and , in essence , th e Fourt h a s well . I n Palmer' s words , "unde r th e Thir d Republi c the substantia l machiner y o f state-ministries , prefectures , la w courts , police , army, al l under highl y centralize d control—wa s carrie d over virtually untouche d as i n al l upheaval s sinc e th e tim e o f Napoleo n I." 5 Th e amoun t o f freedo m enjoyed b y th e individua l wh o wishe d t o expres s himsel f politicall y o r exercis e religious choice varied a good deal throughou t th e nineteenth an d early twentiet h centuries, an d minoritie s wer e harshl y treate d mor e tha n once : i n th e Reig n o f Terror i n 1793-94 , abou t fort y thousan d o f thos e oppose d o r unsympatheti c t o the revolutio n wer e executed ; afte r th e Pari s Commun e wa s crushed , twent y thousand accused o f supportin g it s for m o f revolutionis m wer e pu t t o death. Bu t most Frenchme n b y the nineteent h centur y fel t tha t they had som e civic relatio n

The Coming of Democracy: Part 1 23 7 to th e nationa l governmen t an d hel d littl e fea r o f wha t i t migh t d o t o thei r everyday activities. In 187 9 republican s wo n contro l o f th e Republic' s government , bu t the y introduced fe w change s excep t fo r th e creatio n o f a fre e an d compulsor y publi c school syste m fro m whic h clerica l influenc e woul d b e absent , th e restoratio n o f divorce (for th e first tim e since 1816) , and th e legalization o f labor unions (whic h had bee n tolerate d anywa y fo r som e time) . I n th e 1880 s a variety o f dissatisfie d groups coalesced temporaril y aroun d Genera l George s Boulanger, wh o challenge d the Republi c wit h quit e unclea r goal s bu t wh o botche d hi s chance s t o establis h personal rul e in 188 9 and fled into exile. Charle s Cardina l Lavigeri e at a banquet in Algiers summone d al l to a ralliement (support) fo r th e Thir d Republi c i n 1890 . It appeare d a s if a movement fo r reconciliatio n wa s well under way . However, i t wa s disrupte d onc e agai n b y the Dreyfu s affair . I n 189 4 Captai n Alfred Dreyfu s o f th e genera l staf f o f th e arm y wa s accuse d o f treason , foun d guilty, an d deporte d t o Frenc h Guiana . H e ha d bee n framed , an d th e effor t t o exculpate hi m becam e th e specia l caus e o f th e defender s o f th e Republic . I n contrast, th e anti-Dreyfusard s wer e ap t t o b e royalis t an d militantl y Catholic . The affai r dragge d o n fo r twelv e years , bu t i n 189 9 Dreyfus s mos t recen t conviction wa s overturned , an d h e wa s promote d an d decorated . Th e victor y o f the republican s wa s carrie d int o matter s affectin g th e churc h an d schools . A n Associations Law , passe d i n 1901 , regulated religiou s congregation s an d schools . In 190 5 a law separate d churc h an d state , overturnin g th e Napoleoni c Concorda t (1801), endin g th e participatio n o f th e stat e i n choosin g an d payin g Catholi c clerics, an d transferrin g churc h propert y t o private corporation s forme d fo r tha t purpose. (Protestant s an d Jew s ha d als o bee n linke d wit h th e stat e throughou t the nineteent h century. ) Afte r 1906 , however , th e Righ t mad e a modes t come back, mobilizin g aroun d th e newspape r Action Franqaise, though winnin g n o dramatic political victories. O n th e eve of 1914 , Frenc h governments were headed by radical s o r socialists , suc h a s George s Clemencea u an d Aristid e Briand , bu t put down strike s by the use of troops. Although Belgiu m i s though t t o hav e suffere d th e mos t fro m Worl d Wa r I , France experienced great losses in men and property. Th e most noteworthy leade r she ha d durin g th e wa r wa s Clemenceau , th e single-minde d apostl e o f victory , who wa s premie r fro m Novembe r 191 7 t o Januar y 192 0 (h e ha d als o hel d th e office i n 1906—9 ) and carrie d throug h France' s par t i n th e peac e settlement . A n electoral la w passe d i n Jul y 191 9 gav e enoug h proportiona l representatio n t o France's voters s o that frequen t change s of government wer e assured . The Thir d Republi c continue d wit h a goo d man y politica l changes . Th e Catholic Churc h wa s allowed t o resume occupancy of its former propert y throug h

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the devic e o f "diocesa n associations. " A moderate rightis t blo c won th e election s of 1919 . Popula r desir e t o b e toug h wit h German y wa s acte d upo n b y Premie r Raymond Poincare , bu t hi s polic y faile d an d brough t a moderate leftis t blo c int o control o f th e Chambe r o f Deputies . Th e countr y remaine d divided : i n 193 3 th e scandal involvin g th e promote r Stavisk y threatene d t o reopen th e politica l strug gles of the Dreyfu s case , bu t thi s tim e royalist s (and extreme rightis t force s clos e to fascism) wer e th e attackers; the fuss was , however , short-lived . French communis m ha d com e ou t o f th e Socialis t party , an d i n 193 5 th e Communists an d variou s leftis t forces , includin g th e not-very-radica l Radica l Socialists (mor e properly : Socialis t Radicals ) forme d a Popula r Front . I t wa s th e trial run fo r a worldwide policy of Communist collaboratio n wit h non-Communis t forces agains t Nazi s an d Fascists . I n Jun e 193 6 th e Popula r Fron t forme d a government unde r Leo n Blum , th e leade r o f th e Socialis t party . I t proceede d t o establish a forty-hou r wor k week , t o move toward nationalizatio n o f th e Ban k of France an d th e arm s industry , an d t o legislat e t o bette r th e situatio n o f th e workers. Th e economi c result s wer e ba d an d the n nearl y catastrophic . Althoug h efforts wer e mad e t o repai r th e damage , Worl d Wa r I I overtoo k Franc e whe n i t was still militarily unprepared and economically in poor shape, and Hitler crushe d it swiftly i n th e sprin g of 1940 . The ma n wh o organized Frenc h resistanc e t o the Nazi s an d le d th e natio n t o establish a Fourth Republi c was General Charle s de Gaulle. I t was much lik e th e Third, bu t no t b y de Gaulle' s wish . Hi s provisiona l government—recognize d a s the legitimat e governmen t o f Franc e b y th e Unite d States , Britain , an d th e USSR, i n Octobe r 1944 , too k ove r th e countr y a t th e en d o f hostilities , bu t h e resigned suddenl y i n Januar y 194 6 a s provisiona l president . A Constituen t As sembly wen t o n t o dra w u p a constitution , ratifie d b y th e voter s onl y o n th e second tr y in Octobe r 1946 . During the 1950 s an executive responsible to a National Assembly that topple d coalition after coalitio n provided an air of deja vu at the political level; but despite, or perhap s becaus e of , th e politica l immobilisme that prevailed , grea t economi c progress was made. The unresolved problem for France was her overseas colonies, unlike Britai n whic h ha d accepte d th e desirabilit y o f dismantlin g th e Empire . First Indo-Chin a (1946-54) , the n Algeri a (1954-62 ) wer e th e scene s o f pro longed, searin g conflic t tha t tor e th e metropolita n are a apart , asid e fro m th e damage done in th e Asian an d African region s concerned . The Algerian Wa r destroyed th e Fourth Republi c in 1958 , but a stronger Fift h Republic emerge d i n it s place . D e Gaull e wa s recalled , an d a ne w constitutio n gave greate r powe r t o th e president , wh o preside d ove r a n effectiv e Frenc h government from th e Elysee palace. The (Gaullist ) UNR (Unio n pour la Nouvelle Republique) wo n majoritie s i n th e Nationa l Assembl y i n 196 2 an d 196 8 ("th e

The Coming of Democracy: Part 1 23 9 most impressive majorit y eve r returne d i n republica n France"), 6 the latte r savin g France from domesti c near-chaos begun by student demonstrations of that spring . However, d e Gaull e soo n topple d fro m tha t pea k o f popularity . H e propose d new constitutiona l changes , faile d t o wi n th e "substantia l majority " h e de manded, an d resigne d i n Apri l 1969 . Sinc e the n George s Pompidou , Valer y Giscard d'Estaing , an d Frangoi s Mitteran d (reelecte d i n Jun e 1988 ) hav e hel d the presidency . Part y strif e i s muc h les s i n th e forefron t o f publi c life . Th e Communists, onc e France' s stronges t party , hav e bee n muc h weakened ; th e Socialists (Mitterand' s party ) di d tr y a Socialis t economi c polic y bu t earl y recog nized its failure an d adopte d a successful austerit y an d free-enterprise program . The wound s o f th e Revolution , th e struggl e betwee n monarchist s o f thre e different kind s (Legitimist s supportin g th e Bourbons , Orleanists , an d Bonapar tists) and republicans , th e believers in th e unrealize d promise s of the Revolution ary tricolo r wh o wished a Socialist o r Communis t France—al l coul d b e detecte d in aspect s of French politica l life . Bu t th e Fift h Republi c offered greate r politica l stability, prosperity , an d freedom tha n an y polity had done for a long time.

Germany, Austria, and Hungary, 1819-1990. Th e unificatio n o f German y wa s an unrealize d drea m whe n th e Germa n Confederatio n cam e int o existenc e i n 1815. Clearly , i t woul d com e throug h eithe r Prussia n o r Austria n leadership . The student s an d professor s o f th e numerou s Germa n universitie s adopte d idea s of nationality— Volksgeist an d Deutschtum —that pushe d th e smalle r principali ties toward th e goa l of unification. Princ e Metternic h summone d a conference o f the majo r state s tha t me t i n Karlsba d (i n Bohemia ) i n 181 9 an d successfull y pressed o n th e Confederation' s Die t a serie s o f decree s aime d a t dissolvin g th e organizations throug h whic h th e universities ' mor e impatien t spirit s ha d sough t to act. Thereb y h e manage d t o put th e dampe r o n th e sprea d o f nationalis m an d liberalism. Such idea s wer e usuall y generate d an d propagate d b y an d withi n th e middl e classes o f Europe . Altogethe r th e Germa n middl e classe s foun d themselve s i n a quandary. Suc h statesme n a s Baron Heinric h vo m Stein, chie f minister of Prussi a in 1807-8 , an d Kar l Augus t vo n Hardenberg , whos e ministrie s bot h precede d and followed vo m Stein's, ha d been abl e to carry throug h th e emancipation o f th e Prussian serf s (thoug h othe r minister s late r le d th e monarch y t o abandon it s policy o f Bauernschutz, o r protectio n o f th e peasantry , an d allowe d th e noble s t o convert th e clas s mostl y int o landles s tenant s performin g wag e labo r o n thei r newly acquired lands) . Stei n an d Hardenberg also restored self-governmen t t o the cities an d reorganize d th e bureaucracy . Stei n perceive d muc h i n th e Englis h constitutional syste m tha t h e believed Prussi a shoul d imitate; Hardenberg wishe d

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to borro w aspect s o f Napoleon' s lega l an d administrativ e reforms . No t al l thei r aims were achieved . Especially i n Bade n an d othe r souther n states , libera l professor s an d progres sive bureaucrat s worke d fo r a unified an d limite d Germa n monarchy . Severa l of the state s ha d a Landtag, though severel y limite d i n powe r an d sometime s top heavy wit h nobles . A s fo r th e Die t o f th e Germa n Confederation , i t ha d becom e by th e 1820 s "th e sham e o f German y an d th e contemp t o f Europe " (H . vo n Gagern), abl e neithe r t o exercise powe r no r t o exert intellectua l leadership . Th e middle clas s was divided b y the continuatio n o f the lon g particularist traditio n o f the Germa n lands . Th e sout h adopte d constitution s patterne d afte r th e Frenc h Charte Constitutionell e o f 1814 : Bavari a i n 1817 , Bade n an d Nassa u i n 1818 , Wurttemberg i n 1819 . The y wer e cautiou s document s retainin g muc h powe r i n the prince s an d th e uppe r chamber s o f two-hous e legislature s an d maintainin g silence on th e question o f civil liberties. Afte r 183 0 the new grand duke of Baden sought t o wor k fo r a genuin e parliament , a fre e press , an d a n emancipate d peasantry. But i t wa s Prussi a an d Austri a tha t dominate d th e patchwor k o f states , fro m moderate size d t o minuscule , betwee n them . Austri a remaine d th e larges t an d strongest o f the German state s but wa s less German tha n before : sh e had lost th e Netherlands an d othe r territorie s acros s th e Rhin e an d gaine d muc h o f norther n Italy, s o tha t he r non-Germa n possession s exceede d he r Germa n ones . Fo r th e time being the ascendancy of the Austrians was accepted by their fellow Catholic s in th e sout h an d thei r Protestan t kinsme n farthe r north , wh o were distrustful o f a Prussia threateningl y o n th e make. Prussia ha d been fortifie d b y gains in 181 5 of lands west and east of the Rhine, to guar d agains t an y renewe d eruptio n o f Frenc h aggressio n (th e "watc h o n th e Rhine," i n th e word s o f th e song) . I t los t abou t hal f o f it s Polis h territory—th e result bein g t o shif t it s attention , a s wel l a s th e directio n o f possibl e futur e expansion, westwar d towar d other Germa n lands . Fro m 181 9 on Prussi a too k th e initiative i n constructin g a customs unio n (Zollverein) with othe r Germa n states ; the first tarif f treat y wa s signe d wit h th e insignifican t stat e o f Schwarzburg Sondershausen, bu t a serie s o f large r one s followe d suit . B y 183 4 mos t o f Ger many outsid e Austri a wa s included . Frederic k Willia m III , wh o ha d mad e a promise i n 181 5 t o creat e a representativ e bod y base d o n th e provincia l estates , ruled unti l 184 0 without actin g on it . But durin g th e las t decad e o r s o of hi s reign , a Germa n liberalis m starte d t o set fort h aim s tha t woul d realiz e th e king' s promis e an d g o further still . Thre e varieties developed : First , th e "dualism " o f Kar l vo n Rottec k an d Kar l Theodo r Welcker, whic h envisage d a popula r representativ e bod y sid e b y sid e wit h a crown i n whic h th e power s of governmen t woul d reside , i n othe r words , democ -

The Coming of Democracy: Part 1 24 1 racy and monarchy i n a n uneas y equilibriu m an d indeed often i n conflict . Secon d came th e moderat e schoo l wit h F . C . Dahlman n a t it s head , muc h readie r t o accept th e produc t o f histor y tha n th e rationalis t "dualists, " an d incline d nearl y to divinize th e stat e an d th e prince s wh o incarnate d th e stat e idea . Thir d wer e the radical s belongin g t o th e grou p calle d Youn g Germany; they derive d inspira tion fro m th e write r an d polemicis t Heinric h Heine , who , fro m a saf e plac e i n Paris, trumpete d th e superiorit y o f the Frenc h syste m t o what wa s to be found i n Germany. (Th e radical s verged on being democrats.) All demanded a constitution, civil liberties , an d th e rul e o f law; th e sloga n Rechtsstaat (meanin g a governmen t based on law) became popular on th e eve of the revolutio n o f 1848 . In 184 5 a brief civi l war in Switzerlan d mad e the Confederatio n int o a federa l state; i n 184 6 unrest i n Austria n Polan d le d t o Austrian annexatio n o f th e Fre e City o f Cracow . Thes e event s wer e onl y curtai n raiser s fo r th e Revolution s o f 1848, beginnin g i n Sicil y an d Naple s an d the n jumpin g t o Paris , th e citie s o f Baden an d othe r Germa n states , Vienna , Berlin , an d Budapest. 7 A nationa l assembly, demande d firs t i n th e Bade n chamber , wa s electe d b y direct manhoo d suffrage an d convene d i n Frankfurt-am-Mai n i n May ; a t lengt h i t produce d a constitution fo r a German Empir e and elected Frederic k Willia m I V of Prussia a s emperor. H e waffle d an d finally declined . Th e Frankfur t Assembl y collapsed . A scheme for a Prussian Unio n was tried instead: Saxony , Hanover , an d the smalle r governments outsid e th e Habsbur g Empir e accepted , bu t Austri a force d Prussi a to abandon th e ide a throug h th e diplomati c surrende r know n a s th e Punctatio n of Olmiitz (Novembe r 1850) . Th e Germani c Confederatio n o f 181 4 was reestab lished. Popular disappointmen t wa s widesprea d an d deep . Th e Revolutio n o f 184 8 was, however , no t wholl y i n vain . A ne w Prussia n constitution , adopte d i n December 184 8 and give n a new for m i n January 1850 , provided fo r a two-hous e legislature, th e lowe r hous e chose n b y al l male s ove r twenty-fiv e bu t unde r a system o f three-clas s votin g base d o n taxpaying , s o that 8 3 percent o f th e voter s were abl e t o fill only one-third o f th e seats . Thi s Landtag had th e powe r t o enac t new law s an d taxes , bu t minister s wer e no t responsibl e t o it an d th e kin g coul d issue wha t wer e i n effec t law s betwee n sessions. Th e uppe r chambe r (Herrenhaus) was, fro m 1854 , electe d b y th e ol d agraria n noble s (ninet y members) , th e larger citie s (thirt y members) , an d th e si x Prussia n universitie s (on e membe r from each) . Th e resul t wa s a landlord-dominate d governmen t righ t dow n t o November 1918 . Austrian effort s t o ente r th e Zollverein failed, a s di d he r attemp t t o brea k i t up. I n 185 3 t n e ' a s t non-Austria n Germa n state s joined th e custom s union : the y were Hanover , Brunswick , an d Oldenburg . Withi n Prussi a a conflic t erupte d between th e Liberal s i n th e Landtag an d th e king , Willia m I , ove r th e affair s o f

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the army . Drive n b y frustration t o the verg e of abdication, th e kin g was brough t to cal l th e ambassado r t o Paris , Ott o vo n Bismarck-Schonhausen , t o becom e minister-president. I n Holborn' s words , "h e [th e king ] himself an d German y ha d found thei r master." 8 Bismarck wa s a conservative , a noble , a Junker, an d a Prussian . A s chie f minister o f Prussi a fro m 186 2 t o 1871 , he cooll y put togethe r a German Empir e by wa y o f thre e successiv e smal l war s (wit h Denmark , Austria , an d Franc e respectively), an d the n fro m 187 1 t o 189 0 h e di d hi s bes t t o defen d th e ne w status qu o internationall y an d domestically . Whe n th e Zollverein treat y wa s renewed i n 1865 , Austri a wa s exclude d fo r goo d fro m th e possibilit y o f joinin g the custom s union . Afte r Bismarck' s Seve n Weeks ' Wa r wit h Austri a (actuall y won i n a fe w afternoo n hour s o n th e da y o f th e battl e o f Koniggratz ) ende d i n victory, h e wa s abl e t o construct—a s a wa y statio n t o hi s rea l goal— a Nort h German Confederation , whos e souther n boundarie s dippe d belo w th e Mosell e and nearly reache d th e Main . The ne w entit y ha d a two-hous e legislature : a Bundesrat* representing th e member state s of the confederation , i n whic h Prussi a ha d seventee n ou t of forty three vote s an d i n effec t controlle d severa l others ; an d a Reichstag elected b y single-member constituencie s o n the basis of suffrage o f all males twenty-five an d older. Eac h stat e retaine d it s ow n government , bu t th e kin g o f Prussi a wa s commander-in-chief o f the arme d force s an d his representative, th e federal chan cellor (Bismarck , wh o remaine d als o prime ministe r o f Prussia) , wa s t o hold th e presidium (presidency ) of the confederation . The confederatio n di d no t las t long ; th e mos t importan t law s i t enacte d removed al l sort s o f restriction s o n industry , provide d fo r unifor m lega l codes , and encourage d th e foundin g o f ne w manufacturin g an d tradin g companies . Bismarck carrie d throug h a reorganizatio n o f th e Zollverein wherein representa tives of the sout h a s well as the north sa t in a two-house legislature (Zollbundesrat and Zollparlament), parallel t o that o f th e confederatio n excep t i n th e territor y i t covered. H e hope d tha t politica l unit y woul d soo n follo w economi c or a t an y rat e commercial unity ; an d h e wa s right . Bu t wha t brough t unit y abou t wa s no t rational reflectio n o n th e desirabilit y o f nationa l unification , bu t th e Franco Prussian War—agai n a shor t one , lastin g forty-thre e day s unti l Napoleo n II I surrendered th e army at Sedan , a few mor e months unti l peace was negotiated . By its terms Alsace-Lorraine wa s annexed t o the new unite d Germany , plainl y against th e wil l o f th e inhabitants . Th e opinio n tha t Bismarc k wa s pushe d int o reluctant acceptanc e o f thi s acquisitio n b y publi c opinio n o r whippe d i t u p t o demand th e sam e has no t fared well . I n th e words of Gordon Craig , "a n objectiv e view o f th e evidenc e woul d see m t o indicat e tha t neithe r publi c opinio n no r Bismarck neede d inducement." 9 Bismarc k ha d succes s i n reconcilin g German y

The Coming of Democracy: Part 1 24 3 with he r defeate d opponen t i n th e cas e of Austria, wit h whic h h e made th e Dua l Alliance of 1879 . With France , h e did not even try . Koniggratz (o r Sadowa ) ha d precipitate d a resolutio n o f th e questio n o f Aus tria's non-Germa n territorie s tha t laste d mor e o r les s successfull y unti l 1914 . The measure referre d t o was the Ausgleich or Compromise of 1867 , which divide d the empir e i n tw o excep t fo r thei r monarch , th e Habsbur g king-emperor , an d three ministries—foreig n affairs , war , an d finance (whic h ministr y merel y ad ministered fund s contribute d b y th e tw o state s fo r commo n purposes) . I n addi tion, institute d annua l gatherings of sixty members of each of the two parliaments were t o conside r commo n problems , an d a treat y wa s conclude d coverin g th e armed forces , tariffs , currency , an d s o forth, whic h Austri a an d Hungar y share d in common . Austria , wit h a suffrag e favorin g th e Germa n middl e class , wa s t o dominate th e people s i n seventee n provinces ; i n Hungar y no t merel y wer e th e Magyars t o dominate but ther e was to be "a single nation, th e indivisible, unitar y Hungarian nation/ ' wit h n o differentiatio n amon g th e nationalitie s excep t i n official us e of the vernaculars concerned . The law s tha t mad e u p th e so-calle d "Decembe r constitution " o f Austri a (1867) granted civi l liberties and equal rights to all the nationalities but restricte d the suffrage , bindin g i t t o propert y holdin g unti l 1907 . Thoug h ther e wa s a parliament, th e empero r wa s abl e t o govern i f tha t bod y could no t function . Th e Poles wer e th e mos t satisfie d grou p amon g th e non-Germans ; the y wer e give n a good deal of self-government, an d there was a special ministry fo r Galician affair s after 1871 . There wer e roughl y tw o political factions : th e liberals , centralizing , anticlerical an d th e Conservatives , sympatheti c t o th e Roma n Catholi c church , federalist, thu s often allie d with th e Slavi c minorities. Th e most persistent ethni c problem involve d the Czechs. I n 187 1 Prime Ministe r Kar l Siegmund, Coun t von Hohenwart, reache d a n agreemen t t o gran t the m certai n right s bu t the n ha d t o renounce it unde r Hungaria n an d other pressures . During th e decad e o f th e 1880 s th e moderates ' strengt h decline d i n severa l directions. Th e so-calle d Ol d Czech s los t suppor t t o th e Youn g Czechs ; th e political Righ t los t suppor t t o th e Germa n nationalist s unde r Geor g Schonerer , who wa s th e first t o introduc e anti-Semitis m int o Germa n nationalis t doctrine . The workers ' association s forme d a party , th e Socia l Democrats , organize d i n 1889 a t a conferenc e a t Hainfeld . Finally , fro m lower-middle-clas s rank s cam e Karl Lueger' s ne w Christia n Socialis t party . Hithert o th e German s ha d kep t ascendancy i n Austria, bu t i t no w slipped away . I n 189 5 a Pole, Kazimier z Felix , Count Badeni , becam e prime minister, an d manage d t o get throug h parliamen t a law introducin g qualifie d universa l suffrage , thoug h th e syste m o f curia s wa s kept and even a new one added . At length , i n 1907 , cam e universa l an d equa l suffrag e (th e curia s wer e abol -

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ished) fo r al l males twenty-fou r o r older. Th e effec t wa s to lessen th e strengt h of the radical s a t bot h end s o f th e spectrum : bot h Youn g Czechs an d Pan-German s suffered. Th e most numerous representative s i n parliament cam e from th e Christian Socialist s an d th e Socia l Democrats . Thi s situatio n foreshadowe d Austria n politics afte r Worl d Wa r II , bu t i t di d no t las t a t th e time . I n 191 1 a ne w grouping o f nationalist s calle d th e Deutsche r Nationalverban d wo n i n election s the positio n o f th e stronges t singl e party , bu t internationa l affair s no w too k th e spotlight. Worl d Wa r I brought forwar d othe r issues , an d when th e old emperor , Franz Josef , die d i n Novembe r 1916 , hi s successo r Charle s trie d t o hol d th e empire togethe r b y conciliatin g th e nationalities . Th e German s wer e stubbor n enough t o bloc k anythin g o f significance . Seein g tha t a n impass e existe d o n th e issue, th e Allie s fro m earl y 191 8 thre w thei r suppor t t o the non-Germans, 10 an d the Habsbur g monarch y wa s doomed . I n Octobe r 191 8 Empero r Charle s pro claimed th e transformatio n o f Austri a (Hungar y wa s no t affected ) int o a federa l union o f four parts : German, Czech , Sout h Slav , an d Ukrainian . Th e Pole s were to be free t o join a Polish state , whic h the y proceeded t o do. After th e wa r ended , Austri a (barre d fro m Anschluss with German y b y Allied fiat) becam e a republic . Socia l Democrat s dominate d Vienna , th e Christia n Socialists th e countryside . Austria n democrac y wa s set aside by the authoritaria n regime establishe d b y th e Christia n Socialis t Engelber t Dollfus s i n 1934 , whic h made th e Socia l Democrat s illegal . Bu t afte r onl y a few month s Nazi s overthre w Dollfuss an d kille d hi m i n a n abortiv e coup . Hi s successor , Kur t vo n Schus chnigg, preside d ove r the sam e sort of regime (though mor e gently tha n Dollfuss ) until 1938 , when Hitle r annexe d th e country . At th e en d o f Worl d Wa r II , a Secon d Republi c wa s formed , wit h tw o majo r parties: the People' s party (hei r of the Christian Socialists ) and the Socialis t party (heir o f th e Socia l Democrats) . I t wa s a democrati c country . B y th e Austria n State Treat y (1955 ) i t becam e officiall y neutral—th e pric e o f bringin g abou t Soviet evacuation o f its occupation zone . Hungary wa s no t s o fortunate. Th e Ausgleich o f 186 7 wa s no t seriousl y chal lenged, bu t despit e Hungary' s tota l contro l o f its own interna l affair s (excep t fo r extremely modes t power s o f th e monarch ) ther e remaine d oppositio n eithe r i n general o r i n detai l t o th e compromise . Fro m 187 5 t o 189 0 powe r wa s i n th e hands o f a Libera l part y o f th e Mancheste r stripe , unti l 189 0 unde r Kalma n Tisza. I n th e lat e 1890 s "th e gradua l split-u p o f th e hug e governmen t part y began"; th e lef t Liberal s brok e off, a new Catholi c People' s part y bega n t o grow, and industrial worker s adopte d a political platform. 11 I n 190 3 Count Istva n Tisz a (Kalman's son ) wa s name d prim e minister , bu t th e oppositio n wo n th e election s of 1905 . The king-empero r wa s prepared t o appoint a coalition i f it woul d abandon th e

The Coming of Democracy: Part 1 24 5 demand fo r a Hungaria n nationa l army ; th e monarc h insiste d o n unifie d com mand. Th e crow n ha d a potent weapon : it ha d introduce d a bill for universa l an d equal suffrage , whic h woul d hav e ha d a revolutionar y effec t o n th e Hungaria n polity, bu t th e bil l di d no t hav e t o be enacte d t o have effects , an d wa s not . Th e coalition gav e wa y an d hel d offic e fro m 1906—19 1 o. Som e socia l legislatio n wa s passed, bu t labo r unres t mounted . Tisza , havin g reorganize d hi s Liberal s a s a National Labo r party , returne d a s prim e ministe r fro m 191 3 t o 1917 ; h e wa s totally honest , strong-willed , an d purblin d t o th e wishe s o f th e non-Magya r peoples, t o whic h h e woul d broo k n o concessions . A t th e en d o f Worl d Wa r I Hungary's minoritie s destroye d he r a s Austria's did . Prewa r Hungar y (1910 ) ha d 20,800,000 people; the state created by the Treaty of Trianon (1919 ) had 7,600,000 . Out o f 10,000,00 0 Magya r speakers , 3,200,00 0 wer e assigne d t o neighborin g states.12 In th e postarmistic e confusio n Bel a Kun , th e Communis t leader , cam e t o power. Hi s regime , whos e "Re d Terror " rapidl y brough t o n itsel f th e widesprea d hatred o n th e populace , laste d fro m Marc h t o Augus t 1919 , whe n i t wa s over thrown wit h Romania n help . Th e monarch y wa s nominall y restored , wit h a regent, Admira l Miklo s Horthy , actin g fo r th e Habsbur g monarc h (who m th e Allies forbad e t o tak e th e throne , an d Hungar y remaine d thu s int o Worl d Wa r II. Dissatisfactio n wa s rife , bu t Coun t Istva n Bethlen , th e conservativ e prim e minister, manage d t o persuad e th e Socia l Democrat s t o follo w hi s lea d an d th e peasant leader s t o consen t t o postponin g th e extensio n o f th e ver y modes t lan d reform tha t had taken place, an d proceeded t o attempt t o win friends fo r Hungar y as a prelude t o treaty revision . The resul t wa s t o reduc e th e "Whit e Terror " o f th e Righ t Radicals , whos e influence wa s thu s kep t a t ba y unti l 1931 . Thereafte r Gyul a Gombo s brough t them t o power, an d trie d (i n vain ) to transform Hungar y int o a corporate stat e on the mode l o f Mussolini' s ideas . Afte r Gombo s die d i n 1936 , th e Righ t Radical s continued influentia l thoug h no t dominant . Unlike Austria , Hungar y escape d annexatio n b y Hitler . Horth y joine d Ger many i n attackin g th e USSR , bu t afte r Stalingra d h e cam e t o count o n Wester n victory, whic h wa s at length forthcoming . However , ba d diplomacy led to German occupation o f the country, turnin g it into a battlefield, an d Horthy did not forese e that victor y o f th e Wes t woul d fai l t o sav e Hungaria n independence . I n 194 4 a democratic governmen t wa s proclaimed , bu t Sovie t troops , no t th e popula r will , determined th e outcome . B y 194 7 the Communists , thoug h lackin g an y substan tial popular support , wer e in the saddle. By 1949 Hungary was a fully Communis t "people's republic. " In th e fal l o f 1956 , however , durin g th e perio d o f post-Stalin thaw , Hungar y was th e scen e o f a revolution , on e whic h evoke d fa r broade r suppor t an d eve n

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participation tha n severa l nineteenth-centur y event s s o labeled; i t wa s put dow n by Sovie t tanks . Nevertheles s modes t economi c reform , begu n quietl y i n 1965 , was i n th e er a afte r Mikhai l Gorbache v becam e Sovie t leade r followe d b y aston ishing politica l reforms , climaxin g i n th e officia l nam e chang e t o "Republi c o f Hungary" i n 198 9 an d th e effectiv e en d o f th e Communis t politica l monopoly . How fa r Hungar y woul d b e abl e t o trave l o n th e roa d t o democrac y remaine d unclear.13 In 187 1 th e Germa n empir e ove r whic h Bismarc k preside d a s chancello r an d William I I a s empero r wa s inaugurate d i n a moo d o f rhapsodi c self-congratula tion, thoug h on e write r sough t t o remin d hi s countryme n tha t " a victor y ca n sometimes b e mor e dangerou s tha n a defea t an d tha t n o victor y ca n b e mor e ruinous tha n on e that i s misconstrued b y those who win it." 14 Th e annexatio n of Alsace-Lorraine prevente d an y possibilit y o f Franco-Germa n reconciliatio n an d was a powerful impetu s t o th e formatio n o f th e allianc e system , beginnin g wit h Bismarck's treat y wit h Austri a i n 187 9 t o guar d agains t Frenc h reveng e endin g with th e Tripl e Entent e o f Britain , France , an d Russi a i n 1907 . Th e syste m o f alliances wa s a ke g of gunpowde r read y fo r an y tin y fus e tha t woul d blo w i t up , and the assassination o f the Archduke Fran z Ferdinan d serve d as such. The immediat e resul t o f th e Franco-Prussia n Wa r wa s a Germany unifie d i n an effectiv e manne r fo r th e first time , sinc e th e Hol y Roma n Empir e ha d neve r achieved unificatio n eve n i n a sense applicabl e t o her medieva l neighbors . I t wa s the power predominant i n central Europe , an d potentially in the whole continent . And sinc e it was th e resul t o f the prowess of the Prussia n arm y (to be sure, wit h southern contingents ) an d th e politica l skil l o f th e Prussia n prim e minister , thi s Germany wa s on e i n whic h th e monarch y an d th e militar y ha d th e leadin g role s from th e first, despit e th e universa l manhoo d suffrag e tha t wa s ne w i n 1867 . True, certai n concession s to the south had been required : Bavaria, Wurttemberg , and Baden receive d certai n rights ; and althoug h Willia m I wished t o be Empero r of German y h e becam e Germa n Emperor , a titl e suppose d t o b e easie r fo r th e south t o accept. Bu t the concessions amounte d t o very little. Bismarck an d th e masses—thi s wa s t o b e th e partnership . Bismarc k ha d written, "I n a country wit h monarchica l tradition s . . . th e genera l suffrage , b y eliminating th e influence s o f th e libera l bourgeoi s classes , wil l als o lea d t o monarchical elections/' 15 However , th e lowe r classe s wer e no t t o compos e th e parliament, fo r member s o f th e Reichsta g woul d receiv e n o salaries ; moreover , the power s o f parliament wer e limited , an d th e deputie s di d no t eve n pres s thei r legal authorit y t o th e limit . Durin g th e perio d 187 1 t o 1879 , Bismarc k used th e slogan o f Kulturkampf —that is , resistanc e t o th e newl y enunciate d papa l claim s that mos t Germa n Catholic s ha d accepte d whil e fearin g th e pretension s o f Prot estant Prussia . Suc h fear s wer e confirmed b y the Ma y Laws of 1873 , invading in

The Coming of Democracy: Part 1 24 7 several respects what th e Catholic Church regarde d a s its own territory, concern ing th e appointmen t an d disciplin e o f clerg y an d s o forth . A s a result , man y bishops an d priest s wer e imprisoned , exiled , o r drive n fro m thei r see s an d parishes. But in 187 9 two disparate phenomena—a ne w pope, Le o XIII, an d a relatively new (1875 ) political party , th e Socia l Democrats—combine d t o lead Bismarc k i n reaction t o chang e hi s policy , thoug h i t too k fou r year s befor e th e Kulturkampf was wholly abandoned. Th e ne w policy had a negative aspect in the Anti-Socialis t Law of 1878 ; the newl y protectionis t tarif f o f th e followin g yea r represente d th e other sid e o f th e coin . Bismarck' s allie s no w cease d t o be Nationa l Liberal s an d became instea d th e Conservative s an d th e Catholi c Center . Industrializatio n proceeded a t a rapid rate , railway s bound th e ne w natio n together , th e Ruh r an d to a lesser exten t othe r area s polluted th e sk y and made the nation rich . The Socialist s wer e banned , an d Bismarc k though t h e coul d destro y thei r support b y introducing a program o f sickness, accident , an d old-age and disabilit y insurance enacte d int o la w fro m 188 3 t o 1889 . Havin g bee n force d t o resor t t o publishing a part y newspape r an d holdin g part y conference s i n Switzerlan d o r Denmark, th e Socia l Democrat s stil l ha d deputie s i n parliamen t an d offered, no t without irony , thei r vote s in favo r of Bismarck's socia l legislation, thoug h seeking to amend o r exten d eac h la w a s it wa s introduced . Bismarc k als o tried t o remove even mildl y progressiv e element s fro m th e Civi l Service , whic h ha d earlie r bee n famed fo r it s libera l spirit , an d th e office r corp s o f th e army , whic h ha d bee n earlier uniforml y conservativ e bu t ha d recentl y incorporate d a rang e o f opinion s as it expanded . Bismarck's las t year s i n offic e combine d success an d failure . I n th e election s of 188 7 a coalitio n o f thre e parties—Conservatives , Fre e Conservatives , an d National Liberals—formin g th e so-calle d Kartel l wo n a larg e majorit y o f seat s (220 ou t o f 375 ) i n th e Reichstag , an d th e chancello r reache d th e pea k o f hi s popularity. Bu t wit h th e chang e o f monarc h i n 188 8 h e showe d himsel f mean , petty, an d maladroit . Th e ne w monarch , Frederic k III , wa s repeatedl y humili ated b y Bismarc k an d th e par t o f th e pres s friendl y t o him . Afte r th e empero r died—in onl y two months—Bismarck face d th e young William II , determine d t o be hi s ow n ma n an d t o becom e know n a s a progressiv e i n a manne r Bismarc k would no t support . Th e election s o f Februar y 189 0 smashe d th e Kartel l an d strengthened bot h th e Cente r an d Socia l Democrati c parties . Th e Anti-Socialis t Law came u p for renewa l an d failed . I n Marc h Bismarck , abandone d b y even th e army high command , resigned . The thankles s assignmen t o f being Bismarck's successo r fel l t o General Geor g Leo von Caprivi, an d hi s two years were followed b y six from Princ e Chlodwi g zu Hohenlohe-Schillingsfurst. Disappointe d i n hi s hope s o f winnin g th e worker s

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away fro m socialism , th e empero r turne d towar d foreig n affairs . H e boasted tha t he ha d neve r rea d Germany' s constitution , sinc e th e guidanc e h e neede d cam e from God . Whethe r o r no t b y divine direction, th e governmen t no w expanded it s navy an d thereupo n courte d rivalr y an d finally a brea k wit h England . I n 190 0 Count Bernhar d vo n Billo w becam e chancellor ; five year s earlie r Wilhel m ha d rapturously written , h e "shal l becom e m y Bismarck." 16 H e wa s no t quit e that , but fo r nin e years he held his post. In a German y tha t ha d becom e predominantl y urba n i n a decade, th e Socia l Democrats mad e gains : they wo n thirty-fiv e seat s i n th e Reichsta g election s o f 1890. Th e moderate s i n th e part y wer e consequentl y strengthened . Th e anti socialist legislatio n havin g lapsed, a t th e Erfur t congres s o f 189 1 th e part y affirmed it s Marxism , relegatin g it s Lassallea n beginning s t o th e archives , bu t took car e no t t o ac t o n it s profession de foi. Th e trad e union s grew , an d insiste d that mas s strike s wer e no t th e wa y t o improve th e workers ' condition . Geor g von Vollmar se t fort h principle s o f "revisionism, " postponin g th e socialis t apocalypse , and the y wer e elaborate d b y Eduar d Bernstein . I n 190 3 th e Socia l Democrat s gained, bu t i n 190 7 lost much ground , whil e th e so-calle d Bulo w bloc of agraria n and industrial parties swept th e field after a shocking attack on the Center (whic h the chancellor ha d treate d a s an ally). In 190 9 Biilow was replaced by Dr. Theobal d vo n Bethmann-Hollweg. Despit e the fac t tha t bot h chancellor s ha d continue d an d embellishe d Bismarck' s social insurance progra m fo r th e workers, th e Socia l Democrats carrie d 11 0 seats in th e elections of 191 2 and becam e th e larges t singl e party in th e Reichsta g (though n o coalition havin g a majority coul d be put togethe r by anyone). 17 The revisionist s i n consequence benefite d an d se t th e part y o n th e pat h tha t le d t o a vot e fo r wa r credits i n 191 4 as entailin g defens e agains t autocrati c Russia . Bu t German y wa s scarcely a parliamentar y state : i n Novembe r 1913 , ove r th e clumsil y handle d Zabern affair , th e Reichsta g vote d n o confidence , 29 3 t o 54 . Th e majorit y di d nothing to follow i t up, an d th e chancellor ignore d th e vote. 18 The Grea t War , o r World Wa r I , kille d th e flower of German yout h (a s it did the youth of Britain, France , an d to a lesser degree Austria-Hungary an d Russia) . It als o destroyed th e Germa n Empire . Institutionally , i t opened u p som e possibilities. I n Octobe r 1917 , Coun t Geor g von Herdin g becam e chancellor . I n Craig' s words, "h e owe d hi s positio n t o th e pressur e exerte d b y th e Reichsta g majorit y . . . an d was , i n thi s sense , th e first parliamentar y Chancello r i n th e histor y o f the Empire." 19 Bu t h e lacke d powe r an d authority , an d th e Empir e itsel f laste d only a year longer . The emperor , whos e blunder s ha d becom e proverbial , wa s a t lengt h deprive d of an y influenc e o n event s b y successiv e ultimatum s o f th e militar y Dioscuri , Field Marsha l Pau l vo n Beneckendorf f un d Hindenbur g an d Genera l Eric h Lu -

The Coming of Democracy: Part 1 24 9 dendorff. I n sprin g 191 7 an Independent Socialis t party broke off fro m wha t cam e to be calle d th e Majorit y Socialists , an d bot h group s woul d surviv e th e collapse . Ludendorff's final offensiv e faile d i n summe r 1918 , an d durin g th e autum n months th e end came swiftly. Th e empero r abdicated ; a republic was proclaimed. Germany wa s in th e throe s of some kind of revolution; th e question was , wha t kind woul d i t be ? Th e chancellorshi p fel l int o th e hand s o f Friedric h Ebert , leader o f th e Majorit y Socialists . Eber t mad e a "telephoni c pact " wit h Genera l Wilhelm Groener , wh o ha d replace d Ludendorf f a s Suprem e Commander , t o prevent chaos . A Congres s o f Workers ' an d Soldiers ' Councils , imitatin g th e Russian patter n o f earl y 1917 , assemble d i n Berli n an d decline d t o accep t th e lead of the far Left—th e Spartakist s unde r Kar l Liebknecht an d th e gifted Polis h revolutionary Ros a Luxemburg . Th e Independen t Socialist s first joined wit h th e Majority Socialist s i n a coalition ministry . However , they withdre w whe n Eber t seemed t o compl y wit h a n ultimatu m fro m Groene r t o rejec t a seven-poin t resolution fro m th e Congres s o f Council s demandin g a n abandonmen t o f th e ol d army for a militia with electe d officers . In Januar y 191 9 th e Spartakist s (no w th e Communis t party ) le d a revolt , seizing several buildings in central Berlin . Th e arm y put it down; Liebknecht an d Luxemburg wer e capture d an d then , separately , sho t whil e unde r arrest . I n th e eyes o f man y worker s an d leftist s i t wa s a lastin g blac k mar k o n th e Socialists ' record tha t the y seemed t o condone these murders. Ther e were other Communis t uprisings, culminatin g i n th e establishmen t o f a Bavaria n Sovie t Republi c i n Munich; it lasted less than a month befor e i t was suppressed i n early May . A Nationa l Constituen t Assembl y wa s electe d i n Januar y an d chos e Eber t a s first presiden t o f th e Germa n Republic , bu t th e Weima r Constitutio n wa s no t adopted unti l Jul y 31 . Th e president , electe d fo r a ter m o f seve n years , woul d select a chancellor wh o in tur n woul d choose a cabinet supporte d b y a majority of deputies i n th e Reichstag ; it s member s wer e t o be electe d o n a basis o f propor tional representatio n b y part y list s fo r th e whol e country . A n uppe r house , th e Reichsrat, represente d th e eighteen states—th e maximu m fo r an y one state t o be two-fifths o f th e delegates—an d coul d onl y dela y legislation . Th e initiativ e an d referendum wer e introduced , an d mad e al l to o easy t o use , placin g th e ordinar y conduct o f governmen t i n peril . I t wa s a constitutio n formall y reekin g o f th e latest democrati c theories , bu t unsuite d t o a functionin g two-part y syste m ( a majority fo r a single part y wa s mad e virtuall y impossibl e t o achieve) an d guaran teeing political instability. Thoma s Man n ha d declared i n 1918 , "I don't want th e trafficking o f Parliamen t an d parties tha t lead s t o the infection o f the whole body of th e natio n wit h th e viru s o f politics . . . . I don' t wan t politics . I wan t impartiality, order , an d propriety." 20 It was easier t o voice such a wish than t o achieve it. Th e Weimar Constitutio n

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provided for a surfeit o f politics on the one hand an d a possible rough terminatio n of politica l activit y o n th e other , fo r i n orde r t o prevent th e chao s o f earl y 191 9 from recurring , th e president wa s given emergenc y powers, i n cas e "publi c orde r and safet y wer e seriousl y disturbe d o r threatened, " t o use arme d forc e an d t o set aside th e right s guarantee d t o the citize n i n th e constitution—a powe r tha t eve n the emperors had not possessed . But failing suc h emergency , th e new basic law guaranteed politica l instability . The civi l servant s (mostl y inherite d fro m th e empire ) ofte n displaye d thei r con tempt fo r th e short-live d ministers ; many judges thre w th e boo k a t leftists whil e treating rightist s gently ; th e professor s a t th e universitie s resiste d academi c reform an d attacke d th e republi c i n th e classroom . Th e Allies , b y compellin g acceptance of the hated Versailles Treaty, ha d saddled th e Weimar Republi c wit h a heavy psychological handicap. The y wer e responsible for excludin g any reunio n with th e ne w an d tin y Germa n Austria , th e holdin g o f a plebiscite tha t hande d northern Schleswi g over t o Denmark, th e occupatio n o f Uppe r Silesi a (however , a plebiscit e i n Marc h 192 1 restore d i t t o Germany) , Germany' s givin g u p o f Danzig to become a free city , an d th e loss of the "Polis h corridor " separatin g Eas t Prussia fro m th e res t o f Germany . Finally , th e Allie s strippe d th e countr y o f it s entire colonia l empir e an d wrot e it s allege d "wa r guilt " int o th e treat y a s justification fo r imposin g an enormous burden o f reparations. In Marc h o f 192 0 first th e Right , the n th e Lef t struc k th e Republic . Th e antirepublican forces , le d b y th e Eas t Prussia n politic o Wolfgan g Kapp , wer e sufficiently enrage d b y th e disbandmen t o f troop s t o seiz e Berlin ; bu t Eber t outsmarted the m b y summonin g th e worker s t o conduc t a genera l strike . Th e Kapp Putsc h thereupo n collapsed . Th e Communists , cheere d b y th e succes s o f the strike , promptl y seize d much o f the Ruhr; th e army, whic h ha d refused t o act against th e mutineer s o f th e previou s week , wa s swif t i n repressin g thi s revolt , and penaltie s fo r it s previou s disobedienc e wer e forgotten . A n electio n o f Jun e 1920 showe d th e swin g t o th e Right : th e Democrati c an d Cente r partie s los t much strength , th e Socialist s even more. Disheartened , th e latter withdre w fro m the government an d returne d onl y twice and briefly befor e th e end of the Weima r Republic. The Communist s undertoo k a quixotic revol t i n Marc h 192 1 in Saxon y a t th e order of the Comintern , whos e only result wa s to halve party membership. Thei r memory o f thi s failur e di d no t last , an d i n Octobe r 192 3 the Berli n governmen t had onc e agai n t o act . Th e ne w chancellor , Gusta v Stresemann , compelle d dismissal o f Communis t minister s i n Saxon y an d Thuringi a an d pu t dow n a n attempted cou p i n Hamburg . Suc h decisiv e actio n calme d dow n mos t o f th e restless Right, bu t Adolf Hitler and a small new group of Nazi (National Socialist ) fanatics trie d t o overthro w th e Bavaria n governmen t i n th e so-calle d Bee r Hal l

The Coming of Democracy: Part 1 25 1 Putsch o f November . The y failed , an d Hitle r wen t t o prison , wher e h e wrot e Mein Kampf. In th e meantim e th e wors t inflatio n i n th e moder n histor y o f th e worl d too k place i n th e Ruh r a s a resul t o f financial stresse s insuin g upo n th e Frenc h an d Belgian occupatio n o f th e Ruh r t o collec t reparations . Afte r th e middl e classe s had been nearl y ruine d an d everyone's saving s destroyed, Hjalma r Schach t ende d the crisi s b y th e curiou s expedien t o f simpl y introducin g a ne w mar k (eac h redeeming on e trillio n o f th e ol d marks) , declarin g i t wa s "secured " b y a "mort gage" o n al l lan d an d industr y i n th e country . Th e crisi s di d muc h t o spli t th e country int o Right an d Left . Although ther e wer e fifteen government s i n German y betwee n Februar y 191 9 and June 1928 , for the last half of the decade of the 1920 s President Hindenburg , doing hi s bes t t o mak e th e syste m work , an d Streseman n a s foreig n ministe r managed t o provid e som e continuit y an d hop e fo r th e republic . Moreover , th e Dawes Pla n an d th e Youn g Pla n (1929) , apparentl y settlin g th e reparation s problem, seeme d t o secure economic recovery . All suc h hope s wer e soo n dashed. I n Marc h 193 0 a coalition governmen t wa s formed unde r Heinric h Briining , a Cente r chancello r wit h rightis t support . A budget wit h muc h t o commend i t wa s blocked b y the Reichstag . H e enacted i t by a (constitutional bu t impolitic) emergency decree; the Reichstag majority nullifie d it; Briining dissolved th e Reichstag, an d enacted th e budget again by decree. Bot h the last tw o acts contravened th e constitution, eve n if not unambiguously so . Th e elections o f Septembe r 193 0 jumped th e Nazi s fro m 1 2 t o 10 7 seats ; th e Com munists wo n 77. The Grea t Depression , alread y upo n th e Unite d States , sprea d t o Europe, an d both politica l extreme s benefite d fro m th e economi c distress o f th e German s an d their disillusionment wit h th e political syste m of Weimar. I n July 193 2 the Nazi s took 23 0 seats . I n Novembe r the y los t 3 4 seats , dippin g t o 196 , bu t regaine d momentum, chiefl y b y "subjectin g th e mini-stat e o f Lipp e t o a propaganda blitz krieg an d the n exaggeratin g thei r mino r gain s i n th e loca l electio n there. " I n March 193 3 they won 28 8 seats (44%), an d thei r Nationalis t allie s 5 2 (8%). It ca n b e sai d tha t th e Nationalist s "bor e th e majo r responsibilit y fo r under mining th e republi c an d bringin g th e Nazi s t o power" b y influencing th e senil e Hindenburg an d supportin g Hitler . Ralp h Flenle y single s out th e Rhenis h indus trialist Alfre d Hugenberg , th e Westphalia n forme r diploma t Fran z vo n Papen , and Genera l Kur t vo n Schleiche r a s th e mai n villains. 21 Hugenber g helpe d t o finance th e Nazis , Pape n an d Schleiche r wer e th e las t tw o pre-Hitle r head s o f government, an d i t was Pape n wh o persuaded Hindenbur g t o name a s chancello r Hitler, who m th e aged president ha d despised a s the "Bohemia n corporal. " In Augus t 193 2 Hitle r defende d th e murde r o f a Communis t worke r b y five

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storm trooper s wh o ha d jus t bee n sentence d t o death , attackin g th e ''blood y objectivity" tha t ha d le d t o that sentenc e an d promising t o free German y fro m it . "Everybody i n German y a t thi s moment, " write s Holborn , "coul d se e wha t a Hitler governmen t hel d i n stor e fo r th e people . Bu t th e sens e o f la w an d justice had alread y bee n dangerousl y undermined . . . ." 22 Nevertheless , i n a longe r perspective Hitle r i s t o be understoo d a s " a forc e withou t a real historica l past" ; "both th e grandios e barbaris m o f hi s politica l visio n an d th e mora l emptines s o f his character mak e it impossible t o compare him i n an y meaningful wa y with an y [previous] German leader." 23 Germany wa s a free societ y still when Hitle r becam e chancellor o n 3 0 January 1933. I t cease d t o b e suc h i n a ver y shor t time . Th e Communis t part y wa s banned afte r th e mysteriou s fire in th e Reichsta g on 2 7 February; they played a n important par t i n underminin g th e republi c an d ha d occasionall y engage d i n outright collaboration wit h th e Nazis against Weimar institutions. O f course they were no t banne d fo r that , bu t fo r allegedl y bein g the chie f interna l dange r t o th e nation. Bu t al l other partie s soo n followe d the m int o oblivion. B y July th e Nazi s were th e only legal party. The Reichsra t wa s abolishe d i n January 1934 , an d th e states , deprive d o f any real power, continue d onl y a purely nomina l existence . Al l Jewish ("non-Aryan" ) officials, teachers , an d notarie s wer e t o b e retired . Th e cour t syste m becam e merely a n instrumen t fo r protectin g th e interest s o f th e Nazi-controlle d state . Nazi Stor m Trooper s migh t engag e i n wha t violenc e they wishe d (o r wer e or dered) t o commit; opponent s o f th e Nazi s wer e herde d int o concentratio n camp s or fled th e country . B y th e Nurnber g law s o f Septembe r 1935 , al l wh o wer e o f one quarte r o r mor e Jewish extractio n wer e strippe d o f citizenship an d th e righ t to marry non-Jews . Tha t wa s only the first ste p to the murder o f six million Jew s during Worl d Wa r II . Th e Catholi c an d Protestan t churches , a t first read y t o adapt themselve s t o th e ne w regime , soo n foun d themselve s unde r heav y pres sure. Hitler mad e militar y servic e compulsor y an d universa l i n Marc h 1935 , rearme d the country, an d proceeded t o a program of systematic aggression : first in order to annex al l German-speakin g territorie s beyon d Weima r borders , beginnin g wit h the Saar , wo n b y plebiscit e i n Januar y 1935 , an d continuin g u p t o Austri a an d the Sudetenlan d o f Czechoslovakia i n 1938 . Finally, abandonin g pretense, Hitle r began t o seiz e non-Germa n land s a s well , beginnin g wit h th e Czec h land s i n March 1939 . Th e resul t wa s World Wa r II , precipitate d b y the Naz i invasion of Poland in Septembe r 1939 . The horror s of th e nex t si x years, whic h ma y be laid almos t exclusivel y a t th e door o f th e Nazi s an d thei r Japanes e allie s i n Asi a (othe r allie s o f Hitler' s i n Europe ma y b e assigne d rathe r lesse r discredit) , nee d no t b e summarize d here .

The Coming of Democracy: Part 1 25 3 By the sprin g of 194 5 Hitler committe d suicide , th e tin y residu e o f territor y an d armed force s no t alread y i n enem y hand s surrendere d t o th e Allies , an d th e country wa s partitione d int o occupatio n zone s tha t late r becam e th e Germa n Federal Republi c (Wes t Germany) , th e Germa n Democrati c Republi c ("East " though reall y central Germany) , an d th e Regaine d Territorie s of Poland . One o f th e mos t heartenin g an d astonishin g developments o f th e late r twen tieth centur y ha s bee n th e emergenc e o f a prosperous , rebuilt , an d democrati c West Germany . Ho w coul d tha t hav e happened i n s o short a time? Gordon Crai g provides par t o f a n explanation : Hitler , alon g wit h th e immens e har m h e di d t o Germany (no t t o speak of other countries) , also eliminated much tha t was bad. And this included the conservative-militarist concer n that had dominated politics in the Wilhelmine period, done everything possible to shorten the life of the Weimar Republic, and elevated him to power in 1933 . [After Hitler' s purges and the disappearance of the values and traditions of that group] . .. i n the course of the brutal intellectual Gleichschaltung of the Nazi period, th e most important of the obstacles that had stood in the way of progress towards a free political system had been removed. 24 It wa s of course onl y in Wes t German y tha t suc h progres s coul d occur , an d did . The successfu l fusio n o f th e Britis h an d America n zone s o f occupatio n o n 1 January 194 7 was followed b y French agreemen t i n June 194 8 to contribute thei r zone to a new fre e state ; th e Sovie t respons e was the Berli n blockade , whic h wa s frustrated b y the amazin g Allied airlif t bu t le d t o a virtual partitio n o f th e cit y of Berlin a s well. Th e blockad e ended in failur e i n Ma y 1949 . In th e meantim e a drasti c currenc y refor m ha d le d speedil y t o economi c recovery, trizona l fusio n occurred , an d i n Septembe r th e Federa l Republi c wa s proclaimed. I n th e 1950 s th e econom y gre w a t a n amazin g 7 % afte r inflatio n (which remaine d lowe r tha n i n an y othe r industrialize d country) , i n wha t wa s called th e Wirtschaftswunder (economi c miracle) . Althoug h th e figure fel l i n th e 70s and 80s , West German s kep t a high standar d o f living. A "provisional" (bu t lasting ) Basi c La w (1949 ) create d a weak presidenc y an d a stron g chancellorship—firs t hel d b y th e impeccabl y anti-Naz i Konra d Aden auer—responsible t o a majority o f a lower hous e or Bundestag , whil e th e eleve n states o r Lande r electe d a n uppe r hous e o r Bundesrat . Wha t coul d no t b e legislated bu t serendipitousl y mad e it s appearanc e wa s somethin g clos e t o a twoparty system : the Socia l Democrats (SPD) and the Christian Democrat s (CD U — in Bavaria , th e Christia n Socia l Unio n o r CSU) . I n 195 9 th e SP D adopted , a t Bad Godesberg , a progra m discardin g man y socialis t dogma s an d acceptin g a market econom y a s wel l a s closenes s t o th e West . Notabl e amon g th e smalle r parties wer e th e Fre e Democrats , wh o woul d ente r coalition s wit h bot h CDU / CSU an d SPD , and , fro m th e 1970s , th e Greens , wh o too k uncompromisin g

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stands on the environment an d nuclear arms. (The Greens entered th e Bundesta g in 1983. ) Despite th e unifie d part y system , th e federa l governmen t wa s recentl y sai d t o control only about 45 percent of public spending, th e rest coming from th e Lande r and Gemeinde n (loca l authorities) . Bon n doe s operate a welfare state , includin g mandate governmen t healt h insurance , unemploymen t an d acciden t insurance , and old-age pensions. 25 Adenauer remained— a trifl e to o long—a s chancello r unti l 1963 , whe n h e was clos e t o eighty-eight . H e achieve d reconciliatio n wit h bot h Israe l (thu s partially overcoming feelings lef t b y the Holocaust in which si x million Jews died) and France , establishe d relation s wit h th e USSR , shape d th e earl y stage s o f German democracy , an d justified Churchill' s descriptio n o f him a s "th e greates t German statesma n sinc e Bismarck. " Afte r th e Federa l Republi c wa s admitte d into severa l internationa l organization s i n 1950—52 , on e Germa n noted ; "Ger many's sick-leav e from worl d history was over." 26 After Adenaue r resigne d i n Octobe r 1963 , h e wa s succeede d b y Ludwi g Erhard, architec t o f the Wirtschaftswunder. I n 196 6 the tw o large parties (and th e Free Democrats ) forme d a "gran d coalition " unde r Kur t Geor g Kiesinger, forme r minister-president o f Baden-Wiirttemberg. Th e first SP D chancellor, Will y Brandt , former mayo r o f West Berlin , hel d offic e fro m Octobe r 196 9 to May 1974 , whe n a spy scandal led to his replacement b y Helmut Schmidt , th e SP D former defens e and finance minister. I n lat e 198 2 Helmut Kohl , forme r minister-presiden t o f the Rhineland-Palatinate, brough t i n anothe r CDU/CS U government , whic h re mained i n office i n early 1990 . In th e fal l o f 198 9 sensational developments , clearl y triggere d b y Gorbachev' s policies in th e USSR , occurre d i n th e German Democrati c Republic . I n 194 6 the Communist part y was too weak to be able to constitute a plausible popular regim e in Eas t Germany , an d therefor e a merge r wa s force d wit h th e large r Socia l Democrats t o produce a Socialist Unit y part y (SED) . Walte r Ulbrich t wa s chair man unti l 1971 ; h e wa s succeede d b y Eric h Honecker . Unde r hi s rule , Eas t Germany cam e t o enjo y th e highes t standar d o f livin g i n th e Sovie t bloc , bu t politically wa s a mode l o f totalitaria n immobility . Abruptly , followin g a visi t b y Mikhail Gorbache v t o Eas t Berli n i n Octobe r 1989 , Honecke r wa s topple d fro m power, th e Berli n wal l (erecte d i n 1961 ) wa s breache d s o free movemen t t o th e west could occur, an d th e whole structure of Communist contro l in th e GDR was called into question i n a manner stil l rapidly changing in early 1990 . Thus Germany , havin g experience d th e mos t bruta l totalitaria n regim e i n history nex t t o Stalin' s USSR , ha d b y 199 0 gone som e distance towar d freedom . If on e write s of f th e forme r Germa n territorie s eas t o f th e Oder-Neiss e lin e a s having becom e Polan d o r Russi a (th e nort h o f Eas t Prussia) , ther e wer e tw o

The Coming of Democracy: Part 1 25 5 Germanies: th e Federa l Republic , wher e i n forty-fiv e year s post-Naz i freedo m had evidently take n deep root, an d th e Democrati c Republic , i n which th e effect s of forty-five year s of repression seeme d on the verge of being cast off with dazzlin g speed. Bu t a singl e federate d o r eve n unifie d fre e German y appeare d t o b e a possibility for th e foreseeable future . Spain and Portugal. Th e governmen t o f th e Spanis h Bourbons , neve r a n unal loyed success, i n effect brok e down in 1808 . Napoleon imposed his brother Joseph (Jose I ) a s king . A rebellion supporte d b y al l classe s brok e ou t "t o sav e nationa l independence an d als o t o sav e th e primac y o f traditiona l religion . Th e whol e experience wa s incomprehensibl e t o Napoleon , fo r nothin g o f th e sor t ha d hap pened i n an y othe r are a occupie d b y Frenc h troops." 27 Eve n th e middl e classes , elsewhere ap t t o welcome Napoleoni c reforms , solidl y backed th e struggle , seem ingly swept u p in a fervor o f national unity . The Britis h sen t a n arm y unde r Si r Arthu r Wellesley , late r duk e o f Welling ton, whic h kep t th e Frenc h occupie d i n th e Peninsula r Wa r unti l 1814 . I n 181 0 the territor y aroun d Cadi z electe d a "nationa l assembly " whic h i n Ma y 181 2 promulgated a constitution providin g fo r a one-house parliamen t electe d b y indirect bu t universa l mal e suffrage . It s supporters , usin g th e ter m liberal, gave th e world a new word and a new political doctrine. Meanwhil e a regency, establishe d by British initiativ e in 180 7 to rule while Joao VI took refuge i n Brazil , hel d swa y in Portugal , bu t wa s drive n ou t b y a revol t i n 1820 . Th e insurgent s adopte d a constitution muc h lik e tha t o f 181 2 in Spai n an d arrange d th e retur n o f the kin g from Brazil ; thereupo n Brazi l declare d it s independence , bu t accepte d th e king' s son, Do m Pedro , a s emperor. In Apri l 181 4 the Bourbo n princ e returne d fro m exil e in Franc e a s Ferdinan d (Fernando) VII , perhap s "th e bases t kin g in Spanis h history." 28 Immediatel y h e approved direc t interventio n o f th e arm y t o overthrow th e constitutiona l system , and resume d a regim e o f absolutism , inefficiency , an d misrule . Th e colonie s o f Spanish Americ a wo n thei r independenc e durin g thes e years , an d th e los s o f income an d prestig e resultin g therefro m le d hi m t o prepare a n arm y fo r dispatc h there wit h th e ai m of reconquest . Instea d th e troops , concentrate d i n th e libera l stronghold o f Cadiz , mutinie d (1820) , an d th e kin g wa s force d t o restor e th e constitution. Youn g officer s spearheade d th e revolt , whic h wa s le d b y Majo r Rafael de l Riego ; Russia n an d Italia n officer s wer e inspire d t o emulat e the m i n their own countries . Though th e kin g was unwilling t o try t o make th e constitutiona l syste m work , from 182 0 t o 182 3 reform s wer e nevertheles s resumed . Seigneuria l an d churc h landownership wa s curbe d an d th e righ t o f entai l wa s abolished , a s ha d bee n done in 1812-13 , a n ^ othe r measure s wer e undertake n o r proposed. Bu t radical s

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gained th e uppe r hand ; th e Frenc h intervened—thoug h embarrasse d b y Fernan do's intransigence—an d th e kin g reverse d almos t al l th e progressiv e legislatio n since 1820 . Unde r th e rul e o f th e regent , Mari a Christina , wh o succeede d he r husband i n 1833 , a successio n o f constitution s (1834 , 1837 , 1845 ) hewe d a compromise path betwee n absolutis m an d th e fundamenta l la w of 1812 , based on a two-hous e legislatur e electe d b y limited suffrage . I n th e 1840 s voters mad e u p around 4 % of the population, "th e broadest Europea n suffrag e o f the period." 29 In 1834-4 0 an d 1846-4 9 th e militant traditionalist s o f northern Spai n ros e in revolt on behalf of Do n Carlos , brothe r o f Fernando VII, afte r th e Sali c Law was set asid e s o tha t th e daughte r o f th e kin g coul d succeed . Thes e Carlis t revolt s were suppressed , bu t rightis t force s foun d a parliamentary voic e in th e so-calle d Moderados. Th e libera l Progresista s alternate d wit h the m i n headin g govern ments, bu t th e change s occurre d throug h militar y interventio n an d force , no t peaceful elections . Frenc h an d Britis h pressure s wer e sporadicall y significan t a s well. Fro m 184 3 to 185 1 (with brie f interruptions ) Genera l Ramo n Narvae z wa s virtual dictator . Spain avoide d an y full-blow n uprisin g i n th e revolutionar y yea r 1848 . Durin g that perio d th e Moderado s establishe d "th e legal and institutional framewor k o f a modern, centralized , parliamentar y stat e i n Spain," 30 followin g i n par t th e idea s of Jua n Donos o Cortes . I n 185 1 Narvae z wa s replace d b y ultraconservativ e elements; i n 186 4 and the n agai n i n 186 6 he wa s back; h e died i n offic e i n Apri l 1868. Durin g a n interval , 1854-56 , Progresista s produce d a ne w constitutio n broadening th e scop e of Spanis h liberalis m an d encouragin g busines s enterprise . The leade r o f the group , Do n Juan Prim , wa s both popula r an d politically gifted , "the onl y effectiv e libera l leader " i n Spai n thu s far. 31 (H e wa s t o be assassinate d in Decembe r 1870 , probably by republican radicals. ) The politica l system , however , continue d t o b e unstable . Th e unpopula r queen wa s overthrow n i n 1868 . A constituent Corte s decide d fo r a continuatio n of monarchy ; a t lengt h a princ e o f th e Hous e o f Savo y wa s chose n king , bu t h e lasted onl y tw o year s befor e abdicating . No w th e (first ) Spanis h Republi c wa s proclaimed (1873) ; ^ laste d les s than tw o years. Th e Restoratio n brough t th e so n of the unlamented quee n t o the throne a s Alfonso XII. Admirabl e in his loyalty to constitutional monarchy , h e benefited fro m a reshaping of the political scen e tha t yielded tw o parties , th e Conservative s unde r Antoni o Canova s de l Castill o an d the Liberal s unde r Praxede s Sagasta , whic h alternate d i n powe r peacefull y wit h each other. A sweeping law on freedom o f the press was passed in 188 3 and lasted until 1936 . A la w o f 188 2 inaugurate d virtuall y universa l mal e suffrag e i n municipal an d provincia l elections , an d i n 189 0 i t wa s restore d a t th e nationa l level. I n th e 1880s , thre e ne w la w code s wer e completed—civil , criminal , an d commercial. Trad e union s were legalized; trial by jury wa s restored .

The Coming of Democracy: Part 1 25 7 But ther e wer e stil l to o many illiterat e peasant s an d th e middl e clas s wa s no t large enough t o make Spanis h democrac y a reality. Anarchis t terroris m gre w an d regional sentiment burgeoned, especiall y in Catalonia. A revolt in Cuba simmere d for thre e year s unti l 1898 , whe n th e Spanish-America n Wa r too k awa y bot h Cuba an d the Philippines . The king , Alfons o XIII , wa s declare d o f ag e a t sixtee n i n 1902 . Th e natio n bestirred itsel f somewha t t o pursue "regeneration " fro m th e humiliatio n o f 1898 . The alternatio n o f parties continued ; it s maximum o f effectiveness wa s shown by the Libera l prim e ministe r Jos e Canaleja s (1910-12) . Literac y an d economi c development edge d upward, an d Spanis h cultur e produced a Silver Age, in whic h the "me n o f '98"—philosopher s (Migue l d e Unamuno) , painter s (Pabl o Picasso , Joan Miro) , sculptor s (Anton i Gaudi) , an d writer s (Federic o Garci a Lorca) — reached a new plateau . But afte r 191 3 th e ol d parliamentar y an d part y syste m fel l apart . I n Worl d War I Spai n wa s th e mos t importan t neutra l country , an d th e consequen t pros perity increased th e strength of organized labor. Socialism , anarchism , an d autonomism (i n Cataloni a chiefl y bu t als o i n Basqu e territory ) gre w i n magnitud e a s problems fo r a libera l governmen t an d th e long-simmerin g proble m o f colonia l Morocco erupte d dramaticall y i n 192 1 whe n Ab d el-Kri m defeate d a Spanis h army a t Anua l i n th e centra l Riff ; withi n a fe w day s nin e thousan d Spanis h soldiers were kille d or taken prisoner . The Morocca n situatio n remaine d unresolved , whil e the Catalonian movemen t continued. I n Septembe r 1923 , a pronunciamento ( a repeatedl y use d nineteenth century devic e whereb y a leader simpl y announce d publicl y hi s intention t o tak e over th e rein s o f government ; thi s wa s th e las t tim e i t wa s used ) b y Genera l Miguel Prim o de Rivera led to his assuming power. Muc h of the public welcome d the stron g man, wh o at first denie d h e was a dictator but soo n became one, a s the only wa y t o escape fro m politica l paralysis . H e proclaime d martia l law , dissolve d the Cortes , an d silence d opponents , bu t h e als o strov e fo r constitutiona l refor m —except tha t h e had no notion ho w to go about it . In 192 6 th e dictatorshi p weakene d int o a largel y civilia n government , stil l headed b y Primo . I t create d ne w hydroelectri c power , buil t highway s an d reha bilitated railroads , an d eve n bega n a limite d lan d reform . Ye t on e socia l grou p after anothe r wen t int o opposition. Prim o was weary an d ill, an d in January 193 0 he resigned . Republicanis m ha d mad e substantia l gains , an d i n Februar y 193 1 the kin g trie d i n vai n t o escap e th e opprobriu m o f associatio n wit h th e Prim o dictatorship b y restorin g th e constitution . I t wa s to o late; i n th e ne w municipa l elections, th e republican s swep t th e poll s in th e large r citie s (thoug h monarchis t voters wer e stil l i n th e majorit y nationality) . Les s tha n tw o day s late r th e kin g left Spain .

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A constituen t assembl y no w establishe d a Secon d Republi c wit h a single chamber parliamen t (Cortes ) electe d b y universa l suffrage , t o whic h a cabine t was responsible . Th e constitutio n separate d churc h an d state , secularize d th e schools, an d nationalize d churc h property . Furthe r anticlerica l legislatio n fol lowed. Cataloni a wa s give n autonomy , bu t a yea r late r it s presiden t proclaime d independence, provokin g suppressio n o f th e revol t an d suspensio n o f th e auton omy statute. Ther e wer e short-live d rising s from bot h Righ t and Left . In Februar y 193 6 a newly forme d Popula r Front , groupin g four leftis t parties , won by a very narrow margin over a conservative coalition. 32 A new leftist cabine t took office i n tim e t o cook th e electio n results , producin g a contingent o f 27 1 fo r the Popula r Front , 13 7 for th e Right , an d 4 0 fo r th e Center . Th e frau d le d th e Socialist chairma n o f th e credential s committee , Indaleci o Prieto , t o resig n i n protest. A series of extralegal an d illegal measures ensue d in th e areas of amnesty for leftis t prisoners , seizur e o f land, an d politica l strikes . Th e Communist s gre w from a ver y smal l numbe r t o wiel d muc h influenc e an d tak e ove r a unite d Socialist-Communist yout h movement . Th e political murder o f Jose Calvo Sotelo, a leade r o f th e oppositio n i n parliament—a n actio n "withou t preceden t i n th e history o f west Europea n parliamentar y regimes"—b y leftis t polic e and Commu nist militiamen , triggere d a rightist revolt . The Spanis h Civi l Wa r bega n wit h a n uprisin g o f th e militar y i n Spanis h Morocco and sprea d throug h garriso n town s of Spain . I t laste d fro m Jul y 193 6 to March 1939 . I n Octobe r 193 6 Genera l Francisc o Franc o becam e chie f o f stat e and obtaine d recognitio n fro m Naz i German y an d Fascis t Italy ; th e Republi c received extensiv e ai d fro m th e USSR , whil e th e Britis h an d Frenc h attempte d to follow a policy o f nonintervention. Th e Spanis h Communist s wer e instructe d by Stali n t o chang e th e lin e tha t prevaile d befor e th e Civi l Wa r brok e ou t o f replacing th e Republi c wit h a worker-peasan t dictatorshi p t o on e o f moderatio n and defens e o f th e "bourgeois " republic . Mosco w wishe d t o avoid alienatin g th e middle classes an d public opinion i n Britain an d France . But th e Communist s too k over many crucial position s in th e Republic , leadin g the Socialis t prim e minister , Francisc o Larg o Caballero , t o tr y t o cur b thei r influence. The y force d hi m out, an d a new governmen t wa s formed i n Ma y 193 7 under Jua n Negrin , wh o wa s willin g t o follo w th e Communis t lead . Thereafte r the Communists "exercise d general hegemony in th e politics, military affairs, an d propaganda o f th e leftis t zone, " thoug h leavin g som e non-Communist s i n office . The Communis t lin e wa s t o postpone , no t press , furthe r socia l revolution , bu t meanwhile t o consolidate influence i n th e Republican government . Stanley Payn e sum s up : "On e o f th e grea t ironie s o f th e Spanis h Civi l Wa r was tha t i t ende d almos t th e sam e way it began, wit h a rebellion b y a minority of the nominall y Republica n arm y agains t th e Republica n governmen t o n th e ground s

The Coming of Democracy: Part 1 25 9 that i t wa s i n th e process o f becomin g a Communis t dictatorship." 33 A militar y coup i n Madri d resulte d i n th e flight o f Negri n an d hi s associate s an d th e formation o f a governmen t that , havin g trie d an d faile d t o secur e terms , ha d t o surrender t o the rebels . The victoriou s Franc o kep t Spai n neutra l i n th e grea t wa r tha t wa s abou t t o break out. Afte r dealin g severely with thos e who had been leaders of the republic , he rigidly repressed opposition unti l th e 1950s , when in varying degrees toleratio n increased. I n 196 9 Franco selecte d th e grandso n o f Alfonso XIII , Jua n Carlo s de Borbon, a s hi s successor , an d o n hi s deat h i n 197 5 Jua n Carlo s becam e kin g (actually Franc o hande d ove r powe r t o hi m i n summe r 1974) . Durin g th e nex t decade Spai n astonishe d th e worl d b y becoming a successful constitutiona l mon archy. No t al l of the old antagonisms were gone, but under th e skillful an d widely respected leadershi p o f th e kin g there seeme d a willingness t o accept difference s that exceede d anythin g to be seen in Spai n fo r man y decades. Portugal ha d i n certai n respect s bee n mor e fortunat e i n it s politica l histor y (since Napoleoni c times , a t least ) tha n Spain . Th e constitutio n o f 1822 , adopte d by th e first representativ e assembl y t o mee t i n th e countr y sinc e 1689 , wa s th e most democratic i t would hav e for th e next centur y an d a half.34 There wa s to be a unicamera l legislature , electe d b y direct universa l mal e suffrage , t o which th e cabinet would be responsible. However , tha t constitutio n wa s soon superseded by the charte r o f 1826 , whic h provide d fo r tw o chambers—the lowe r hous e chose n by indirec t suffrag e an d th e uppe r a hous e o f peer s compose d o f lifetim e an d hereditary member s selecte d b y th e monarch , wh o appointe d minister s an d ha d the powe r o f absolut e vet o ove r law s passe d b y parliament . Thi s syste m wit h minor change s lasted unti l 1910 . Dom Pedro, empero r of Brazil, abdicate d tha t position i n 183 1 to try to remove his brothe r Do n Miguel , wh o ha d becom e kin g o f Portuga l an d abolishe d th e constitution. Makin g his base the Azores, Do m Pedr o IV succeeded i n 183 4 with help fro m Britain—Portugal' s oldes t ally—an d als o Spain . However , h e die d almost a t onc e an d wa s followe d b y his daughte r a s queen. Fo r twent y year s sh e ruled unde r th e restore d charter , wit h a n interva l o f a slightl y mor e democrati c regime (1838-42) . Afte r he r deat h i n 185 3 Pedro V took th e throne . Payn e call s him " a dedicate d progressiv e an d probabl y th e mos t brillian t Europea n princ e of his generation, " bu t h e die d young . Hi s brother , " a mode l constitutiona l mon arch," achieve d som e tranquillity . I n genera l th e Hous e o f Braganza wa s shrew der an d mor e discree t tha n th e Bourbon s o f Spain , an d th e Portugues e ha d a n ethnic homogeneity an d lack of regional tensio n tha t Spai n coul d have envied. Portugal wa s a poo r country , an d thoug h industr y an d agricultur e gre w an d modernized t o a modest exten t afte r mid-century , th e stat e budge t wa s a seriou s and continuin g problem . Bu t th e politica l scen e wa s more or less stabl e fro m th e

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1850s t o 1890 , an d i n 185 6 a system o f alternation betwee n th e tw o parties, th e Regenerators an d th e Historical , o r Progressiv e party, wa s established tha t laste d for mos t o f tha t time . Republicanis m wa s a doctrine i n th e 1850 s an d 1860s . I t became a party from 188 0 (stimulated b y the ne w Thir d Republi c in France ) an d also a secre t societ y (Carbonaria ) afte r 1896 . Joa o Franc o sough t t o restor e stability b y turnin g th e governmen t int o a nea r dictatorship . Whe n th e kin g identified himsel f wit h tha t regime , h e provoke d hi s own assassinatio n (an d tha t of the crown prince) in 1908 . The monarchy laste d only two years longer. Since 191 0 Portuga l ha s bee n a republic . Th e republica n governmen t starte d by opposin g monarch y an d th e churc h bu t lacke d an y clea r positiv e aims . I t entered Worl d War I (Germany declared war on it in Marc h 1916 ) without muc h result fo r goo d or ill . Althoug h republican s o f one sor t o r anothe r dominate d th e government fo r sixtee n years , on e write r call s thi s perio d i n Portuga l "th e mos t turbulent an d unstabl e i n modern Europea n history." 35 Nevertheless som e advances wer e registered : wome n receive d ne w right s (bu t not th e suffrage) , worker s obtaine d th e righ t t o strik e an d improve d workin g conditions throug h legislatio n (organize d labor was mainly anarcho-syndicalist, a s in Spain) , educatio n wa s extende d an d literac y increase d (thoug h no t b y much). Financial insolvenc y an d corruption , however , precipitate d a cou p i n 192 6 tha t established first a loose militar y dictatorshi p an d then , i n 1932 , th e long-lastin g authoritarian regim e of Antonio de Oliveir a Salazar . (H e became premie r i n tha t year but actuall y ha d become the chie f figure in th e government i n 1930. ) He se t up a corporate stat e i n whic h ther e wa s a president electe d b y limited suffrag e o f both sexes , a nationa l assembly , an d a corporat e chambe r representin g occupa tions. Suc h was the Estad o Novo. At ever y stag e of Portugal' s nineteenth - an d twentieth-centur y histor y i t seeme d to mimic o r paralle l event s i n Spain , eve n thoug h wit h les s dramatic sharpness . Now a less-radical , less-divisiv e leftis t regim e wa s replace d b y a less-repressiv e rightist regime—an d wit h nex t t o no bloodshed, i n contras t t o the lon g agony of the Spanis h Civi l War. Salaza r supporte d Franc o from th e star t of the Morocca n revolt, an d lik e Franc o h e kep t neutra l i n Worl d Wa r I I (n o Portugues e contin gent fough t o n Hitler' s sid e in Russia , thoug h a Spanis h Blu e Divisio n did) ; and Salazar let th e Allies use the Azores as a base, s o that Portuga l was admitted bot h to the groupin g created b y the Marshal l Pla n an d Nort h Atlanti c Treat y Organi zation afte r th e war. I n 196 8 Salazar suffere d a freak acciden t an d a stroke. His successor, Marcell o Caetano, laste d only until April 1974 . His government was overthrow n b y a "Captains ' Revolution, " le d b y officer s convince d tha t th e prolonged war s t o keep the African colonie s shoul d be ended. Afte r a brief perio d in whic h i t appeare d tha t th e Portugues e Communis t part y ha d nearl y attaine d power, i t wa s decisivel y defeate d i n th e Apri l 197 6 elections. Mari o Soares , th e

The Coming of Democracy: Part 1 26 1 Socialist leader , forme d a government , bu t i t di d no t last . Onl y i n 198 8 di d a convincing victor y fo r Aniba l Cavag o Silva' s Socia l Democrati c part y appea r t o end a decad e o f instabilit y o n behal f o f a workin g democracy , leanin g towar d a free-market economy . Th e Portugues e outcom e wa s as heartening fo r democrac y as what happene d i n Spai n abou t the sam e time. Italy. Ital y coul d no t "b e called a nation an y more tha n a stack o f timber ca n b e called a ship"—at an y time from th e founding o f Rome to the proclamation o f the united kingdo m i n 1861. 36 The peninsul a ha d bee n th e locatio n o f great achieve ments, unsurpasse d i n military , legal , literary , an d artisti c respect s b y any othe r region o r country , bu t th e geograph y ha d bee n different ; i t ha d bee n eithe r smaller or larger political unit s i n whic h thos e accomplishments ha d take n place . Much o f th e territor y ha d falle n unde r th e rul e o f tw o great foreig n dynasties — the Habsburg s an d the Bourbons—and th e res t of it was in fragments . Napoleon I entere d Ital y a s a n ethni c Italian , i n a day whe n suc h a fac t ha d much les s significanc e tha n ours , bu t h e stil l ha d a specia l concer n fo r th e cultural unit y that , i n th e future , h e declared, "ough t t o unite al l its inhabitant s under one sole government. . . . " Unde r his rule the number of political divisions fell fro m a dozen t o three; he did much t o wipe out th e inheritanc e o f feudalism , he introduce d th e Frenc h code s of law . I t wa s al l to o much fo r th e Bourbon s i n Naples, to o little for th e radicals . In 179 4 Filipp o Buonarroti , attache d t o th e Frenc h army , wa s allowe d t o se t up a "republic" in Onegli a in th e Liguria n region , wher e he abolished seigneuria l rights an d establishe d th e cul t o f th e Suprem e Being , followin g th e doctrine s o f Robespierre. Th e minirepublic laste d less than a year, an d Buonarroti (descende d from Michelangelo' s brother ) was recalled t o France an d jailed—but som e of th e local inhabitants di d not forget. 37 In 181 5 Francis I ruled i n Lombardy-Venetia , Vittori o Emanuel e I of Sardini a had acquire d Liguria , Ferdinan d I V ha d obtaine d th e ne w titl e Ferdinan d I o f the Two Sicilies , an d in th e center variou s smal l states existed. Despit e promises of liberty, mos t o f thes e government s represente d restoratio n indeed-restoration , that is , o f absolutism , repression , an d misgovernment . Bu t th e stat e o f min d o f the Italians , an d eve n th e clas s structure , o f 178 9 could no t b e restored . Ther e was a widespread determinatio n t o go back t o the lega l order Napoleo n ha d give n the land a taste of and t o throw off th e Austrian hegemon y tha t ha d replaced tha t of France . The yea r 182 0 sa w a successfu l revolutio n i n Spain , whic h wa s promptl y emulated by the Carbonari i n the army of Naples. Ferdinan d I (who had promised to respec t th e constitutio n grante d i n Sicil y b y th e Britis h i n 181 2 an d the n annulled i t a yea r late r unde r Metternich' s pressure ) concede d a constitutio n

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comparable t o th e on e just promulgate d i n Spai n an d begge d Go d t o strik e hi m with lightnin g i f h e intende d t o break hi s oath . H e the n proceede d t o attend th e Congress o f Laibac h (toda y Ljubljana ) o n Austria n territory , wher e h e promptl y called for Austrian intervention ; Go d did not provide any lightning strike . While Austria n troop s responded , a pla n fo r a revol t i n Piedmon t (par t o f Sardinia) miscarried . Hars h repressio n b y Austrian s i n Lombard y ensued—bu t not for long. I n 183 0 the revolution i n Franc e stimulate d a n uprising in the Papa l States an d agai n i n Parma , Modena , an d Piedmont . I t wa s als o put dow n wit h mainly Austrian troops . Giusepp e Mazzin i fro m exil e in Marseill e no w founded a new revolutionar y societ y calle d Youn g Ital y an d conducte d republica n propa ganda tha t le d t o a serie s o f unsuccessfu l uprisings . Liberals , inspire d b y th e books of Vincenzo Gioberti and Count Cesar e Balbo, agitated fo r a federated Ital y with a constitutio n base d o n limite d suffrage . Giobert i wishe d th e pop e t o hea d it, whil e Balb o looked t o the Hous e of Savo y (a view Gioberti cam e t o share afte r the "libera l pope," Pius IX , disappointe d libera l hopes in 1848) . Again revolutio n brok e ou t i n 1848 , startin g fro m Palerm o i n January . Ferdi nand (Kin g Bomba) granted a constitution; th e sam e occurred i n Tuscany , Pied mont, an d th e Papa l States ; revolutio n erupte d i n Mila n an d Venice. Onc e mor e the armie s of Austria triumphed . I t too k time, bu t by the end of August 184 9 the last of the revolutionarie s (i n Venice) had been crushed . Piedmont ha d bee n defeate d bu t retaine d it s constitutio n an d ha d becom e th e hope o f libera l Italian s fo r unity . It s ne w prim e minister , Coun t Camill o d i Cavour, ha d founde d a newspape r calle d 11 Risorgimento i n 184 7 an d take n th e lead i n demandin g a constitution . On e wa s grante d tha t gav e th e stat e a two house parliament: a Senate composed of life-members, appointe d by the king, an d a Chambe r o f Deputie s electe d b y limite d suffrage . Th e cabinet , thoug h firs t serving a t th e pleasur e o f th e king , b y 186 1 had bee n mad e by Cavour's shrewd ness effectively responsibl e t o the lower house. 38 Like Bismarck , Cavou r conclude d tha t onl y armie s woul d accomplis h th e unification o f hi s country , bu t unlik e Bismarc k h e coul d no t hop e tha t th e arm y of hi s stat e coul d d o the job. S o he conspire d wit h Napoleo n II I t o fight Austri a if wa r coul d b e provoke d i n suc h a manne r a s t o mak e i t acceptabl e t o publi c opinion abroad. (H e had already managed t o arouse the favorable notic e of Britain and Franc e b y sendin g troop s int o th e Crimea n Wa r an d the n deliverin g a temperate plea for th e Italia n caus e at the Congres s of Paris. ) In th e wa r o f 185 9 th e Frenc h an d Piedmontes e defeate d Austria , bu t the n Napoleon II I abruptl y pulle d out . Al l agai n appeare d lost ; bu t thi s tim e i t wa s not. Lombard y wa s cede d t o Franc e an d the n t o Piedmont . Th e smal l centra l states adhere d t o Piedmont , Napoleo n consentin g a t th e pric e o f annexin g Nic e and Savoy . A leade r o f freebooters , Giusepp e Garibaldi , planne d t o sai l fro m

The Coming of Democracy: Part 1 26 3 Genoa t o Nice t o prevent th e Frenc h fro m takin g it over ; Cavou r persuade d hi m to g o sout h t o Sicil y instead . Hi s force s overthre w th e kin g o f th e Tw o Sicilie s and heade d north . Th e Piedmontes e move d south . O n 2 6 Octobe r i860 , Gari baldi an d Vittori o Emmanuel e met , an d Ital y wa s united . I n Februar y a parlia ment representin g al l Ital y bu t Rom e an d Venic e me t an d proclaime d o n 1 7 March 186 1 th e kingdo m o f Italy , wit h a constitutio n quit e simila r t o th e Sardinian constitutio n o f 1848 . Cavou r die d a fe w week s later , hi s wor k nearl y done. The issue s o f Rom e an d Venic e wer e no t lon g in bein g solved , bu t dominate d the decad e nevertheless . Th e Frenc h ha d ha d a garriso n i n Rom e sinc e 184 9 (sent t o preven t th e Austrian s fro m doin g th e sam e thin g bu t chiefl y t o pleas e French Catholic s who m Loui s Napoleon—not ye t emperor—was courting) ; Garibaldi had firs t achieve d prominence by defending th e short-live d Roma n republi c against th e arrivin g Frenc h force . I n orde r t o obtain Venice , i n 186 6 Ital y firs t proposed t o Austria a n allianc e agains t Prussia , an d whe n Austri a refuse d mad e the sam e offe r t o Prussia . I t wa s accepted ; th e Italia n arm y an d fleet suffere d defeat i n th e Seve n Weeks ' War, bu t Bismarc k stil l sa w tha t Venic e wa s hande d over. Afte r th e Franco-Prussia n Wa r brok e out , Napoleo n withdre w th e las t o f the Frenc h troop s fro m Rome ; i n Septembe r 187 0 th e Italia n arm y entere d th e city. I t wa s annexe d an d becam e th e capital . Th e pop e was offered financial an d diplomatic privilege s no t s o differen t fro m thos e h e previousl y enjoyed , bu t h e refused, an d becam e a voluntar y "prisone r o f th e Vatican " (unti l 1929) . Excep t for mino r change s i n th e nort h an d northeas t i n 1919 , 1947 , an d 195 4 (th e Trieste settlement) , th e boundarie s hav e been th e sam e eve r since . Th e Risorgi mento had achieved its aims. United Ital y had th e sam e sort of liberal government Piedmon t had had for th e preceding generation . Propert y qualification s kep t th e electorat e a t abou t 2% ; liberal, anticlerica l parliament s an d cabinet s wer e th e rule ; largel y illiterat e Catholic peasant s wer e quiescent , bu t worker s i n th e industrializin g area s wer e beginning t o fee l th e effect s o f socialis t agitation . I n th e thirt y year s afte r 187 0 the outpu t o f industr y reache d onl y 20 % o f th e gros s nationa l product . Italia n conditions appeare d no t unlik e Spanis h an d Portuguese ; thoug h cabinet s fel l no t quite s o frequently, the y stil l exemplifie d a sort o f nineteenth-century liberalis m that left mos t of the populace alone. Left an d Righ t were not very far apart . Th e Lef t cam e to power in 187 6 under a forme r followe r o f Mazzini , Agostin o Depretis , an d h e remaine d premie r mos t of th e tim e unti l 1887 . I n 188 1 th e franchis e wa s extende d s o tha t tw o millio n rather tha n si x hundre d thousan d voted ; th e result s wer e no t startling . I n 188 7 Francesco Crispi , wh o ha d bee n Depretis' s ministe r o f interior , too k ove r unti l 1891 an d wa s bac k b y 1893-96 . Giovann i Giolitt i prove d eve n mor e durable : h e

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headed fou r ministrie s ove r th e perio d 189 2 t o 191 4 an d a fifth fro m 192 0 t o 1921. Fo r muc h o f tha t perio d th e budge t wa s a problem , corruptio n a widel y used device , an d th e searc h fo r internationa l recognitio n a s a power an d oversea s glory wa s pursued . I n 191 1 th e electorat e wa s almos t triple d an d mad e almos t universal (tha t is , fo r males) . Th e first election s unde r th e ne w la w resulte d i n a loss o f strengt h b y th e liberal s an d gains b y th e Socialist s o n th e lef t an d th e Catholics on the right . Though par t o f the Tripl e Alliance wit h German y an d Austria-Hungary, Ital y judged th e Austrian attac k on Serbia an "offensive action " and declared neutralit y in Worl d Wa r I , the n i n Ma y 191 5 entere d o n th e sid e o f th e Allies . Ital y suffered losse s in th e northern fighting, especiall y in th e agonizingly inconclusiv e eleven or twelve (depending on how one counts) battles of the Isonzo (a river nea r Trieste). Italy' s rewar d wa s a modest piec e of Austrian territory . Emergin g fro m the wa r wit h n o military successe s o f note , sizabl e casualties , littl e benefi t fro m the peace, economi c disarray, an d political gains by the far Lef t an d the far Right , Italian liberalis m wa s not stron g enough t o survive. At first thing s looke d hopeful : a ne w electora l la w i n Septembe r 191 9 intro duced universa l suffrag e an d proportiona l representation . I n election s hel d i n November, th e Socialis t part y (whic h ha d jus t joine d th e Moscow-le d Thir d International) wo n 15 6 seat s i n th e lowe r house , th e ne w Partit o Popolar e Italiano, le d b y Do n Luig i Sturzo , wo n 100 , an d Liberal s an d Radical s less . Under th e las t Giolitt i ministry , th e ne w Communis t part y brok e of f fro m th e Socialists, an d th e forme r Socialis t Benit o Mussolin i founde d th e Fasci o d i Combattimento. H e ha d share d man y of Vladimir Lenin' s views , bu t Worl d Wa r I ha d sen t the m i n opposit e directions. 39 Offerin g orde r t o a natio n wear y o f disorder an d th e seductio n o f myth t o a people cynical about liberal parliamentar ism, h e mounte d a "marc h o n Rome " tha t brough t hi m t o power . Boardin g th e train a t Mila n t o hee d th e king' s cal l t o tak e ove r th e government , h e declare d that th e trai n mus t leav e exactl y o n time : "fro m no w on , everythin g ha s go t t o function perfectly. " 40 Of cours e i t di d not . Th e constitutio n remaine d i n forc e fo r a time . I n November 192 3 Mussolini, usin g dictatorial power s given him temporaril y by th e king, promulgate d a new electoral la w providing that th e party receiving the most votes (i f the y wer e one-fourt h o r mor e o f th e total ) woul d b e allotte d two-third s of th e seat s i n parliament . A fe w month s late r th e Fascist s secure d thei r two thirds, partl y b y threat o f violence. Th e murde r o f th e Socialis t deput y Giacom o Matteotti i n June 192 4 signaled a shift o f policy: the opposition wa s now jailed o r silenced. A shadowy syste m calle d th e corporat e stat e wa s introduced, o r a t leas t proclaimed. Th e long-festerin g proble m o f th e papac y wa s solve d b y creatin g a tiny Vatican Cit y via the Latera n treatie s of 1929 .

The Coming of Democracy: Part 1 26 5 Fascism's corporate stat e was supposed t o be based on the uniting of employers and employee s in nationa l "corporations/ ' on e for eac h of twenty-two branches of economic activity ; bu t th e bureaucrac y ha d mor e t o d o wit h economi c decisio n making tha n tha t system . Mussolin i proclaimed : "everythin g withi n th e state , nothing outsid e th e state , nothin g agains t th e state. " I t wa s th e recip e fo r totalitarianism, bu t h e did not follow i t exactly. H e was much gentle r tha n Hitle r or eithe r Leni n o r Stali n i n practice . Nevertheles s Ital y wa s no longer fre e from , say, 1923 .

In 194 3 Mussolin i wa s overthrown . (H e wa s capture d an d hange d upsid e down i n 1945 ) A "co-belligerent " Italia n governmen t functione d i n th e south , where Allie d armie s bogge d down , an d mad e contac t wit h th e largel y leftis t resistance i n th e north , behin d Germa n lines . Bu t wit h th e hel p o f Britis h an d American commanders , workers ' council s wer e ejecte d fro m factories , an d resis tance authorities wer e removed fro m th e local level. The Christia n Democrat s (DC ) emerge d a s th e stronges t part y i n th e first postwar government (Decembe r 1945) . A constituent assembl y chosen i n th e first postwar electio n i n June 194 6 ended th e monarchy—never ver y popular, tainte d by cooperation wit h Mussolini—an d a cabinet heade d b y Alcide de Gasper i wa s formed o f th e thre e parties : Christia n Democrats , Socialists , an d Communist s (PCI). I n th e wak e o f th e issuanc e o f th e Truma n Doctrin e i n Marc h 1947 , d e Gasperi execute d a maneuve r tha t free d hi m fro m th e nee d fo r Communis t support an d tha t o f th e Socialist s wh o followe d Pietr o Nenni' s lea d i n makin g common caus e wit h th e PCI . Th e resultan t cabine t consiste d o f DC , Socialist s who followe d Giusepp e Saraga t an d no w use d th e ter m Socia l Democrats , an d Republicans. D e Gasper i wa s bor n i n th e Trentin o unde r Austria n rul e an d attended th e Universit y o f Vienna . H e debate d Mussolin i a s earl y a s 1909 , wa s imprisoned b y th e Duc e i n 1927 , wa s extracte d b y Pop e Piu s X I fro m jai l an d sheltered i n th e Vatican afte r th e treatie s of 1929 . On th e heels of the "d e Gasperi era " (1945-53) cam e a period of prosperity: i n 1952-62, nationa l incom e double d an d pe r capit a incom e increase d b y 62% . Manufacturing ha d grow n t o a poin t wher e industria l employmen t exceede d agricultural employment , thoug h i n th e norther n "industria l triangle " o f Milan , Turin, an d Geno a ther e wer e problem s characteristi c o f urbanization . Th e D C remained i n power. Th e PC I propose d a "historic compromise" by which it would join th e D C i n governing , an d finally som e Communis t participatio n i n govern ment wa s arranged i n July 1977 . Extreme leftists, partl y in objection t o the "compromise," carried out a number of terroris t killing s an d kidnappings , cappe d b y th e murde r o f th e D C forme r premier Ald o Moro . (Hi s bod y wa s foun d i n Ma y 1978. ) Th e reactio n o f th e public wa s a n increas e i n sympathy , an d votes , fo r th e DC . I n loca l elections of

266 Freedom:

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May 1988 , th e D C wo n 29% , th e Communist s 22% , th e Socialist s 18% . Unde r honest, intelligent , an d colorles s Premie r Ciriac o d e Mita , Ital y ha d achieve d relative politica l stabilit y (despit e th e changin g compositio n o f cabinets) , eco nomic growth, an d freedom . Scandinavia. Denmar k side d wit h Napoleo n i n resentmen t a t Britis h treatmen t —two bombardment s o f Copenhage n an d th e thef t o f th e entir e Danis h fleet (1807) s o it coul d no t b e use d i n plac e of th e Frenc h fleet, sun k a t Trafalgar , t o invade Britain . Swede n ha d joined th e Thir d Coalitio n (1805 ) agains t Napoleon , largely because th e kin g thought th e Frenc h Revolutio n an d al l its works evil. As a resul t Denmar k ha d t o han d Norwa y ove r t o Swede n an d als o Pomerani a t o Prussia, bu t Swede n wa s compelle d t o accep t a constitutio n b y whic h th e Nor wegians ha d thei r ow n single-chambe r nationa l assembly , o r Storting . Gusta v I V had th e misfortun e t o los e Finlan d t o Alexande r I o f Russia . Th e tsa r ha d arranged a sor t o f partitio n o f Europ e wit h Napoleo n a t Tilsi t (mor e accurately , on a raf t i n th e middl e o f th e Nieme n River ) i n 1807 , an d on e resul t wa s th e Russian conques t o f th e long-tim e Swedis h possession . Th e Russia n emperor s became gran d duke s o f Finland , whic h retaine d muc h o f it s previou s constitu tional syste m and , i n compariso n t o the res t o f th e Russia n Empire , it s freedom . It becam e independen t onl y i n 191 7 an d remaine d a fre e countr y despit e th e Soviet-Finnish "Winte r War " o f 194 0 an d forma l allianc e wit h th e Nazi s i n World War II . Gustav I V ha d n o heir . I n orde r t o find a ne w monarch , a Swedis h office r made a pilgrimage t o France seeking one of Napoleon's marshal s fo r th e purpose, and hi s ey e fel l o n Jean-Baptist e Bernadotte . Th e upsho t wa s tha t th e latte r became crow n princ e i n 181 0 an d kin g a s Charle s XI V Joh n i n 1818 . Th e ne w king chose conservativ e ministers , an d th e oppositio n t o them grew , i n th e pres s and in th e streets , unti l i t achieve d a majority i n th e parliament o f 1840 . A series of reform s begu n i n hi s reign , includin g compulsor y education , wer e allowe d t o continue int o th e next . Unde r Osca r I (1844-59) th e guilds were abolished, fre e enterprise an d commerc e wer e introduce d o r secure d b y severa l laws , equa l inheritance right s were assured women , religiou s freedom wa s granted, loca l selfgovernment created . Minor disturbances i n 184 8 interrupted thi s process by alarming the king , bu t under hi s so n th e marc h o f refor m wa s resumed . Th e ol d Riksda g wa s replace d by a two-chamber parliament , th e uppe r on e chosen b y indirect vot e of th e rura l and urban rich , th e lower by direct vote, stil l with property qualifications yieldin g the farmer s ("peasants " see m n o longe r th e wor d fo r them ) a n advantage . Afte r that wa s don e (1865—66) , significan t change s almos t cease d unti l th e en d o f th e century. On e importan t developmen t di d tak e place. Th e Socia l Democrat s wer e

The Coming of Democracy: Part 1 26 7 organized i n 1889 , th e libera l faction s unite d i n 1900 , an d conservative s di d likewise in 1904 . The unio n o f Swede n an d Norwa y wa s neve r complet e o r ver y successfu l i n its partia l form . Th e crow n princ e an d Danis h governor , Christia n Frederick , summoned a constituen t assembl y which , meetin g a t Eidsvol l (jus t nort h o f Christiania), dre w u p th e constitutio n o f Ma y 1814 , electe d Christia n Frederic k king, an d entruste d t o the Norwegian parliamen t mor e power tha n an y legislative body i n th e worl d ha d outsid e o f th e Unite d States . I t coul d initiat e legislation , and th e kin g ha d onl y a suspensiv e veto . Charle s XI V Joh n a s kin g o f Norwa y sought t o replac e i t wit h a n absolut e vet o an d failed . Th e ne w Venstr e (Libera l Democratic) party , havin g secure d contro l o f the Storting , manage d t o pass a bill three times ; the Conservativ e governmen t rejecte d i t but wa s compelled t o resign after a trial in 188 4 before a judicial bod y called the Riksretten. Thereb y Norwa y became the first Scandinavia n countr y t o acquire a fully parliamentar y system . Norway's continua l deman d fo r mor e independen t foreig n relation s finally led to its withdrawa l fro m th e Swedis h unio n i n 1905 . A t first refusing , Swede n a t length yielde d peacefully . Norwegian s first offere d th e thron e o f an independen t nation t o a Swedis h prince , bu t a t lengt h Princ e Charle s o f Denmar k becam e Haakon VII . Th e vot e wa s extende d befor e an d afte r th e rupture . Th e Labo r party (founde d i n 1887 ) an d th e Venstr e togethe r ha d pushe d throug h universa l male suffrag e i n 189 8 (whic h wa s extende d t o women i n loca l election s i n 190 7 and nationa l election s i n 1913) , an d th e roya l suspensiv e vet o wa s abolished . Social reforms wer e enacted rapidly : a factory ac t protecting women and children , accident an d health insurance , an d in 191 5 a ten-hour workday . It seem s tha t durin g th e whol e centur y o f union , Norwa y tende d t o dra w Sweden leftward , o r perhap s i n a directio n awa y fro m aristocrac y an d towar d democracy. Whethe r i t confirm s o r contravene s tha t tendency , th e first rea l parliamentary governmen t in Sweden followed har d on the heels of the dissolution of th e unio n i n 1905 . I n 190 7 universa l suffrag e wa s introduce d fo r th e Secon d Chamber (th e lowe r hous e o f parliament) . Ther e wa s som e democratizatio n o f the Firs t Chamber , an d proportiona l representatio n wa s adopte d fo r election s t o both. I n 191 1 the Liberal s won the elections, an d Gustav V (1907-50) aske d Karl Staaff t o form a Liberal government . Sweden wa s neutra l i n Worl d Wa r I . I n 191 7 th e Socia l Democrat s an d Liberals increase d thei r majority , an d a new governmen t unde r Nil s Ede n intro duced woma n suffrag e an d universa l equa l franchis e fo r th e Firs t Chamber . From 192 0 t o 193 2 th e Socialis t partie s o n on e sid e alternate d i n powe r wit h Liberals an d Conservative s o n th e other . I n 193 2 Pe r Albi n Hansso n becam e premier o f a Socialis t governmen t an d le d a recover y fro m th e Grea t Depressio n that wa s more rapid in Swede n tha n i n many other Western countries .

268 Freedom:

A History

In Worl d Wa r I I th e natio n wa s onc e agai n neutral . Afte r 194 5 th e Swedis h welfare state , includin g pensions , chil d allowances , ren t allowances , healt h in surance, an d educational assistance , wa s created but not the nationalization man y expected. Th e Socia l Democrat s dominate d a serie s o f governments , th e chie f exception bein g the non-Socialist cabinet of 1976-82 . Tag e Erlander was premier from 194 6 to 1969 , followe d b y Olof Palme , whos e assassinatio n i n 198 6 shook a nation no t used t o political violence . A new constitutio n too k effec t i n 1975 ; the new (1971 ) single-chambe r Riksda g wa s no w electe d b y al l citizen s ove r th e ag e of eighteen vi a proportional representation . Th e king' s rol e wa s reduce d t o ceremonial duties . I n 198 8 anothe r Socia l Democrati c victor y wa s accompanie d b y the election o f twenty Greens , th e first ne w party t o enter th e Riksda g in sevent y years. Th e S D Prim e Ministe r Ingvar Carlsso n resigne d i n Februar y 1990 , however, i n th e fac e o f a sever e crisi s affectin g th e entir e Swedis h democrati c socialist system . In Norway , th e furthes t leftwar d poin t wa s reache d whe n th e dominant win g of th e Labo r part y le d i t int o th e Cominter n (1919) , bu t fou r year s late r i t wa s disillusioned b y Moscow' s contro l an d withdrew . Th e Conservatives , Liberal s (Venstre), an d Farmers ' partie s alternate d i n powe r u p t o 1935 , afte r whic h a Labor-Farmers coalitio n pushed throug h additiona l reforms i n the shape of socialsecurity legislation . Norwa y sough t neutralit y i n Worl d Wa r I I bu t defende d itself, unsuccessfully , whe n th e Nazi s invade d th e country . Afte r five year s o f being occupied , i t regaine d independenc e i n 1945 . Labo r wa s i n powe r mos t o f the tim e afte r 1930 , th e chie f exceptio n bein g th e non-socialis t governmen t o f 1965-71. A right-wing Progres s party gained in th e 198 6 elections, because of its tough lin e on third-world immigration . By th e peac e settlemen t o f 1814-15 , Denmar k ha d los t Norwa y an d Pomer ania; in 181 3 the Danis h stat e ha d ha d t o declare bankruptcy. Fro m thi s parlou s condition th e countr y recovere d slowly , unde r th e popula r kin g Frederic k V I (1806-39), w n o f° r muc h o f his reig n preside d ove r a "patriarcha l autocracy." 41 After th e revolutionar y disturbance s o f 1830 , however , h e foun d i t pruden t t o create consultativ e diets—tw o fo r Denmar k prope r an d one each fo r th e duchie s of Schleswig an d Holstein . A later monarch , shake n b y the disturbances o f 184 8 in othe r countries , summone d a constituen t assembly , whic h ende d Danis h absolutism. The Constitutio n o f June 184 9 provided tha t th e kin g should shar e legislativ e power wit h a two-hous e assembly , bot h chamber s electe d b y popula r vote . Th e upper hous e (Landsting ) ha d a property qualificatio n fo r suffrag e tha t th e lowe r house (Folketing ) di d not . Th e constitutio n als o guarantee d civi l liberties . I n 1864 Schleswi g an d Holstei n wer e los t t o Prussi a an d Austri a i n th e first o f Bismarck's shor t wars . (Th e norther n par t o f Slesvi g wa s returne d t o Denmar k

The Coming of Democracy: Part 1 26 9 by plebiscite i n 1920. ) Th e shoc k brough t a conservative governmen t int o powe r that wa s abl e t o modify th e constitutio n i n a less democratic direction : th e uppe r house wa s strengthene d s o that th e ministr y coul d gover n wit h it s suppor t eve n though th e lowe r hous e wa s opposed , an d th e Landstin g wa s no w t o b e i n par t appointed b y the king , i n par t electe d b y indirect voting . Thu s whe n a Folketin g majority fel l t o a newly formed Unite d Lef t i n 1872 , nothing happened . Under th e Conservativ e ministr y of Jacob B. S. Estru p (1875-94), demand s t o return t o th e 184 9 Constitutio n go t nowhere . Nevertheles s old-ag e pensio n an d health-insurance law s wer e passe d i n 1891-92 , peasan t holding s wer e mostl y converted fro m leasehol d t o full ownership , cooperative s gre w rapidly , an d Den mark prospered . A s a Socia l Democrati c part y wa s forme d an d adde d it s voic e t o the clamo r fo r constitutiona l refor m afte r 1880 , a "chang e o f system " wa s pre pared an d execute d i n 1901 . Th e Liberal s cam e t o power , passe d a free-trad e law, an d replace d th e stat e churc h b y loca l ecclesiastica l administration . Th e Radical Lef t brok e awa y fro m th e Liberal s i n 190 5 an d fro m 191 3 t o 1920 , supported b y th e Socia l Democrats , controlle d th e government . Thu s th e long awaited constitutiona l revisio n finally occurre d i n 1915 : suffrage wa s grante d t o all me n ove r twenty-fiv e an d mos t women , th e appointiv e seat s i n th e Landstin g were abolished, an d full ministeria l responsibilit y t o the Folketin g was enacted . Denmark wa s neutra l i n Worl d Wa r I , an d afterwar d a serie s o f shiftin g coalitions heade d th e government . Struc k har d b y th e Grea t Depression , th e country underwen t economi c recover y i n th e lat e 1930s . Th e Nazi s overra n th e Danes i n 1940 , bu t lef t a government i n plac e unti l 1943 . I n 194 5 a restoratio n occurred, an d i n 195 3 th e constitutio n wa s revised , producin g a single-hous e parliament (Folketing) . A s man y a s twelv e partie s wo n seat s i n it , an d minorit y coalitions wer e common. Socialis t rul e was frequent durin g the postwar period — though i n 1968 , 1981 , and 1988 , non-socialist s wo n elections . Denmar k enjoye d the highes t standar d o f livin g i n th e Europea n Community , bu t i t als o ha d th e highest foreig n deb t an d thu s continuin g economic problems. In th e post-Worl d Wa r I period th e Scandinavia n Socia l Democrat s achieve d "prodigious democratic continuity/' 42 asid e from th e period of wartime exile; they were in power for much of the time in Swede n and in Norway and were dominant throughout th e period i n Denmar k an d Finland . Whe n non-socialist s wo n major ities an d forme d governments , the y accepte d muc h o f th e welfar e stat e tha t ha d been constructed . Th e powerles s monarch s wer e scarcel y controversial ; the y served a s relativel y inexpensiv e symbol s o f nationa l unity . Th e resultan t socia l and politica l stabilit y enable d Scandinavi a t o mak e a strikin g contribution , i n relation t o it s numbers , t o th e worl d economy . If , i n 1990 , th e limitation s o f social democracy seeme d t o have been reached , th e countrie s concerne d wer e a n ornament t o freedom still .

CHAPTER 9

The Coming of Democracy, 1800-1990: Part Two

Britain If th e seventeent h centur y wa s characterize d b y tortur e an d killin g fo r politica l reasons, attende d b y conspiracy an d conflict, the n th e eighteent h century , write s J. H . Plumb , i n it s politica l structur e "possesse s adamantin e strengt h an d pro found inertia." 1 Mulle r put s i t tha t throughou t th e eighteent h centur y "Englan d remained th e frees t countr y i n Europe , wit h th e mos t vigorou s press , th e mos t open publi c debate , th e mos t influentia l publi c opinion/' 2 Bu t muc h o f th e population di d no t participat e i n al l this . I n th e nineteent h century , however , Britain, emergin g fro m th e Napoleoni c War s victoriou s an d mor e nearl y maste r of th e whol e worl d tha n an y powe r ha d eve r bee n before , wa s throw n int o a vortex o f politica l chang e lastin g int o th e twentiet h century , fro m whic h i t emerged wit h libert y an d democracy . An d thos e thing s i t kep t afte r i t los t it s world power an d its economic preeminence . William Pit t resigne d i n 1801 , was called upo n t o form a new cabinet i n 1803 , saw i t falte r an d fail , an d die d i n 1806 . Afte r a brief Whi g interval , th e Torie s resumed thei r headshi p o f th e government , an d th e ma n o f mediocr e gift s wh o became prim e ministe r i n 1812 , Lor d Liverpool , kep t tha t offic e unti l 1827 . H e had t o dea l wit h th e post-181 5 economi c crisis : Britis h manufacturer s wer e overstocked; agricultur e suffered ; th e unemploye d multiplied . The radicals , wit h suc h abl e spokesme n a s th e journalis t Willia m Cobbett , held mas s meeting s an d submitte d petitions . Eac h wav e o f violenc e int o whic h 270

The Coming of Democracy: Part 2 27

1

radical agitatio n erupte d prompte d a ne w wav e o f repression : depredation s b y a crowd at Spa Fields in 181 6 provoked the Coercion Acts, suspendin g habeas corpus and providin g punishment s fo r sedition . A larg e crow d tha t ha d gathere d i n Manchester t o hea r a speec h o n behal f o f refor m wa s attacke d b y soldiers ; th e affair wa s termed th e "Peterlo o massacre/' I t led to the Si x Acts, which tightene d repression, an d public opinion seeme d t o disapprove. However , violen t radicalis m now turne d th e tid e i n favo r o f hars h measures . Th e discover y o f th e so-calle d Cato Stree t conspirac y (intende d t o blow u p th e whol e cabine t b y dynamite) wa s accepted b y many as justification o f the Si x Acts. Tories durin g th e perio d wer e repressiv e an d reactionary , bu t no t onl y so . Robert Pee l le d th e passag e o f law s greatl y reducin g th e numbe r o f capita l offenses; Willia m Huskisso n pushe d throug h th e reductio n o f impor t duties , beginning t o move Britai n towar d fre e trade ; Franci s Plac e campaigne d success fully fo r th e repea l o f th e Combinatio n Act s tha t ha d bee n passe d i n 179 9 an d 1800 t o obstruc t an y kin d o f unionizatio n o f workers . Th e repea l wa s a t onc e followed b y a series of destructive strikes , th e resul t bein g that som e restriction s were restored . The clima x of Tory refor m cam e in 1828—29 . The Iris h leade r Danie l O'Con nell wa s electe d t o Parliament , bu t b y th e Tes t Ac t n o Catholi c (o r Nonconfor mist Protestant ) coul d hol d publi c office . Reluctantly , t o hea d of f civi l wa r i n Ireland, th e Torie s repeale d th e Tes t Ac t an d enacte d Catholi c Emancipation . I t gave Catholic s th e vot e an d th e righ t t o hold an y office excep t lor d chancello r o f England an d lor d lieutenan t o f Ireland , thoug h requirin g tha t an y prospectiv e officeholder tak e a n oat h i n effec t promisin g t o accept th e Protestan t monarch y and th e establishmen t o f th e Anglica n church . Th e Lord s remove d a provisio n that woul d hav e don e th e sam e fo r Jews—whos e emancipatio n cam e onl y i n 1858. Reform wa s i n th e air . Contributor s t o it s forc e include d Joh n Wesle y (d . 1791), Methodism , an d Protestan t Nonconformit y generally , whic h persistentl y raised th e questio n o f wha t wa s righ t an d righteous , an d Jerem y Bentha m (d . 1832) and Utilitarianism , whos e calculus of pleasure an d pain wa s frankly mone tary. (I n Bentham' s Principle of Morals and Legislation, h e admitted , h e wa s t o be found 'Valuin g everythin g i n money," 3 bu t i n thos e term s h e sough t t o promot e the greates t happines s o f th e greates t number. ) Man y o f th e workin g clas s followed Methodism , man y of the risin g middle class became Utilitarian . Thoug h neither Wesle y no r Bentha m wa s a democra t o r anythin g lik e one , th e logi c of the refor m the y helped stimulat e drove the country i n a democratic direction . The accessio n o f William I V compelled a n electio n t o be hel d ( a requiremen t abolished onl y in 1867) , whic h wen t t o the Whigs . The y wer e no w committed t o parliamentary reform . Th e electora l syste m fo r th e Hous e o f Common s wa s a

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patchwork o f varying size s of constituencies, qualification s fo r voting , an d habit s of honesty an d dishonesty. Th e cabine t heade d by Earl Gre y proposed t o increase the degre e o f equalit y i n th e electora l proces s b y piecemeal change . A bill doin g so failed ; Gre y dissolve d Parliamen t an d hel d a ne w election . Common s passe d the bill , bu t Lord s rejecte d it . A revised bil l wa s agai n passe d b y Commons, bu t Lords demande d unacceptabl e amendments . Gre y requeste d th e kin g t o appoin t enough ne w peers t o pass the bill; he refused, an d the cabinet resigned . Th e kin g could no t manag e t o arrang e a replacemen t fo r it , recalle d Grey , promise d t o appoint th e peers—an d the n persuade d th e stubbor n Torie s t o abstai n i n th e final triumphant vote , s o that peers did not have to be created afte r all . This remarkabl e episode , whic h dragge d o n fro m Marc h 183 1 t o June 1832 , was crucial in British constitutiona l history . I t se t permanent limit s on the abilit y of the Hous e of Lord s t o act i n a way contrary t o public opinion, an d too k a clear step towar d a mor e representativ e Hous e o f Commons . Th e Firs t Refor m Bil l actually wa s modest i n th e provision s b y which i t adde d an d subtracte d member s for specifie d constituencie s an d extende d th e franchis e t o al l thos e wh o pai d a certain renta l o r occupied a house or sho p yielding a certain rental . A freeholde r of a plot tha t produce d a profit o f forty shilling s annuall y kep t th e franchis e tha t he ha d sinc e 1430 ; th e valu e o f tha t amoun t o f mone y ha d change d som e i n th e ensuing four centurie s bu t no t a great deal. Th e other details need not detain us , for the y hel d onl y fo r fort y years . Th e importan t thin g was tha t onc e th e gestur e was made i n th e direction o f equal constituencie s an d broadene d suffrage , i t wa s probably unavoidabl e tha t voice s shoul d b e raised demanding t o go the res t o f th e way. Fo r th e tim e bein g th e middl e clas s obtaine d muc h greate r weigh t i n elections, an d th e era of seats in Common s as the property of the gentry wa s over for good . Finally , election s wer e mad e direc t (previousl y th e municipa l corpora tions did the electing in most boroughs) but no t yet secret . The Firs t Refor m Bil l was followed b y significant socia l legislation, indicatin g a readines s t o abridge th e principle s o f laisserfaire to a considerable degree . Th e Factory Ac t (1833 ) prohibite d th e labo r o f childre n unde r nin e an d limite d tha t of older childre n an d women ; moreover, i t established a system of inspectors tha t could no t b e evade d a s earlie r law s ha d been . Slaver y i n th e colonie s wa s abolished. Th e Poo r La w wa s reformed ; th e governmen t o f th e town s wa s reor ganized, an d standard s of honesty an d efficienc y wer e greatly raise d thereby . But grav e problem s remained . Th e dominatio n o f Protestant s i n Ireland , a n almost wholl y Catholi c country , rankle d eve n thoug h i n 183 8 th e collectio n o f tithes fo r th e (Anglican ) Churc h o f Irelan d wa s modified . I n England , radical s believed tha t th e people' s miserie s woul d b e remedied b y enactment o f a People' s Charter tha t woul d inaugurate universa l manhoo d suffrage , equa l constituencies , and annua l parliaments . Chartis m culminate d i n a monste r petition , bu t whe n

The Coming of Democracy: Part 2 27 presented t o Parliament (1848 ) it prove d t o have many bogu s signatures , an d th e consequent ridicul e buried th e movement . An organizatio n tha t di d achiev e succes s wa s th e Anti-Cor n La w League , which unite d a number of local groups advocating free trad e in 1839 . Mos t dutie s on grain, othe r foodstuffs , an d manufactured good s were abolishe d o r reduce d by measures passe d b y Common s an d then , afte r a tu g o f wa r lastin g onl y tw o months thi s tim e (i n 1846) , b y Lord s a s well . Th e repea l o f th e Cor n Law s wa s carried throug h b y th e Tor y (no w usuall y calle d "Conservative, " a s "Whig " became "Liberal") prime minister, Si r Robert Peel . I t was he who was responsible for establishin g th e admirabl e Metropolita n Polic e forc e i n Londo n an d the n throughout England . H e ha d a n argumen t wit h th e ne w queen , th e eighteen year-old Victori a (1837-1901) , bu t wa s reconcile d wit h he r a s h e bega n hi s second ministry, whic h laste d fro m 184 1 to 1846 . Peel's governmen t ende d i n traged y no t of his making: th e Iris h potat o famin e that bega n i n 184 6 an d laste d unti l 1850 . Ireland , the n th e mos t densel y popu lated bu t fa r fro m th e riches t o f Europea n countries , depende d heavil y o n th e potato. A bligh t struck , nearl y on e millio n died , an d afterwar d mor e tha n a million emigrated . B y 191 1 th e Iris h populatio n ha d falle n t o half o f what i t wa s in 1841. 4 Th e Iris h famin e triggere d Peel' s conversio n t o fre e trad e an d hi s initiative i n repealin g th e Cor n Laws . Bu t th e critic s o f Pee l i n th e Conservativ e party, le d by Benjamin Disraeli , brough t hi m down. For twent y year s bot h partie s wer e divided , an d fe w importan t domesti c changes too k place . A n exception , i n 1853 , w a s a measur e bringin g substantia l improvement t o government . Entr y b y examination , previousl y used fo r th e employees of the Eas t Indi a Company , wa s introduced fo r wha t cam e to be called the "civi l service. " Th e Britis h bureaucrac y thereupo n receive d a uniformit y i t had not had, bu t als o a reputation fo r probity and devotion t o the public weal tha t was to last a long time. In th e circumstance s o f domesti c dullnes s an d drabness , Lor d Palmerston' s flamboyant policy a s foreign ministe r becam e popular, an d h e was prime ministe r twice. Bu t th e figure takin g th e nex t importan t ste p i n th e refor m process wa s Benjamin Disraeli , th e central figure in a ministry of Lord Derby . I t was Disrael i who, correctl y sensin g th e retur n o f popula r agitatio n fo r parliamentar y reform , decided t o "dis h th e Whigs " b y supportin g a Secon d Refor m Bil l (1867) . Th e principle wa s retaine d tha t suffrag e shoul d b e relate d t o propert y or , a s a n alternative, contributio n throug h taxe s t o the finances o f the realm , bu t th e leve l of requirement s wa s reduced , s o that th e electorat e ros e fro m abou t on e millio n to tw o million . Ther e wa s als o som e equalizatio n o f constituencies . A Scottis h Reform Bil l and a n Iris h Refor m Bill , passed on the sam e day a few month s later , extended th e sam e general schem e of change to the rest of the Unite d Kingdom .

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Although Derb y calle d th e Secon d (English ) Refor m Bil l a "leap in th e dark, " as i t brough t mos t o f th e urba n workin g clas s int o th e electorate , i t serve d t o restore stabilit y t o the body politic. Th e tw o decades of divided parties came to an end. Eac h part y wa s no w heade d b y a brillian t leader , an d th e tw o partie s alternated durin g the subsequen t perio d in what might be called the classic model of th e two-part y system . Derb y yielde d t o Benjami n Disraeli , th e Conservative , while Willia m Ewar t Gladston e becam e prim e ministe r afte r th e Liberal s swep t the 186 8 elections. Gladstone trie d hi s bes t t o conciliate Irelan d b y disestablishing th e (Anglican ) Church o f Irelan d an d improvin g th e positio n o f Iris h tenan t farmers , thoug h neither the n no r late r di d h e succeed . Hi s achievement s i n hi s first ministr y (1868-74) ' a v rathe r i n th e Educatio n Bill , seekin g t o make Englis h elementar y education catc h u p wit h Prussia n an d America n standards , an d th e Judicatur e Act o f 1873 , whic h pu t th e Englis h highe r court s i n orde r i n a way tha t laste d into the 1990s . When Disrael i becam e prim e ministe r i n 1874 , h e di d s o in considerabl e par t through espousin g a progra m o f "Tor y democracy " domesticall y an d o f imperia l consolidation abroad. Gladston e an d th e Liberal s returne d i n 1880 , an d i n th e Third Refor m Bil l (1884) they enfranchised rura l laborer s an d virtually legislate d universal mal e suffrage , leavin g withou t th e vot e only domesti c servants , bache lors livin g wit h thei r families , an d me n wit h n o fixed residence. Th e electorat e was double d again . Anothe r measur e redistribute d seat s i n Common s s o tha t boroughs an d countie s cease d t o be th e basi s o f th e lowe r house , single-membe r districts becam e almos t universal , an d thos e district s wer e determine d mor e o r less by size of population. Disraeli die d i n 1881 . Gladstone an d th e Liberal s continue d t o alternate wit h the Conservative s unde r othe r leaders . "Hom e Rule " fo r Ireland , b y wa y o f a separate Iris h legislature , wa s proposed by Gladstone but failed o f passage in 188 6 and agai n i n 1893 . O n th e earlie r occasio n a grou p o f Liberal s le d b y Josep h Chamberlain refuse d t o follow Gladston e i n thi s respect , calle d themselve s "Lib eral Unionists, " an d i n effec t brok e of f fro m th e party . I n 188 8 Lor d Salisbury , the Conservativ e prim e minister , carrie d throug h a n importan t refor m o f loca l government b y replacin g th e appointe d justices o f th e peac e wit h electe d count y councils, th e justices of the peace retaining judicial function s only . I n Salisbury' s third cabinet , organize d i n 1895 , the Liberal Unionist s allied themselves with th e Conservatives, strengthenin g th e element s wedde d t o "Tor y democracy. " Th e Workmen's Compensatio n Ac t o f 189 7 an d a new codificatio n o f factor y law s i n 1901 were th e chief consequences . Chamberlain, wh o was a vigorous supporte r o f suc h domesti c reform , becam e increasingly identifie d wit h th e caus e o f th e empire , whic h ha d becom e steadil y

The Coming of Democracy: Part 2 27 more popular . It s achievement s wer e celebrate d i n Quee n Victoria' s Diamon d Jubilee (th e sixtiet h anniversary , 1897 , o f he r accessio n t o th e throne) ; it s weaknesses wer e expose d i n th e Boe r Wa r (1899-1902) . Th e ol d quee n die d i n 1901, havin g finally succeede d i n makin g th e monarch y popular . Soo n afte r th e war Chamberlai n espouse d a n imperia l preferentia l tariff , an d th e Conservative s divided s o deeply on th e matter tha t th e cabinet ha d to resign. The Liberal s no w swep t int o powe r unde r Si r Henr y Campbell-Bannerman , being confirme d b y a landslid e i n th e 190 6 elections . The y wer e no t th e onl y victors. Th e Labou r Representatio n Committe e ha d bee n forme d i n 190 0 fro m the three-year-old Independen t Labou r party an d the Trades Unio n Congress . It s reception b y organize d labo r wa s cool . However , th e Taf f Val e decisio n b y th e House o f Lord s (th e suprem e judicial body) , declarin g union s t o be legal entitie s capable of being sued, change d th e situation . Th e ne w Labou r party won twenty nine seats , allyin g itself wit h th e Liberal s in power . The ne w Lib-La b alliance , a s i t wa s dubbed , pushe d throug h th e Trad e Disputes Bill, th e Old-Age Pension Law , fre e meal s for schoolchildren , th e eight hour workda y fo r miners , an d othe r measures . Beginnin g i n 1906 , however , th e government an d its majority i n Commons clashed with Lord s and its Conservativ e majority. Firs t th e issu e wa s religiou s test s i n state-supporte d schools ; after tw o or thre e othe r tussles , th e crisi s cam e wit h th e "People' s Budget " o f 1909 , introduced b y the ma n wh o had becom e th e prim e move r of reform, Davi d Lloy d George. I n th e election o f January 191 0 the Liberal s saw their strengt h fal l t o the level of the Conservatives', bu t with Labou r and Iris h Nationalis t suppor t presse d on to the confrontation wit h Lords . The deat h o f Edwar d VII , Victoria' s son , an d th e accessio n o f Georg e V postponed th e showdown , fo r bot h side s wishe d t o giv e th e ne w kin g breathin g space. Common s passe d resolution s t o the effec t tha t Lord s shoul d hav e n o righ t to veto a money bill , tha t an y other bil l shoul d becom e la w afte r bein g passed i n three successiv e session s o f Common s (i f tw o year s ha d elapsed) , an d tha t a parliament shoul d las t n o longer tha n five years. A bill with thos e provisions wa s introduced an d passe d th e Hous e o f Common s i n th e autum n o f 1910 . Afte r Lords rejecte d i t an d anothe r electio n ha d bee n hel d tha t di d no t materiall y change th e balanc e o f politica l forces , th e Parliamen t Bil l wa s passe d agai n b y Commons bu t i n effec t rejecte d b y Lords . Prim e Ministe r Asquit h announce d that th e kin g stoo d read y t o create ne w peers ; severa l hundre d woul d hav e bee n needed. Lord s yielded, an d since then th e upper house has been able only to delay legislation. Othe r welfar e measure s no w followed , includin g healt h an d unem ployment insuranc e an d a minimum-wag e law . A substantia l strik e movemen t occurred i n 1911-12 , despit e all the legal benefits tha t worker s ha d gained . One othe r chang e ha d lon g been sough t b y Liberal s an d reformer s o f variou s

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kinds: paymen t o f member s o f th e Hous e o f Commons . A chancery judge rule d that a certain labo r union , i n Walthamstow , coul d no t be compelled t o subscrib e in order t o pay one of the Labo r members, mos t of whom supporte d themselve s in such manner . Sixtee n member s o f parliamen t los t thei r salaries ; attempt s a t voluntary replacemen t o f th e compulsor y contribution s failed ; an d Common s voted £400 per year t o each member. Clar k comments : The proportion of members of parliament who owed their importance not to eminence in business, o r i n society , o r i n thought , bu t t o sittin g i n parliamen t a t th e wil l o f some paymaster, was growing. There were such members in all parties, and the modern parties themselves were among the paymasters.5 It was an additiona l bi t of evidence abou t th e difficulty i n assurin g democracy, o r more broadl y freedom , b y specifi c politica l devices . Withou t payment , som e abl e people coul d no t affor d t o stand , an d thos e wh o coul d migh t stil l b e tempte d b y corruption i n al l it s forms ; wit h paymen t o f a tolerabl e salary , ther e wer e stil l unavoidable additiona l costs , suc h a s campaign expenses , an d mor e money woul d assure a pleasan t o r luxuriou s life . Finance s coul d no t assur e eithe r wisdo m o r responsiveness t o th e publi c weal . Bu t suc h matter s elude d al l bu t th e subtles t observers. On th e ev e of World Wa r I th e chie f domesti c crisi s wa s ove r Ireland . Hom e Rule ha d bee n Gladstone' s solutio n t o th e Iris h questio n an d th e reaso n fo r hi s failure. Fro m 189 3 t 0 I 912 i * w as a n ide a i n abeyance . Protestan t hostilit y an d fear o f Catholi c rul e ove r Ulste r wer e adde d t o th e oppositio n o f Conservatives . For Liberals , Hom e Rul e ha d bee n a promise t o their Iris h Nationalis t allie s tha t had t o be kept, rathe r tha n a deep concern of their own. The Parliamen t Ac t wa s no w tested . Hom e Rul e passe d th e Common s thre e times, an d despit e rejectio n b y Lord s wa s signe d b y th e kin g an d becam e law . However, a simultaneous ac t postponed it s coming into effect unti l afte r th e war , which ha d broke n ou t som e week s before . Th e ministr y als o promise d tha t a n amendment regardin g Ulste r woul d b e introduce d a t tha t time . Bu t th e postwa r situation overtoo k al l thes e arrangements . A n almos t exactl y identica l legislativ e history attende d th e bil l disestablishin g th e Anglica n churc h i n Wales , bu t th e danger of civil strife ther e wa s insignificant compare d wit h Ireland . World Wa r I had effect s o f all kinds , no t leas t on th e constitutional histor y of Britain an d othe r powers . I t kille d an d maime d man y of th e actua l an d potentia l leaders fro m al l walk s o f life ; n o on e ca n begi n t o asses s ho w differen t thing s might hav e bee n i f thos e sacrifice s ha d no t bee n made . I t als o destroye d th e common peopl e b y th e millio n i n severa l countries . Nevertheless , i n on e respec t it furthere d th e growt h o f fre e societies . I n Clark' s words , "befor e th e wa r wa s over, an d in consequence of the activity of the whole population i n national work , the idea that th e British constitution wa s democratic became firmly fixed." 6

The Coming of Democracy: Part 2 27 Partly i t wa s a questio n o f broadenin g participatio n i n government . Tha t process bega n i n Ma y 1915 , whe n th e Liberal cabine t unde r Herber t Asquit h (prime ministe r sinc e 1908 ) gave way to a coalition cabine t unde r th e prospect of criticism o f th e conduc t o f th e war . Increase d criticis m nonetheles s le d t o Lloyd George's replacin g Asquit h i n Decembe r 1916 . Fo r th e tim e bein g th e extensio n of wa r power s subjecte d th e libertie s o f th e citize n t o sweepin g invasio n an d private industr y an d commerc e t o unprecedente d interference . Th e publi c ac cepted o r eve n demande d suc h action ; the y regarde d i t a s neede d t o bring abou t victory. Meanwhile , however , tw o measures serve d t o move th e Britis h polit y i n a democrati c direction : th e ac t tha t brough t al l childre n int o full-tim e schoolin g from th e age s of five to fourteen, an d th e refor m tha t gav e th e vot e t o almost al l males (six months' residenc e wa s the minimum requirement ) an d most females . At the en d of World Wa r I the party alignmen t changed . Th e Liberal s spli t a s Lloyd Georg e actuall y supporte d som e Conservativ e candidate s t o kee p promises he had made for th e sak e of coalition. Th e coalitio n wo n th e election o f 1918 ; the dissident win g o f th e Liberals , le d b y Asquith , no w refuse d t o suppor t th e government, bu t Labou r outpolle d the m and , wit h fifty-nine seats , becam e th e official opposition . In Britain , a s in other Western countries , ther e was an amazingly swif t retur n of prewar condition s i n man y respects , bu t endin g government control s o f industry coul d no t b e carried ou t quit e s o easily a s demobilization o f the arme d forces . State contro l o f th e mine s an d railroad s wa s terminate d i n 1921 , but th e govern ment continue d t o regulat e an d intervene . Th e previousl y operativ e principl e o f unanimity i n th e cabine t wa s give n u p i n 1932 , whe n minister s dissentin g fro m the position just take n o n import duties were give n th e righ t t o speak their mind s on th e subjec t withou t resigning . I n 192 8 th e suffrag e fo r wome n wa s give n t o those between twenty-on e an d thirt y (th e previous age requirement). Ireland wa s lost , excep t fo r th e north . Th e Sin n Fei n part y le d th e so-calle d Easter Rebellio n o f April 1916 , organized a parliament o f their own, an d declare d Irish independence . Th e Britis h Parliamen t passe d Governmen t o f Irelan d Act , which se t up two legislatures, on e for th e sout h an d one for th e north. Th e latte r began t o function i n Ma y 1921 ; the Sin n Feiners , havin g won almos t al l seat s i n the election s i n th e south , forme d thei r ow n legislativ e body . Th e Britis h ac cepted Dominio n statu s fo r a n Iris h Fre e State , whic h wa s in effec t independen t from th e tim e th e constitutio n passe d b y th e Dai l Eirean n wen t int o effec t i n December 1922 . Mos t o f Ulste r refuse d t o g o alon g an d retaine d it s link s wit h Britain. In Octobe r 192 2 Lloy d Georg e wa s deserte d ove r th e Greco-Turkis h Wa r b y Conservative supporter s o f th e coalition , an d a n electio n brough t i n a Conserva tive ministry unde r Stanle y Baldwin . Hi s decision t o plump for a protective tarif f

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lost th e part y seats , an d th e Labou r part y wa s propelle d int o powe r fo r th e first time unde r Ramsa y MacDonald . Bu t i n les s tha n a yea r th e possibl y (bu t no t certainly) forge d "Zinovie v letter, " i n whic h th e Cominter n urged revolutio n o n Britain, le d t o their defea t i n anothe r election , an d th e retur n o f Baldwin fo r th e period 192 4 to 1929 . In Ma y 192 9 Labou r wo n a plurality o f seat s i n Common s fo r th e first time , 287 a s agains t th e Conservatives ' 26 1 an d th e Liberals ' 59 . Ramsa y MacDonal d returned a s prim e ministe r fo r tw o year s an d then , whe n th e cabine t fel l a s a result o f th e Grea t Depression , heade d a coalition ministr y o f th e thre e parties . However, thi s gambit spli t Labour ; MacDonal d ha d to yield to Baldwin a s head of the coalitio n i n 1935 , the n Baldwi n t o Nevill e Chamberlai n i n 1937 , Chamber lain t o Winston Churchil l i n 1940 . The coalitio n laste d t o 1945. During th e interwa r perio d th e interna l organizatio n o f Britai n wa s littl e affected wit h regar d t o politica l machinery , bu t on e importan t chang e occurre d outside it . I n th e word s o f Pau l Johnson , Britai n ha d n o constitutiona l bil l o f rights, bu t had instead the Common Law tradition, arbitrated by the judges, which effectively uphel d rights o f libert y an d propert y an d was , indeed , th e lega l framewor k withi n whic h th e British created the first moder n industrial society. This continued t o function throughou t the nineteenth century as an effective lega l setting for industrial enterprise. 7 The labo r unions , however , b y creatin g th e Labou r part y acquire d sufficien t power t o make a sizable dent i n th e Commo n La w balance. Th e Trad e Dispute s Act o f 190 6 ha d give n union s complet e immunit y fro m civi l actio n fo r damages ; "such immunit y existe d nowher e els e i n th e West. " Th e lega l schola r A . V . Dicey declared , "I t make s a trad e unio n a privilege d bod y exempte d fro m th e ordinary la w o f th e land. " Thereafte r ther e wer e effort s t o abridg e th e specia l statutory statu s o f unions , bu t th e latte r struc k heav y blows a t Conservativ e an d Labour governments alik e right u p to 1979. The Britis h fough t Worl d Wa r I I wit h somethin g lik e th e sam e stat e control s as i n th e first War , bu t afterwar d di d no t dismantl e the m i n th e sam e manner , since Labou r wo n th e 194 5 electio n an d proceede d t o nationaliz e severa l indus tries an d mode s o f transportation . Th e prewa r libertie s o f speech , press , an d assembly, however , returned , an d election s remaine d free . Th e welfar e stat e was introduced, chiefl y b y Labour . Fre e medica l car e wa s extende d t o th e entir e population (indee d fo r man y year s t o foreigner s howeve r briefl y presen t i n th e country); i n 194 4 fre e secondar y educatio n wa s provided , wit h th e raisin g b y stages o f th e ag e of compulsor y schoo l attendanc e t o sixteen . Successiv e Labou r and Conservativ e government s nationalize d an d denationalize d industrie s an d enterprises. Th e econom y deteriorate d a s th e Empir e disintegrated , whethe r o r

The Coming of Democracy: Part 2 27 not a s a result , an d th e immediat e postwa r year s wer e gri m ones . Immigration , especially fro m th e Wes t Indie s an d sout h Asia , raise d th e nonwhit e populatio n to two million; many filled jobs whites were reluctan t t o take. What seeme d a n abortiv e attemp t a t party realignmen t occurre d i n th e 1980s . A group disgruntled a t Labou r leftis m lef t t o form a Socia l Democrati c party . I n mid-1987 i t merge d wit h th e remnan t o f the once-powerful Libera l party t o for m the Socia l an d Liberal Democrats , bu t a factio n followin g Dr . Davi d Owe n opposed the merger an d remained outsid e it. Thu s instead of the hoped-for stron g third part y there were, i n earl y 1990 , tw o weak ones. The election s o f 195 1 returne d t o power th e Conservative s unde r Churchill , now seventy-seven . H e resigne d an d wa s succeede d i n tur n b y Anthon y Eden , Harold Macmillan , an d Si r Ale c Douglas-Hom e (wh o gav e u p hi s peerag e t o become prime minister) . I n 196 4 Harold Wilso n becam e hea d of the first Labou r cabinet sinc e 1951 ; in 197 0 th e Conservative s wer e bac k unde r Edwar d Heath . After a period of Labour prim e ministers fro m 197 4 to 1979 , Margare t Thatcher , the first British woma n t o head th e government, too k office . Thatcher soo n becam e th e mos t unpopula r prim e ministe r i n th e histor y o f British polling , but , afte r sendin g armed force s t o defeat Argentin a i n it s attemp t to seiz e th e Falklan d Islands , sh e rockete d t o a pea k o f popularity . Sh e too k a hard-line free-marke t positio n o n severa l issues , thoug h retainin g th e welfar e state. Sh e di d muc h t o restor e industria l productivit y an d competitiveness , an d the arriva l b y 197 7 o f enoug h Nort h Se a oi l t o satisf y hal f o f Britain' s need s helped t o improve th e economi c situatio n substantially , beginnin g in th e sout h of England. Thatche r wo n th e election s o f 198 3 an d 1987 . Th e reig n o f Elizabet h II, beginnin g in 1952 , deepened popula r approva l fo r th e monarchy whil e leavin g it without significan t power . The consensu s o f th e Britis h peopl e seeme d befor e 197 9 to "hav e joined Tor y paternalism wit h Labou r commitmen t t o the regulator y state," 8 to have settled on a mixe d econom y (wit h bot h privat e an d state-owne d sectors , th e forme r out weighing the latter) in a free polity , wit h universa l suffrag e determining , throug h the decisiv e powe r veste d i n th e Hous e o f Commons , th e makin g of law s fo r th e nation. Thatche r challenge d tha t consensu s t o th e exten t tha t sh e strov e t o reduce sharpl y th e governments rol e in th e economy. Ho w far sh e would succeed remained uncertain . I n an y case British freedo m appeare d firm and secure . Steps toward European Unity The postwa r movemen t towar d th e unit y o f Wester n Europ e bega n wit h th e formation i n 195 1 of the Coa l and Stee l Community—composed o f France, Wes t Germany, Italy , Belgium , th e Netherlands , an d Luxembourg . Afte r th e pla n fo r

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a Europea n Defens e Communit y (linke d wit h on e for a European Politica l Com munity) ha d bee n rejecte d b y the Frenc h parliamen t i n Augus t 1954 , a differen t approach wa s taken . I n 195 7 the Treat y o f Rome, signe d b y the sam e si x nation s as belonge d t o Coa l an d Steel , forme d th e Europea n Economi c Communit y (EEC). I t envisage d a common marke t fo r bot h industr y an d agricultur e a s wel l as fre e movement o f people , capital , an d goods . I n 197 3 Britain , Ireland , an d Denmark joined ; i n 1981 , Greece ; i n 1985 , Portuga l an d Spain . Others , i t wa s rumored, wer e getting ready to apply. The EE C ha s remaine d intergovernmental , wit h a Council of Ministers an d a Permanent Commission , excep t fo r a European Parliament , directl y electe d firs t in 1979 . Th e goa l o f remova l o f al l barrier s t o fre e trad e an d fre e movemen t o f capital an d peopl e wa s proclaime d fo r 1992 . Afte r th e Europea n Atomi c Energ y Community (Euratom ) wa s also formed i n 1958 , the thre e (Coa l and Steel , EEC , and Euratom ) were referre d t o as simply the Europea n Communitie s (EC) . Thei r leading figures clearl y hope d tha t the y wer e precursor s o f a political unio n tha t would includ e th e Wes t Europea n countrie s an d eventuall y som e fro m th e Eas t as well. The United States of America. Washingto n ha d bee n electe d an d (i n 1792 ) re elected b y unanimou s vot e o f th e Electora l College , bu t i n th e latte r yea r Joh n Adams wa s challenge d a s vice-president , an d hi s margi n wa s only seventy-seve n to fifty. Th e divisio n o f th e politicall y intereste d int o tw o parties tha t ha d take n shape a t th e tim e o f th e ratificatio n o f th e Constitutio n continue d wit h change s in th e electio n o f 1796 , th e first tim e a clear-cu t contes t betwee n tw o partie s occurred fo r th e presidency . The Federalists , whos e ables t leade r wa s now Alexander Hamilton , neverthe less nominate d Joh n Adams , an d thei r opponents , rallyin g roun d Thoma s Jeffer son, calle d themselve s Republican s an d nominate d hi m a s thei r candidate . A s representatives o f th e commercia l Northeast , th e Federalist s leane d i n th e direction o f a stronge r centra l governmen t an d a conciliatory attitud e towar d Britain ; the Republicans , representin g th e agricultura l Sout h an d West , defende d states ' rights an d showe d sympath y fo r Franc e an d it s Revolution . Th e elector s wer e required b y th e Constitutio n t o vot e fo r tw o person s fo r president , th e on e receiving th e highes t numbe r becomin g presiden t an d th e runner-u p vice-presi dent. Thus , sinc e Adam s receive d seventy-on e vote s an d Jefferso n sixty-eight , Jefferson becam e Adams's vice-president, an d the two opposing parties shared th e highest offices . Sixtee n state s voted : i n six , th e popula r vot e chos e th e electors ; in th e other te n th e legislatures mad e the selection . During th e undeclare d wa r o f 179 8 with Franc e th e Federalist s pushe d throug h Congress thre e measure s calle d th e Alie n an d Seditio n Acts , aime d a t a numbe r

The Coming of Democracy: Part 2 28 of newl y arrive d Frenchme n an d thei r Republica n supporter s alike . Man y wer e indicted, fe w brough t t o trial an d convicted. Republican s probably benefited fro m public disapprova l o f infringement—eve n thoug h i n fe w cases—o f fre e speec h by th e dominan t Federalists . Moreover , th e so-calle d Kentuck y an d Virgini a Resolutions, brough t forwar d b y Jefferson an d hi s collaborato r Jame s Madison , were passe d b y th e tw o states ' legislature s concerned : the y denounce d th e thre e acts an d affirme d i t a s a prerogative o f th e state s t o decide whe n a Congressiona l enactment violate d th e Constitution . The Federalist s wen t dow n t o defeat i n 1800 , sixty-fiv e t o seventy-three. Hal f of th e states , eigh t ou t o f sixteen , no w chos e elector s b y popula r vote , hal f b y legislatures. Republican s capture d bot h house s of Congress. However , th e presi dency wa s decide d onl y afte r a curious minuet . Jefferso n an d hi s runnin g mate , Aaron Burr , receive d a n equa l number o f votes, s o the Hous e of Representatives , strongly Federalist , ha d t o decide betwee n them . Afte r thirty-fiv e ballot s Hamil ton urged th e choic e o f Jefferson ; h e disagree d wit h Jefferso n bu t suspecte d Burr's ethics—justifiably , a s i t turne d out . Jefferso n becam e president . Th e Republicans hastene d t o amend th e Constitutio n s o that th e elector s shoul d vot e separately fo r president an d vice-president . The Federalists , u p to the very night befor e Jefferso n wa s inaugurated, strov e to fix their dominanc e i n th e court s b y th e Judiciar y Ac t o f 1801 , creating ne w courts an d ne w judgeships an d filling them wit h me n sympatheti c t o their party . The ac t wa s modifie d bot h i n lette r an d spiri t b y th e Republicans , an d man y o f the judges wh o had been give n "midnigh t appointments " wer e left withou t salar y or duties. However, on e o f them , name d Willia m Marbury , ha d faile d t o receiv e hi s commission an d wen t t o th e Suprem e Cour t t o ge t it . Chie f Justic e Marshal l declared tha t Congres s i n grantin g th e Cour t th e authorit y t o issue suc h writ s a s Marbury sough t ha d passed a law violating the Constitution. Thu s i n Marbur y v. Madison (1803) , th e Cour t establishe d th e doctrin e o f judicial review . I t hel d that th e Cour t ha d th e powe r t o declare law s unconstitutional , an d proceede d t o do just tha t i n th e cas e o f th e la w i n question . Ther e wer e precedent s fo r suc h action; still , thi s rul e "place d i n th e hand s o f th e Suprem e Court s o f th e Unite d States a degree of authority not then enjoye d b y any similar body of men anywher e else on earth." 9 Fe w judicial bodie s have matched thi s power sinc e then . The Republican s the n sough t a remedy fo r applicatio n o f th e ne w doctrin e o f judicial revie w (eve n thoug h i t ha d i n th e 180 3 cas e operate d t o frustrat e thei r Federalist enemies) . They sough t to impeach a n associate justice for partisanship , and the n unwisel y adde d othe r charges . Th e Senat e refuse d t o convict him , an d the preceden t wa s establishe d tha t a ma n coul d no t b e impeache d fo r anythin g for which h e could not also be indicted .

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The purchas e o f Louisian a i n 1803 , fo r a paltr y $1 5 millio n approximately , yielded t o th e Unite d State s somethin g lik e a fourt h o f wha t cam e t o b e it s continental area . Th e territor y ha d been French , Spanish , an d agai n French . A t the outset, therefore , Jefferso n appointe d th e officials a s th e Europea n monarch s had don e before , bu t tha t practic e laste d onl y a short time . Aaro n Bur r switche d parties t o becom e a Federalist , becomin g involve d wit h a successio n o f scheme s to break of f par t o f th e countr y i n th e Nort h o r West; hi s plot t o become hea d of an independen t Louisian a le d to his tria l before Chie f Justice Marshal l on circui t duty. H e wa s acquitted , afte r a n actio n tha t sa w a n affirmatio n o f bot h th e executive's an d th e judiciary's prerogatives . Jefferson wo n reelectio n b y a landslide i n 180 4 against Federalist s discredite d by one of Burr's plots , bu t h e declined t o run fo r a third ter m an d was succeede d by James Madison . Britai n continuall y interfere d wit h America' s seaborn e trad e during th e Napoleoni c Wars , an d tw o groups o f militant s aspire d t o expand int o territories in Europea n possession: Canada, owne d by Britain, an d Florida, owne d by Spain . I n th e Wa r o f 181 2 Madiso n too k th e sid e o f th e "Wa r Hawks " an d was reelected b y a combination o f the West an d Sout h agains t th e North . The expansionist s faile d t o annex Canad a o r Florida , bu t th e wa r ha d impor tant economi c an d socia l consequences : commerc e wa s greatl y damage d befor e and durin g th e fighting, importatio n o f foreig n good s declined dramatically , an d manufacturing benefite d b y transfe r o f capital , i n Ne w Englan d an d th e Middl e Atlantic state s especially . Correspondingl y th e inventio n o f th e cotto n gi n mad e cotton growin g profitable , leadin g t o th e plantatio n syste m i n th e Sout h an d a great increas e i n th e numbe r o f blac k slave s wh o mad e i t run . Growt h o f th e woolen industr y le d t o more shee p raisin g i n th e bac k countr y o f th e North . I n general greate r America n economi c self-sufficienc y cause d diminishe d contac t with Europ e an d heightened concer n wit h th e West . Madison no w le d Congres s t o establis h a reliabl e arm y an d navy , a ne w national ban k an d currency , a national syste m o f roads an d canals , an d a protective tariff. Thu s th e Republican s seeme d t o shift towar d th e Federalis t doctrine s Jefferson ha d onc e opposed ; th e Federalist s themselve s dwindle d t o a shado w o f their ol d strength . Th e Republica n Jame s Monro e swep t th e election o f 181 6 but remained uneas y a t the progress of the new nationalisti c sentiments . Chief Justic e Marshall , wh o ha d bee n th e lonel y Federalis t (thoug h h e man aged t o swa y hi s fello w justice s b y hi s magnetis m an d learning ) durin g severa l Republican presidencies , no w foun d himsel f close r t o the mainstrea m a s it (s o to speak) veere d hi s way . Th e Cour t cam e t o b e recognize d a s a n institutio n o f fundamental importance , abl e t o overrid e no t onl y lowe r federa l court s bu t als o state court s an d t o declare invali d th e action s o f state governor s an d legislatures . The bas e assumption , state d explicitl y i n McCulloc h v . Marylan d (1819) , wa s

The Coming of Democracy: Part 2 28 that th e governmen t o f th e Unite d State s "i s emphatically , an d truly , a govern ment of the people," emanating from th e people and not from th e states . The governmen t wa s indee d on e o f law s an d no t o f men , i n theor y an d mor e often tha n no t i n practice ; an d b y th e Court' s decision s th e law s protectin g private property were construed broadl y and firmly, in days when private propert y was muc h mor e widel y distribute d tha n late r on . Suffrag e wa s extende d t o al l adult male s i n th e ne w wester n state s a s the y wer e admitte d t o th e Union , an d soon the older seaboar d state s followed suit— a dramati c example of the influenc e of th e frontier . I n al l thes e respect s American s migh t justifiably clai m tha t "th e political syste m o f th e allie d power s i s essentiall y differen t . . . fro m tha t o f America," a fac t adduce d i n th e Monro e Doctrin e (tha t is , th e messag e o f th e president o f Decembe r 182 3 that acquire d tha t name ) a s th e reaso n fo r opposin g any extension o f European rul e in th e Ne w World . The Northwes t Ordinanc e of 178 7 had established procedure s by which newl y settled land s coul d becom e states . Fro m the n unti l 181 2 onl y five state s wer e added t o th e origina l thirteen : Vermont , Kentucky , Tennessee , Ohio , an d Loui siana. However , admissio n the n speede d up : from 181 6 to 182 1 Indiana , Missis sippi, Illinois , Alabama , Maine , an d Missour i followed . Ther e wa s n o longe r serious dange r fro m th e Indians ; th e economy , th e population , an d th e self confidence o f America n white s al l gre w rapidly . Par t o f th e economi c expansio n was of the cotton-growing plantation system , whic h carrie d slaver y along with it . The slav e trad e ha d bee n ende d b y law i n 1808 . All norther n state s abolishe d slavery o r too k measure s designe d t o terminat e it , an d souther n state s seeme d poised t o do the sam e when cotto n growin g was revolutionized throug h th e cotto n gin. When th e admission of Missouri was requested, ther e were eleven free state s and eleve n slav e state s an d therefor e a n equa l numbe r o f senator s fro m eac h group. Th e balanc e o f populatio n wa s differen t an d wa s widening : i n 182 0 th e free state s ha d 12 3 member s o f th e Hous e o f Representative s whil e th e slav e states ha d onl y 89 , partl y becaus e th e origina l Constitutio n i n a curious compro mise ha d provide d tha t five slave s counte d a s onl y thre e me n i n apportionin g seats. The proble m o f Missour i occasione d a constitutiona l crisis . Afte r prolonge d debate and consideration of several different solutions , th e upshot was that Main e and Missour i wer e admitted , th e forme r a s a free an d th e latte r a s a slave state , keeping th e balanc e even . However , al l th e territor y i n th e Louisian a Purchas e north o f 36°3o ' othe r tha n Missour i wa s t o b e foreve r free . I n th e sam e yea r Florida, i n mos t o f which la w an d orde r ha d virtuall y broken dow n a s a result of the weaknes s o f Spanis h rule , passe d t o th e Unite d State s b y agreemen t wit h Madrid, followin g a n expeditio n i n pursui t o f warrin g Indian s unde r Genera l Andrew Jackson .

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In 182 0 Monro e wo n reelectio n wit h th e vote s o f al l elector s bu t one , an d i n 1824 th e Federalis t part y ha d cease d t o be a factor i n America n politics . I n tha t year fou r Republican s stoo d fo r th e presidency : th e so-calle d "Virgini a dynasty " from whic h al l president s bu t on e ha d com e wa s represente d b y Willia m H . Crawford; Joh n Quinc y Adams, Henr y Clay, an d Andrew Jackson were perceived as candidates of the Northeast an d (the latter two ) West respectively . Adams , th e brilliant an d cosmopolita n aristocrat , wo n afte r Clay , force d ou t o f th e rac e b y coming i n fourth , thre w hi s suppor t t o th e Ne w Englander . Th e Republican s now split . Supporter s o f th e Adam s administratio n cam e t o b e calle d Nationa l Republicans; adherents of Jackson too k the name Democrats . In 182 8 Jackson trie d agai n an d won , partl y becaus e th e suffrag e ha d broad ened i n th e ol d state s an d wa s universa l fro m th e firs t i n th e ne w ones , partl y because more of the ordinary men were exercising their righ t t o vote, and Jackson was a ma n o f th e "people " quit e ignoran t o f publi c affairs . I n mos t state s constitutional convention s hel d i n th e thre e decade s followin g 182 0 extende d democracy b y makin g mor e official s electiv e bu t placin g limit s o n th e power s o f legislatures. Thoug h Virgini a an d Nort h Carolin a abandone d a franchis e base d on ownershi p o f propert y onl y i n th e 1850s , universa l suffrag e prevaile d i n al l other state s muc h earlie r (th e state s prescribe d condition s fo r voting , no t th e federal government) . A s fo r th e presidency , b y 182 8 onl y Delawar e an d Sout h Carolina entruste d th e choic e o f elector s t o th e legislatures ; al l other s use d popular vote. The electio n o f Jackson wa s the doing of the West, th e South , an d substantia l anti-Adams sentimen t i n th e Northeast . I t looke d a s i f th e da y o f th e commo n man ha d arrived : a "nois y an d disorderl y rabble " celebrate d th e inauguratio n i n unrestrained fashion , an d Jackson's appointment s t o the cabinet an d other office s drew o n me n deservedl y unknow n t o th e educate d an d politicall y concerne d public. Moreover , h e introduced th e "spoil s system" in th e sens e that h e too k th e previous practice of occasional appointmen t of men who were politically congenia l and ha d rendere d significan t favor s i n th e electora l campaigns , an d elevate d i t into a broadly applie d principle . Jackson use d th e fac t tha t h e ha d a n unprecedente d popula r mandat e t o support hi s extensio n o f th e power s o f th e presidency . H e cas t man y vetoe s an d was the first to employ the "pocke t veto," which was provided by the Constitutio n and enable d a presiden t t o kil l a bil l passe d i n th e closin g day s o f a sessio n o f Congress by declining to sign it . He als o worke d fo r th e passag e o f law s h e desire d an d thre w hi s weigh t effectively ont o one side of the growin g sectional conflict . Thi s tangl e pitted Joh n C. Calhou n an d th e doctrin e o f nullificatio n (tha t an y stat e coul d declar e an y federal la w of no effect withi n it s borders) against Danie l Webster , spokesma n of

The Coming of Democracy: Part 2 28

5

the Northeas t an d nationalism . Jackson , an d indee d th e West , cam e dow n o n th e latter side . A confrontatio n i n 1832-3 3 betwee n a convention calle d b y th e Sout h Carolina legislature , whic h announce d nullificatio n o f tw o tarif f laws , an d th e presidency wa s settle d b y a compromis e pilote d throug h b y Henr y Clay , bu t th e issue woul d recur . Jackson als o cam e int o conflic t wit h th e Ban k o f th e Unite d States , th e secon d institution o f th e sort , chartere d i n 1.816 . I n 183 2 Jackso n wa s overwhelmingl y reelected. T h e electio n wa s o f specia l interes t becaus e i t wa s th e first i n whic h national nominatin g convention s chos e th e presidentia l an d vice-presidentia l can didates. I n thi s regar d th e tw o majo r partie s followe d th e lead , oddl y enough , o f the first organize d thir d part y i n America n history , th e Anti-Masoni c party . Jackson no w returne d t o th e assaul t o n th e bank . Togethe r wit h overexpansio n and reckles s borrowin g o n th e par t o f th e West , Jackson' s mishandlin g o f publi c finance i s ofte n cite d a s th e caus e o f a boo m a s wel l a s th e bus t tha t becam e known a s th e Pani c o f 1837 . T h e oppositio n t o Jackso n too k th e nam e o f 'Whigs/ ' bu t wer e unabl e t o organize a unite d party . Si x me n receive d electora l votes , bu t th e majorit y wen t to Jackson' s chose n successor , Marti n Va n Buren . Hi s administratio n suffere d from th e depressio n tha t bega n befor e h e wa s inaugurated , an d th e Whig s mad e the mos t o f thei r opportunity . Wit h thei r candidate , th e wa r her o Genera l William Henr y Harrison , the y swep t th e Electora l College . H e die d afte r on e month i n office , an d th e Southerne r Joh n Tyle r succeede d him . Whi g disunit y finally le d t o Tyler' s bein g rea d ou t o f th e part y a t th e instanc e o f Henr y Clay . But recover y ha d se t in ; th e pani c ha d undermine d th e labo r union s tha t ha d jus t begun t o flourish, an d the y di d no t regai n thei r strengt h fo r som e time . Free publi c school s sprea d fro m th e 1830 s on, s o that b y th e 1860 s the y existe d in mos t o f th e Nort h thoug h no t i n th e South . Fre e wa s no t th e sam e a s universal ; it i s estimate d tha t one-fourt h o f th e whit e childre n o f th e Nort h wer e i n suc h schools b y th e tim e o f th e Civi l Wa r an d onl y one-tent h o r s o i n th e South . T h e churches retaine d thei r predominan t influenc e o n education , bot h highe r an d lower. A t tha t stag e o f th e histor y o f th e Unite d States , Christianit y an d fre e political institution s seeme d t o b e closel y linke d t o eac h other . D e Tocquevill e observed: Liberty regard s religio n a s its companion i n al l its battles an d its triumphs,—as th e cradl e of its infancy , an d th e divine sourc e of its claims . I t consider s religio n a s th e safeguar d o f morality, an d moralit y a s the bes t securit y o f law, an d th e sures t pledg e of the duration o f freedom. . . . I 0 T h e observatio n reflecte d hi s genera l view s bu t als o wha t h e sa w i n Americ a a t that time . I n th e Jacksonia n era , whe n equalit y ha d abruptl y approache d realiza -

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tion, h e wa s fearfu l les t th e libert y an d als o th e democrac y tha t h e foun d i n th e United State s degenerate int o an autocrati c system . H e warned of his belief "tha t it i s easie r t o establish a n absolut e an d despoti c governmen t amongs t a people i n which th e conditions of society are equal, tha n amongs t an y other. . . . " n In th e middl e o f th e nineteent h centur y a crisi s supervene d i n America n history tha t seeme d t o threate n th e en d o f freedom . However , th e dange r ap peared t o have little t o do with a n exces s of equality; rather , a crucial facto r wa s the gros s inequalit y t o b e foun d i n th e institutio n o f slavery . Moral , legal , an d political argument s wer e mobilized on both sides . The economi c factor wa s and is in dispute . T o thi s day it i s unclear whethe r slaver y was economically profitable , or a t an y rat e mor e s o tha n th e us e o f fre e labor ; i t i s no t eve n clea r tha t mos t Southerners believe d i t t o be so . T o be sure , th e South' s virtua l monopol y of th e world's cotton market produced grea t prosperity, an d it seemed economically risk y to chang e th e organizatio n o f th e productio n o f Kin g Cotton , a s i t cam e t o b e called. Nevertheless , eve n greater profit s migh t be accessible if there wa s chang e —or s o some thought . In 184 4 forme r Presiden t Va n Bure n wa s passed over ; instea d th e Democrat s chose James K . Polk . Hi s opponent wa s Henr y Clay , th e Whi g choice. Pol k wo n on a platfor m favorin g annexation—o f Texas , whic h ha d bee n independen t o f Mexico sinc e 1836 , an d b y extensio n an d implicatio n th e whol e regio n wes t t o the Pacific . I t no w consiste d o f two parts: first wa s the Orego n country , nort h of the forty-secon d parallel , concede d t o the Unite d State s b y th e 181 9 treaty wit h Spain, an d sout h o f 54°4o' , concede d t o Britai n b y agreemen t wit h Russi a (th e owner o f Alask a fro m th e tim e o f Bering' s voyag e of 1741) . Th e entir e are a wa s under join t occupatio n o f Britai n an d th e Unite d States . B y treat y i t wa s no w divided, i n 1846 ; the 49 0 boundary was extended t o the Pacific Ocean , bu t Britai n received al l of Vancouver Island . Th e secon d part wa s the (Mexican ) Southwest . In 184 6 war brok e ou t wit h Mexico , an d b y the Treat y o f Guadalupe Hidalg o in 1848 the Ri o Grande became th e boundary . The "manifes t destiny, " a s one statesma n woul d hav e it , o f th e Unite d State s was accomplished i n th e sens e tha t (wit h th e triflin g exceptio n o f a bit of land i n Arizona) th e 1990 s boundarie s o f th e contiguou s territor y o f th e Unite d State s had bee n reached . Th e realizatio n o f tha t "destiny " a t Mexico' s expens e di d no t please som e Americans , an d th e treatmen t o f th e Indian s wh o inhabite d th e plains of the interio r trouble d many . Repentanc e o f those deeds was considerabl y delayed, an d ofte n announce d b y men othe r tha n thos e who originally committe d or legitimized them . Influenced b y British move s toward fre e trade , Pol k led the lowering of tariffs . Finally, h e an d Congres s face d th e questio n o f ho w th e enormou s ne w annexa -

The Coming of Democracy: Part 2 28 tions woul d affec t slavery . A substantia l bod y o f opinio n wishe d t o ba n slaver y throughout th e ne w territories , bu t di d no t prevail . Th e balanc e o f Nort h an d South i n th e Senate , whic h ha d existe d sinc e 1820 , would be tipped th e momen t a fre e stat e wa s newl y admitte d (th e inhabitant s o f a territory wer e stil l assume d to have the righ t t o decide between slaver y and its prohibition). In 184 8 a her o o f th e Mexica n War , Genera l Zachar y Taylor , a s th e Whi g candidate face d th e Democra t Lewi s Cass—an d the n als o th e antislaver y grou p that organize d a s th e Fre e Soi l part y wit h Va n Bure n a s thei r candidate . Th e split amon g the Democrat s thre w th e electio n t o Taylor, bu t th e Fre e Soiler s ha d won impressiv e victorie s too . No w th e questio n o f admitting ne w state s coul d b e postponed n o longer . Californi a an d Ne w Mexic o clamore d fo r entranc e a s fre e states. In th e length y an d intricat e process tha t produce d th e so-calle d Compromis e of 1850 , Californi a wa s admitte d a s a fre e state ; a stric t fugitive-slav e la w wa s passed t o conciliate th e South ; th e slav e trade , bu t no t slavery , wa s abolishe d i n the Distric t o f Columbia . Presiden t Taylor , wh o inexplicabl y oppose d th e Com promise, die d an d hi s successor , forme r Vice-Presiden t Millar d Fillmore , signe d the five bill s tha t mad e i t up . Fo r th e momen t bot h Nort h an d South , despit e some stron g opposition , accepte d it . Th e age d Henr y Cla y ma y deserve th e mos t credit. In th e electio n o f 185 2 th e Democrati c candidate , Frankli n Pierce , carrie d twenty-seven state s t o fou r fo r th e Whi g candidate , Genera l Winfiel d Scott . Pierce supporte d th e Compromis e wholeheartedly ; Scott' s positio n wa s ambigu ous. Bu t th e nation's verdic t wa s clear, an d th e Whig party fell apar t a s a result. The dislocation s an d ill s of the Industria l Revolution , th e Iris h potat o famine , and the Revolutions of 184 8 sent masses of Irishmen, Germans , an d others acros s the Atlantic ; an d antiforeig n feelin g produce d a ne w politica l part y calle d th e Know-Nothings, fro m th e stoc k answe r give n b y one o f the m t o queries ho w h e would vote . Bu t th e issu e o f slaver y elbowe d antiforeignis m aside . Th e ma n wh o did mos t t o precipitat e a showdow n wa s Senato r Stephe n A . Douglas . H e au thored th e Kansas-Nebrask a Ac t i n 1854 , whic h woul d hav e created ne w territo ries wit h thos e tw o name s fro m whic h state s coul d b e forme d a s eithe r slav e o r free, dependin g on th e wishes of the inhabitants . The resul t wa s dramatic. I n th e Nort h al l three parties—Democrats , Whigs , and Know-Nothings—divide d sharpl y ove r th e Act , whil e i n th e Sout h al l thre e united solidl y i n it s favor . Ou t o f th e tota l disarra y amon g th e ol d partie s wa s born a ne w Republica n party , usin g a n ol d an d honore d nam e i n th e change d context. Th e Whig s disappeared; i n th e Sout h man y of them becam e Democrats , but th e Norther n Whig s wit h fe w exception s wen t int o th e ne w party . In th e

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election o f 185 6 the Democrats, abandonin g Pierce for James Buchanan, ministe r to England , defeate d th e overconfiden t Republican s wh o ha d name d Joh n C . Fremont. The countr y wa s plainly slidin g toward a crisis. Th e Suprem e Cour t delivere d a dubiou s decisio n i n th e Dre d Scot t case , thu s strengthenin g th e caus e o f slavery. Buchana n attempte d t o brin g clearl y antislaver y Kansa s int o th e Unio n as a slav e state . Th e so-calle d Pani c o f 185 7 deepene d popula r dissatisfactio n with th e federa l government , whic h seeme d powerles s t o restor e amity . A ne w leader emerge d i n Illinois , Abraha m Lincoln , wh o wo n th e Republica n nomina tion an d i n i86 0 defeated thre e opponents : Stephe n A . Douglas , wh o had beate n him i n a Senat e rac e i n 1858 ; Joh n C . Breckenridge , candidat e o f th e "fire eaters"; an d Joh n Bell , whos e supporter s wer e th e remnant s o f th e Whig s an d Know-Nothings. When Lincoln' s electio n becam e known , th e Souther n state s seceded , begin ning with Sout h Carolina . The y als o united, t o become the Confederat e State s of America, instea d o f becomin g individuall y independent . A Britis h write r ob serves: "I t seeme d wise r t o federate , a s i t ha d seeme d wis e t o thos e earlie r Founding Father s o f 1776 : in adoptin g thi s cours e th e Southerner s showe d how , in spit e o f everything , the y wer e stil l intensel y American." 12 Th e constitutio n they adopte d wa s closel y modele d o n th e Constitutio n o f th e Unite d States . I t was submitte d i n Marc h 186 1 an d i n Apri l wa s ratifie d b y al l seve n state s tha t had seceded : Sout h Carolina , Mississippi , Florida , Alabama , Georgia , Louisiana , and Texas (i n order of secession). The Nort h hesitated , a t first incredulou s an d conciliatory ; Lincol n a t hi s inauguration urge d Souther n retur n t o th e Union . Bu t a n inciden t o n 1 2 April 1861, a t For t Sumter , Sout h Carolina , jus t of f Charleston , cam e whe n opinio n was hardenin g o n bot h sides . Th e resul t wa s th e outbrea k o f th e Civi l War . Secession followe d i n Virgini a (whos e capital , Richmond , no w becam e als o th e Confederate capital) , Arkansas , Nort h Carolina , an d Tennessee. Th e Nort h hel d the othe r states , an d durin g th e wa r admitte d Kansa s (1861) , Wes t Virgini a (forty-six wester n countie s o f Virgini a tha t brok e away , 1863) , an d Nevad a (1864). Despite th e greate r populatio n an d resource s o f th e North , th e Sout h hel d o n for fou r years , fo r severa l reasons : it ha d a great genera l i n Rober t E . Lee , whil e Lincoln sough t i n vai n fo r a comparabl e commander ; th e Sout h neede d onl y t o defend, th e Nort h t o try t o put down wha t i t regarde d a s a rebellion an d conque r largely hostil e territory ; th e Confederac y wa s tryin g somethin g new , an d man y rallied t o its cause with enthusiasm . But th e Sout h als o had weaknesses . Th e Norther n blockag e by cutting cotto n exports gravel y injure d th e Souther n economy , whil e norther n manufacturin g

The Coming of Democracy: Part 2 28 boomed. Presiden t Jefferso n Davi s wa s les s tha n a charismati c leader . Th e Confederacy ha d n o politica l parties , whic h playe d a crucia l rol e i n governmen t in th e Unite d States . Th e doctrin e o f states' rights, whic h ha d helpe d t o precipitate th e brea k i n 1861 , also hindere d th e effort s t o weld th e Confederac y int o a nation. The Civi l Wa r wa s th e mos t importan t even t i n America n histor y sinc e th e federal unio n wa s created . I t lef t Abraha m Lincoln , assassinate d onl y day s afte r Lee's surrende r a t Appomattox , a s th e preeminen t nationa l her o an d martyr , though h e was often ridicule d an d denigrated b y his contemporaries an d was only narrowly reelecte d i n 1864 . I t wa s h e wh o i n th e Emancipatio n Proclamatio n freed th e slave s of th e Confederac y an d bega n a serie s o f action s b y other state s and th e Congress tha t forbad e slaver y throughout th e country . The war gave the industrial interests of the Northeas t ne w power and prosper ity. Th e Homestea d Ac t (1862 ) wa s designe d t o mak e th e publi c land s o f th e central an d wester n region s availabl e a t negligibl e cos t t o thos e wh o wer e pre pared t o farm, an d farmer s indee d too k u p the offer fast , thoug h lan d speculator s figured out how , a s middlemen, t o make fortunes a t thei r expense . Th e accelera tion o f westwar d expansio n tha t followe d th e Civi l Wa r brough t ne w affluenc e and ne w freedo m t o million s wh o ha d eithe r faile d i n th e Eas t o r successfull y sought opportunity i n th e new West, o r both. In 186 5 the immediat e issu e wa s restoratio n o f normal civilia n governmen t i n the defeated states . Lincoln' s vice-president an d successor, Andre w Johnson, wa s a souther n Democra t (havin g ru n o n a two-party ticket) . H e wa s a conciliator a s Lincoln had declared himself t o be in his Second Inaugural Address ("with malic e toward none") , bu t Johnso n wa s n o diplomat . H e undertoo k t o follo w th e lin e initiated b y Lincol n i n makin g th e process o f restorin g norma l governmen t rela tively easy and in supervisin g it a s president wit h n o consultation wit h Congress . The Radica l Republicans , le d b y Thaddeu s Stevens , worke d ou t thei r ow n program o f "reconstruction " an d advance d t o direct confrontatio n wit h th e presi dent, climaxe d b y impeachment proceedings—th e onl y ones in America n histor y —in whic h Johnso n kep t hi s offic e b y a singl e vot e i n th e Senate . Th e Radical s were furious an d proceeded t o start "reconstruction " al l over again. Man y white s were disenfranchised, an d th e vote was given to most Negroes (as they were the n called; "black " wa s no t regarde d a s a flattering term , an d "Africa n American " was unknown) . "Carpetbaggers " (whit e northerner s newl y arrive d wit h Radica l views) an d "scalawags " (souther n white s o r northerner s lon g residen t i n th e South) le d Negroe s t o th e polls , an d ne w stat e government s wer e se t up . Fro m j868 t o 1870 , th e forme r Confederat e states , havin g no w undergon e "thorough " reconstruction, wer e readmitted t o the Union . In th e electio n o f 186 8 the Republican s nominate d Ulysse s S . Grant , th e las t

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Union commande r i n th e Civi l War . H e wo n agains t th e Democrats ' Horati o Seymour, bu t onl y b y a narro w margi n o f th e popula r vot e owin g t o Negr o support; he was defeated i n th e white vote. No w the president wa s subservient t o Congress, an d th e Sout h wa s subservient t o the federa l governmen t a s a result of the Unio n troop s tha t occupie d it . Corruptio n wa s rif e i n th e carpetbagger scalawag government s o f th e souther n state s an d als o i n th e North ; th e Gran t administration wa s involved in one gigantic scandal after another , ofte n reflectin g bribery by business of government officials . In 187 2 Grant was reelected, defeatin g Horac e Greeley, candidat e of the force s appalled b y the excesse s o f Radica l reconstructio n i n th e South . The y comprise d a combination o f Democrat s wit h a new factio n callin g itself Liberal Republican ; the candidate , Greeley , ha d man y weaknesses , an d i t wa s a n eas y triump h fo r Grant. However, th e scandal s o f hi s administratio n no w bega n t o surface ; th e Pani c of 187 3 laid low the economy . I n consequenc e th e Democrat s swep t th e Hous e of Representatives i n th e midter m election s o f 1874 . Thu s i n 187 6 th e Radical s pulled back , an d th e Republican s nominate d Rutherfor d B . Haye s o f Ohio . H e was defeated i n th e popular vote by Samuel J. Tilden , th e Democrati c candidate . Highly questionabl e procedur e wa s followe d b y the Republicans . Doubl e return s from th e thre e state s tha t Unio n troop s stil l occupied—Sout h Carolina , Louisi ana, an d Florida—wer e jimmied t o produce a one-vote Electora l Colleg e margin , followed b y a one-vote margin i n a new Electora l Commission , fo r Hayes . The rea l bargai n behin d thi s apparen t reversa l o f th e voters ' wishes 13 wa s between Democrati c leaders, who were promised federal appropriation s fo r publi c works an d patronage , an d Republica n leader s ready , a s Haye s was , t o withdra w Union troop s fro m th e remainin g souther n states . The y wer e indeed withdrawn , and "reconstruction " cam e t o a n end . Negr o suffrag e wa s als o terminated , an d the Fourteent h an d Fifteent h amendment s passe d int o th e shadow s fo r man y decades. The Negroe s were no longer property, bu t they were not prepared fo r freedom . Their owner s ha d provide d fo r the m a s slaves , an d they ha d littl e notio n o f ho w to provid e food , housing , an d protectio n fo r themselves . Some , indeed , ignore d "emancipation" an d continue d t o work a s before; man y now ceased t o work. Th e Freedmen's Burea u (officiall y bearin g a longer name ) ha d fro m 186 5 save d man y Negroes a s wel l a s white s fro m starvatio n b y distributin g supplies ; a measur e termed th e "Souther n Homestea d Act " operate d fo r a decad e t o permi t som e Negroes (an d whites) t o occupy eighty-acre tract s an d farm them . In general , however , th e gran t o f freedo m vi a Emancipation , sinc e i t wa s no t followed b y an y effectiv e measure s t o se t th e free d slave s o n a viabl e economi c footing, produce d frustratio n i n th e freedme n an d n o basis fo r a challenge t o th e

The Coming of Democracy: Part 2 29 white supremac y tha t th e post-187 7 Sout h proceede d t o institutionalize. I n 188 3 the Supreme Cour t rule d in th e Civil Rights cases that th e prohibition o f discrimination an d guarantee s o f equa l treatmen t containe d i n th e Fourteent h Amend ment applie d onl y t o th e state s an d no t t o individual s o r organizations . "Ji m Crow," th e syste m o f legal an d customar y separatio n o f th e race s an d th e relega tion o f th e Negr o t o second-class citizenshi p (or , i n effect , n o citizenship a t all) , was thereupon fixed on the Sout h an d was in ful l forc e b y 1900 . It wa s expansio n westwar d tha t ha d upse t th e precariou s balanc e betwee n slave an d fre e territor y an d therefor e precipitate d th e Civi l War . Expansio n resumed i n th e postwa r period . Th e Senat e refuse d t o ratif y a treat y annexin g the Dominican Republic , bu t th e House, o n the distribution o f sufficient Russia n bribes, appropriate d th e mone y necessar y t o buy Alaska. I n th e sam e year, 1867 , Midway Islan d wa s annexed—t o acquir e renow n seventy-od d year s late r a s th e site (more or less) of a crucial nava l battle of World War II . On th e Nort h America n mainland , th e area between Californi a an d Oregon i n the West an d Texa s an d Minnesot a i n th e Eas t remaine d shor t of population an d therefore lacke d states . Th e admissio n o f Nebraska i n 186 7 completed th e unfin ished busines s o f th e debat e ove r th e Kansas-Nebrask a Act . A gold rus h precipi tated Colorad o int o statehoo d i n 1876 . Fro m th e 1860 s o n th e migratio n o f th e Mormons int o Uta h first create d a theocracy a s pure a s ever existe d i n America , but a s other migrant s envelope d i t th e sec t gav e up polygamy (i n 1890 ) and Uta h became a stat e i n 1896 . Nort h Dakot a an d Sout h Dakota , Washington , an d Montana ha d gained admissio n i n 1889 , Wyoming and Idah o in 1890 . In tha t yea r th e federa l Burea u o f th e Censu s announce d tha t th e continuou s frontier lin e ha d disappeared , leadin g th e historia n Frederic k Jackso n Turne r t o develop hi s thesi s tha t th e searc h fo r fre e lan d i n th e westwar d movemen t explained America' s fre e institutions . An d indee d th e mor e dramati c phas e o f westward expansio n wa s a t a n end . A s th e miner s an d cattleme n ha d joined th e farmers i n settlin g an d populatin g th e Grea t Plains , th e grimmes t phase s o f white-Indian relation s accompanie d th e process. There ha d bee n bloo d shed an d ba d fait h show n i n earlie r relation s betwee n the two, and the worse record is that of the whites. Th e Indian s of the Northwes t (that is , nort h o f the Ohi o River) were greatly reduce d in numbe r an d strippe d of much o f thei r lan d b y tricker y befor e th e Wa r o f 1812 . Tecumseh , a Shawnee , managed t o unit e severa l o f th e tribe s i n a confederac y bu t wa s defeate d a t Tippecanoe (1811 ) an d kille d tw o years later . Decei t produce d a treat y wit h th e Creeks, a more advance d trib e tha n many , unde r th e presidenc y o f John Quinc y Adams, an d Adam s trie d t o defend them , i n vain . I n th e 1830 s the "fiv e civilize d Indian Nations " (the Creeks, Cherokees , Choctaws , Chickasaws , an d Seminoles ) were forcibl y remove d t o "India n Territory " i n Oklahoma ; th e resul t wa s deat h

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and poverty . Th e hal f breed Sequoy a ha d strive n t o bring th e trapping s o f civilization t o his Cherokees—wit h a written language , a Bible translation , a constitution fo r th e Cheroke e nation , an d a n electe d legislature ; he was convinced tha t that effor t woul d sav e his people. H e was wrong. Many of these Indian s wer e agricultura l an d sedentary . Bu t th e Plain s India n was different: he , "b y habi t an d heredity , wa s a hunter rathe r tha n a cultivator ; . . . hi s idea s o f lan d ownershi p wer e communal , no t individual ; . . . th e las t thing he wanted wa s to become a homesteader."14 A s Morison puts it : In contrast to the blacks who were denied their ambition to participate on equal terms in American civilization , th e Indians , wh o desired abov e all t o continue thei r ow n wa y of life, wer e deprived o f hunting ground s whic h woul d hav e made that possible , an d were pressured to "settle down" and become "good" farmers and citizens.15 Many o f th e Plain s tribe s resiste d th e whit e incursion s int o thei r huntin g grounds an d destructio n o f th e grea t buffal o herd s tha t sustaine d them . Th e federal governmen t sometime s kille d them , sometime s pu t the m o n reservation s and trie d t o tak e car e o f them , ofte n wrot e treatie s wit h the m tha t wer e broke n or ignored bu t afte r a time stoppe d tha t farcica l practice . I n 188 7 the Dawe s Act sought t o brea k u p reservation s int o individua l homesteads . No t onl y wa s th e Indian o f th e Wes t no t a farmer, bu t h e als o had n o Protestan t ethic , n o idea of deferred gratification , n o mean s o f preventin g speculator s fro m reducin g hi m t o instant squalo r an d degradation . I n summary , man y Indian s wen t t o th e cities , many remaine d o n reservations , fe w manage d t o find a way of livin g happy live s even when sizabl e financial settlement s wer e awarded the m b y later-day courts. Indians were a factor i n th e admission of the last three of the contiguous forty eight state s t o th e Union . Th e Fiv e Civilize d Nations , o r thos e wh o survived , were mad e America n citizen s i n 1901 , an d Oklahom a becam e a stat e i n 1907 . Not lon g afte r th e final defea t o f th e Apaches an d th e surrende r o f Geronim o (later t o becom e a Christia n conver t an d a respecte d celebrity ) i n 1886 , Ne w Mexico an d Arizon a settle d dow n t o becom e state s (1912) , wit h substantia l Indian an d Mexica n (tha t is , mixed India n an d Spanish ) population . The ethni c make-u p o f th e Unite d State s wa s b y thi s tim e almos t entirel y white, sinc e no t man y Indian s (o r Nativ e Americans ) wer e left , virtuall y n o Asians ha d ye t immigrated , an d th e percentag e o f Negroe s wa s small . Sinc e b y the 1890 s th e latte r wer e mainl y disenfranchised , almos t al l voter s wer e Cauca sian. However, ther e wa s a goo d dea l o f heterogeneit y amon g th e whites . I n th e seventeenth centur y mos t arrival s wer e Englis h (wit h a fe w Dutc h an d Swede s thrown in) . I n th e eighteent h an d earl y nineteenth centuries , million s of Scotch Irish, Irish , an d German s cam e in ; later , man y fro m souther n an d easter n

The Coming of Democracy: Part 2 29 Europe. A large numbe r o f Jews wer e included—th e firs t sizabl e non-Christia n group—but th e Italians , Poles , Irish , an d othe r Roma n Catholic s create d a greater religiou s problem , fo r Americ a ha d bee n mostl y Protestan t u p t o tha t time. Fro m 182 0 to 192 0 38 million European s arrived , th e heaviest decade being 1900—1909, when 8. 7 millio n came . Assimilation wa s th e lo t o f a larg e shar e o f immigrant s o r a t leas t thei r children, wh o learned Englis h quickl y and declined t o speak th e parents' tongue , but ther e wa s resistanc e fro m th e nascen t labo r union s an d fea r fro m thos e wh o saw th e newcomer s successfull y mobilize d b y big-city politica l machines . Never theless, th e greates t transoceani c migratio n i n histor y an d th e greates t migratio n of any sor t i n moder n time s ha d transporte d a vast hord e o f people t o the Unite d States, attracte d b y the promise of freedom—to improv e themselves, t o give their families wha t the y themselve s ha d no t had , t o vote, t o do as they please. Wha t i s astonishing is how often th e promise was fulfilled . By the so-calle d Compromis e o f 187 7 th e sectiona l conflic t wa s se t aside , an d the conflic t o f th e tw o partie s cam e t o replac e it . Smal l thir d partie s spran g u p but did no t grow : th e Greenbac k party , founde d i n 1876 , th e Prohibitionis t part y (1872), th e People' s Part y o r Populist s (1891) , whic h develope d ou t o f th e farmers' Alliance s o f th e previou s decade . I n 188 0 th e Republican s nominate d James A . Garfiel d an d electe d hi m ove r th e Democrati c candidate , Genera l Winfield S . Hancock , an d th e Greenbac k candidate , wh o polled enoug h vote s t o deny Garfiel d a majority . (Th e Electora l College , o f course , wa s no t dependen t on th e popula r vot e i n an y event. ) A disappointe d offic e seeke r sho t Garfiel d within a few month s o f hi s inauguration , an d Vice-presiden t Cheste r A . Arthu r replaced him . Arthur wel l administere d th e Pendleto n Ac t (1883) , whic h establishe d a ne w civil-service syste m t o mak e federa l office s ope n onl y t o thos e wh o wer e mos t successful i n examination s testin g th e fitness—measured i n rathe r limite d term s —of th e applicants . Th e specified , o r "classified, " list s o f office s coul d b e ex panded b y th e president . Th e fortuitou s fac t tha t th e part y i n th e Whit e Hous e changed ever y fou r year s fro m 188 0 throug h 190 0 le d eac h prospectiv e retire e from th e presidenc y t o tr y t o protec t hi s ow n appointees . B y 191 4 ove r hal f th e federal employee s were on civil service. In 188 4 th e hear t an d sou l o f th e Republica n party , Jame s G . Blaine , wa s nominated bu t defeate d b y Governor Grove r Clevelan d o f Ne w York , despit e th e characterization o f th e Democrati c part y b y a Protestan t ministe r a s linked wit h "rum, Romanism , an d rebellion. " Thi s tim e eithe r th e Greenbac k o r th e Prohi bitionist vote would have been enough t o deny Cleveland a majority o f the popula r vote. Th e Democrati c presiden t ha d troubl e wit h hi s party, bu t bot h plumped fo r a lower tariff. O n tha t issue Benjamin Harrison , a lesser light of the Republicans ,

3

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recaptured th e Whit e Hous e fo r hi s part y i n 1888 . The y raise d th e tarif f t o it s highest poin t t o date ; the y protecte d th e burgeonin g industries , includin g eve n hitherto nonexisten t ones , o f bot h th e Nort h an d th e "Ne w South " (thoug h th e former overshadowe d th e latte r b y far) ; an d they mad e a gestur e t o farmer s b y placing dutie s o n man y agricultura l product s t o boot, thoug h fe w egg s an d littl e butter woul d ente r o n ocean-goin g ships . Th e resul t wa s t o cu t drasticall y th e federal revenue s an d t o raise substantiall y consume r prices . Sinc e Congres s als o appropriated larg e sums for domestic improvements, th e resul t wa s a deficit . The Republican s los t heavil y i n th e election s o f 1890 , an d i n 189 2 Harriso n was defeate d b y Cleveland . Th e third-part y candidat e wa s Jame s B . Weave r o f the Populists , wh o polle d ove r on e millio n votes , whil e eac h o f th e tw o major party candidate s polle d ove r five million, thoug h Clevelan d ha d a heavy electoral vote majority. Weaver' s party battened on the frustration o f the farmers bu t faile d to attract suppor t fro m th e chie f labo r organization , th e America n Federatio n o f Labor (founde d 1881) . Th e Populist s demanded a n increase of the money supply , on th e basi s o f dubiou s an d naiv e economics , bu t als o a serie s o f othe r reform s that wer e late r adopted , suc h a s th e incom e ta x an d electio n o f U.S . senator s by popular vote . Thei r leader s wer e ill-educate d an d quirky , suc h a s Ignatiu s Don nelly, whos e writing s wer e designe d t o prov e tha t civilizatio n aros e i n Atlanti s and tha t th e work s o f Shakespear e wer e writte n b y Bacon . (Unfortunatel y i t seems tha t Americ a ha s bee n unusuall y prolifi c i n amiabl e eccentrics—or , som e would say , nuts—an d tha t American s hav e bee n especiall y eas y mark s fo r tale s of conspiracies i n hig h place s an d wondrou s scientifi c discoveries. ) O n th e othe r hand i t mus t b e sai d tha t bette r educate d peopl e ha d les s excus e fo r failin g t o understand th e disastrous consequence s of high tariffs . The declin e o f revenue s produce d b y th e 189 0 tarif f helpe d t o precipitate th e Panic o f 1893 . Man y businesse s failed , an d th e gol d standar d tha t man y though t sacrosanct appeare d abou t t o topple . Silve r purchas e wa s discontinued , an d purchases o f gold fro m abroa d helpe d t o restore confidence . Th e post—Civi l Wa r growth o f industry ha d brought wit h i t labor troubles a s well as organization, an d strikes ove r a two-decad e perio d reache d thei r clima x i n th e Pullma n strik e o f 1894. Th e election s o f tha t yea r reflecte d vote r determinatio n t o blam e th e depressed econom y o n somebody , an d th e somebod y wa s th e Democrati c party , since Clevelan d wa s i n office . Th e Republican s mad e larg e gains , an d th e Popu lists through increasin g thei r vot e by 40 percent over 189 2 began t o cherish hope s of doing as the Republican s di d in i860 . Tree silver " mor e an d mor e appeale d t o th e electorat e a s a panacea , an d t o steal th e Populists ' thunde r th e Democrat s adopte d th e slogan . I n th e campaig n of 189 6 som e Gol d Democrat s deserte d part y rank s an d refuse d t o suppor t William Jenning s Bryan , th e "bo y orator " wh o assaile d th e gol d standard . Bu t

The Coming of Democracy: Part 2 29 William McKinley , th e Republica n candidate , hel d firm fo r gold , an d h e wo n a n election followin g a s hard-fough t a campaig n a s an y thu s far . I t ha d see n a reshaping o f America n politics : Brya n wa s th e candidat e o f th e farmer s o f th e South an d West an d t o some extent o f labor as well; McKinley, o f the industry of the Northeast . Populism wa s mortall y wounded , thoug h i t lingere d o n unti l 1912 . A s on e survey put s it , th e part y die d bu t som e o f it s idea s wer e take n ove r an d wer e adopted b y the nation : "th e thir d party , almos t certainly , woul d b e absorbe d int o one o r th e othe r o r bot h o f th e olde r parties , bu t suc h o f it s idea s a s ha d meri t would survive , an d wi n eventua l acceptance." 16 I n th e Populis t case , suc h idea s included th e Australia n secre t ballot , th e initiativ e an d referendum , an d th e direct electio n o f U.S . senators . I f thei r monetar y idea s wer e half-baked , th e attention they dre w t o th e bankin g an d currenc y syste m serve d t o lea d t o th e Federal Reserv e Act—which Brya n himsel f helpe d t o draft . The decade s afte r th e Civi l Wa r sa w a n Americ a mainl y concerne d wit h it s own affairs , includin g it s expansio n acros s th e continent . B y the 1890 s i t bega n to look acros s th e wate r i n severa l directions . Th e Unite d State s acquire d ascen dancy i n Hawai i and , obviousl y needin g a mid-Pacific base , annexe d i t i n 1898 . The followin g yea r th e island s of Samo a wer e divide d betwee n th e Unite d State s and Germany . McKinley intervene d i n Cub a t o prevent Spai n fro m puttin g dow n a rising i n its colony ; i n th e ensuin g Spanish-America n Wa r th e adversar y yielde d al l he r holdings i n th e hemisphere—Puert o Ric o a s wel l a s Cuba , an d als o Gua m an d the Philippines . Th e Unite d State s annexe d al l suc h territorie s excep t Cuba , though i t kep t legall y buttresse d influenc e ove r tha t newl y independen t stat e until th e 1930s . Filipin o rebels agains t Spai n wer e almos t victorious when Amer ican annexatio n too k place , an d they turne d swiftl y agains t th e newcomer s fro m whose hand s they ha d expecte d independence . I t too k abou t thre e year s fo r th e revolt t o b e pu t down . American s ha d clearl y arrive d i n Asia , an d Secretar y o f State Joh n Ha y mad e th e country' s presenc e fel t b y th e "Ope n Door " note s o f 1899, i n whic h eac h powe r wa s invite d t o observ e principle s o f fairnes s t o al l others i n trade , bu t wit h littl e perceptibl e result . Th e Unite d State s reluctantl y joined i n th e multinational forc e tha t pu t dow n th e Boxe r Rebellion i n th e sprin g of 1900 , bu t remitte d muc h o f th e indemnit y awarde d t o it. China , i n gratitude , decided t o use th e fund s i n questio n t o educate Chines e student s i n th e Unite d States and t o promote education an d scienc e in China . Imperialism wa s th e Democrati c choic e fo r th e chie f issu e o f th e electio n o f 1900. However , McKinle y wo n reelection , runnin g agains t Brya n again , bu t within month s afte r hi s inauguratio n h e wa s assassinate d b y a n anarchis t an d succeeded b y Theodore Roosevelt .

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T.R. wa s th e her o o f th e wa r i n Cub a an d th e standard-beare r o f America n expansionism. H e proceede d t o manag e a revolutio n agains t Colombi a o f th e isthmus o f Panama , whic h promptl y forme d a n independen t stat e willin g t o permit th e Unite d State s t o buil d th e cana l Roosevel t desired . Hi s activ e polic y with regar d t o other Lati n America n countrie s le d hi m t o formulate a ''Roosevel t corollary" t o th e Monro e Doctrine , whic h se t fort h tw o warnings : on e t o Euro pean nation s not t o try to intervene in th e hemisphere henceforth , an d another t o Latin America n nation s t o avoid "chroni c wrongdoing " o r "impotence " threaten ing "civilize d society"—o r ris k America n intervention . Roosevel t turne d th e Dominican Republi c int o somethin g lik e a protectorate , an d hi s successor s too k similar step s in Centra l America n countries . In th e earl y years of the century th e defunct Populis t party , base d in th e rura l areas, wa s replace d a s th e spearhea d o f reformis m b y the ne w Progressiv e movement, drawing on the urban middle classes and in particular small business, threat ened b y th e powe r o f th e grea t corporation s o n th e on e han d an d th e specte r o f labor organization possibl y leadin g t o socialism o n th e other . I t mad e headwa y i n promoting new methods of city government, suc h a s the city-manager syste m tha t seemed less prone to corruption an d more efficient tha n two-party election of mayors. Even more , o n th e stat e leve l refor m governor s defeate d entrenche d part y machines, a s happene d i n Wisconsi n (Rober t LaFollette) , Missour i (Josep h Folk) , New Yor k (Charles Evan s Hughes) , an d Californi a (Hira m Johnson). Orego n le d the wa y t o adoptio n o f severa l ne w devices , popularize d an d defende d b y a nonofficial fro m tha t state , Willia m S . U'Ren , fro m 189 1 to 1910 : the Australia n (secret) ballot, vote r registration, th e initiative, referendum , an d recall, th e direct primary (whic h Wisconsi n actuall y pioneered i n 1903) , an d a measure combatin g corrupt practices . They wer e th e device s tha t becam e th e lates t politica l fashion , toute d i n th e schools a s th e wa y t o make democracy work , o r a t an y rat e wor k muc h better , t o frustrate th e machin e politicos , an d t o secure abl e representative s wh o would b e genuinely responsibl e t o th e electorate . Th e result s di d no t alway s justif y th e hopes o f th e reformers , bu t adoptio n o f suc h measure s acquire d a n impressiv e momentum an d pushe d th e federa l governmen t i n th e sam e direction . Direc t election o f U.S . senator s wa s propose d b y constitutiona l amendment , an d on e passed th e Hous e fou r time s betwee n 189 4 and 1902 . Th e Senat e finally yielded in 1912 , afte r mor e tha n hal f th e state s adopte d preferentia l primarie s tha t produced senator s chose n b y th e people . Man y senator s ha d ha d clos e tie s wit h large corporation s o r politica l machines , bu t th e Senat e ha d gathere d togethe r a great many gifted men . Fortunately , th e Seventeenth Amendment , whic h becam e law in 1913 , did not significantly depres s the intellectual level of that body though it probably did not raise it either .

The Coming of Democracy: Part 2 29

7

T h e politica l change s o f th e earl y year s o f th e centur y helpe d lea d t o socia l legislation. T h e individua l state s followe d Marylan d (1902 ) i n legislatin g work men's compensation , o r employer' s liability , thereb y settin g asid e th e common law rul e tha t i n orde r t o obtai n an y damage s th e injure d worke r ha d t o prov e employer negligenc e tha t partoo k o f n o contributor y negligenc e b y himsel f o r an y other worker . B y 192 1 onl y si x state s hel d out . Chil d labo r wa s limite d i n certai n states, an d compulsor y school-attendanc e law s ha d th e sam e effect . Condition s o f labor fo r wome n wer e somewha t improved . Bu t i n respec t t o socia l legislatio n th e United State s wa s fa r behin d Europea n countries , wher e unemploymen t insur ance an d old-ag e pension s wer e common . T h e reformer s als o attacke d th e productio n an d consumptio n o f alcohol . Pro hibitionists forme d a n Anti-Saloo n Leagu e i n 1893 , whic h becam e a n outstandin g example o f a single-issu e politica l group : i f "wet, " th e candidat e wa s opposed ; i f "dry," supported . Firs t localities , the n state s passe d law s prohibitin g liquor ; i n 1919 th e Eighteent h Amendmen t mad e prohibitio n par t o f th e Constitution . I t was soo n t o b e regarde d a s a disastrou s mistake , whic h create d th e industrie s o f bootlegging (illega l sale) , moonshinin g (illega l production) , and , wors t o f all , organized crime , whic h owe d it s ris e i n Americ a t o prohibition . Curiously, woma n suffrag e wen t han d i n han d wit h prohibition . T h e antial cohol crusader s assume d tha t wome n woul d tak e thei r sid e i f the y wer e give n th e vote. Bu t th e suffragettes , a s the y wer e called , als o wer e inspire d b y thei r Britis h sisters wh o ha d nothin g t o do wit h th e liquo r issue . America' s first wome n voter s were give n tha t statu s i n Wyomin g Territor y i n 1869 ; b y 191 1 si x state s i n th e West, includin g Wyoming , ha d s o acted. T h e Nineteent h Amendmen t too k effec t in 1920 , givin g th e suffrag e t o women nationwide . In thi s proces s th e individua l state s ha d bee n i n th e vanguard ; th e countr y a s a whol e ha d lagge d behind . A s Mulle r put s it : Feminists wer e abl e to make . . . converts becaus e of different view s that stil l confuse th e status o f women , som e holdin g tha t wome n wer e jus t a s goo d a s me n i n ever y respec t except physica l strength , an d shoul d therefor e hav e equa l opportunit y i n al l occupation s except thos e requirin g suc h strength ; other s grantin g tha t wome n wer e essentiall y differ ent fro m men , perhap s mostl y unsuite d fo r som e vocations , an d i n an y cas e oblige d t o consider thei r natura l rol e a s housewive s an d mothers , bu t holdin g tha t the y shoul d nevertheless b e granted th e sam e civil and political rights . Al l were agreed on these rights , however, an d by the dawn o f our century political equality was in sight. 17 Finland wa s th e firs t t o giv e ful l citizenshi p t o women ; Norwa y an d Denmar k soon followed . Bu t th e large r nations , includin g th e Unite d States , di d s o onl y after Worl d Wa r I . Under Theodor e Roosevelt , then , th e Unite d State s seeme d t o mov e i n th e direction o f democrac y par excellence, imposin g it s wil l an d sometime s it s institu -

298 Freedom:

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tions—in som e cases, a n unintentiona l parod y of them maskin g a quite differen t sort of polity—on th e res t of the hemisphere, invitin g imitation fro m countrie s of the Ol d World, perhaps , bu t generall y avoidin g involvements there . With respec t t o th e domesti c scene , Roosevel t grope d towar d th e stanc e o f a reformer. H e supporte d th e regulatio n o f certai n type s an d aspect s o f business . The Sherma n Antitrus t Act , passe d i n 189 0 and soo n havin g prove d unenforce able, wa s the object o f an attemp t t o revive it selectively . Th e similarl y moribun d Interstate Commerc e Commission , create d b y an ac t o f 1887 , wa s actually give n new life b y the Hepbur n Ac t of 1906 . Federa l meat inspection an d th e Pur e Foo d and Dru g Act (1906 ) began protectio n fo r th e consume r bu t lef t untru e advertis ing alone. Th e ill-treatmen t o f natural resource s a t th e hands of big business wa s combated b y a variety of conservation measures , whic h Robert LaFollette , havin g become senator , considere d Roosevelt' s suprem e achievement . In 190 4 Roosevelt' s swellin g popularit y enable d hi m t o smas h hi s Democrati c opponent, Judg e Alto n B . Parker . Th e presiden t wa s blamed , perhap s unfairly , for th e Pani c of 1907 ; at any rate the panic revealed defects i n the nation's syste m of banking, investigatio n o f which le d t o the Federa l Reserv e Syste m a few year s later (1913) . Declinin g to run fo r a third ter m (alread y it was common t o think of a limitatio n t o tw o term s fo r a president), Roosevel t chos e a s Republica n candi date Willia m Howar d Taft , th e physicall y giganti c Secretar y o f War. Taf t face d William Jenning s Bryan , wh o did littl e bette r tha n Parke r i n 1904 , an d becam e president. The ne w occupan t o f th e Whit e Hous e lacke d Roosevelt' s charism a bu t als o had a highe r regar d fo r th e prope r rol e o f Congress . O n issue s involvin g th e tariff, conservation , an d regulatio n o f business , Taf t wa s charge d wit h allowin g opponents of Roosevelt's policies to carry the day. Th e charges were at least partly unfair: h e wa s responsibl e fo r sponsorin g jurisdictio n ove r th e telephon e an d telegraph communicatio n fo r th e Interstat e Commerc e Commissio n an d othe r reform measures . Nevertheles s th e militan t progressive s i n th e Republica n part y had lost confidence i n Taft. A t the 191 2 national convention h e was renominated , turning bac k a challeng e fro m Roosevel t himself , wh o wa s returnin g wit h gust o to the political wars. But Roosevel t wa s determine d t o run , an d wa s chose n b y a ne w Progressiv e party as its candidate. Lickin g their chop s at the Republican split , th e Democrat s nominated Governo r Woodrow Wilson of New Jersey. Tw o slogans as well as two candidates confronte d eac h other : Roosevelt' s "Ne w Nationalism " face d Wilson' s "New Freedom. " Taft ha d no slogan and could muster littl e enthusiastic support . Wilson wo n 43 5 electora l votes , Roosevel t 88 , an d Taf t 8 . Th e Democrat s als o swept th e election s t o Congress . Eugen e V . Debs , runnin g a s befor e o n th e

The Coming of Democracy: Part 2 29 Socialist part y ticket , wo n n o electora l vote s bu t nearl y nin e hundre d thousan d popular votes. Socialism i n Americ a neve r achieve d th e successe s i t registere d o n th e Euro pean continent , Australasia , o r late r i n th e so-calle d Thir d World . I t produce d the militant, orthodo x Marxist , an d tin y Socialis t Labo r party of Daniel D e Leon , which date s fro m 1877 . Th e Socialis t part y o f Americ a (SPA) , whic h first nominated Deb s fo r th e presidenc y i n 1900 , wa s formall y organize d unde r tha t name a yea r later , havin g broke n awa y fro m th e SL P previousl y a s th e Socia l Democratic party. (Th e Communists , an d th e Socialis t Workers party, consistin g of Trotskyists, whic h brok e off fro m th e former , wer e t o take for m onl y after th e Russian Revolutio n o f 1917. ) The SP A aspire d t o th e sam e uncompromisin g ideal s fo r th e futur e tha t th e Marxists did , bu t concentrate d thei r attentio n o n measure s the y considere d realizable i n th e nea r future , suc h a s public ownershi p of utilitie s an d railroads , public works for relie f o f the unemploye d an d needy , heavie r taxatio n o f the rich , and politica l reform s o n th e line s o f th e Orego n system . Lik e th e Populist s an d Progressives, th e Socialist s manage d t o furthe r th e adoptio n o f suc h reform s without eve r winnin g powe r i n an y uni t large r tha n citie s o r chalkin g u p th e votes necessary t o become a major party . In 191 4 Congres s adde d tw o piece s o f legislatio n t o thos e restrictin g unfai r business practice : th e Clayto n Antitrus t Ac t an d th e ac t creatin g th e Federa l Trade Commission . Labo r unions were apparently exempte d by several provision s of th e Clayto n Ac t fro m actio n ofte n take n earlie r agains t strike s an d boycotts ; Samuel Gompers , founde r o f th e America n Federatio n o f Labor , terme d suc h exemptions labor' s Magn a Carta . What evaluatio n shoul d b e place d o n measure s restrictin g th e freedo m o f businessmen an d labor leaders—or corporation s an d unions—t o ac t is constantly in dispute . Th e unrestricte d o r onl y mildl y restricte d freedo m o f bot h coul d an d did d o har m t o th e well-bein g an d th e right s o f others ; th e publi c perceptio n o f how muc h restrictio n wa s wis e change d ove r th e years . A t th e stag e o f development th e Unite d State s ha d reache d i n 1914 , i t seeme d t o th e mos t thoughtfu l people tha t wha t wa s neede d wa s greate r governmenta l contro l o f industry , les s control of labor. The federa l governmen t als o embarked, durin g th e Wilso n administration , o n a course of matching dollars with stat e appropriation s i n th e cause of agricultura l and othe r sort s o f vocationa l education , a s wel l a s i n buildin g highways . Th e revenues produced b y the new federa l incom e tax supplied most of the money and served thu s indirectl y t o begi n a seemingl y inexorabl e process o f shiftin g th e power o f government fro m th e state s t o the nation . Th e Federa l Reserv e Syste m

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now i n operatio n prove d fa r mor e effectiv e an d certainl y longe r lastin g tha n an y previous attemp t a t a nationa l bankin g system . I n th e word s o f on e assessment , the resul t o f all this was: "b y infringing a little on freedom th e Wilsonians hope d to strengthe n equalit y o f opportunity." 18 T o a certai n exten t they ma y clai m t o have done so. Further tria l an d erro r i n suc h direction s wa s prevente d b y th e outbrea k o f World Wa r I . Th e Unite d State s maintaine d neutralit y fo r clos e t o thre e years . However, afte r th e sinkin g o f th e Britis h line r Lusitania i n Ma y 191 5 publi c opinion wa s movin g quit e rapidl y i n a pro-Allie d direction , an d th e peri l tha t seemed t o threate n Britis h contro l o f th e sea s afte r th e battl e o f Jutlan d a yea r later drov e th e Unite d State s int o greatl y enlargin g th e nav y an d strengthenin g the army . In th e electio n o f 191 6 Wilson narrowl y defeated Charle s Evan s Hughes , wh o resigned a s justice o f th e Suprem e Cour t t o becom e th e Republica n candidate . Wilson ha d extorte d fro m German y a promise t o observe th e rule s o f war (givin g warning of imminent hostil e actio n an d providin g care fo r noncombatan t passen gers) wit h it s U-boats . Afte r hi s reelectio n h e trie d t o mediat e peace . Bu t Germany no w withdrew it s promise on the ground tha t America had failed t o stop illegal action s b y th e Allies . Wilso n brok e relations ; Germa n submarine s san k three ships ; Congress declared wa r on 6 April 1917 . Wilson declared, 'Th e worl d must b e mad e saf e fo r democracy,' ' an d doubtles s mean t it , despit e th e factors o f nationa l securit y an d powe r tha t als o figured i n th e nation' s entranc e into the conflict . The wa r ha d strikin g effect s o n th e America n polity . Th e federa l governmen t raised unheard-o f sums , taxe s increased , pric e rose , fortune s wer e made . Muc h popular opinio n supporte d suc h actions , bu t no t al l o f it , an d legislatio n wa s enacted t o punish "disloyal " deeds an d words . Som e fifteen hundre d peopl e wer e arrested fo r violating those laws, chiefly Socialist s and pacifists (som e were both), along with a few wh o sympathized wit h th e German cause . I n a n opinion writte n by Olive r Wendel l Holmes , a unanimou s Suprem e Cour t declare d tha t a "clea r and presen t danger " migh t requir e limitation s o f civil liberty : "Whe n a nation i s at war , man y thing s tha t migh t b e sai d i n tim e o f peace ar e suc h a hindrance t o its effor t tha t thei r utteranc e wil l no t b e endure d s o long as men fight, an d . . . no court could regar d the m a s protected b y constitutional right." 19 As for th e organizations an d function s o f the federa l government , the y greatl y expanded. Si x larg e agencie s wer e se t u p t o buil d ships , furnis h foo d an d fuel , regulate foreig n trade , operat e th e railroads , an d pla n industria l production . I t seemed tha t th e governmen t ha d take n ove r th e economy—excep t tha t man y of the member s o f th e wa r board s wer e i n fac t businessme n takin g tim e fro m thei r permanent jobs. Mos t important, th e productive capacity and output of all sector s

The Coming of Democracy: Part 2 30 of the economy immensely increased. I n th e fighting, American sacrifices , thoug h modest i n compariso n t o thos e o f thei r Europea n allies , tippe d th e balanc e t o assure victory. However, th e diplomati c outcom e wa s a bitter disappointmen t t o Wilson an d many others . A t Pari s th e Unite d State s helpe d redra w th e ma p of Europe , bu t the Treat y o f Versaille s wa s rejecte d b y th e Senat e becaus e som e wante d n o League o f Nation s a t all , whil e other s wante d th e treat y a s drawn an d a Leagu e without th e "reservations " the Republicans ha d attached t o it. A grotesque dram a was thu s playe d ou t i n whic h a treat y favore d b y th e overwhelmin g majorit y o f senators (some, wit h th e reservations, some , without) was rejected b y the Senate , because neithe r Wilso n no r Senato r Henr y Cabo t Lodg e wa s willin g t o compro mise. Thereupon Wilso n calle d fo r a "solem n referendum' ' o n th e Treaty , an d th e election o f 192 0 provide d on e o f sorts . Mor e accurately , th e victor y o f th e conspicuously untalente d Warre n G . Harding , Republican , ove r th e Democra t James M . Cox , governo r o f Ohi o (als o Harding' s state) , bespok e th e electorate' s reaction agains t th e war , agains t th e part y hel d responsibl e fo r th e economi c depression tha t ha d se t in an d fo r th e numerous an d seriou s strike s of the period , and agains t th e lengt h an d tediousnes s o f th e debat e ove r th e treaty . Harding' s victory was crushing in its size. The Unite d State s negotiate d a separat e peac e wit h Germany , Austria , an d Hungary, an d seeme d t o turn it s back on the troublesome Ol d World. Th e federa l government, unde r Republica n leadership , withdre w fro m competitio n wit h pri vate busines s o r interferenc e wit h i t tha t ha d occurre d i n wartim e an d impose d substantial restraint s o n th e activitie s o f labo r unions . Hardin g proceede d t o appoint a fe w goo d peopl e an d man y ba d ones , wh o becam e involve d i n bribery , corruption, an d scandal s reminiscen t o f th e administratio n o f wha t som e calle d the other failur e a s president, Ulysse s S . Grant. 20 Harding collapse d an d die d i n Augus t 192 3 an d wa s succeede d b y Calvi n Coolidge, th e vice-president . I n 192 4 a new la w regulate d immigration , limitin g the newcomer s fro m outsid e norther n Europe . Th e backgroun d t o thi s ac t wa s fear: o f Communis t expansio n outsid e Russi a afte r th e Octobe r Revolutio n o f 1917 an d o f nativ e radicalism , hel d responsibl e fo r severa l bombin g outrage s i n 1919—20 and associated , no t ver y plausibly , wit h th e ne w America n Communis t party. Al l thi s ha d culminate d i n th e "Re d Scare " o f 1919-20 , i n whic h bot h governmental an d nongovernmenta l measure s wer e take n agains t Communist s but als o against Socialist s an d pacifists . By 192 3 prosperit y ha d returne d fo r severa l socia l groups , farmer s bein g th e chief exception , bu t man y worker s di d no t benefi t either . On e resul t wa s th e attempt t o put togethe r a working-class, o r "farmer-labor, " grou p to function a s a

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third party . Stemmin g fro m earlie r efforts , suc h a part y wa s forme d unde r th e Progressive nam e an d ra n Rober t LaFollett e a s it s candidat e i n th e electio n o f 1924. Coolidge , symbo l o f economi c revival , defeate d a "dar k horse " wh o ha d captured th e Democrati c nomination , Joh n W . Davis , b y a n enormou s margin ; but a sig n o f troubl e manifeste d itsel f i n th e fac t tha t LaFollett e polle d almos t five million votes. Coolidge declare d tha t h e di d no t "choos e t o run " again , an d s o in 192 8 hi s Secretary o f Commerce , Herber t Hoover , wa s th e Republica n candidat e wh o confronted Alfre d E . Smith , th e Catholi c governo r o f Ne w York . Agai n th e Republicans ha d a landslide victory: this time there was no Progressive candidate , and Norma n Thomas , wh o wa s t o becom e th e perennia l Socialis t candidate , whom everyone respecte d an d few vote d for, obtaine d only about 250,00 0 votes. If women's right s an d prohibition o f alcohol had gone hand i n hand i n wartim e and earlier , durin g th e 1920 s they seeme d t o part company . Wome n wo n i n thei r assaults o n man y masculin e strongholds . Thousand s becam e secretarie s an d secured other jobs in th e business world. Nelli e Tayloe Ross was elected governo r of Wyomin g i n 1924 , th e first woma n eve r t o be s o chosen, an d "Ma " Ferguso n of Texa s soo n followe d her . Divorce s multiplied , sexua l doubl e standard s lon g familiar i n Americ a (an d elsewhere ) tottered , an d wome n secure d admittanc e t o the "speakeasy " wher e ther e wa s serve d th e liquo r tha t wa s banne d b y constitu tional amendment . Prohibition wa s ineffectiv e i n it s aim , bu t i t wa s al l to o effective i n providin g the demand t o which th e ne w industr y o f organized crim e in America responded . Bootlegging o f illega l (all ) an d poisonou s (some ) alcoho l flourished o n a wav e of bribery an d corruption . I n 193 3 th e Eighteent h Amendmen t wa s repealed , an d the "nobl e experiment " cam e t o a n end . However , organize d crim e di d no t an d turned t o ban k robbery , kidnapping , an d "protection " rackets—late r t o be suc ceeded by the sal e of drugs on a large scale. The Hoove r administratio n wa s le d b y a ma n wh o ha d bee n a distinguishe d administrator an d effectiv e humanitaria n o n severa l continent s bu t ha d scan t ability a s a politician . I n Octobe r 1929 , onl y a fe w month s afte r hi s inaugural , the Ne w Yor k stoc k marke t crashed . Price s an d wage s fell , unemploymen t spread, an d th e natio n confronte d th e Grea t Depressio n an d helpe d (especiall y from sprin g 1931 ) t o sprea d i t t o the res t o f th e world . Industr y an d agricultur e nearly collapsed . Congress responde d wit h th e Hawley-Smoo t tariff , signe d b y th e presiden t i n June 1930 . Th e measur e provoke d retaliatio n fro m Britain , whic h no w full y jettisoned th e fre e trad e fro m whic h i t ha d benefite d fo r almos t a century , an d also fro m severa l othe r countries , an d helpe d t o driv e th e level s o f worl d trad e downward whe n th e opposit e wa s sorel y needed . Th e legislativ e an d executiv e

The Coming of Democracy: Part 2 30 branches combine d t o create a Reconstruction Financ e Corporatio n (RFC ) whic h loaned money to both public and private outfits o f many kinds, sparin g many fro m bankruptcy, an d Federa l Hom e Loa n Banks , whic h save d number s o f familie s from foreclosure . A s expenditure s t o comba t depressio n ros e an d revenue s fell , the Treasur y bega n th e practic e o f borrowin g money , o r "defici t financing," which ha s never ceased since . In th e election o f 193 2 Franklin D . Roosevelt , Assistan t Secretar y of the Nav y under Wilso n an d late r governo r o f Ne w York , challenge d Hoover . H e promise d a "Ne w Deal/ ' thoug h i t wa s the n fa r fro m clea r wha t tha t exactl y wa s t o mean. The electorat e wante d change , an d vote d fo r FD R b y a 472-10-59 margin i n th e Electoral College , 22. 8 millio n t o 15. 7 millio n i n th e popula r vote . Almos t 900,000 vote d fo r Norma n Thoma s an d wel l ove r 100,00 0 fo r th e Communis t candidate, Willia m Z . Foster . I t i s a wonder tha t a country wit h perhap s seven teen millio n unemploye d di d no t produce mor e radical voters or any revolutionar y action a t all . Still , th e bankin g syste m ha d virtuall y falle n apar t b y th e tim e Roosevelt wa s inaugurate d i n Marc h 1933 , an d h e face d a n emergenc y indeed . He declared, "th e only thing we have to fear i s fear itself, " an d then proceede d t o close all banks for eigh t days. The Ne w Dea l wa s o n it s way , th e presiden t leadin g th e Congres s t o pas s a series of measures base d roughl y on th e assumptio n tha t private enterprise wa s to continue bu t unde r regulatio n b y government designe d no t only t o end th e Grea t Depression bu t t o preven t th e boom-and-bus t cycl e fro m doin g furthe r damage . Roosevelt sough t "th e thre e Rs" : relie f (som e dole, or direct relie f payments , an d some federall y conducte d publi c works) , recover y (expande d loans) , an d refor m (crop reduction; suppor t fo r labor-unio n organizing ; regulatio n o f banking, trans portation, utilities , an d th e stoc k market ; tarif f reduction ; federall y supporte d housing; an d "socia l security") . Th e governmen t itsel f develope d powe r source s through th e Tennesse e Valle y Authority , bu t fo r th e mos t par t di d no t tr y t o compete directly wit h privat e business . In 193 6 the Republica n challenger , Alfre d M . Landon , wa s overwhelmed b y a 523-to-8 electoral count and a popular-vote margin of 27.7 million t o 16. 7 million, the fa r Lef t doin g much les s well tha n i n 1932 . The depression wa s not over, bu t the improvemen t i n th e econom y wa s noteworthy . A coalitio n ha d bee n forge d that consiste d o f th e Soli d South , th e non-Anglo-Saxo n ethni c group s tha t ha d been mobilize d b y th e big-cit y machine s o f th e North , th e midwester n farmer s saved by New Dea l assistance , th e labor unions tha t thrive d unde r FDR , an d th e liberal intellectuals—an d als o a fe w businessmen , whos e Democrati c number s were t o grow. The Ne w Dea l coalition, confrontin g ric h Anglo-Saxons who seemed dominan t in th e shamble s tha t 193 6 left th e Republica n part y in , marke d a sharp reorgani -

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zation of American politica l life. "Al l income groups had been well represented i n both majo r partie s [i n th e nineteent h century]/ ' declares on e authoritativ e work; 21 now th e tw o partie s move d muc h close r t o division b y socia l class . Th e divisio n was to last a quarter-century a t least . Armed wit h th e confidenc e produce d b y his great victory, Roosevel t proceede d to take o n th e Suprem e Court , whic h ha d declare d unconstitutiona l som e of hi s favorite measures . Hi s "court-packing " bil l arouse d fea r an d hostilit y i n eve n some o f hi s supporters , bu t i t failed—o r i n a sens e succeeded , fo r th e Cour t seemed t o respon d t o th e threa t b y a ne w willingnes s t o approv e Ne w Dea l legislation brough t befor e it . I n th e midter m election s o f 193 8 th e pendulu m swung agains t FDR , sufficientl y s o tha t Republican s mad e gain s i n Congres s and, actin g wit h souther n Democrats , wer e i n a position t o prevent an y furthe r movement t o the left . But th e Ne w Dea l wa s no t repealed , i t wa s merel y contained . I t ha d reduce d the powe r o f th e state s an d increase d tha t o f Washington, D.C. , alon g with th e capitals payroll s of federal employee s an d th e cos t of the federa l governmen t an d its programs . I t interfere d wit h th e propert y right s o f th e ric h an d assume d a s a permanent obligatio n aspect s o f th e welfar e o f th e poor . However , i t als o gav e millions a stake in societ y an d probably stave d off a crisis tha t migh t hav e shake n the foundation s o f the entire nation . During th e late r 1930 s th e ris e o f Naz i Germany , it s junior partne r Fascis t Italy, an d militaris t Japa n dre w increasin g America n attention . Th e prevailin g reaction wa s t o tr y t o insulate th e Unite d State s agains t foreig n trouble s b y way of th e neutralit y law s o f 193 5 an d 1937 . Eve n afte r Worl d Wa r I I brok e ou t i n September 193 9 th e countr y wa s reluctan t t o hel p Britai n an d Franc e agains t Hitler o r even t o strengthen America n defenses . I t was after Franc e an d th e Low Countries ha d bee n overru n an d whil e Germa n armie s wer e fas t advancin g int o the USSR , i n Augus t 1941 , that th e Hous e o f Representative s cam e withi n on e vote o f refusin g t o exten d th e draf t la w fo r th e army . I n th e campaig n o f 194 0 FDR, facin g th e Indian a businessma n Wendel l Willki e a s hi s Republica n oppo nent, promise d no t t o send "you r boys " int o an y foreig n war . True , b y wa y o f "Lend-Lease," Congress authorized ai d to Britain of military equipment i n Marc h 1941, an d after Hitle r attacke d th e Sovie t Unio n i n June ai d was extended t o that country a s well. In Decembe r th e Japanes e attac k o n Pear l Harbo r brough t Americ a int o th e war, an d from the n o n every nerve was strained t o gain victory. "Unde r th e stres s of a war tha t require d intelligen t foresigh t i f i t wer e t o be won, plannin g cease d to b e a dirt y wor d an d becam e a necessit y i n moder n administration, " write s Samuel Elio t Morison. 22 Th e federa l governmen t create d ne w agencies , th e

The Coming of Democracy: Part 2 30 whole nation wa s mobilized fo r war production, th e armed forces wer e immensel y increased i n manpowe r (an d women , too , too k part ) an d qualit y o f equipment . Black unit s wer e organize d an d fough t well , thoug h integratio n o f fighting unit s had t o awai t th e Truma n administration ; a n unsurpasse d militar y recor d wa s made b y th e Japanese-America n unit s fro m Hawai i an d th e mainland . Th e United State s sustaine d ove r on e millio n casualties , an d mor e tha n a thir d o f those died . Th e cos t i n mone y wa s immense , thoug h th e countr y emerge d wit h an expanded an d improved industrial plan t an d suffere d n o postwar depression . In 194 4 ther e wa s hel d th e first wartim e presidentia l electio n sinc e 1864 ; Roosevelt wa s electe d t o a fourth ter m wit h a 432-10-99 majority i n th e Electora l College, bu t th e popula r vot e went t o him mor e narrowly . H e wa s alread y a sick man, an d h e died i n Apri l 1945 . H e wa s succeede d b y Harry S . Truman , whos e presidency surprise d man y wh o a t th e star t scorne d hi m a s ordinary. H e le d th e country int o the Unite d Nations , organize d a t a conference hel d in Sa n Francisc o in lat e April , whos e Charte r wa s approve d b y overwhelming vot e o f th e Senate . The chang e from th e end of World Wa r I was striking . America wa s indee d thrus t int o th e internationa l aren a b y th e wa r an d the n the peace, an d a t th e sam e tim e th e natio n face d ne w challenge s an d difficulties . The puzzlingly intransigent an d often hostil e attitude of the USSR and the sprea d of Communis t rul e int o Easter n Europ e an d Eas t Asi a le d t o th e so-calle d Col d War (th e phras e wa s credite d t o Walter Lippmann) , bu t domesticall y ther e wa s an enthusiastic retur n t o normalcy, a s Harding once put it . To almos t everyone' s surpris e excep t hi s own , Truma n wo n th e electio n o f 1948 wit h 30 3 electora l vote s t o 18 9 fo r Governo r Thoma s E . Dewe y o f Ne w York, 3 9 fo r Governo r J . Stro m Thurmon d o f Sout h Carolin a (candidat e o f th e short-lived States ' Right s Democra t o r "Dixiecrat " ticket) , an d zer o for Henr y A. Wallace, candidat e o f a Communist-dominate d leftis t coalitio n usin g th e nam e Progressive. Th e Ne w Dea l ha d show n unexpecte d durability . Nevertheles s Truman's progra m fo r furthe r extensio n o f welfar e measure s an d civil-right s reform, labele d th e "Fai r Deal, " mainly failed o f passage in Congress . An effor t b y internationa l Communis t force s t o exten d thei r swa y beyon d China ( a People's Republi c wa s proclaimed i n Pekin g in Octobe r 1949 ) to adjoin ing areas extendin g fro m Indi a al l th e way t o the Korea n peninsul a wa s climaxe d by a n attac k b y Nort h Kore a i n Jun e 195 0 acros s th e thirty-eight h paralle l southward. Truma n sen t American force s t o help South Korea . The Korea n War , as most peopl e terme d wha t Truma n brande d " a police action, no t a war," ende d in stalemat e an d roughl y th e status quo ante. I t wa s conclude d b y a n armistic e reached unde r Presiden t Dwigh t D . Eisenhowe r (1953-61) , wh o defeate d th e brilliant an d articulat e Adla i E . Stevenso n twic e t o presid e ove r a tranquill y

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uneventful administration . I n 1954 , i n th e case o f Brown v. Board of Education, the Suprem e Cour t ordered a n end to segregation i n U.S . schools . I n 195 9 Alaska and Hawai i became th e forty-ninth an d fiftieth states . From 196 1 t o 196 9 moderat e Democrat s hel d th e presidency : Joh n F . Ken nedy, wh o became th e darling of intellectuals an d whose assassination i n Novem ber 196 3 shook the whole nation, an d Lyndo n B . Johnson (1963-69) , wh o sought to run bot h a war i n Sout h Vietna m designe d t o stop a Communist takeove r an d ambitious domesti c program s unde r th e sloga n o f a "Grea t Society*'—wit h un happy result s fo r th e treasury . Th e civil-right s movement , le d b y Dr . Marti n Luther King , Jr . (assassinate d i n 1968) , b y nonviolen t direc t actio n achieve d desegregation o f man y privat e an d publi c facilitie s befor e a perio d o f riotin g erupted. Force s espousing feminism, ga y liberation, environmentalism , an d leftis t politics focusin g o n th e Vietnam Wa r mad e thei r appearance ; and th e last-name d had muc h t o d o wit h pushin g Richar d Nixon , electe d i n 196 8 (afte r narrowl y losing to Kennedy i n i960 ) an d Secretar y of State Henr y Kissinge r int o arrangin g with th e USS R an d PR C a purported settlemen t i n Januar y 197 3 tha t collapse d in 1975 , resultin g i n a complet e Communis t victory . I n th e meantim e a convoluted scanda l beginnin g wit h a break-in t o th e Democrati c Nationa l Committe e headquarters i n th e Watergat e comple x i n Washington , D.C. , drov e Nixo n t o resign i n 1974 , althoug h h e ha d wo n a one-sided victor y i n 1972 . Pau l Johnso n calls all thi s "America s suicid e attempt.' 23 Certainl y th e sixtie s were a period of often hysterica l publi c demonstrations , paralysi s o f government , an d th e sexual , racial, an d other revolution s tha t occurred wit h dizzying speed. Nixon, a Republican, wa s replaced by Republican Vice-President Geral d Ford , who los t th e presidenc y t o Democrati c Governo r Jimm y Carte r o f Georgi a i n 1976, i n tur n replace d b y Ronal d Reaga n (1981-89) , a forme r film acto r an d governor o f California . Reaga n di d muc h t o rehabilitat e th e presidenc y a s a respected offic e bu t lef t th e heritag e o f a ferociou s federa l deficit . I n Januar y 1989 Vice-President Georg e Bush succeede d him . A pattern o f Republican presi dents an d Democrati c Congresses , i n sometime s uneas y coexistence , ha d devel oped. I n th e turbulen t tw o decades followin g th e Kenned y presidency, th e Amer ican syste m ha d showe d tha t i t coul d surviv e a great man y shocks . Som e woul d argue tha t th e limit s o f libert y ha d bee n extende d to o far , bu t th e popula r consensus did not see m t o agree.

CHAPTER I O

The Coming of Democracy, 1800-1990: Part Three

Poland The Constitutio n o f 179 1 ha d converte d th e electiv e monarch y int o a hereditar y one (note tha t a n electiv e monarch y ha s seldo m i f ever been a n exampl e of a fre e polity), create d a two-chambe r legislature , an d abolishe d th e liberu m veto— a noteworthy instanc e o f ho w takin g awa y th e power s o f a nationa l assembl y ma y under certai n circumstance s advanc e th e caus e o f freedom . Bu t th e constitutio n did no t last : i t le d t o Russia n manipulatio n tha t create d th e Confederatio n o f Targowice, subsequen t Russia n an d Prussia n invasion , an d the Secon d Partition , in tur n provokin g a revolution i n 179 4 that wa s put dow n an d followe d u p by th e Third Partitio n i n 1795 . I t wipe d Polan d of f th e map . A Polan d o f sort s wa s restored a s th e Duch y o f Warsaw b y the Treat y o f Tilsit betwee n Alexande r I of Russia an d Napoleon , an d lasted fro m 180 7 to 1815. The Congres s o f Vienn a i n effec t partitione d th e countr y onc e again . Ther e were five part s o f th e ne w settlement : unde r Prussia , Wes t Prussi a an d th e Grand Duch y o f Pose n (Poznan) ; unde r Austria , Galicia ; th e Fre e Cit y o f Cra cow; th e Kingdo m o f Poland , unite d wit h th e Russia n crown ; an d th e forme r Polish provinces of the Russian Empire . Th e Pole s strove to extend th e autonom y permitted the m i n Prussi a an d t o obtain somethin g comparabl e fro m Austri a (i n vain fo r decades , late r wit h muc h success) , bu t wha t seeme d t o promise mos t fo r the futur e freedo m o f th e natio n wa s th e Kingdo m se t u p b y th e Congres s o f Vienna (therefor e "Congres s Poland") . Th e Polis h nobilit y retaine d it s economi c 307

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and socia l ascendanc y i n al l five part s withou t bein g grante d significan t politica l power i n any . Emancipatio n o f serf s occurre d i n differen t way s i n th e differen t units. I n Prussia , th e peasants had to yield from one-sevent h t o one-third of their land t o thei r lord s a s th e pric e o f persona l liberty , and/o r agre e t o substantia l payments i n mone y o r service s (1821-23) . ^ n Craco w durin g th e 1820 s th e peasants retaine d al l the land they had tilled but became rent-payin g farmer s no t owners. Fo r the time being the serfs in Austria an d Prussia wer e little affected . The Constitutiona l Charte r o f th e Kingdo m o f Polan d (1815 ) provide d fo r Polish frontiers , passports , an d citizenship . I t wa s no t s o differen t fro m th e Constitution o f 1791—i t provide d fo r a hereditary monarch y an d a two-chambe r legislature—but th e monarch wa s now the Russia n tsar . Th e document containe d "an impressiv e soundin g sectio n o n civil liberties" ; however, peopl e sai d tha t th e constitution o f th e Duch y o f Warsa w ha d n o guarantee s o f civi l libertie s bu t nobody noticed it, wherea s th e kingdom's did have but nobody noticed it either. * The tsar , Alexande r I , too k the constitutional experimen t o f Poland seriously ; the fac t tha t h e retaine d Finland' s constitutiona l arrangement s whe n h e con quered it, extended somethin g of the sort to Bessarabia, an d was crucial in forcin g constitutions o n severa l Wes t Europea n monarch s i f they wer e t o be restored t o their throne s argue s tha t thi s wa s no t mer e sham . Ou t o f hi s knowledg e o f Alexander a s the frien d o f his youth, Princ e Ada m Czartorysk i bega n wit h hig h hopes for the new system. Clouds soon appeared in the blue sky. Alexander made his brother Constantin e commander-in-chief o f the Polish army ; the grand duke was unstable an d unpredictable, arrivin g in Warsaw hatin g the country (throug h h e came to be fond of it later). Th e first vicero y was General Jozef Zajaczek, bu t both before an d after hi s death Constantin e an d Nicholas Novosiltsev , th e extraconstitutional representa tive of the tsar, rule d instead . Alexander I had "reveled for a while in the part of a constitutional monarch," 2 and had told th e Polish Die t i n Marc h 181 8 that h e was so pleased wit h th e new constitution tha t h e planned t o extend th e benefits o f "free institutions " t o other parts o f the empire—presumably Russi a itself . However , hi s enthusiasm coole d as Polis h secre t societie s spread , provokin g censorship , whic h i n tur n le d t o criticism i n th e Diet . Afte r a n acrimoniou s sessio n o f 182 0 th e Die t wa s not reconvened unti l a fe w month s befor e th e tsar' s deat h i n 1825 , during whic h interval th e leader s o f a secre t societ y wer e arreste d an d tried . Mor e arrest s of Poles occurred afte r th e Decembrist revol t in Russia itself . Nicholas I wa s no w tsar . I n 182 8 he visite d Warsaw , wa s crowne d kin g of Poland, an d swor e t o uphol d th e constitution . Bu t hi s degre e o f toleratio n o f constitutions wa s strictly limited , an d when th e Frenc h an d Belgian revolution s

The Coming of Democracy: Part 3 30 of 183 0 occurred h e propose d t o sen d a Russia n arm y includin g Polis h troop s t o suppress them . Th e mer e proposal led to a Polish revolution . It bega n o n Novembe r 2 9 wit h a n uprisin g take n ove r b y conservative s wh o wished t o retai n th e syste m o f 1815 . Th e Gran d Duk e Constantin e playe d a n almost wholl y conciliator y role ; Nichola s I instea d demande d surrender . Th e Sejm proclaime d th e dethronemen t o f th e tsar . Th e Polis h arm y fough t th e Russian army ; a t length , i n Septembe r 1831 , the ne w Russia n commander , Iva n Paskevich, too k Warsaw , an d th e moppin g u p wa s soo n complete . Paskevic h became Prince of Warsaw, vicero y (1832), an d effective rule r of the country unti l his deat h i n 1856 . Th e constitutio n o f 181 5 wa s mor e o r les s se t asid e (lawyer s argued about exactly what had happened t o it) by the Organic Statut e of Februar y 14/26, 1832 .

Now Polan d wa s "a n indivisibl e part " of the Russia n empire . Sh e was assure d civil liberties , us e o f th e Polis h languag e i n administratio n an d th e courts , an d her own lega l codes, bu t thos e assurances wer e mostly empty. Centralizatio n an d Russification proceede d littl e b y littl e durin g th e Paskevic h era . Som e nin e thousand emigrated ; other s wer e punished , exiled , o r sen t t o serv e i n Russia n Asia. Th e Congres s Kingdo m "lingere d o n i n nam e only " fo r nearl y thirt y years ; "one by one, th e survivin g Polish institution s wer e dismantled." 3 In th e meantim e th e Republi c of Craco w continued , fo r a time prospering; it s institutions o f self-governmen t wer e limite d b y th e thre e Resident s o f Austria , Prussia, an d Russia , wh o had t o approve al l executive decision s of the President . In 183 6 Austrian an d Russia n troop s occupied th e city as a result o f the killin g of a polic e agent , an d remaine d ther e fo r fou r years . Wha t wa s intende d a s a nationwide risin g i n 184 6 miscarried , an d th e Republi c (o r Fre e City ) wa s occupied an d then , vi a an Austro-Russian treaty , annexe d b y Austria. As Davies puts it, "mos t historians woul d agree that th e risings were launche d and supporte d b y the nobilit y bu t tha t they failed , amon g other reasons , becaus e the mas s o f th e peasantr y remaine d apatheti c toward s them. " Poland' s overlord s noticed th e fact , an d acted . I n Apri l 184 8 th e governo r o f Galicia , o n behal f o f the Habsbur g emperor , announce d th e emancipatio n o f th e serf s i n Austria n Poland, severa l month s befor e th e res t o f th e Austria n peasant s wer e freed ; i n 1850 earlier step s towar d emancipatio n wer e completed i n Prussia . As fo r Russia , th e gauntle t wa s lai d dow n b y th e event s tha t followed . Th e defeat o f 183 1 wa s no t accepte d b y eithe r th e conservative s aroun d th e Hote l Lambert i n Paris , hom e of Prince Adam Czartoryski , o r the radicals of the Polis h Democratic Societ y i n London , know n a s Whites an d Red s respectively . I n 185 6 the new emperor, Alexande r II , an d the new viceroy, Princ e Michae l Gorchakov , seemed t o offer hop e o f change , startin g wit h a n amnest y t o Polis h emigre s an d

9

3io Freedom:

A History

exiles. Concession s followe d tha t virtuall y restore d th e regim e o f 183 2 before i t was i n effec t se t aside , wit h th e Marqui s Alexande r Wielopolsk i a s th e centra l figure. Bu t th e radical s an d h e wer e fa r apart , an d whe n h e trie d t o draf t th e extremist leader s into the army, revolutio n brok e out in January 1863 . This tim e ther e wa s no Polish army , an d th e insurgents wer e overwhelmed by regular Russia n forces . However , i t wa s no t unti l Ma y 186 4 tha t Genera l Fedo r Berg coul d repor t ( a bi t prematurel y eve n then ) th e en d o f th e campaign . B y a decree o f Februar y Polis h peasant s i n th e Russia n empir e wer e emancipate d under condition s mor e beneficial t o them tha n th e Russian emancipatio n o f 1861. Their lan d allotment s wer e bigger , n o redemptio n payment s wer e required , an d the ne w Polis h administrativ e uni t o n th e loca l leve l i n th e countryside , th e gmina, gav e th e peasant s a favorabl e position . (Bu t th e Polis h peasant s di d no t come t o lov e Russia ; th e religiou s issue , stemmin g fro m discriminatio n agains t Catholics an d on behalf o f Orthodox, remained. ) An Administrativ e Committe e heade d b y Nichola s Miliuti n (wh o playe d a n important par t i n severa l of the Grea t Reform s o f the 1860 s and 1870 s in Russia ) had worked ou t th e Februar y 186 4 emancipation. Th e Kingdo m of Poland cease d to exist; Warsaw became th e capital of Vistula Land . B y 1871 its only administra tive peculiarit y wa s th e continue d us e o f th e Napoleoni c Code ; fo r th e rest , th e ten Polis h gubernias were ordinary part s of the Russia n empire. 4 Thousands wer e exiled, an d thi s tim e ther e wa s n o amnesty . I t als o seeme d tha t ther e wa s n o hope—for independenc e o f the nation o r freedom fo r it s people. For th e nex t fort y year s ther e coul d b e littl e o r n o politica l lif e i n Russia n Poland, bu t th e so-calle d positivist s supporte d a directio n o f energie s towar d education, technology , an d "organi c work, " agains t a background o f anticlerica l and antiaristocratic attitude s commo n t o much o f European liberalism . In contrast , t o Austria n Poland—tha t is , Galicia—th e Ausgleich of 186 7 yielded virtual autonom y by 1871 . There wa s a Sejm, fro m whic h Polis h peasant s were exclude d unti l 1889 , an d al l Ruthenian s (Ukrainians ) wer e muc h underre presented. Jew s ha d ful l equalit y o f right s afte r 1867 , an d ther e wa s som e assimilation. Polis h Catholi c noble s wer e dominant . Educatio n mad e significan t progress, industr y less , an d agriculture nex t t o none at all. Prussian Polan d becam e Germa n Polan d a s wel l i n 1867—71 . Tha t meant , i n the followin g decad e or so , pressure o n Polis h Catholic s alon g with Germa n one s as a result o f Bismarck's Kulturkampf and the n Germanizatio n wit h les s religiou s content. Bu t agricultur e prospere d a s di d food-relate d industries . Th e Prussia n Pole "wa s bette r educated ; h e wa s disciplined , hard-working , an d enjoye d a higher standar d o f living [tha n th e Pol e living under Austri a o r Russia]; he coul d compete on nearly equa l term s with th e Germans/ 5 Nevertheless i t wa s i n Austria n Polan d tha t th e closes t thin g t o a Polis h

The Coming of Democracy: Part 3 31 1 national reviva l o n Polis h soi l too k place , an d als o wher e th e nascen t Ukrainia n national movement , suppresse d an d expelle d fro m th e Russia n empire , foun d refuge. Th e Shevchenk o Society , name d fo r th e grea t poe t wh o did muc h t o give form t o th e Ukrainia n language , wa s founde d i n 1873 ; a chai r o f Ukrainia n history wa s establishe d a t Lember g Universit y i n 189 4 an d t o i t wa s appointe d Mykhailo Hrushevsk y fro m Kiev . A Lithuania n revival , challengin g wit h diffi culty a centuries-old partly Polonized heritage, wa s also roughly treated in Russia , but its supporters foun d somethin g of a haven i n Eas t Prussia . There wer e Polis h deputie s i n th e Austria n parliament , afte r 189 5 rangin g from Socialist s t o conservatives, an d Galicia increasingly became a safe harbo r fo r Poles fro m th e Congres s Kingdo m an d th e hop e tha t i t coul d serv e a s a futur e Piedmont fo r a unite d Poland . I n Prussia n Poland , afte r 189 0 Capriv i grante d some concession s t o th e Pole s tha t wer e soo n drowne d i n a wav e o f Germa n nationalism. I n Warsaw , Polis h nationalis m foun d a voice i n Roma n Dmowski , who i n 189 3 pushe d throug h a revampin g o f a grou p calle d th e Polis h League , from whic h th e Nationa l Democrati c movemen t developed . A Populis t part y followed i n Galicia . Socialists from al l three parts of the divided country an d th e emigration unite d to form a single delegation a t th e Brussels congres s (1891 ) of the Secon d Interna tional. Th e sectio n chiefl y concerne d wit h nationa l independenc e forme d th e Polish Socialis t part y (PPS ) a t a secre t conferenc e nea r Viln a i n 1893 ; Joze f Pilsudski became the leader. Th e internationalists, whos e chief theoris t was Rosa Luxemburg, forme d th e Socia l Democrac y o f the Kingdo m o f Poland (SDKP ) th e following year, bu t it fell apar t and had to be revived in 190 0 under th e leadershi p of Felik s Dzierzynsk i a s th e Socia l Democrac y o f th e Kingdo m o f Polan d an d Lithuania (SDKPiL) . I n 189 7 the ne w Jewish Bun d (Leagu e of Jewish Working men o f Poland , Lithuania , an d Russia ) ha d adde d t o th e complexit y o f th e picture. In 1904—5 , th e Russo-Japanes e Wa r gav e hop e t o th e enemie s o f tsaris m everywhere, precipitate d th e Revolutio n o f 190 5 throughout th e Russia n empire , and le d t o th e creatio n o f a representativ e assembly . I n th e Firs t Duma , th e Polish Circl e (Kolo, a wor d use d i n severa l parliamentar y o r semiparliamentar y contexts) was made up of fifty-five National Democrats , o r Endeks; in th e Secon d Duma i t wa s forty-six, le d by Dmowski himself; i n th e Thir d Dum a (eac h of th e first tw o lasting but a few months ) electe d unde r a n altere d suffrage , th e Polish Li thuanian-Belorussian contingen t wa s reduced t o 18. 6 The aftermat h o f th e Revolutio n o f 190 5 wa s a tim e o f regroupin g o f Polis h political forces . PP S spli t i n tw o i n 1906 ; Pilsudsk i too k ou t a minorit y tha t included mos t o f th e Fightin g Organizatio n (Organizacja Bojowa), whic h con ducted robberie s t o finance th e part y an d som e terrorism ; th e majorit y calle d

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itself th e PP S Left . Bu t soo n Pilsudski' s part y overshadowe d it . I n bot h Russia n and German Polan d schoo l strikes sought Polonizatio n o f instruction. I n Austria n Poland part y conference s wer e hel d openly , th e pres s examine d alternativ e polit ical programs, an d Polish Socialis t participation i n a general strike led by Austrian Social Democrats helped to extort from th e emperor consent to universal manhoo d suffrage i n Austria . In Congres s Polan d a spectru m o f view s no w too k shap e tha t range d fro m Dmowski's Neoslavis m (equalit y of all Slavs, Polish-Russia n reconciliation , reori entation o f Austria-Hungar y throug h achievin g predominanc e o f th e Sla v major ity) throug h Progressiv e Democratic , Socialist , an d Peasan t positions . Dmowsk i became increasingly anti-Semitic , an d als o declared tha t Prussi a wa s the greates t threat t o th e Poles . Bu t th e Nationa l Democrat s i n Galicia , feelin g themselve s unable t o tak e u p a pro-Russian line , criticize d Austria' s allianc e wit h German y and attacked Ukrainian s a s Poland's chief enemy . In 191 4 Prussia n Polan d ha d a pe r capit a incom e o f $113 , Russia n Polan d $63, Austria n Polan d $38 7 —but Galici a wa s the frees t o f the three . B y September 191 5 th e Centra l Power s ha d drive n th e Russian s entirel y ou t o f ethni c Poland; Germans permitte d loca l elections an d th e functioning o f political partie s —an improvemen t ove r Russia n rule—bu t carrie d economi c exploitatio n ver y far; Austrian s wer e milde r i n economi c matter s bu t slowe r t o permi t loca l self government. In 191 8 al l thre e government s o f th e foreig n ruler s o f Polan d collapsed . O n November 7 radical s i n Lubli n proclaime d a Polis h People' s Republic , bu t i t lasted onl y a fe w days . O n Novembe r 1 4 th e Regenc y Council , forme d b y th e Germans an d Austrian s i n accordanc e wit h th e Tw o Emperors ' Declaratio n o f November 191 6 promising t o restore th e Kingdo m o f Poland , hande d ove r powe r to Pilsudski. Pilsudski rule d i n fac t (no t i n law ) a stat e tha t regaine d independenc e afte r 123 year s (bu t woul d kee p i t fo r onl y 2 1 more) . Th e questio n wa s no w wha t boundaries th e ne w Polan d woul d have . Smal l war s wit h th e Wes t Ukrainia n Republic, Germany , Lithuania , an d Czechoslovaki a ensue d ove r th e nex t fou r years; and on e big one, wit h th e Russia n Sovie t Republic , erupte d fro m a border skirmish i n Februar y 1919 . Th e fron t swaye d fro m a poin t nea r Kie v t o th e suburbs o f Warsaw . Genera l Mikhai l Tukhachevsky , al l o f twenty-seve n year s old, issue d a n orde r o f th e day : "T o th e West ! Ove r th e corps e o f White Polan d lies the roa d to world-wide conflagration." 8 O n 3 1 August 1920 , what was said to be the last great cavalry battle of European an d perhaps world history was fought , but th e Soviet s ha d bee n defeate d tw o week s earlier . A Polish-Sovie t treat y established th e frontier i n Marc h 1921 . The Polan d establishe d b y th e Constitutio n o f 1 7 Marc h 192 1 se t u p a

The Coming of Democracy: Part 3 31 bicameral Sej m electe d by universal suffrage , guarantee d civi l liberties, an d made the presiden t (electe d b y th e Sej m fo r a seven-yea r term ) responsibl e t o th e legislature. Th e so-calle d parliamentar y o r constitutiona l perio d (1921-26 ) ha d its achievements . "Startin g wit h th e cor e o f institution s lef t b y th e Germans ' Polish Kingdom , a moder n stat e ha d t o b e buil t i n hast e i n th e mos t advers e conditions o f wa r an d economi c disruption" 9: a n army , a lega l system , a civi l service, an d a functioning communication s syste m wer e created; compulsor y fre e education wa s introduced i n 1922 . But th e problem s wer e deep . Th e heterogeneou s ethni c make-u p of the coun try wa s one : i n 193 1 Pole s wer e 68.9 % o f th e population , Ukrainian s 13.9% , Yiddish-speaking Jew s 8.7% , Belorussian s an d German s belo w 4% , bu t thes e minorities wer e majoritie s i n certai n areas . Th e politica l syste m di d no t wor k well. Afte r a perio d o f confusio n an d turmoil , Pilsudsk i carrie d ou t a cou p i n 1926 an d becam e th e rea l ruler , presidin g i n effec t ove r wha t cam e t o be calle d the regime of the "colonels, " or the Sanacja (a slogan meaning "return t o health"). Its "vague , i f forceful , ideolog y . . . imagine d tha t th e evi l i n men' s soul s coul d be scrubbe d clea n b y militar y spi t an d polish." 10 I t wa s no t Fascist ; th e onl y Fascist sympathizer s i n Polan d oppose d Pilsudski . Th e parliamentar y fagad e wa s retained, an d th e opposition continue d t o function . First th e regim e trie d t o win a n electio n fairly , the n i t intimidated th e opposition, an d i n 193 5 a new constitutio n mad e election s les s important. A few week s after i t wa s adopted , Pilsudsk i died , bu t hi s successor s carrie d o n a s before . A s Davies writes , "th e arbitrar y act s o f th e Sanacj a regim e wer e n o mor e edifyin g than th e political squabble s which precede d them. " n In th e late 1930 s economic conditions were harsh, Ukrainian s were ill-treated , Jews stil l suffere d fro m anti-Semitism , peasant s wer e onl y marginally bette r off , workers unhappy . Ye t artist s an d scientist s flourished, an d i n contras t t o Naz i Germany an d Sovie t Russia , Polan d wa s not i n suc h ba d shape . I n 193 9 the tw o totalitarian power s signe d an agreement, invade d Polan d from bot h west and east , and inflicte d unprecedente d sufferin g o n th e country . Si x millio n o f th e forme r population o f Polan d died , i n fighting, executions , pacifications , th e camps . Almost thre e millio n wer e Jews. Ove r eleve n millio n die d i n occupie d Poland , o f which ove r five million wer e Jews. 12 The Polis h government wen t int o exile, first i n France , the n i n England ; fro m July 194 1 t o Apri l 194 3 i t ha d relation s wit h th e USSR . Whe n th e German s discovered th e graves of forty-five hundre d Polis h soldier s at Katy n and th e exile d Polish governmen t demande d tha t th e Internationa l Re d Cros s investigate , th e Soviets severe d relations. 13 Th e Polis h resistanc e wa s slo w t o form , bu t b y th e end of 194 2 the Home Army (Armia Krajowa , o r AK) had come to head a network of trained soldier s numbering about fou r hundre d thousand .

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The Jew s of Polan d ha d been cramme d int o ghettos soo n afte r Naz i conquest . In a n uprisin g i n th e Warsa w ghett o i n Apri l 194 3 a handfu l o f youn g Jewis h men an d wome n hel d of f a n S S brigad e fo r thre e week s befor e bein g extermi nated. I n July 194 4 the Hom e Army led a revolt against th e Nazis , expectin g tha t the Pole s would liberate thei r capita l before th e Soviet s arrived. Stali n denounce d the Hom e Army , whic h fough t o n unti l Octobe r befor e surrenderin g whil e th e Soviets watche d fro m acros s th e Vistula . I n Davies' s words , "i t wa s th e en d o f the old order in Poland . . . . The Nazi s had done the Soviets ' work for them." 14 When th e Sovie t Arm y crosse d th e Bu g Rive r i n Jul y 1944 , enterin g wha t Moscow wa s read y t o recognize a s postwar Poland , th e Soviet s created a t Lubli n a Polish Committe e of National Liberation . I t became th e nucleus of the postwa r government, wit h onl y th e temporar y additio n o f on e genuin e non-Communist , Stanislaw Mikolajczy k (Jun e 194 5 to October 1947) . Just ove r hal f o f its prewa r territory wa s take n int o th e ne w Poland , whic h wit h th e additio n o f th e land s east o f th e Oder-Neiss e lin e emerge d a s four-fifth s th e tota l are a o f 1939 , wit h only two-third s o f th e populatio n o f tha t time. 15 Th e peopl e wer e no w almos t entirely ethnicall y Polis h an d religiousl y Roma n Catholic—homogeneou s t o a degree unprecedented i n Polis h history . The Polis h Communis t party, destroye d by Stalin, 16 had been replace d in 194 2 by the Polis h Workers ' party , le d b y a scruffy handfu l o f unknowns. Fro m 194 4 on i t impose d o n th e natio n a government ordere d b y Stalin , deteste d b y most of the people. Ye t the ma n wh o became its leader, Wladysla w Gomulka , wit h a few others, "believe d tha t hard-line Polis h communism offered th e one sure guarante e for Polan d agains t Sovie t imperialism." Declare s Davies : They woul d hav e concurre d wholeheartedl y wit h Stalin' s dictu m tha t communis m i n Poland resembled "a saddle on a cow." Unlike Stalin, however, they would have preferred to trim the saddle to fit the cow, instead of hacking the cow to fit the saddle.17 And fo r th e first fe w year s i t wa s Sovie t puppet s wh o headed th e Polis h regime . Collectivization o f agriculture , bille d a s th e cente r o f Communis t policy , mad e headway; collective farms mor e than double d in siz e in th e early 1950s . After th e deat h o f Stali n cam e th e virtua l abandonmen t o f collectivizatio n i n Poland, an d mountin g level s o f protes t leadin g t o th e crisi s o f Octobe r 1956 , i n which th e Polis h peopl e hel d back fro m revolutio n Hungaria n styl e but dange r of a mas s uprisin g seeme d rea l enough . Gomulk a wa s name d Firs t Secretar y o f th e party an d face d dow n Nikit a Khrushche v t o survive as head of what wa s billed as a reformist, national-Communis t regim e but soo n reverte d t o repression. I n 197 0 riots le d t o hi s replacemen t b y Edwar d Gierek , leade r o f th e part y i n Silesia ; i n 1980 strike s sprea d fro m th e Gdans k shipyar d t o bring dow n Giere k an d spaw n the voluntary trad e union Solidarity , le d by Lech Walesa. Soo n General Wojciec h

The Coming of Democracy: Part 3 31 5 Jaruzelski, havin g bee n shifte d fro m premie r t o party secretary , impose d martia l law. A n uneasy calm was broken afte r Mikhai l Gorbache v visited Warsaw in July 1989. A strik e becam e a virtua l uprising ; th e part y yielde d t o a compromis e b y which Jaruzelsk i wa s electe d president , bu t a non-Communist cabine t too k ove r with approva l of Walesa an d Solidarity . Poland—through a series of drastically changing geographical permutations — developed man y of the prerequisites o f a free societ y and once or twice seeme d on the verge of establishing one: in th e Constitutio n o f 179 1 and in th e stat e create d by the initiativ e o f th e Polis h peopl e i n 1918 . A bitter iron y of th e whol e stor y i s how th e Naz i attac k o n Poland , whic h triggere d Worl d Wa r II , le d ultimatel y t o the destruction o f the Nazi s an d th e partitioning of Germany. Fro m thos e event s however emerge d no t freedo m fo r th e Pole s bu t i n effec t colonia l subjection . Nevertheless i n earl y 199 0 i t appeare d tha t afte r hal f a centur y freedo m wa s i n the proces s o f returnin g t o Poland , thoug h th e miserabl e economi c situatio n imperiled th e political, legal , an d other gains that ha d been made . The Balkans, 1804-1914 In th e eighteent h centur y th e people s of what woul d becom e Romania , Bulgaria , Greece, an d easter n Yugoslavi a wer e livin g unde r Ottoma n rule . The y wer e mainly Christian, peasant , rural , an d were generally healthie r tha n thei r Musli m fellow subject s o f th e sultan , fo r no t quit e clea r reasons . The y suffere d fro m heavy taxatio n an d a variet y o f mino r discriminator y regulations , bu t unde r th e millet syste m th e Orthodox , Armenia n (Gregorian), 18 Roma n Catholic , an d Jew ish populations had their own religious authorities who were simultaneously give n governmental power s and obligations. The hea d o f al l Orthodox , b y th e en d o f th e eighteent h century , wa s th e patriarch o f Constantinople, a church officia l wh o was Greek b y custom. H e ha d acted i n conjunctio n wit h th e governmen t o f th e sulta n (ofte n calle d th e "Porte " or "Sublim e Porte " fro m th e chie f governmenta l buildin g i n th e capital ) i n suppressing th e Serbia n patriarchat e a t Pec h an d th e Bulgaria n archbishopri c a t Ohrid i n 176 6 and 176 7 respectively . Next t o the Greeks i n order of influence withi n th e Ottoman Empir e wer e th e Romanians, wh o enjoyed autonom y limite d b y the Turkish powe r of appointmen t of the hospodars (or rulin g princes). Afte r certai n Romania n noble s assiste d Pete r the Great s invasio n i n 1709 , th e Port e cease d t o appoint Romanian s an d name d instead Phanario t Greek s (s o calle d fro m th e sectio n o f Constantinople , th e Phanar, i n whic h mos t o f thos e concerne d lived) . Serbs an d Bulgars , wh o wer e mainly peasan t peoples , occupie d th e lowes t plac e o n th e ethni c ladder—asid e from th e Montenegrins , wh o ha d kep t near-independenc e throughou t th e centu -

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ries of Ottoma n rul e i n th e Balkan s an d ha d wo n th e sultan' s recognitio n o f ful l independence i n 1799 , an d th e Albanians , whos e separat e identit y wa s scarcel y understood. In 180 4 a forme r soldie r an d livestoc k merchan t name d Karadjordj e Petrovi c led a Serbia n risin g directe d chiefl y agains t th e Janissaries , a group o f Ottoma n soldiery lon g composed o f Christia n boy-conscript s compelle d t o convert t o Isla m but b y now Musli m born , unrul y an d undisciplined . Th e immediat e provocatio n was a massacre o f a hundred o r more Serbia n notables ; th e ai m wa s t o get ri d of Janissary cruelty an d to get back th e limited autonomy Serb s had possessed earlie r —at th e local level, no t in Serbi a a s a whole. Th e revol t simmered . A t length, i n 1808, Karadjordj e proclaime d himsel f hereditar y rule r o f Serbia , t o ac t wit h a governing council tha t woul d also function a s supreme court . The Europea n power s playe d shiftin g role s i n thi s an d th e othe r Balka n revolts. Russi a i n particula r cause d disappointmen t b y firs t seemin g t o suppor t Serbian independenc e ( a goal not originally sough t by the Serbs ) and then , b y the Treaty o f Buchares t o f 1812 , leavin g th e Serb s t o fen d fo r themselve s agains t Ottoman vengeance . Th e sultan' s armie s reentere d Belgrad e i n 1813 . Bu t tw o years late r anothe r Serbia n leader , Milo s Obrenovic , le d a revol t provoke d b y another massacr e (thi s tim e o f me n wh o ha d actuall y rebelled) , an d b y 181 6 a settlement wa s reache d grantin g partia l autonom y t o Serbi a unde r Milos . Th e following yea r Karadjordj e returne d fro m Austria n territor y i n whic h h e ha d found refuge , wa s murdere d a t Milos' s order , an d wa s beheaded ; hi s hea d wa s sent t o the Ottoma n governo r who had it stuffe d an d sen t t o the sultan . The Greek s caugh t th e ger m o f revolutio n soo n afte r th e Serb s stumble d int o armed struggle . Gree k merchant s i n Odess a founde d a revolutionary organizatio n called Philik e Hetairi a (Societ y o f Friends ) i n 1814 , an d hope s wer e place d i n Russian help . Th e ai m was a general Balka n revolt , an d it was in order t o arouse one that Karadjordj e returne d t o meet death in 1817 . In Moldavi a and Wallachia, the Danubia n Principalitie s (th e futur e Romania) , Tudo r Vladimiresc u joine d the Hetairi a an d soo n wa s leade r o f many peasant s an d smallholders . I n 182 1 an abortive uprisin g wa s launche d i n Moldavi a unde r Alexande r Ypsilanti , a Gree k who had been aide-de-cam p to Tsar Alexande r I . Befor e i t failed, Ypsilant i seize d Vladimirescu an d execute d hi m fo r havin g trie d t o sav e himsel f fro m th e wrec k of the revol t by talks with th e Porte . As the Moldavia n uprisin g wa s collapsing , on e occurred i n th e Peloponnesus . There th e individua l Gree k village s ha d somethin g o f th e sam e kin d o f self government th e Serbs ha d befor e an d afte r th e revolt s of 1804-1 3 an d 1815-16 ; a differenc e wa s tha t ther e als o were electiv e provincia l bodie s an d a Senat e fo r the whol e Peloponnesus , an d tw o Greek s wer e electe d t o si t o n a council o f th e Ottoman vezi r along with tw o Muslims. Larg e landowners an d part of the clergy,

The Coming of Democracy: Part 3 31 7 however, foun d thes e arrangement s mor e o r les s satisfactory ; the y a t firs t kep t aloof from th e revolt . Both Greek s an d Muslim s kille d on e anothe r an d committe d atrocities ; it wa s Ottoman massacre s tha t wer e reporte d i n th e pres s o f th e Europea n powers , no t least th e hangin g o f th e patriarc h o f Constantinopl e an d som e bishop s o f hi s i n front o f thei r churc h b y Janissaries o n Easte r ev e 1821 . The uprisin g sprea d t o the res t o f Greece . I n Januar y 182 2 a Gree k assembly , meetin g a t Epidaurus , announced a new constitutio n fo r a n independen t Greec e tha t wa s base d o n th e government o f th e Frenc h Directory , th e executiv e t o consis t o f five men . I t never too k effect . Philhellenism, Europeans ' fascinatio n wit h th e moder n Greek s (perhap s to o easily equate d wit h fifth-century B.C . Athenians) , settle d th e issue . Th e entir e Ottoman fleet wa s sunk b y a joint British-French-Russia n squadro n i n th e bay of Navarino i n Octobe r 1827 , b y a strang e acciden t rathe r tha n plan ; th e upsho t was war between Turke y an d Russia . The thre e allie d power s wer e no w abl e t o impos e thei r wil l o n th e Porte : a n independent Gree k kingdo m unde r a seventeen-year-ol d Bavaria n princ e wa s se t up, an d th e ne w king , Othon , arrive d i n 183 3 t o rule roughl y th e souther n hal f of Greek-inhabite d territory . Bu t three-quarter s o f th e Gree k populatio n re mained unde r th e Ottomans , an d th e formerl y favore d positio n o f Greek s i n th e imperial governmen t an d economy was drastically altered . Serbi a benefited b y the intervention o f th e power s i n Balka n affairs ; th e sulta n recognize d th e ful l autonomy o f th e stat e i n 183 0 an d i n 183 3 gav e u p a n additiona l stri p o f lan d south of it. However, Serbia n notable s wer e dissatisfie d wit h th e autocrati c rul e o f Milo s Obrenovic, wh o was sai d t o run th e countr y lik e a Turkish pasha . Serbi a ha d n o continuing political or legal tradition. Ther e wa s an ancient custo m of assembling the arme d male s t o decide issue s calle d th e skupstina, bu t a t leas t i n recen t time s such bodie s wer e calle d t o ratify , no t debate , decision s o f th e leaders . Knowin g that neithe r Turkey , Austria , no r Russi a wishe d fo r full y constitutiona l system s to be establishe d i n th e area , Milo s fende d of f oppositiona l demand s fo r a genu inely representative assembl y and council . But Russi a backe d th e movemen t fo r a council o f notables (provide d fo r i n th e sultan's rescrip t o f 183 0 but no t implemented) , an d a s a result th e sulta n issue d the so-calle d Turkis h Constitution , whic h wa s th e basi s o f Serbia n governmen t from 183 8 until 1869. 19 A council o f seventeen , appointe d fo r lif e b y the prince , shared powe r wit h him ; they ha d t o approv e al l law s an d taxes , thoug h h e possessed a n absolut e veto . Th e ministers , afte r a n amendment , ha d t o b e appointed fro m counci l members an d were alread y responsible t o the council . Milos ha d create d a nation i n tha t h e mad e th e centra l governmen t meaning -

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ful, usin g fo r th e mos t par t Serb s educate d i n Austria , i n a n are a wher e ther e had bee n onl y loca l government . Als o Austria n educate d wa s Pete r Jovanovic , who became metropolitan o f a Serbian Orthodo x churc h newl y recognize d b y the sultan an d b y th e patriarc h o f Constantinopl e (ecclesiasticall y suprem e ove r th e Serbs sinc e 1766 ) an d remaine d i n tha t pos t fro m 183 3 t o 1859 . Serb s too k th e place o f Turks , Greeks , an d Jew s i n commerce . Milo s ha d issue d a law i n 183 6 to protec t th e peasan t famil y fro m havin g al l it s propert y seize d b y creditors , though i t wa s unevenl y enforced . Milo s woul d not , however , accep t th e ne w position o f th e prince , define d i n th e 'Turkis h Constitution" ; h e abdicated , an d after fleeting reign s o f tw o son s o f his , Alexande r Karadjordjevi c wa s electe d b y an assembly . Alexander's reig n wa s a tranqui l on e (1842-58) , i n whic h a n importan t lega l code was adopted an d steps were taken t o give Serbia a decent educational system ; but h e was forced ou t an d th e Obrenovic i returned—firs t ol d Milo s and the n hi s son Michael , wh o ha d earlie r bee n princ e fo r thre e years . Th e positio n o f th e assembly wa s regularized , bu t th e rule r an d counci l wer e mor e important . Mi chael's ai m wa s t o unif y al l Serbia n territories , an d t o tha t en d h e buil t u p th e army t o b e th e bes t i n th e Balkans . H e wa s assassinate d i n 1868 , an d hi s chie f adviser, Iliy a Garashanin , frustrate d th e pro-Karadjordjevi c conspirator s t o place his grandnephew Mila n on the throne . A new constitutio n provide d ne w guarantee s o f civil right s (thoug h no t of fre e assembly o r association) an d strengthene d th e assembl y a s it weakened th e coun cil. Th e assembl y woul d no w b e mad e u p o f three-quarter s electe d an d one quarter prince-appointe d member s an d receive d th e righ t t o approv e al l laws , which wa s in fact restricte d i n various ways. Princ e Mila n was brought t o declare war o n th e Ottoma n Empir e followin g th e revol t i n Bosnia-Hercegovin a i n 1876 . His arm y wa s soundl y defeate d bu t Russi a crushe d th e Turks . B y the Treat y o f Berlin (1878 ) Serbi a wa s recognize d a s independent an d gaine d a smallish chun k of territory aroun d Nish . I n 188 2 Milan proclaimed himsel f king . The kingdo m o f Greec e wa s of f t o a poo r star t unde r youn g Kin g Othon . Bavarian adviser s ra n th e governmen t fo r th e first decade , bu t th e French , British, an d Russia n "parties,' ' eac h compose d o f Greek s relyin g o n th e patro n power concerned, cam e to be the decisive political factions. Th e Turk s force d th e patriarch o f Constantinopl e t o excommunicat e th e churc h i n th e ne w kingdom , which becam e th e separat e Churc h o f Greece , unde r a syno d appointe d b y th e Catholic king ; Constantinopl e accepte d th e ne w arrangemen t i n 1850 . Th e pre vious yea r th e sharpl y controverte d ste p ha d bee n take n t o mak e th e artificia l literary languag e (katharevousa) th e officia l languag e fo r government , education , and th e press , wherea s th e popula r spoke n languag e (demotiki) was somethin g quite different .

The Coming of Democracy: Part 3 31 9 In 184 3 economic , military , an d politica l problem s combine d t o produc e a revolt tha t force d th e callin g o f a constituent assembly . Th e Britis h an d Frenc h parties helped t o introduce a constitution prescribin g a two-house legislature (th e lower electe d b y universal mal e suffrage ) an d a n absolut e vet o for th e king , wh o also appointe d an d dismissed ministers . Th e ne w governmen t wa s reasonabl y popular, especiall y whe n it s leader s gav e voice t o the Megale Idea (Great Idea ) of bringing everythin g fro m Cret e t o Trebizon d unde r a singl e Gree k flag. Suc h hopes, expresse d during the Crimean War , wer e temporarily dashed by the defea t of Russia in 1856 . In 186 2 occurre d anothe r militar y coup . Otho n an d hi s quee n returne d t o Bavaria, whil e a n eighteen-year-ol d Danis h princ e wa s chosen t o become Georg e I of Greece. H e reigned until 1913 , and in that half-century wo n great popularity. He wa s th e Britis h candidate , an d Britai n yielde d th e Ionia n Island s t o him a s a sort o f coronation gift . H e als o receive d a ne w constitutio n (1864) , wit h a unicameral legislatur e electe d b y universa l mal e suffrage , secre t an d direct , t o which th e ministr y wa s t o b e responsibl e thoug h th e kin g coul d appoin t an d dismiss it and ha d other powers George was chary about using . Romania ha d a native aristocracy , th e larg e landlord s o r boyars , an d a Chris tian government , th e Phanario t Greeks . Beginnin g wit h th e Treat y o f Kiigu k Kajnarci (1774) , whic h marke d th e permanen t tippin g of th e militar y balanc e i n Russo-Turkish relation s agains t th e Porte , Russi a graduall y acquire d a kin d o f protectorate over the two Danubian principalities , Moldavi a and Wallachia. Afte r the Treat y o f Adrianople , Russi a wa s abl e t o appoin t a n administrator , Coun t Paul Kiselev . H e oversa w th e preparatio n o f Organi c Statute s fo r Wallachi a (1831) and Moldavi a (1832) , whic h provide d fo r electio n fo r life , fro m amon g th e boyars, o f th e hospodar , o r prince , o f each principality . H e wa s t o be assiste d b y a council, an d a legislature wa s to have boyar predominance. Boyar s were exemp t from taxatio n an d wer e als o give n ful l ownershi p o f th e lan d they ha d held — which enable d the m t o use the new position they had attained t o create a stronger and mor e prosperou s agriculture , especiall y i n th e secon d hal f o f th e century . This limite d constitutiona l system , base d o n boya r ascendancy , wa s a t an y rat e not th e sor t o f autocrac y tha t Russia , th e foreig n powe r wit h decisiv e influence , remained i n tha t period . The tw o principalities remained separat e for th e time being. However , i n 184 7 a custom s unio n wa s establishe d betwee n them , an d sentimen t fo r unificatio n grew a s resentmen t o f Russia n interferenc e increase d an d Romania n youn g men studying i n Pari s gaine d therefro m th e determinatio n t o buil d thei r ow n fre e nation. I n 184 8 a petitio n i n tha t sens e wa s submitte d t o th e hospoda r o f Moldavia, an d in Wallachia a revolution occurred. I n th e city of Islaz, a manifesto for a nonclass syste m was issued .

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A History

A provisional revolutionar y governmen t wa s set up in Bucharest , controlle d by Ion Bratianu , whos e Libera l part y wa s t o shap e muc h o f Romania n politica l history fo r clos e t o a century . I t trie d i n vai n t o achiev e acceptanc e fro m th e Porte. Russia n troop s invade d th e principalitie s an d pu t th e revolutionarie s t o flight. Russi a togethe r wit h Turke y agree d tha t they woul d jointl y nam e th e hospodars, fo r seven-yea r terms . Russia n force s staye d unti l 185 1 but wer e bac k in 1853 . Th e Crimea n Wa r followed , culminatin g i n a shatterin g defea t fo r Russia. By this tim e Romania n refugee s an d other s i n Franc e ha d manage d t o win th e sympathy o f Napoleo n III , on e o f th e victor s i n th e 1854—5 6 war . Th e upsho t was tha t i n 185 8 th e power s me t i n Pari s an d replace d th e Organi c Statute s o f 1831-32 wit h a n agreemen t t o establis h th e Unite d Principalitie s o f Moldavi a and Wallachia , wit h a Centra l Commissio n mad e u p o f member s o f th e tw o assemblies and a common cour t of appeal. Almost a t once , however , th e ne w arrangemen t wa s infringed . Colone l Alex ander Cuza , a rather obscur e officer, wa s elected hospoda r i n Moldavi a an d the n also i n Wallachia ; th e power s (th e neighbor , Austria , wa s engage d i n wa r wit h France) consente d t o th e persona l union , bu t onl y a s a n exception . The n th e sultan agree d t o unificatio n o f th e principalities , nominall y fo r Cuza' s lifetim e only; however, i n Decembe r 186 1 the hospodar declared tha t Romania n "unio n i s accomplished." Cuza preside d ove r a perio d o f limite d bu t rea l reform . Th e land s o f th e monasteries wer e expropriated . Nex t cam e wha t wa s i n effec t a cou p d'eta t b y which th e princ e brok e th e powe r o f th e conservativ e coalitio n blockin g furthe r land reform , securin g vi a a plebiscit e approva l o f a n increas e i n hi s ow n powe r and broadenin g o f th e franchise . H e the n wa s abl e t o push throug h a n Agraria n Law (1858) . I t compelle d th e boya r t o giv e u p no t mor e tha n two-third s o f hi s land, an d th e peasan t wa s made ful l owne r o f an allotmen t base d on th e numbe r of cattle owned. A hastily formulate d measur e poorly administered, i t failed i n it s aim of turning th e peasantr y int o a class of free, independen t farmers , an d muc h of th e lan d remaine d grea t estate s producin g fo r export . Educationa l measure s and th e adoptio n of legal codes were more successful . But dissatisfactio n wit h Cuza' s policie s an d persona l lif e le d t o his overthro w in 186 6 and replacemen t b y a foreign prince : Charle s o f Hohenzollern-Sigmarin gen, fro m th e Catholi c souther n branc h o f the Prussia n rulin g family. Caro l (th e Romanian spelling ) wa s technicall y stil l a vassa l o f th e sultan , bu t actuall y th e ruler o f a united an d virtually independent country . The practic e o f importin g surplu s Germa n prince s t o becom e monarch s o f newly independent Balka n countrie s riske d bringing in men initiall y and clumsil y ignorant o f their ne w domains bu t migh t eventually—give n th e ethi c of nobless e

The Coming of Democracy: Part 3 32 1 oblige transmitte d i n man y roya l families—produc e goo d results . I t wa s s o i n Charles's case . A t first , an d fo r severa l years , h e wa s involve d i n dispute s wit h the politica l parties , which , a s Charle s an d Barbar a Jelavic h poin t out , "repre sented onl y a fractio n o f th e Romania n people, " an d othe r embarrassments. 20 A constitution (Jul y 1866 ) was proclaimed b y the provisional government , base d on the Belgian constitutio n o f 1831 : A two-house legislature coul d pass laws, but th e prince possesse d a n absolut e vet o power; th e boyar s retaine d thei r dominanc e a s before. Neither i n Serbi a no r Greec e no r Romani a wa s ther e democracy , bu t ther e was a framewor k fo r a trul y representativ e system—whic h was , afte r all , jus t coming into being in Englan d an d France . I n 187 7 Romania entered th e war tha t erupted afte r a peasant risin g i n th e Ottoma n province s o f Bosni a an d Hercego vina o n th e sid e o f Serbia , Montenegro , an d Russia . B y th e Treat y o f Berli n (1878) tha t ende d th e war , Romani a wa s recognize d a s full y independen t an d acquired th e Dobrudja , replacin g with a greater are a th e Black Se a coast tha t sh e simultaneously los t t o Russia. 21 An d Kin g Caro l (a s h e wa s proclaime d i n 1881 ) lived to become a popular an d successfu l monarch . The las t o f th e Balka n state s t o achieve independenc e wa s Bulgaria , partl y a s a resul t o f th e chroni c banditr y tha t create d disorde r fo r a century o r mor e an d partly becaus e o f th e geograph y tha t place d th e countr y nea r Constantinopl e an d athwart th e paths of several different armie s in th e nineteent h century . Bulgari a was a n agraria n countr y lik e it s neighbor s i n contras t t o Romania , fo r example , the smallholdin g peasantr y wa s growin g i n strengt h a t th e expens e o f th e land owners. Secula r educatio n bega n spottil y i n th e 1830s , an d th e Bulgaria n cleric s took th e firs t bol d step s t o obtai n ecclesiastica l leader s fro m amon g thei r ow n conationals. I n 1866 , le d b y Bishop Ilarion, the y expelle d th e Greek bishop s wh o had lon g controlle d th e churc h there . Fou r year s late r th e sulta n legalize d th e situation b y issuing a firman creating a Bulgarian exarchate . In 187 6 a coalition o f revolutionary group s launched a revolt. Bulgaria n rebel s massacred som e Turks who lived among them; Ottoman irregula r troop s (regular s were neede d elsewhere ) kille d man y i n reprisal—henc e th e "Bulgaria n horrors " that agitate d Gladston e an d other s i n wester n Europe . Soo n i t wa s a Russo Turkish Wa r tha t wa s bein g fought—an d won , afte r embarrassin g difficulties , by Russia. Bulgaria, was , a t first, th e greates t beneficiary . I n th e Treat y o f Sa n Stefan o (near Constantinople , toda y Istanbul' s airport ) a large Bulgaria n stat e wa s established tha t include d muc h o f Macedonia . Vienn a an d Londo n wer e furious , an d demanded th e reconsideratio n ou t o f whic h cam e th e scrappin g o f Sa n Stefan o and th e ne w Treat y o f Berlin : a thin , autonomou s Bulgari a stretche d alon g th e Danube, wit h a n electe d princ e "confirme d b y th e Sublim e Port e wit h th e

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consent o f th e Powers, " wa s separate d fro m a modest-size d semiautonomou s province calle d " Eastern Rumelia " sout h o f th e Balka n range . Montenegro , Serbia, an d Romani a wer e recognize d a s full y independent ; bu t Montenegro' s gains wer e reduce d an d sh e retaine d onl y a narro w bi t o f Adriati c shore , whil e Romania (a s indicate d above ) ha d t o han d ove r souther n Bessarabi a t o Russia , receiving th e Dobrudj a a s compensation . Greec e gaine d nothin g tangible , Serbi a a bi t o f territor y aroun d Nish , whil e Bosni a an d Hercegovin a (whic h th e Serb s desired) wen t instea d t o Austria n "administration. " I t wa s t o b e a fatefu l deci sion. A fe w month s afte r th e Congres s o f Berli n th e Russian s helpe d adop t a constitution fo r Bulgari a (1879 ) an d find a prince, Alexande r o f Battenberg , fo r the new state , truncate d a s it was. Ther e wer e two assemblies (not tw o houses of one assembly), a n ordinary one and an extraordinary one (to handle constitutiona l amendments an d election s o f rulers) ; th e forme r wa s electe d b y universa l man hood suffrag e an d alon e coul d impos e ne w taxes . Th e princ e ha d th e powe r t o appoint th e cabinet, an d his signatur e was required fo r a measure t o become law. There wa s als o electiv e self-government , dow n t o th e villag e level . A s i n th e neighboring states , civi l libertie s wer e guarantee d an d a cour t syste m provide d for. Alexande r promptly quarreled wit h th e new Bulgarian Liberal and Conserva tive party leader s an d als o with th e Russians—amon g othe r grievances , Bulgari ans objected t o the fac t tha t al l arm y rank s fro m captai n o n u p were reserve d fo r Russians. Th e governmen t o f th e provinc e o f Easter n Rumeli a wa s base d o n a new Organi c Statut e tha t was a kind of legal stew, int o which eac h of five powers threw i n som e article s fo r a tota l o f 495 . Th e sulta n appointe d a s governo r a Christian, Alek o Pasha. Th e ne w regim e accomplishe d on e thin g only: i t intimi dated or taxed awa y the Musli m landlord class , an d in th e sout h a s well as in th e north a chiefly peasan t Bulgari a emerged . In Septembe r 188 5 a revol t i n Philippopoli s (Plovdiv ) remove d Alek o Pasha' s compliant successo r an d demande d tha t Alexande r becom e monarc h o f a unite d Bulgaria; he reluctantl y di d so . The kin g of Serbi a a t once declared war , an d th e Bulgarians smashe d hi s army . Th e unio n wa s now accepte d o n al l sides , bu t th e prince wa s not. Alexande r II I o f Russia engineere d th e overthrow an d abdicatio n of Prince Alexander, an d he was at length replace d by Ferdinand of Saxe-Coburg . The stron g leade r Stefa n Stambolo v defie d Russi a an d helpe d achiev e som e stability. Stambolo v was dismissed i n 1894 ; not long afterward Ferdinan d (whos e infant so n wa s proclaime d a conver t t o Orthodoxy , th e predominan t religio n o f Russia a s well a s of Bulgaria) an d Nichola s II , th e ne w tsa r of Russia, effecte d a reconciliation. Th e one outstanding territoria l issue, Macedonia , wa s resolved fo r the tim e bein g whe n a chaoti c an d lawles s are a wa s pacifie d i n 190 3 by th e so called Miirzste g reform program .

The Coming of Democracy: Part 3 32 3 Ferdinand declare d th e ful l independenc e o f Bulgari a i n 190 8 an d too k th e title tsar . H e seeme d t o b e ridin g hig h a s Bulgari a allie d itsel f wit h Serbi a an d Greece, an d togethe r th e thre e states , alon g with Montenegr o which ha d th e rol e of beginning hostilities, crushe d th e Turkish forces . Bu t then Serbi a and Bulgari a clashed ove r Macedonia , an d th e hithert o superio r Bulgaria n arm y wa s defeated . Sofia los t th e souther n Dobrudj a t o Romania. Mos t of Macedonia wen t t o Serbia ; a tiny stri p reaching to the Aegean was given t o Bulgaria. In Greec e th e barren lan d generate d a passionate nationalis m tha t manage d i n 1881 t o acquir e fertil e Thessal y an d souther n Epirus , annexe d a s par t o f th e settlement reache d a t th e Congres s o f Berlin , bu t th e countr y remaine d poor . I n these region s Musli m landowner s wer e drive n out , a s i n Bulgaria , bu t wer e replaced no t b y Gree k peasant s bu t b y Gree k landowners . A kin d o f two-part y system develope d afte r Georg e I i n 187 5 decide d tha t th e ministr y woul d b e formed b y th e parliamentar y majority . On e part y sough t interna l development , the othe r expansion . Repeate d effort s t o anne x Cret e failed , bu t ther e emerge d on th e islan d a politician wit h suc h eviden t skill s tha t h e wa s finally brough t t o Athens in 1910 ; his name was Eleutherios Venizelos . Supported b y the king , Venizelo s convene d a national assembl y tha t improve d the constitutio n o f 186 4 somewhat . Compulsor y elementar y educatio n wa s pro vided for , an d th e quoru m i n th e assembl y wa s reduce d t o avoi d paralyzin g th e legislative process. Othe r tha n constitutiona l amendments , law s were passed tha t regulated factor y labo r an d authorize d distributio n o f som e o f th e Thessal y estates. Venizelos' s backer s swep t th e Marc h 191 2 elections. I n Decembe r 191 3 Crete wa s finally annexed. Bu t th e improvin g economi c an d political pictur e wa s at once clouded by World War I . In post-187 8 Romani a th e positio n o f Jews , wh o continue d t o strea m i n t o avoid discrimination o r worse in Russia , wa s supposed t o be made legally equal t o that o f ethni c Romanian s b y provision s o f th e Treat y o f Berlin . Onl y a fe w gestures wer e mad e i n tha t direction . Jew s stil l coul d no t ow n land , an d onl y after 187 9 wer e a ver y fe w abl e t o becom e naturalize d citizens . I n Marc h 188 1 Prince Charle s wa s crowne d king . I n 188 4 al l mal e taxpayer s receive d th e vote , but i t wa s exercise d throug h a syste m o f curia s dependen t o n th e amoun t o f property owned. Th e syste m was introduced b y the Liberals , but th e kin g learned to manipulate i t with grea t success . Th e Liberals , wh o had led the establishmen t of independent Romania , yielde d t o a group of Conservatives i n 1888 , who laste d until 1895 ; the tw o parties alternate d fro m the n unti l 1914 . The grea t estate s o f largel y absente e landlord s produce d a sociall y unhealth y situation. Thre e quarter s o f th e estate s wer e lease d t o tenant s (27 % o f who m were Jews), wh o in tur n manage d th e peasants on a sharecropping or rental basis. Population increas e presse d o n a lan d are a wit h backwar d agricultur e an d n o

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significant attempt s t o modernize it. A s a result in 190 7 a large-scale insurrectio n by the peasants o f Moldavi a sprea d southwar d an d was not put down unti l eleve n thousand wer e killed . Onl y no w wa s som e legislatio n directe d t o protecting th e peasantry, bu t i t ha d onl y ver y modes t results . Kin g Caro l die d a fe w month s after th e outbreak o f World War I . H e had made an alliance in 188 3 with Austri a which th e governmen t se t aside , t o his grea t disappointment . Hi s nephe w Ferdi nand I took over and led Romania int o war on the Allied sid e in 1916 . Like Caro l o f Romani a frightene d an d angere d b y Russia' s conduc t i n th e peace following th e Russo-Turkis h War , Mila n o f Serbia accepte d a n eve n close r relationship wit h Austri a tha t approache d protectorat e status . Mila n an d th e Progressive part y enacte d measure s o f a libera l kind : freedo m o f th e press , compulsory elementary education , independenc e of the judiciary, a national bank . They wer e challenge d o n th e lef t b y th e ne w Radica l part y heade d b y Nikol a Pasic, whic h supporte d universa l manhoo d suffrag e an d sough t t o brin g th e peasantry int o politica l life . B y bot h violenc e an d electora l victor y th e Radical s undermined th e king' s position an d le d him t o abdicate in 1889 . A new an d mor e liberal constitution ha d just bee n drawn up , bu t it did not last . Milan's successor , Alexander , governe d wit h th e Radicals , restorin g th e con stitution o f 186 9 and achievin g a strong political position . A series of scandal s i n the Obrenovi c family , however , culminate d i n th e overthro w an d murde r o f Alexander i n Jun e 190 3 b y youn g officer s embarrasse d b y th e king' s behavior. The dynast y wa s extinct, an d Pete r Karadjordjevi c wa s elected king . Th e consti tution o f 188 9 wa s restore d wit h mino r changes ; Serbi a no w ha d a two-hous e legislature, three-fifth s o f whos e member s wer e appointee s o f th e king . Th e Radicals, b y now not behaving very radically, wer e in power fro m 190 6 to 1918. The grea t cataclys m o f Worl d Wa r I wa s precipitate d b y th e problem s o f th e South Slavs , o r Yugoslavs , o f whom th e Serb s wer e th e onl y independent peopl e outside o f tin y Montenegro . Withi n th e Habsbur g Empire—somewha t similarl y to the case of the Poles—plan s wer e hatched fo r a united Yugosla v state. From th e 1860 s two rival current s ha d appeare d amon g the Croats , wh o wer e akin t o th e Serb s ethnicall y an d linguisticall y bu t differe d i n religio n an d there fore alphabet : th e Roma n Catholi c Croat s used Lati n letter s an d th e Orthodo x Serbs use d Cyrillic . Ant e Starcevi c visualize d a greate r Croati a tha t woul d in clude bot h Slovene s t o the nort h an d Serb s t o the east ; Bisho p Josip Strossmaye r transformed th e ol d ide a o f a restore d "Illyria " (th e ancien t term ) int o a ne w Yugoslavism, th e differenc e bein g tha t th e ol d Illyrianis m (befor e 1848 ) ha d sought t o unite Sout h Slav s within Austria-Hungary , whil e th e ne w Yugoslavis m sought t o cros s th e borde r t o th e east . A Croatian-Serbia n coalition , forme d i n 1905 within th e Habsbur g Empire , sough t t o move in th e latter direction . In 190 8 the Austrian s annexe d Bosnia-Hercegovina , whic h they ha d occupie d

The Coming of Democracy: Part 3 32 5 since 1878 ; th e resul t wa s t o infuriate Serbia , whos e foreig n polic y ha d shifte d sharply awa y fro m Vienn a an d towar d St . Petersbur g a s th e Karadjordjevic i returned t o the thron e an d whic h regarde d th e regio n a s ethnically aki n t o itself (in fac t 43 % were Orthodo x Serbs , 20 % Roman Catholi c Croatian , th e last thir d Muslim). A group of young Bosnians assassinate d th e Archduke Fran z Ferdinan d in Sarajev o o n 2 8 June 1914 ; th e motiv e seem s t o hav e bee n fea r tha t h e woul d "become a n oppresso r o f th e Serbs" 22 whe n h e succeede d hi s the n eighty-four year-old fathe r a s emperor . Th e ensuin g diplomati c danc e of f t o th e mos t un speakable military horror s in man's histor y t o date will not be summarized here . East Central Europe, 1918-1990 The peace , motivate d i n considerabl e par t (wher e th e Balkan s wer e concerned ) by th e notion s o f self-determinatio n base d o n nationalis m hel d b y Woodro w Wilson, produce d i n easter n Europ e th e tw o ne w state s o f Yugoslavi a an d Czechoslovakia, carve d ou t o f Habsbur g territory ; on e stat e muc h enlarged , Romania, whic h obtaine d Transylvani a fro m Hungar y an d Bessarabi a fro m Rus sia; one state , Greece , whic h sough t extensiv e ne w territorie s an d was prevente d from gainin g them ; Bulgaria , whic h fough t o n th e wron g side , los t it s Aegea n coast t o Greece an d a few bit s o f territor y t o Yugoslavia. I n fact , Czechoslovaki a was proclaimed independent b y Czechs an d Slovak s abroad in Octobe r 1918 . Th e Kingdom of the Serbs , Croats , an d Slovene s was proclaimed o n Decembe r 1 , and on th e sam e da y a n assembl y o f Romanian s fro m Transylvani a an d th e Bana t declared thei r unio n wit h Romania . Thes e action s wer e i n effec t ratifie d b y th e peace conference a t Pari s in 1919 . In Czechoslovakia , whic h "inherite d th e mos t valuable par t o f the old AustroHungarian Monarchy , wit h mos t o f th e industria l areas," 23 lan d refor m wa s enacted i n Apri l 1919 , befor e th e constitutio n wa s adopte d th e followin g Febru ary. Th e grea t estate s wer e expropriated , wit h compensation , an d divided amon g the peasantry . The constitution , borrowin g heavil y fro m tha t o f France , establishe d a func tioning democracy. Thoma s Masary k wa s elected presiden t an d reelecte d i n 192 7 and 1934 ; Eduar d Bene s wa s i n effec t permanen t foreig n ministe r unti l h e succeeded Masary k o n th e latter' s resignatio n a t th e ag e o f eighty-fiv e i n 1935 . Benes belonge d t o th e Nationa l Socialis t part y (n o connectio n wit h th e Nazi s of Germany), centris t i n it s views. O n it s right were th e Nationa l Democrat s le d by Karel Kramaf , wh o succeede d th e Youn g Czech s o f th e Habsbur g Empire ; o n its left , th e Socia l Democrats , whic h i n 192 0 split , th e majorit y formin g a Czechoslovak Communis t part y unde r Bohumi r Smeral , a n activ e antinationalis t in prewa r Socia l Democrati c ranks . Finall y ther e wa s th e Agraria n party , base d

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on a sturdil y independen t Czec h an d Slova k peasantry , le d b y Antoni n Svehla , which wa s "th e dominan t part y i n th e histor y o f independen t Czechoslovakia, " leading coalition afte r coalition. 24 The syste m worked quite well; the problem was not the suffrage o r distribution of powers within th e governmen t bu t ethni c diversity. Th e Czech s ha d been par t of Austria an d wer e much mor e advanced tha n th e Slovaks , who had been part of Hungary an d ha d littl e education , industry , o r politica l consciousness . The n there wer e th e Ruthenian s o f th e easter n tip . Czech s wer e a t least nominally — Slovaks fervently—Catholic. Th e Ruthenians were Orthodox. The y were Ukrainia n in speec h an d totall y peasant . Ther e wer e als o Germa n an d Hungaria n minori ties, th e most significan t bein g the Sudete n German s o f the western fring e o f th e Czech lands . The Slovak s ha d thei r ow n parties : th e Nationa l part y unde r Mila n Hodza , supporting Czechoslova k unit y bu t seekin g greater autonom y fo r Slovaks ; Fathe r Andrew Hlinka' s Slova k People' s party , whic h ha s bee n compare d wit h clerica l Fascist group s i n Austri a an d Spain ; an d Communists , agai n stronge r tha n thei r brethren o f the Left, th e Socia l Democrats . Resentment a t better-educated an d superior-actin g Czec h official s wa s a problem i n Slovaki a an d Ruthenia ; Czech s wer e i n tur n looke d dow n o n b y th e Germans, wh o rallie d t o th e banne r o f th e ne w Sudete n Germa n part y i n 193 5 and overnigh t mad e i t th e secon d stronges t part y i n parliament . Bu t despit e political an d ethni c tensions , Czechoslova k democrac y nevertheles s laste d unti l Hitler destroyed i t with th e consent of Britain an d France . Why di d it , alon e in Easter n Europe , succee d i n lasting ? Hug h Seton-Watso n credits its social balance among bourgeoisie, workers , an d newly landed peasantr y (social pluralism , i n othe r words) ; th e weaknes s o f Catholi c politica l influence , even Hlinka' s extremis m bein g restraine d a s lon g a s Czechoslovaki a remaine d united; th e relativ e prosperit y o f th e Czec h land s i n particular ; an d th e traditio n of humane an d toleran t behavio r preache d b y earlier Czec h figures an d Masary k in th e perio d o f independence . Seton-Watso n note s tha t Austri a ha d th e sam e sort of social structure, bu t th e other factor s wer e peculiar t o Czechoslovakia. Czechoslovakia ha d muc h militar y a s well a s economic an d politica l strength , as wel l a s fortification s tha t migh t hav e give n th e Nazi s a ru n fo r thei r money , and the y had , they (wrongly ) thought , powerfu l allies . I n Septembe r 193 8 Hitle r summoned Nevill e Chamberlai n thre e time s t o Germany. Th e thir d time , joined by Edouar d Daladie r o f Franc e an d Benit o Mussolin i o f Italy , they decide d a t Munich t o dismembe r Czechoslovakia ; th e Sudetenlan d wen t t o Germany . Th e Poles took th e opportunity t o annex Teschen . Hungary , b y Italo-German arbitra tion, wa s awarde d a broad stri p o f souther n Slovakia ; i n Marc h Budapes t seize d the Carpatho-Ukraine . A fe w day s earlie r Hitle r ha d marche d int o Prague ;

The Coming of Democracy: Part 3 32 7 Bohemia-Moravia becam e a protectorate, Slovaki a wa s proclaime d nominall y in dependent bu t wa s controlled b y Nazi Germany . It wa s no w tha t Britai n an d Franc e guarantee d Polan d an d Romani a agains t aggression. I n Septembe r i t nevertheles s occurre d withou t an y effectiv e opposi tion, thoug h wa r was declared, eventuall y fought , an d finally won. In 194 5 Czechoslovaki a wa s liberate d b y Sovie t an d America n troops—ac tually, Pragu e wa s free d b y the anti-Sovie t Russia n force s le d by General Andre i Vlasov, a fac t tha t ha s remaine d a rathe r well-kep t secret . Th e hop e fo r a democratic governmen t cherishe d b y Benes , wh o returne d fro m exil e t o becom e president, wa s dashe d b y th e Communis t cou p o f Februar y 1948 . Czechoslova k democracy wa s destroyed, an d th e shoc k fel t i n th e West wa s much greate r tha n the new s tha t th e shak y o r sha m democracie s i n th e res t o f Easter n Europ e ha d been Sovietized . For two decades Pragu e was subservient t o Moscow. Quie t during the crisis of late 1956 , Czechoslovaki a enjoye d th e modes t hop e o f 'socialis m wit h a huma n face" for severa l months unde r th e Slovak Alexander Dubce k before it was dashed by th e Sovie t invasio n o f Augus t 1968 . Fo r th e followin g twenty-on e year s th e Czechoslovak intelligentsi a wer e mad e int o taxi driver s an d stree t sweepers ; political an d cultura l repressio n wa s unrelieved , domesti c tranquillit y bein g se cured b y a reasonable suppl y of food an d consume r goods . Suddenly , however , i n November-December 1989 , followin g th e Eas t Germa n refor m movement , mas s protest reache d a crescend o tha t topple d th e hard-lin e regime . Th e oppositio n made its leader, th e playwright Vacla v Havel, presiden t an d democracy seeme d to have returned t o Czechoslovakia almos t overnight . The preparation fo r democracy tha t th e Czechs and (to a lesser extent) Slovak s had receive d unde r th e Habsburg s ha d produce d result s surpassin g anythin g European democrats had managed sout h of Scandinavia and east of France durin g the interwa r perio d an d clearl y accounte d fo r th e smoothnes s o f th e change s o f 1989-90. Yugoslavia's stor y ha d up s an d down s bu t wa s i n genera l les s happy . Th e Kingdom of the Serbs , Croats , an d Slovene s combined Slovenia , Croatia , Bosnia Hercegovina, an d th e Vojvodin a fro m th e Habsbur g Empir e wit h independen t Serbia an d Montenegro . Thi s mean t a largel y Roma n Catholi c wes t an d north , with a goo d dea l o f industry , schools , an d roads , mixe d wit h a largel y Serbia n Orthodox eas t an d south , lackin g muc h o f an y o f thos e things—wit h a Musli m minority o f over one million (ou t o f twelv e millio n total) , largel y i n Bosnia . Mos t important, however , wa s probably th e fac t tha t th e mor e advance d Croat s looke d down o n th e Serbs wh o wer e politicall y dominant—th e opposit e o f th e situatio n in Czechoslovakia . Th e politica l partie s were : the old Serbia n Radical s unde r th e aged Nikol a Pasic ; th e grou p tha t ha d broke n of f fro m th e Radical s i n 190 1 an d

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called itsel f Democratic , bu t allie d itsel f wit h th e Radical s fo r a time afte r 1919 ; the Croatia n Peasan t part y le d b y Stjepa n Radic , wh o carrie d hi s stanc e o f opposition t o the Hungaria n an d Germa n landlord s ove r int o boycott an d absten tion vis-a-vi s th e Ser b politicos ; th e Slovenia n Populists ; th e Yugosla v Musli m Organization; an d th e Communists , whic h becam e th e thir d stronges t part y i n the elections of 1920 . A Constituen t Assembly , finally electe d i n Novembe r 1920 , adopte d a basi c law calle d th e Vidovda n Constitutio n (s o name d fro m th e da y o f St . Vitu s o n which i t wa s adopted , 2 8 Jun e 1921—als o th e anniversar y o f th e battl e o f Kossovo in 138 9 and the assassination o f the Archduke Fran z Ferdinan d i n 1914) . It create d a Skupstina, o r unicamera l Nationa l Assembl y of 31 5 deputies electe d for fou r year s b y universal , direct , secre t suffrag e o f al l male s ove r twenty-one , with somethin g like proportional representation , n o royal veto, an d civil liberties. But ther e wa s n o lega l provisio n fo r reflectio n o f ethni c diversity , an d th e administrative la w o f 2 8 Apri l 192 2 divide d th e stat e int o thirty-thre e depart ments controlle d b y the center—Belgrade , i n th e hand s o f th e so-calle d srbijanci Serbs (fro m th e ol d kingdom , a s agains t th e precani Serbs fro m th e Habsbur g lands). The chie f antagonis m wa s betwee n Serb s an d Croats . A t th e star t i t le d t o polarization ove r adoption of a constitution. Th e verdict seem s to be that Premie r Pasic wa s to o clever b y half i n achievin g a Pyrrhic victor y by pushing it through , while th e Croa t leade r Radi c wa s self-defeatingl y intransigen t i n hi s boycottism , and thu s fro m ver y earl y o n th e kingdo m wa s se t o n a pat h o f tension. 25 Radi c was actually jailed for a few months but, havin g agreed to accept the constitution , was freed an d became a cabinet minister fo r a time; however, h e was assassinate d in parliament i n 1928 . Pasi c had died in 1926 . Radic's successo r a s leade r o f th e Croats , Dr . Vladk o Macek , wa s invite d b y the kin g t o negotiate . Mace k propose d a n ethni c federation , i n whic h eac h o f seven unit s woul d hav e eve n it s ow n army . Alexande r fel t unabl e t o accept, an d in January 192 9 inaugurated a royal dictatorship. Hi s motive s wer e patriotic, hi s understanding o f th e politica l problem s meager. 26 H e wishe d t o avoi d Serbia n nationalism; h e succumbe d t o adviser s wh o at e an d dran k it . Introducin g a constitution i n 193 1 t o supersed e th e "Vidovdan " document , h e decide d t o dismantle th e dictatorship , bu t ther e wa s no t tim e fo r hi m t o d o so . H e wa s assassinated i n Marseill e along with th e Frenc h foreig n ministe r i n Octobe r 193 4 by Macedonian an d Croatia n terrorist s backed by Italy and Hungary . Alexander wa s succeede d b y Princ e Paul , hi s cousin , regen t fo r eleven-year old Pete r II . Force s o n al l side s sough t ethni c conciliation . I n Seton-Watson' s words:

The Coming of Democracy: Part 3 32 The heigh t o f Serbo-Crotia n friendshi p wa s reached i n Augus t 1938 , when Dr . Mace k came to Belgrade to confer with the Serbian leaders, and was met at the railway station by a crowd of som e 50,000 , o f which th e majorit y wer e Serbia n peasant s wh o had walked miles or had spent their few pennies on transport, to come and cheer the Croatian leader. 27 However, i t seem s the y cheered hi m no t merely a s a token o f their willingnes s t o accept Croat s a s brothers bu t becaus e h e wa s see n a s the most prominent fighter for democracy. Mace k made common cause with th e Serbs opposing the minister s of Princ e Paul , the n i n Augus t 1939 , o n th e ver y ev e of th e outbrea k o f Worl d War II , reache d agreemen t (th e Sporazum) wit h th e Serb s in power. Croati a wa s awarded a remarkabl e degre e o f autonomy . However , th e Slovene s an d Bosnia n Muslims demanded somethin g similar; th e precani Serbs were unhappy wit h thei r new minority statu s in autonomou s Croatia ; an d th e fanatical an d terrorist Ustasa (Insurgent) Croatia n movemen t (founde d i n 1929 ) demanded ful l independence . The Sporazum was a failure . Prince Pau l yielde d t o Naz i demand s t o join th e Tripartit e Pac t o n 2 5 Marc h 1941. A militar y cou p promptl y overthre w him ; th e Nazi s a s onc e invade d an d crushed th e Yugosla v army , whos e Croat s fough t poorl y o r no t a t al l o r eve n mutinied an d whose Serbs did not distinguish themselves . Yugoslav freedom , neve r havin g reache d fruition , flickered an d died , an d postwar Communis m di d not revive it. I t seem s a case when opportunities existe d and wer e lost . A s Joseph Rothschil d put s it , "whil e th e elite s o f al l o f interwa r Yugoslavia's ethi c communitie s wer e culpable , th e srbijanc i Serbia n politician s and bureaucrats , wh o wer e a s consistentl y dominan t i n th e authoritaria n 1930 s as i n th e parliamentar y 1920s , bea r majo r responsibilit y fo r he r politica l fragil ity." 28 Hitler dismembere d Yugoslavi a int o a nominall y independen t Croati a ru n b y the Ustas a unde r Ant e Paveli c an d a tin y rum p Serbia ; th e remainde r wa s annexed b y Axi s satellites . Yugosla v resistanc e becam e polarize d betwee n th e heavily Serbia n force s o f Genera l Drazh a Mikhailovic h an d th e Communist s le d by Josip Broz Tito , wh o gaine d suppor t fro m th e Britis h an d othe r allies . A t th e end of the war it was Tito who emerged in power. Hi s government ha d one meri t questioned b y few: i t di d it s best t o bridle th e ethni c antagonism s tha t truncate d freedom betwee n th e war s an d counte d man y victims during World Wa r II . An d after Stali n denounce d Tit o i n 1948 , th e syste m preserve d Yugosla v indepen dence. I n th e 1960s , modes t politica l an d economi c liberalization too k place, an d the republic s wer e give n greate r power . Afte r Tit o die d i n 1980 , leavin g a s hi s legacy a weak rotating executive, much discontent an d national tensions surfaced . In earl y 199 0 pessimists believe d th e countr y t o be on th e verg e of break-up int o several parts.

9

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National or ethnic feelings ha d contributed to the destruction of the Czechoslovak Republic i n 1938 , threatene d Communis t Yugoslavi a wit h th e ver y fat e fro m which Tit o coul d clai m t o hav e rescue d th e forme r kingdo m i n 1945 , an d else where i n Easter n Europ e imperile d nationa l unity . (T o b e sure , suc h antago nisms, i n th e 1990s , were dangerous t o autocratic regime s as well as to democracies in every corner of the world. ) Romania ha d a smalle r minorit y problem . Ther e ha d neve r bee n eithe r a Czechoslovakia o r Yugoslavia before 1918 , but ther e ha d been a Romania fo r over half a century. Sh e no w more tha n double d bot h are a an d population . Th e gain s were Transylvani a (Iuli u Mani u wa s th e leader) , Bessarabi a (annexe d b y Russi a in 181 2 and retaine d excep t for 1856-78) , souther n Dobrudja , an d the Bukovina . The Libera l part y unde r Ione l Bratian u regaine d it s forme r ascendancy ; h e himself ha d been prim e minister fro m 190 9 and resume d tha t office i n Decembe r 1918. Ther e wer e als o th e Socialists , wh o le d worke r disconten t culminatin g i n the genera l strik e o f Octobe r 1920 . However , repressiv e measure s lef t th e party , and the Communists wh o split off, insignifican t i n interwar politics . The part y tha t cam e t o represent th e majority wa s a product of fusion (carrie d out i n Octobe r 1926 ) of Maniu' s (Transylvania ) Nationa l People' s party wit h th e Peasant part y o f th e Ol d Kingdom , founde d a t war' s end . Th e successe s o f th e resulting Nationa l Peasan t part y wer e owin g t o th e lan d refor m tha t wa s first promised i n Marc h 1917 , wa s enacte d i n July , an d muc h o f whic h wa s carrie d out i n 1921 . Th e boyars ' influenc e wa s finally undermined , thoug h peasan t agriculture stil l ha d man y weaknesse s tha t gre w wors e a s peasant s continue d t o subdivide smal l holdings. Still , Rothschil d point s out, "th e Romanian land refor m was undoubtedly th e most extensive one in interwar Europ e (excluding the Sovie t Union)." 29 In 192 8 occurred th e only fully fre e electio n Romani a has ever enjoyed (a s was true o f th e electio n t o th e Constituen t Assembl y i n Russi a i n lat e 1917) . Th e National Peasant s carrie d of f 34 9 out o f 38 7 seats ; th e resultin g refor m govern ment abolishe d censorship , curbe d th e police , move d towar d decentralization , and repeale d expor t duties . Unfortunatel y th e momen t di d no t last . Kin g Ferdi nand die d i n lat e 1927 ; his so n ha d bee n force d t o renounc e th e thron e an d g o into exile, but in June 193 0 returned t o claim the kingship and was accepted eve n by Maniu . However , Caro l l i s importatio n o f his mistress , Magd a Lupescu , le d Maniu t o resign. There ensue d a wretche d decad e o f roya l corruption , th e ris e o f th e quasi Fascist Iro n Guard , misery , an d misrule . I n 193 8 Caro l impose d roya l dictator ship but had Corneliu Codreanu , leade r of the Iron Guard, an d thirteen follower s "shot whil e tryin g t o escape." Th e kin g tried i n vai n t o conciliate Hitler ; instea d

The Coming of Democracy: Part 3 33 1 in 194 0 he ha d t o give up Bessarabi a an d Bukovin a t o Hitler's temporar y partne r —Stalin—northern Transylvani a t o Hungary, an d southern Dobrudj a t o Bulgaria. Next cam e Romania' s enthusiasti c participatio n i n wa r agains t th e USSR ; again he r withdrawa l t o joi n th e Allies ; an d finally th e doome d attemp t o f Romania's democrats , heade d b y Maniu , t o establish a free polity . Wit h nothin g but th e weakes t Communis t part y i n easter n Europ e t o buil d on , th e Sovie t government impose d a Communis t regim e unde r Gheorgh e Gheorghiu-Dej . A t length th e governmen t i n Bucharest , afte r 196 5 heade d b y Nicola e Ceausescu , managed t o achieve a degree of independence in foreign policy . However , Ceausesc u kept a rei n o n domesti c chang e comparabl e t o Stalin' s rul e i n Russi a an d i n th e late 1980 s led the country inexorabl y int o an economi c cul-de-sac o f unbelievabl e wretchedness unparallele d i n Europe . I n Decembe r 198 9 he wa s overthrown b y a popular revolution , an d Romani a began t o move shakily toward democracy . Romania mad e a pass a t freedo m i n th e 1920s , enjoye d a fleeting moment o f it in 1928-30 , wa s frustrate d i n it s hop e t o recover i t i n th e 1940s . A n indigenou s lament o f th e ga p between realit y an d th e pretens e o f severa l politician s durin g the perio d pu t i t thu s i n 1937 : 'The greates t an d mos t fruitfu l revolutio n whic h could be accomplished i n Romani a would be simply t o apply the existing laws." 30 After a searing indictment o f th e privilege d clas s in tha t unhapp y country , Hug h Seton-Watson onc e forecas t a (no t ver y near ) futur e i n whic h th e Romania n people, "perhap s th e most naturall y talente d i n al l Easter n Europe, " would carr y the country t o a position of honor. 31 Bulgaria an d Greece—th e on e defeated an d th e othe r victorious—sa w mino r frontier change s a t th e en d o f Worl d Wa r I . Bulgari a los t a fe w smal l bit s o f territory bu t als o a significant grain-producin g area in th e southern Dobrudj a an d her Aegea n se a coas t i n wester n Thrace . (Th e souther n Dobrudj a wa s regaine d in Septembe r 194 0 an d kep t a t th e en d o f Worl d Wa r II ; th e Aegea n coas t wa s not.) Filled wit h refugees , reparatio n obligations , an d resentment , th e countr y experienced muc h turmoi l fro m whic h cam e th e abdicatio n o f Tsa r Ferdinan d and, i n Octobe r 1919 , th e victor y a t th e poll s of Aleksandur Stamboliisk i an d hi s Peasant party . Stamboliiski , wh o ha d suffere d imprisonmen t fo r opposin g wa r against Russia , heade d a governmen t tha t carrie d ou t a thoroughgoin g lan d reform. Sociall y th e countr y enjoye d surprisin g health : i t ha d th e bes t social security an d insurance syste m in th e Balkans, hig h literacy, accessibl e education , a thrivin g cooperativ e movement , an d a year's compulsor y labo r servic e (militar y service was forbidden b y the peace treaty) for th e youth . Politically th e pictur e wa s darker . Stamboliisk i move d i n th e directio n o f dictatorship, organizin g an "Orang e Guard" of ruffians t o do his bidding. I n Jun e

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1923 arm y units , aide d b y Macedonia n terrorist s o f th e dreade d IMRO , over threw Stamboliisk i an d murdere d hi m an d man y o f hi s followers . Th e Commu nists, wh o had been th e secon d stronges t party, wer e indifferent t o his fall. The y were soo n destroye d b y hi s successor , Aleksandu r Tsankov , afte r they trie d a n uprising i n Septembe r i n obedienc e t o Moscow' s order s (th e Soviet s havin g declared thei r pas t attitud e t o Stamboliiski erroneous) . Several elections t o the Subrani e (the unicameral legislature) followe d ove r th e next severa l years , withou t establishin g politica l order . I n Ma y 193 4 a grou p of young officer s an d technocrat s carrie d ou t anothe r coup ; thi s tim e th e constitu tion o f 187 9 wa s suspende d an d remaine d so . I n les s tha n a year , i n Januar y 1935, Tsa r Bori s remove d the m an d establishe d a roya l dictatorship . I t laste d until hi s death, whic h followe d closel y on a stormy interview wit h Adolf Hitler in August 1943 . A yea r late r Bulgari a deserte d th e allianc e wit h th e Nazi s int o which Bori s had led it and began t o fight alongside the Soviets . After tw o rigged elections at war's end, th e longtime Communist leader Gheorghe Dimitrov becam e prim e minister . Th e chie f opponen t o f th e ne w Communis t regime, Nikol a Petkov , th e peasant leader , wa s arrested an d execute d i n Septem ber 1947 , an d n o furthe r resistanc e wa s offere d t o th e comin g o f communis m there. Fo r decade s Bulgari a seeme d th e ver y model o f a Sovie t satellit e an d the n ally. Perhap s i t wa s th e habi t o f emulatio n tha t bega n th e sudde n refor m move ment i n lat e 1989 , bu t i t proceede d rapidly , topplin g fro m powe r Todo r Zhivko v (first secretar y o f th e part y fro m 195 4 and presiden t fro m 1971 ) and introducin g an uncertain futur e o f free choice . In Greec e ther e wa s determination , le d b y Eleutherio s Venizelos , t o us e th e collapse of the Ottoma n Empir e t o realize th e ful l majest y o f the Megale Idea (for a greater Greece) . H e obtained Allie d consen t t o landing Greek troop s in Smyrn a in Asi a Mino r i n Ma y 1919 , an d b y th e peac e Treat y o f Sevre s i n Augus t 192 0 Greece wa s t o administe r th e are a fo r five years . Bu t th e Gree k arm y advance d into the interior , and , owin g to domestic opposition t o this adventure , i n Novem ber 192 0 th e Venizelo s part y experience d a resoundin g defea t a t th e polls . Venizelos resigne d an d lef t Greece ; hi s adversary , forme r kin g Con s tan tine, returned i n triump h t o Athens. The Gree k army , however , continue d t o advanc e int o Anatolia , unti l th e Turkish nationalis t leade r Mustaf a Kema l held i t an d drov e it back . Greec e wa s humiliated, th e kin g was force d t o abdicate i n favo r o f hi s so n Georg e II , an d a s the Jelaviches put it , 'lan d tha t ha d been inhabite d b y Greeks for 2,50 0 years [i n Anatolia] wer e evacuated." 32 Th e commander-in-chie f o f th e arm y an d fou r ministers wer e shot . As Mustaf a Kema l skillfull y complete d b y diplomacy an d forc e th e extensio n of hi s rul e ove r Asi a Minor , Easter n Thrace , an d th e island s o f Tenedo s an d

The Coming of Democracy: Part 3 33 Imbros, a new peac e treat y wa s concluded a t Lausann e (Jul y 1923 ) providing fo r population exchange . A million an d a half Greek s left wha t wa s now th e Turkis h Republic (th e sulta n havin g fled), mos t fo r Macedonia ; almos t hal f a millio n Muslims, mostl y but no t all Turkish, lef t Greece . I t was the first of several largescale exchange s o f populatio n i n moder n times , al l attende d b y sufferin g an d impoverishment o f innocent peopl e powerless agains t th e political leader s respon sible for thei r misery . The nex t decade s sa w rapi d politica l change . Venizelos' s follower s swep t th e December 192 3 elections, bu t th e military junta tha t controlle d th e roya l government ha d othe r plans—proclamatio n o f a republic , whic h Venizelo s opposed . A succession o f military government s rule d i n Athen s fro m 192 4 until 1928 , whe n Venizelos returne d agai n t o form a government lastin g four years . Hi s rivals, an d the royalists, followe d hi m i n power, an d George II was recalled agai n in 1935 . With roya l consent , Genera l Ioanni s Metaxa s becam e dictato r i n 1936 , an d the "regim e o f Augus t 4 " tha t h e heade d wa s stabl e an d efficien t ove r th e nex t five years. I t wa s Metaxa s who rejected Italia n demand s pursuant t o her annexa tion o f Albani a i n Octobe r 194 0 wit h a shar p "Oxi! " (no! ) an d promptl y sen t Greek force s tha t repelle d an d drove far bac k into Albania th e Italia n invaders . But Hitler baile d out Mussolin i in April 194 1 when he overran both Yugoslavia and Greec e (Cret e hel d ou t anothe r month) , an d unti l Octobe r 194 4 Greek s endured Naz i occupatio n wit h ver y littl e collaboration . Civi l wa r betwee n Com munist partisan s an d others began while Germans were stil l there, an d it was not until 194 9 that th e Communist s wer e defeated. Reconstructio n o f a country tha t had los t one-tent h o f it s populatio n throug h wa r an d starvatio n the n too k place . Some stability was restored unde r th e government o f General Alexandros Papago s in 1952 . I n subsequen t decade s th e republi c wa s restore d (1973 ) a s wa s th e constitution o f 195 2 (1974). Greece' s first Socialis t governmen t too k over in 198 1 and wa s throw n ou t o f offic e b y th e election s o f 1989 . Plague d b y terrorism , a shaky police system, an d a sluggish economy, i n early 199 0 democracy was wobbly in th e country, bu t i t had survived . Independent Albani a wa s create d onl y i n 1913 , an d n o sor t o f stabl e govern ment wa s established befor e o r during World Wa r I . Th e countr y wa s scarcel y a unit; mountai n clan s wer e mor e significan t tha n whoeve r wa s i n Tirana . Italy , Greece, Serbia , an d Montenegr o claime d o r sough t part s o f Albania ; they wer e all brough t t o withdra w b y 1922 , an d fo r thre e shor t year s ther e wa s a sta b a t creating a constitutional monarch y in which th e chief religiou s groups—Muslim , Orthodox, an d Catholic—would b e satisfied. B y 192 5 it had failed, an d an Italia n protectorate operatin g throug h Ahme t Zog u a s presiden t (h e ha d bee n premie r from 192 2 and i n 192 8 was proclaimed king ) was established. 33 I n Apri l 193 9 an Italian arm y invaded , an d ther e wa s proclaime d a "persona l union' ' b y whic h

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King Victo r Emmanue l o f Ital y becam e kin g o f Albani a a s well . A t th e en d o f th e war Albani a wa s a kin d o f Communis t offshoo t o f Yugoslavia , thoug h i t soo n broke wit h Belgrade , Moscow , an d Pekin g i n tha t order . I n earl y 199 0 th e country ha d th e distinctio n o f bein g on e o f th e las t remainin g Stalinis t state s i n the world . An interesting , eve n ironic , resul t o f th e collaps e o f th e Ottoma n Empir e an d the wa r wit h Greec e wa s th e emergenc e o f Turke y a s a prime candidat e fo r wha t has bee n calle d ''crossin g th e institutiona l divide " tha t separate s th e heritag e o f oriental despotis m fro m th e categor y o f constitutiona l an d democrati c states . T h e empire ha d experience d man y reform s before : militar y reform s designe d t o pre serve th e Sublim e Porte , especiall y fro m Seli m II I (1789-1807 ) onward ; th e Tanzimat reform s o f th e mid-century , culminatin g i n th e first Ottoma n constitu tion i n 187 6 (th e sulta n ha d ful l executiv e power , assiste d b y a two-chambe r parliament, th e lowe r indirectl y electe d an d th e uppe r nominate d b y th e ruler) . But th e syste m laste d onl y a year , an d fro m 187 8 t o 190 8 ther e wa s n o furthe r movement i n th e bod y politic . In th e latte r yea r occurre d th e Youn g Tur k revolt , whic h force d th e sulta n t o restore th e constitution , no w amende d t o giv e th e powe r t o th e Parliament . Bu t the arm y wa s th e arbiter , an d afte r th e Ottoma n Empir e wa s defeate d an d th e sultanate collapse d i t wa s th e wa r her o Mustaf a Kema l ( a nicknam e meanin g "perfection" bestowe d b y a teacher ) wh o le d th e establishmen t o f th e republi c i n October 192 3 an d becam e th e first president . Accordin g t o Yapp, h e attempte d t o apply si x principles : (1) th e republi c (2) nationalism , fostere d b y schools and propagand a (3) populism , designe d t o involv e th e populac e a s a whol e throug h "People' s Houses " i n towns and village institutes i n th e countrysid e (4) statism . Sinc e in 191 4 Greeks an d Armenian s controlle d 80 % of th e money economy , the stat e was given th e tas k of spearheading economic developmen t (5) secularism—religiou s court s an d school s wer e abolishe d i n 1924 , wome n wer e give n the righ t t o vote an d si t i n parliamen t (1924) ; the Lati n alphabe t replace d th e Arabic , the Gregoria n calenda r replace d th e Muslim ; importan t a s a visua l symbo l wa s th e abolition of the fez i n 192 5 (6) revolution , whic h ha d n o particular meanin g but a n importan t genera l one as embracing th e five foregoing point s an d th e overal l goa l of what cam e t o be calle d "moderni zation."34 T h e constitutio n o f Apri l 192 4 codifie d th e ne w polity , includin g a claus e retain ing Isla m a s th e stat e religio n (on e tha t wa s remove d i n Apri l 1928) . Kemal , no w with th e surnam e Atatiir k ("Fathe r o f th e Turks"—chose n i n 193 4 whe n al l Turks wer e require d t o selec t surnames) , die d i n 1938 . Hi s alte r eg o Isme t Inon u became president .

The Coming of Democracy: Part 3 33 An abortive attempt a t establishing an opposition party had been made in 1930 , but whil e Atatur k live d benevolen t dictatorshi p wa s th e bes t descriptio n o f th e government. H e operate d throug h a singl e Republica n People s party . I n 1946 , after th e wa r (whic h Turke y joine d o n th e Allie d sid e onl y i n th e las t fe w months), th e part y split , an d a ne w Democra t part y appeared . Inon u restraine d army me n wh o wante d t o destro y it , an d h e mad e a n extraordinar y publi c statement: th e logi c o f th e multipart y syste m (no w a t leas t fo r th e tim e bein g accepted) implie d th e possibilit y o f a change i n government . Th e ne w popularit y of democracy an d th e sprea d of education hav e been credite d wit h relate d events : the abandonmen t o f certai n restriction s o n freedo m o f speec h an d press , th e legalization o f trad e union s (1947 , thoug h th e righ t t o strike wa s granted onl y i n 1963), an d s o forth . Thus groundwor k wa s lai d fo r th e victor y o f th e Democra t part y (DP ) a t th e polls i n 195 0 an d a shiftin g o f th e politica l underpinnings , s o tha t th e prim e minister becam e mor e importan t tha n th e president—th e offic e tha t Kema l ha d held s o long . Th e D P relaxe d secularis m a bit , thoug h i t stil l restricte d th e activities of the religiousl y zealo t dervish orders . Eve n sligh t movement i n suc h a direction, however , le d th e arm y t o carr y ou t a cou p jailing D P leader s an d t o introduce a new constitution th e following yea r (1961). Out o f the wrec k o f the old D P ther e no w emerged a new Justice part y (alon g with tw o other parties) , whic h wo n election s i n 196 5 under Suleyma n Demirel , a former engineer . Th e arm y moved again in 1971 , imposing martial la w in muc h of th e countr y tha t wa s lifte d onl y tw o years later . Bu t left-win g terroris m gre w to suc h a poin t tha t anothe r cou p i n 198 0 brough t bac k militar y rul e an d stil l another constitutio n (Novembe r 1982) . Man y friend s o f Turkis h democrac y accepted th e need for stron g measures t o bring terrorism—which ca n destroy th e possibility o f la w an d orde r a t an y level—unde r control . However , a fully func tioning syste m o f politica l an d economi c freedo m seeme d stil l a difficul t an d elusive goal. Russia and the USSR, 1801-1990 Under th e Empres s Elizabet h (1741-61) , ther e ha d bee n a few feebl e echoe s of nascent Wes t Europea n liberalism , an d the y ma y hav e ha d a rol e i n th e first important ste p towar d breakin g dow n Russia' s monocentere d society : th e eman cipation o f th e gentry , 176 2 an d 178 5 (introduce d b y Pete r III , confirme d an d codified b y his widow Catherin e II) . Catherine (calle d th e Great) had other plans for bringing Russia—her adopte d country, a s sh e wa s bor n princes s o f Anhalt-Zerbst—close r t o th e Wes t an d herself int o th e goo d grace s o f th e libera l publicist s o f th e day , Voltair e an d th e

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other philosophes o f France . Thos e plan s yielde d som e haltin g educationa l im provements, a n abortiv e refor m o f municipa l government , an d a mor e o r les s effective corporat e organizatio n o f th e gentr y no w free d fro m compulsor y stat e service and , i n greate r number s tha n before , ap t t o liv e o n thei r estate s i n th e provinces and to take a greater rol e in provincial affairs. Afte r a brief reig n by her son Paul , wh o trie d t o und o almos t everythin g hi s mothe r ha d accomplished , Paul's so n Alexander I became tsa r in 1801 . He to o had plans , similar t o his grandmother' s i n spiri t bu t broade r i n scope . He gathered a group of young reformer friend s aroun d hi m wh o discussed consti tutional possibilitie s an d actuall y bega n t o institute part s o f a projected constitu tional refor m fo r th e country—chiefly th e creation o f a State Council (1810 ) tha t would prepar e legislatio n (no t i n an y wa y tha t wen t outsid e th e emperor' s wil l and direction ) fo r enactmen t an d th e replacemen t o f th e so-calle d "colleges " created b y Pete r I wit h moder n ministrie s dischargin g th e responsibilitie s o f th e central administration . Michae l Speransky , so n of a priest, an d one of the ables t of prerevolutionar y Russia n statesmen , wa s th e tsar' s chie f assistan t counselin g constitutional refor m u p t o Marc h 1812 , whe n h e wa s abruptl y dismissed — though nea r th e en d o f th e reig n h e wa s entruste d wit h significan t power s a s governor of Siberia an d introduced reform s there . Alexander, however , becam e embroile d i n th e diplomac y an d war s o f th e Napoleonic period , culminatin g i n th e Frenc h invasio n o f Russi a (wit h a n arm y including many non-Frenchmen) i n 1812 . The tsa r led the coalition tha t defeate d Napoleon an d ha d muc h t o do with th e peac e worke d ou t a t Vienn a i n 1815 ; he compelled severa l West Europea n sovereign s to adopt constitutions they were less than eage r t o accept , notabl y i n th e cas e o f Loui s XVII I an d th e Constitutiona l Charter unde r whic h th e Bourbon s wer e restore d i n France . H e als o grante d a constitution t o Poland , retaine d constitutiona l arrangement s fo r Finland , an d introduced measure s of the sor t in Bessarabia . But thoug h h e continued t o weigh proposals for a Russian constitution , h e did nothing furthe r wit h them . I n th e late r year s o f hi s reig n h e becam e awar e tha t young officers wh o ha d ridde n wit h hi m t o Pari s i n 181 4 were plottin g in secre t societies to introduce a constitution, bu t did nothing to stop them. Afte r hi s death in Decembe r 182 5 th e youn g me n attempte d a revolt ; thes e "Decembrists " be lieved—quite wrongly—tha t Alexander' s brothe r Constantine , wh o ha d re nounced th e throne , woul d b e amenabl e t o thei r aims . Th e successor , Nichola s I, suppresse d th e revol t wit h a few execution s bu t carefull y studie d th e details of what th e hundreds o f people investigated fo r participation ha d in mind . Nicholas, "th e gendarm e o f Europe, " pu t dow n th e Polis h revolutio n o f 183 0 and th e Hungarian revolutio n i n 1849 , but helpe d secur e the victory of the Gree k rebellion. Despit e hi s conservativ e o r reactionar y domesti c stance , ofte n charac -

The Coming of Democracy: Part 3 33 terized b y the sloga n "Orthodoxy , autocracy , an d nationalit y i \narodnost\ a Russian translatio n o f th e Germa n ter m Volkstum), h e wa s responsibl e fo r certai n reforms: th e first effectiv e codificatio n o f Russian laws , carried out in 183 2 under the supervisio n o f Michae l Speransk y (mad e a coun t a mont h befor e h e died) ; improvement o f th e lo t o f th e "stat e peasants' ' (ove r hal f o f th e 8o-odd % o f th e population wh o were peasants; thos e livin g on stat e lands , a s contrasted wit h th e "serfs" who lived on gentry estates), th e work of Count Pau l Kiselev ; a statute fo r the cit y governmen t o f St . Petersbur g (1846) . Bu t thoug h h e tightene d th e censorship, th e grea t flowering of Russian literature—beginnin g wit h th e great est o f al l Russia n writers , Alexande r Pushkin—bega n t o b e visibl e durin g hi s reign, an d th e growt h o f th e Russia n universitie s starte d t o gathe r momentum , despite th e tsar' s distrust o f the young men wh o were forming literar y circle s an d would soo n organize politically radica l or revolutionary groups . They identifie d th e tw o fundamenta l evil s o f Russia n lif e a s autocrac y an d serfdom. Nichola s did his best t o preserve an d strengthe n autocracy , althoug h h e once objected , i n respons e t o a committe e proposa l t o creat e ne w supervisor y bodies a t th e loca l level , tha t th e five hundre d reliabl e official s neede d t o staf f them coul d no t b e foun d i n th e entir e empire . H e di d recogniz e th e evi l o f serfdom; h e believed, however , tha t i t was too soon to enact emancipation . Ther e were several smal l step s take n durin g his reign, nevertheless , t o prepare th e way: the most significant wa s probably the introduction o f "inventories" in th e wester n provinces, whic h sough t t o determin e an d recor d th e mutua l right s an d obliga tions of landowners an d serfs , chiefl y i n 1847-4 8 an d subsequently . The Crimea n War , endin g i n Russia n defea t an d humiliation , provide d th e impetus neede d t o bring about th e most sweepin g set of reforms i n prerevolution ary Russia n history . Nichola s I die d i n a moo d o f despair , an d Alexande r I I acceded ami d widesprea d convictio n tha t no t onl y mus t th e wa r b e ende d bu t i t also must b e followed b y change. Emancipation o f th e serf s (1861 ) wa s th e first an d mos t fundamenta l step . The peasant s o n th e larg e estate s wer e free d an d give n "allotments " of th e land s they ha d previousl y bee n permitte d t o work fo r thei r ow n benefi t (les s a varying slice, calle d th e "cut-offs " revertin g t o th e landlords) ; th e allotment s wer e t o be redeemed b y payment s extendin g ove r forty-nin e years . A t leas t i t wa s no t a landless emancipation , a s a few earlie r law s ha d projected , an d thoug h th e free d serfs themselve s an d man y intellectual s argued tha t th e quantit y o f lan d give n the peasants wa s insufficient, tha t wa s not th e main problem: i t was the arrange ment o f lan d i n scattere d strips , th e wastefu l three-cours e syste m o f tillage , th e dependence of the peasant famil y o n the village commune, an d altogether th e way the land was cultivated, sown , an d used . The emancipate d peasant s wer e presentl y give n a rol e i n th e ne w syste m o f

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local self-government , th e zemstvo , establishe d i n 186 4 a t th e count y an d prov ince levels , i n whic h t o exercis e thei r ne w citizenship ; a reforme d judiciar y (1864) benefite d them , bu t als o th e entir e populatio n no w give n tria l b y jury , irremovable judges, an d a trained bar . Ther e wa s also a new syste m of municipa l self-government (1870 ) an d a n immensel y importan t refor m o f th e army : th e normal ter m o f servic e wa s reduce d fro m twenty-fiv e t o si x year s wit h furthe r reduction fo r breadwinners, onl y sons, an d graduates of different level s of schooling; th e wors t sort s o f brutalit y i n arm y disciplin e wer e ended ; th e introductio n of elementary educatio n fo r th e peasant recruit s did a great deal to create popula r literacy.35 Man y official s helpe d i n al l this , notabl y th e brother s Nichola s an d Count Dmitr y Miliutin . Th e restoratio n o f universit y autonom y (abolishe d i n 1835) i n 186 3 an d th e extensio n o f secondar y educatio n ma y als o be considere d part of the Great Reforms . Progressives begge d Alexande r I I t o pursu e th e principl e o f refor m further : they petitione d hi m t o "crow n th e edifice, " whic h mean t creatin g a nationa l zemstvo—that is , parliament—an d i n genera l t o do fo r Russian s "wha t h e ha d done fo r th e Bulgarians"—tha t is , gran t a constitution . Th e revolutionaries , whose first undergroun d circl e (tha t o f Durov ) date d t o 1848 , durin g th e 1860 s had forme d severa l suc h group s an d trie d terrorism ; i n th e 1870 s the y undertoo k the killing of several officials an d in 188 1 assassinated the Tsar-Liberator himself . The resul t was to give all reform a bad name (a consummation th e revolutionarie s were not averse to having brought about) under th e reign of Alexander II I (1881 94) an d th e first hal f o f th e reig n o f Nichola s I I (1894-1917) , sinc e h e vowed t o continue th e policies of his father . It no w prove d possibl e t o harnes s som e o f th e worke r dissatisfactio n wit h conditions o f nascen t capitalis m t o the socialis m o f a section o f th e intellectuals , in th e Socia l Democratic party . I t wa s formed nominall y in 1898 , in fac t i n 1903 , when i t a t onc e spli t int o Bolshevi k an d Menshevi k (Majorit y an d Minority — misnomers fo r man y o f th e followin g prerevolutionar y years ) faction s an d late r parties. Th e Socialis t Revolutionar y par t trie d als o t o mobiliz e th e worker s bu t placed grea t hope s i n th e peasantry , an d th e Western-libera l Constitutiona l Democrats sough t t o rise abov e clas s divisions . I n th e Revolutio n o f 1905 , unin tentionally triggere d by the government tha t courte d a disastrous war with Japan , mutinies an d strike s compelle d th e tsa r t o gran t a legislativ e assembl y (Duma ) and revam p th e Stat e Counci l int o a partly nominate d uppe r hous e o f a kin d o f parliament, a s well as promise civil liberties. Under th e prim e ministr y o f Pete r Stolypin , th e governmen t (wit h hel p fro m the new Duma) carried out an all-embracing land reform, underminin g the village communes t o establish a n agricultur e base d on self-sufficien t peasan t farms , an d

The Coming of Democracy: Part 3 33 9 adopted a number of important measure s relating to labor and education. Stolypi n was assassinated b y a double agen t i n 1911 , and hi s successor s were increasingl y briefly i n offic e an d successivel y les s able . B y th e tim e Worl d Wa r I brok e out , strikes were mounting again in intensity . At the outset th e war united th e nation, mad e patriotism popular , an d enable d nongovernmental bodies , suc h a s th e nationa l zemstv o organizatio n an d wa r industry committees , t o play significan t roles . Bu t th e lon g strai n o f war, whic h stretched th e stayin g powe r o f wester n Europea n government s t o th e limit , wa s too much fo r th e stat e ove r whic h Nichola s I I presided . H e wa s disheartened b y the murde r o f Rasputin , th e "elder " (hol y man, no t a monk) who had seeme d t o be abl e t o kee p th e tsar' s hemophilia c so n alive ; h e wa s unabl e t o handl e th e political whirlwinds tha t envelope d him . In Februar y 191 7 (by th e ol d calendar ) a crisis i n foo d suppl y fo r th e capital , Petrograd, precipitate d a political crisis . Ou t o f it came abdication o f the tsa r an d his dynasty , formatio n o f a Provisiona l Governmen t heade d b y liberals tha t wa s committed t o postponing importan t decision s unti l a Constituent Assembl y coul d be properly elected , an d resurrectio n o f a device use d briefl y i n 1905 , th e Soviet s (Councils) of Workers' Deputies led by Mensheviks and Socialist Revolutionaries , soon t o include Soldiers ' Deputie s a s well an d t o be flanked by Soviets of Peasan t Deputies. The ineffectiv e leadershi p o f th e Provisiona l Government ; th e retur n fro m abroad of Vladimir Ilic h Lenin , wh o demanded of his fellow revolutionarie s actio n not speeches; the impasse on the German-Austrian front—thes e an d other thing s led t o a serie s o f crise s fo r th e Provisiona l Governmen t and , o n 2 5 October/ 7 November 1917 , seizur e o f powe r b y th e Bolshevik s i n Petrogra d an d withi n a few days in th e res t of the country a s well. The imperia l famil y wer e ofte n charge d wit h th e thing s royalt y ofte n ar e suspected of : wast e o f money , needles s luxury , indifferenc e t o th e suffering s o f the lowe r classes . The y wer e no t th e righ t charge s fo r th e las t Romanovs : Nicholas an d Alexandr a hate d cour t lif e an d love d th e commo n people . Bu t th e tsar coul d no t handl e th e powe r h e retained . Th e liberal s wh o heade d th e Provisional Governmen t wer e reluctan t t o wield wha t power they possessed. On e party, th e Bolsheviks , an d on e ma n (better , tw o men, Leni n an d Leo n Trotsky ) were prepared t o seize power an d use it. An d they did. The ne w master s o f th e countr y wer e challenge d wit h word s b y the Menshe viks, wit h arm s b y others; withi n a fe w month s civi l wa r brok e out . A coalition was forge d b y som e o f th e Socialis t Revolutionarie s an d Constitutiona l Demo crats; the leaders of the army; and th e leaders of the ethnic minorities, wh o made up abou t hal f o f th e population—th e othe r hal f bein g Grea t Russian . Or , mor e

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accurately, i t was not forged. Th e thre e groups fought separatel y more often tha n together, an d althoug h th e Whit e armie s wer e i n th e outskirt s o f Petrogra d an d within strikin g distanc e o f Mosco w fro m th e sout h i n Octobe r 1919 , tha t wa s their las t gasp, militarily speaking . By March 192 1 th e Red s wer e victoriou s almos t everywher e (no t befor e 192 6 in Centra l Asia ) agains t thei r enemie s i n uniform ; bu t a dee p domesti c crisis , beginning wit h peasan t revol t o n th e Volg a an d culminatin g i n th e revol t o f Re d sailors i n th e grea t Kronstad t bas e nea r Petrograd , provide d a new threat . Leni n introduced th e Ne w Economi c Policy , permittin g virtua l peasan t ownershi p o f land, small-scal e privat e enterpris e i n th e towns , an d foreig n investmen t (o f which ther e wa s i n fac t no t much) . Al l thi s enable d Russi a t o recover, b y 1927 , to th e approximat e economi c leve l o f 1913 . Lenin' s successor , Josep h Stalin , thereupon launche d a so-calle d Secon d Revolution , collectivizin g th e land , na tionalizing industry, severin g all contact wit h foreig n countries , an d plunging th e country int o an abys s of terror an d poverty. Th e hatre d of the regime provoked by the savag e treatment h e had mete d ou t t o the people , hi s destruction o f the arm y leadership in th e purges of 1936-38 , an d his refusal t o prepare fo r Naz i attack i n 1941 despit e clea r sign s tha t i t wa s imminent , le d t o th e USSR' s narrowl y escaping defea t b y Hitler , afte r unimaginabl e deat h an d destruction . Whil e planning new purges of real or imagined enemies , Stali n died in 1953 . In subsequen t decade s hi s successor s wrestle d wit h hi s heritage—Nikit a Khrushchev b y ending most of the terribl e concentratio n camp s bu t breakin g hi s nails o n th e economi c problem , Leoni d Brezhne v b y seekin g foreig n technolog y and larg e agricultura l investments , Yur i Andropov , wit h ne w wor k discipline , and, afte r th e strang e interlud e o f Konstanti n Chernenko , th e mor e dramati c efforts o f Mikhai l Gorbachev . A t th e beginnin g o f 199 0 th e balanc e shee t stoo d as follows : ther e wa s a n amazin g chang e fo r th e bette r i n journalism , histor y writing, an d th e publicatio n o f critica l belles-lettre s o f pas t an d present ; th e political syste m ha d changed , s o that genuin e election s ha d bee n held , la w give n new meaning , an d a parliamentary lif e o f sort s ha d com e int o existence ; but th e economy, afte r partia l an d gingerl y experimentatio n wit h th e marke t an d fre e enterprise, ha d actuall y sli d backward . Alexander Solzhenitsy n argue d tha t Russi a i n th e 1970 s an d 1980 s wa s les s ready fo r democrac y tha n i t wa s i n 1917 . Ther e i s n o wa y o f provin g suc h a n assertion, bu t i t i s plausible . A t th e tim e o f th e Revolutio n th e prerequisite s fo r democracy were being created: som e experience, lastin g half a century, wit h loca l self-government i n bot h urba n an d rura l settings ; th e rul e o f law a s practiced i n some of the best court s of continental Europe , althoug h politica l cases were ofte n tried i n specia l condition s afte r Ver a Zasulic h wa s acquitte d i n 187 8 fo r th e attempted assassinatio n everyon e ha d see n he r perform ; th e sprea d o f privat e

The Coming of Democracy: Part 3 34 1 property amon g the peasantry an d th e succes s som e landlords an d more entrepre neurs wer e havin g i n creatin g capitalis m i n bot h agricultur e an d industry ; th e astonishing ris e i n popula r literacy , th e developmen t o f th e universities , th e attainment o f bot h hig h qualit y an d broa d popularit y amon g practitioner s o f th e fine arts—literature, painting , an d musi c especially. Som e of those prerequisite s disappeared or were forgotten unde r Leni n an d Stalin ; since then ther e have been stirrings of life i n som e of them tha t were thought dead. Th e capacity of Russian s and other people s of th e USS R fo r democrac y nee d no t b e doubted; th e difficult y of riddin g th e countr y o f th e institutiona l heritag e o f th e pas t seventy-od d year s remained great .

CHAPTER I I

Indiay China y and Japan

India City lif e aros e aroun d 200 0 B.C . i n th e Indu s valle y an d durin g th e firs t millen nium B.C . i n th e valle y of th e Ganges , a s th e inhabitant s learne d ho w t o control the grea t river s sufficientl y t o begi n irrigatio n agriculture . Th e Indu s valle y civilization disappeared ; th e reason s ma y be severa l bu t ar e certainl y mysterious . Some tim e afte r 200 0 B.C . th e Aryan s entere d Indi a fro m th e northwest—i t i s not know n wher e they bega n thei r migration . The y cam e wit h cattl e an d 'wer e first an d foremos t cattle-breeder s an d beef-eaters"; the y raised som e grain. Arya n society was comparable t o Homeric Greec e o r th e Celti c West , on e of " a warrio r aristocracy, intereste d i n feedin g an d fighting bu t littl e concerne d wit h it s hum bler foot-sloggin g peasantry.' 1 Fro m th e tim e th e Aryan s appeared , th e Indian s were deepl y preoccupie d wit h religion . Perhap s thei r onl y equal s i n tha t respec t have been th e Jews and the Egyptians. Th e Jews made the written recor d of what they believed t o be their lon g colloquy with Go d the foundatio n fo r thei r lif e bot h sacred an d secular ; th e Egyptian s ha d n o recor d comparabl e t o tha t o f th e Jew s and a conceptio n o f th e conjoinin g o f deit y wit h kingshi p tha t wa s share d b y neither o f the other tw o peoples. Onl y th e Indians , o f the three peoples, manage d to carr y thei r lon g experienc e o f a religiou s cultur e int o a larg e continuou s territorial entit y o f today , fo r muc h o f thei r histor y seemingl y littl e concerne d about politica l unity—i n contrast , say , t o th e Chinese—o r abou t th e tensio n between indigenou s an d foreign influences—a s were , fo r example , th e Russians . The Aryan s calle d th e indigene s the y conquere d "dasyus ('dark-skinned, ' late r meaning slaves) , i n whic h ar e see n th e origin s o f th e cast e system" 2 —that is , 342

India, China, and Japan 34 3 the highe r th e cast e th e lighte r th e skin . Th e mas s o f th e populatio n o f th e subcontinent continue d t o liv e i n disperse d villages . Th e villag e "a s a n adminis trative an d socia l uni t remaine d constant," 3 bu t th e politica l structure s buil t o n it wer e divers e an d changing . Triba l assemblie s existe d fo r a time, an d the n ha d superimposed o n the m th e government s o f kingdom s larg e an d small . Som e smaller state s wer e nonmonarchica l an d hav e been calle d republican , sinc e thei r chief o r presiden t wa s electe d an d wa s assiste d b y a council o f elders selected , i t seems, from familie s of the Kshatriya caste—landowning and military aristocrats . But th e mos t importan t institutio n i n th e republic s wa s th e genera l assembly , o r parishad, whic h ha d prescribed organization an d procedures. Mor e prevalent wer e kingdoms, severa l o f which conteste d i n th e sixt h centur y B.C . fo r contro l o f th e Ganges valley. The Aryan s ha d a complex, sometime s fierce an d sometime s eroti c pantheon . In th e sixt h century , ther e wer e severa l ne w sects , an d tw o lasted: Jainis m (th e teachings o f th e Jina> o r Conqueror , Mahavira ) an d Buddhis m (fro m bodhi, th e "enlightenment" Siddhart a receive d a t Bodh-Gaya) . However , Buddhis m "per ished i n th e lan d o f it s birth," 4 an d Jainis m remaine d th e fait h o f a smal l minority. The evolve d Hind u worldvie w tha t becam e dominan t wa s on e tha t perceive d reality i n th e predicamen t o f th e individual , wh o mus t suffe r countles s rebirth s as a resul t o f goo d an d ba d behavio r i n pas t incarnations , one' s karma (literally "work" o r "deed" ) o r "th e unsee n ripenin g o f pas t actions. " Th e ancien t Hind u conception o f freedo m o r liberatio n (moksha) involved th e gainin g o f insigh t int o the cosmo s tha t woul d enabl e th e individua l t o escape fro m furthe r birth s an d t o embrace extinction. Lik e other apparently fatalis t an d anti-individualist teaching s (Islam, Calvinism , Marxism) , however , thi s on e nee d no t paralyz e th e will . I n Basham's words , "w e canno t escap e th e la w o f karm a an y mor e tha n w e ca n escape th e law of gravity or the passage of time, bu t by judgment an d forethough t we can utiliz e th e la w of karma t o our own advantage." 5 One wa y to do so was to accept th e dutie s dictate d b y one' s statio n i n life—family , caste , an d religio n (recognizing that religio n might dictate th e rest) . From th e start , then , India n politica l lif e wa s characterize d b y a tensio n between th e fac t o f powe r veste d i n th e empero r o r princ e (th e subcontinen t rarely enjoyed , o r suffere d from , politica l unity ) an d th e theor y tha t judged th e ruler on the basis of his defense o f Hindu value s and placed little emphasis on his role on earth o r in th e cosmos (in contras t to , say , Confucianism) . I t ma y well be true tha t "autocrac y i s substantiall y th e only form o f government wit h whic h th e historian o f India is concerned. . . . the nature of a despotic government remain s much th e sam e a t al l time s an d i n al l places , whethe r th e rule r b e a sain t o r a tyrant." 6 However , ther e still may be alternatives t o autocracy potentially presen t

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in th e India n past—fo r example , i n th e exten t t o which ther e wa s self-govern ment in th e Indian village s and in the very indifference t o government consequen t upon th e fact tha t th e Hind u attentio n i s focused elsewhere . The singl e unifie d an d centralize d empir e i n ancien t India n history , th e Mauryan empire , wa s founde d i n abou t 32 5 B.C . b y Chandragupt a Maury a (th e "Sandrocottos" wh o ha d jus t me t Alexande r th e Grea t i n th e Punjab?) . Hi s grandson, Ashoka , preside d ove r a bureaucracy tha t h e di d hi s bes t t o supervis e and mak e responsibl e fo r th e welfar e o f th e people . H e wa s a Buddhist, bu t th e later Buddhis t attemp t t o portra y hi m a s a tireles s proponen t o f a missionar y Buddhism i s now regarde d a s exaggerated; i n hi s numerous edict s h e laid down a set of principles base d on Hinduism 7 bu t no t specificall y Buddhism , supportin g a common ethi c of peaceful civi c virtue fo r a very diverse society . The empir e soo n decline d an d fel l apart . Nevertheless , th e ideal s tha t ante dated Ashoka but whic h h e strengthened— dharrna, th e "socia l order" an d chiefl y the cast e system—survive d i n suc h a manner tha t loyalt y t o the m cam e t o tak e clear precedenc e ove r loyalt y t o th e state . Th e resul t ma y hav e been , a s alread y suggested, t o impede th e growth of political institutions fo r many centuries . In th e decade s afte r 30 0 B.C. , ther e wa s compile d Arthashastra, a guid e fo r princes, i n whic h maximizin g powe r i s se t fort h a s a n en d justifying deception , assassination, an d ''disinformation,' ' an d virtuou s rul e i s recommende d a s a way of persuadin g a conquere d peopl e t o accept thei r lot . However , th e tex t wa s forgotten fo r a lon g perio d an d onl y rediscovere d abou t a centur y ago , an d thi s Indian Machiavell i di d little t o shape the statecraf t o f the intervening centuries . The Seleucid s (heir s i n th e eas t t o Alexander th e Great ) allowe d Bactri a an d Parthia (present-da y Afghanista n an d northwes t Pakistan ) t o sli p ou t o f thei r grasp, an d so-calle d Indo-Gree k monarchie s existe d there . Furthe r eas t ther e were othe r kingdoms , a s wel l a s republics , rule d b y Centra l Asia n invader s o r indigenous royalty . Th e origina l inhabitants o f the peninsula, speakin g Dravidia n languages, ha d bee n drive n t o th e sout h b y Arya n invasio n an d the n largel y Aryanized; from th e third centur y A.D . o r thereabouts w e know of small kingdom s there a s well. During th e so-calle d Gupt a period , beginnin g i n A.D . 320 , a large stat e cam e to control much of northern India , an d there is evidence of some decentralization. It was the ag e of classical Sanskri t literatur e i n th e north an d a flourishing Tamil literature i n th e south , includin g plays , epi c poetry, an d th e Kamasutra, a fame d treatise on th e ar t o f love. However , b y the sixt h centur y th e Gupta kingdo m ha d lost muc h territory , partl y a s a resul t o f th e invasio n o f Hun s (Hunas in India n sources) from th e northwest, an d th e dynasty came to an end . In th e lat e sevent h centur y cam e fro m th e wes t a new religio n i n th e trai n o f new conquerors , th e Musli m Arabs , wh o annexe d Sind . Th e kingdom s o f nort h

India, China, and Japan 34 5 central India , however , kep t th e Muslim s a t ba y unti l th e tim e o f Sebiiktigin , a Turkish slav e converted t o Islam wh o was appointe d governo r o f Ghazna i n 977 . The Ghaznavi d dynast y conquere d muc h o f northwester n India . Meanwhil e th e Cholas, "b y fa r th e mos t importan t dynast y i n th e subcontinen t a t thi s time," 8 had emerge d i n th e south , rulin g muc h o f th e peninsul a an d norther n Ceylon, and, uniquely , conductin g maritim e warfar e t o expan d contro l o f variou s port s and islands of Southeast Asia . So-called feudatorie s (singular , samanta) ha d by now come into existence. Th e term designate d "eithe r a conquered rule r or , mor e often , a secula r officia l . . . who had been given a grant of land in lieu of a salary" but who thereafter asserte d the righ t t o rule th e area concerned. 9 I n other words , i t was service or office lan d that th e feudator y occupied ; India' s samanta class "ha d n o fortresse s an d experi enced no age of chivalry and feudal warfare . Instead , i t has always been a nobility of service." 10 an d therefor e wa s not feudal . Ther e was , however , a trend towar d decentralization, accompanie d b y an apparen t declin e i n trade , an d certai n tech nological change s (suc h a s introductio n o f th e whee l int o th e villages , whic h helped t o make the m self-sufficient) , whic h contribute d t o th e prevalenc e o f th e village and rusti c values in medieval India . The Ghaznavid s pave d th e wa y fo r th e permanen t Musli m conques t o f north ern India . Delh i was occupied in 1193 , and a few years later there was proclaimed the Turkish Mamlu k (Slave ) dynasty, th e first of six dynasties t o rule ther e u p to 1526. T o be a slave was no t dishonorable—it wa s sai d tha t " a slav e was a better investment tha n a son , whos e clai m wa s no t base d upo n prove d efficiency" 11 — and wa s a convenient rout e t o power fo r thos e lackin g royal blood. Th e sultanat e of Delh i becam e th e dominan t powe r i n mos t o f th e peninsula , bu t fro m th e 1330s on it los t th e sout h an d Bengal . A t length th e invasion o f Timur, th e grea t Barlas Turk conqueror , defeate d th e army of the sulta n (1398 ) and reduced Delh i to one of several northern states . A century late r th e Portugues e reache d India ; i n 149 8 Vasco da Gama lande d at Calicu t o n th e Malaba r coast , an d Portugal' s headquarter s fo r Asi a wa s soo n established a t Goa . Fo r th e tim e being , however , les s attentio n wa s pai d t o th e arrival of Europeans tha n t o the conquests of Babur. A Chagatai Turk, descende d directly fro m bot h Timu r an d Genghi s Khan , afte r bein g force d ou t o f centra l Asia h e seize d Delh i i n 152 6 and founde d th e Mugha l empire . Th e ne w dynast y was Muslim , bu t th e thir d emperor , Akba r th e Grea t (d . 1605) , lai d stres s o n alliance wit h Hind u warriors , ende d discriminatio n agains t Hindus , an d trie d t o limit th e influenc e o f th e ulama (Muslim clergy ) o n th e affair s o f state . Akba r studied Christianity , Zoroastrianism , an d Jainis m i n additio n t o th e tw o majo r religions o f th e country , Isla m an d Hinduism . H e wa s remembere d a s wise , tolerant, an d noble.

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His grandso n Sha h Jahan—know n i n th e Wes t fo r erectin g th e Ta j Mahal , arguably th e most beautiful buildin g ever constructed, a s tomb for hi s empress — was als o tolerant an d a patron o f literature, bu t h e raise d th e state' s shar e of th e gross agricultura l outpu t fro m one-thir d t o one-half. H e wa s pu t i n priso n (an d there died ) b y hi s so n Aurangzeb , wh o impose d a severel y puritanica l Islami c dictatorship. Afte r hi s death i n 1707 , the empire rapidl y fell apart . An imposin g stat e aros e i n th e for m o f th e Marath a empir e i n west-centra l India. Founde d b y a gifted leade r name d Sivaj i i n 1653 , th e stat e wa s mad e th e major powe r in Indi a by Baji Ra o (d. 1740) , th e chief minister of the time . I t was a highl y decentralized state , i n whic h th e jagirdars (ta x farmers ) "claime d virtua l ownership o f th e territor y [they ] controlled. ,,12 Th e Marath a kin g owne d alle giance to the Mugha l emperor , bu t i t was a tie without rea l meaning. During th e previous thre e centurie s th e fa r sout h ha d been controlle d b y "th e last great medieval Hind u kingdom, " Vijayanagar. Roughl y half th e produce wen t to taxes, thoug h "variou s layers of local landowners" reduced tha t fractio n befor e it reache d th e centra l government . Th e Vijayanaga r empir e wa s conquere d b y Muslim princes by 1652 . In th e earl y seventeent h centur y severa l Europea n nationalitie s mad e thei r appearance i n India . T o the previous Portugues e settlement s wer e added thos e of the Dutc h (fro m 1609 , nea r Madras) , th e Dane s (fro m 1620 , a t Tranqueba r o n the eas t coast) , an d th e Englis h (161 2 a t Sura t nea r Bombay) ; th e Frenc h (Pondichery, acquire d 1674 ) cam e later . Portuga l wa s soo n squeeze d ou t a s a result o f corruptio n i n he r India n affairs , overextensio n o f commitment s fro m Brazil t o souther n Afric a t o Maca u o n th e par t o f a small an d non e to o populous country, an d superio r Britis h se a power . Th e Dutch—als o a no t numerou s people—concentrated profitabl y o n th e Eas t Indies ; the Dane s neve r did becom e real competitors ; th e Frenc h di d no t mak e a seriou s effort , thoug h fo r a tim e i t appeared tha t the y might . The Britis h wer e th e winners , i n a prolonged competitio n i n which thei r nav y was decisive. Whe n Aurangze b died in 1707 , Britain ha d only a few squar e miles of territor y a t Bombay , Madras , Calcutt a (founde d b y a n Englishma n i n 1690) , and tw o o r thre e othe r spots . Hal f a centur y later , "whe n ric h Benga l wa s acquired, nothing , no t eve n a n Ac t o f Parliament , coul d sto p th e master s o f th e sea an d th e Gangeti c valle y fro m becomin g ruler s o f India." 13 Th e argumen t i s related t o th e witticis m tha t th e Britis h acquire d thei r empir e i n a fit of absent mindedness. Into th e crumblin g Mugha l empir e cam e th e Persia n invader s unde r Nadi r Shah i n 1739 . H e too k Delhi , massacre d thousands , an d annexe d th e province of Kabul t o Iran ; h e the n withdrew , carryin g of f immens e booty . Bu t th e Grea t Mughals learne d nothin g therefrom . Nadi r Shah' s successors , wh o wer e Af -

India, China, and Japan 34 7 ghans, mounte d repeate d incursions , an d one , Ahma d Sha h 'Abdali , a t Panipa t in 176 1 smashed th e arm y of the Marathas , wh o had come to dominate th e Delh i court. Thoug h th e Mugha l empir e nominally survive d unti l 1857 , it was reduce d to Delhi cit y an d environs , i n a manner reminiscen t o f th e Byzantin e Empir e i n its las t years , whe n i t wa s littl e mor e tha n Constantinople . Th e 176 1 battle als o dealt a heavy blow to the Marath a state . A few year s earlie r th e intermitten t Anglo-Frenc h conflic t (i t ha s bee n calle d the Secon d Hundre d Years ' War, date d a t 1689—178 3 or even 1666-1815 ) foun d a flash poin t i n India—alon g wit h Europ e (Wa r o f th e Austria n Succession , 1740-48) an d Americ a (Kin g George's War) . Th e Englis h los t Madra s an d the n regained i t a t th e peac e o f 1748 . Successfu l Frenc h politica l interferenc e i n th e affairs o f th e easter n India n state s provoke d on e Rober t Clive , a former accoun tant wh o had take n u p soldiering , t o seize Arcot with 21 0 men i n 1751 , which i n turn le d t o humiliation o f France . A new phas e o f th e conflic t (th e Seve n Years ' War/French an d India n War , 1756-63 ) le d t o Clive's victor y i n 175 7 at Plasse y over Siraj-ud-Dawlah , nawab (virtuall y ruler ) o f Bengal ; Britis h defea t o f hi s successor, Mi r Qasim , a t Buxar , i n 1763 ; and th e effective en d of Frenc h effort s at ascendancy i n th e peninsula . Clive returne d i n 176 5 fro m a perio d i n England . H e wa s maste r o f Benga l and, i f he ha d wished, al l of south Asia . However , h e chose t o work out a system of "dua l government, " whereb y a n India n princ e wa s left a s nominal administra tor bu t th e Eas t Indi a Compan y name d hi s deputy , wh o wa s als o deput y dewan (who ha d th e tax-collectin g power , wit h consen t o f th e Mugha l emperor) . Firs t applied t o Bengal and Bihar—th e deput y wa s a Persian, Muhamma d Riz a Khan , a company officer—this syste m wa s continued fo r a century, an d indeed cam e t o be th e mode l fo r th e entir e portio n o f th e Britis h Empir e tha t wa s no t compose d mainly of British colonists : th e indigenou s rule r wa s retained, bu t a Britisher (o r other perso n i n Britis h employ ) held th e power. T o be sure, th e suprem e author ity i n Indi a i n th e eighteent h centur y wa s no t th e Crow n bu t th e Eas t Indi a Company (th e popular titl e was the Company Bahadur—the Valiant , o r Honour able, Company) . Warren Hasting s wa s appointe d governo r o f Benga l i n 1772 , an d b y th e Regulating Ac t o f 177 3 became governo r genera l o f For t Willia m i n Benga l wit h supervisory powers over Madras and Bombay. Th e language of administration an d judicial proceeding s remaine d Persian , an d th e Britis h wh o di d no t kno w th e language wer e ofte n a t th e merc y o f thei r India n subordinate s wh o did . Th e resultant anomalie s le d t o th e impeachmen t o f Hasting s (h e wa s acquitte d bu t retired). Lor d Cornwallis , th e recentl y vanquishe d commande r i n America , be came governo r genera l i n 1786-93 . H e substitute d Britisher s fo r Indian s i n th e higher governmen t posts , an d bega n th e deprivatio n o f India n opportunit y fo r

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public servic e an d socia l separatio n o f th e tw o race s tha t woul d caus e troubl e later on . Th e Britis h Parliamen t no w undertoo k t o set India' s financial affair s i n order. Feelin g "a n affinit y wit h th e zamindar s [ta x collector s o f th e Mughals ] . . . they to o easily assume d the m t o be tropica l replica s o f themselves." 14 Thu s the Permanen t Settlemen t o f 179 3 turned th e zamindars of Bengal int o landown ers, whil e a stratum o f lesser landholders wer e turned int o tenants. But th e ne w assessmen t wa s to o high, th e zamindar class experience d a largescale turnover , an d a new grou p too k thei r place . The y wer e muc h mor e remot e from th e ryot (peasant) tha n before , psychologicall y an d physically ; a n absente e landlord system , dependen t upo n th e foreig n rulers , wa s created; it replaced "th e organic tie s betwee n th e tw o classe s o f rura l societ y b y a n impersona l cash nexus." 15 Cornwalli s als o relieve d th e zamindars of thei r polic e function s an d created a new police force; a t th e sam e time he introduced a new Code, retainin g customary civi l la w an d th e Islami c crimina l law , fro m whic h h e delete d suc h penalties a s mutilation an d impalement . Other territorie s wer e acquire d throug h a serie s o f wars , eithe r intentionall y acquisitive i n motiv e o r reluctantl y pacifyin g o f irregula r bands , s o that b y 181 8 the Eas t Indi a Compan y controlled th e whole subcontinent u p to the Sutle j Rive r in th e Punjab 16 —about hal f o f i t remainin g unde r India n princes , totalin g ove r 360 political units , reminiscen t o f th e Hol y Roma n Empire . Th e dee p cleavage s among caste s an d classe s i n India n societ y "rendere d i t unusuall y willin g t o call in unwelcom e outsiders t o defeat th e stil l more unwelcome neighbor, " an d in an y case politic s an d governmen t wer e fa r fro m th e first consideratio n fo r eithe r Hindu o r Muslim. 17 Thus th e Britis h administrator s o f th e earl y nineteent h centur y wer e abl e t o reorganize governmen t an d societ y i n th e ne w area s almos t single-handedly : thi s was true o f Mountstuar t Elphinston e i n Bombay , Si r Thomas Munr o in Madras , and Si r Charle s Metcalf e i n Delhi . Elphinston e recognize d th e holder s o f offic e land, o r jagirdars, as ful l landowners ; Munr o trie d t o eliminat e th e middlema n from lan d assessment , bu t ofte n lef t th e peasan t unprotecte d agains t loca l offi cials; Metcalf e trie d t o preserve th e communa l village . However , i n n o case wa s the indigenou s societ y o f Indi a revolutionized, 18 an d i n th e mai n th e change s could b e summe d u p b y th e fac t tha t th e governo r general , th e Compan y Baha dur's representative , i n effec t replace d th e Mugha l emperor . As governor general (1828-35), Lor d William Bentinck did his best to suppress suttee (the burning of widows on the funeral pyre s of their husbands), infanticide , and thuggee (ritual murde r an d robber y i n th e nam e o f th e goddes s Kali) — bringing dow n o n hi s ow n hea d reproache s fo r interferin g wit h loca l religiou s practices bu t defendin g wha t h e regarde d a s th e universa l mora l law . H e als o

India, China, and Japan 34 9 substituted Englis h fo r Persia n a s th e languag e o f governmen t an d supporte d i t as a medium of instruction—eloquently seconde d by Thomas B . Macaula y befor e Parliament. All of this marke d a replacement o f the notio n tha t th e Britis h wer e "warden s of a stationar y society"—th e Eas t Indi a Compan y actin g fo r th e Mughals—b y one tha t ha d the m 'trustee s o f a n evolvin g one"— a Westernizin g societ y o n it s way t o India n self-government 19 tha t Indian s educate d i n th e Englis h languag e and curricul a wer e boun d t o deman d a t som e poin t regardles s o f whethe r th e British declare d the m ready . However , a complex Britis h debat e continue d abou t what policy toward Indi a should be. O n th e other end of the cultural interchange , some Indian s accepte d Wester n influence s fully ; som e rejecte d the m entirely ; a few, followin g Rammoha n Roy , fro m 181 5 o n sough t t o combin e Wester n an d Hindu values . A serie s o f smal l war s le d t o th e annexatio n o f Sin d i n 1843 , th e grea t Sik h state o f th e Punja b i n 1849 , an d th e princel y stat e o f Oudh i n 1856 . B y the yea r 1857—a centur y afte r th e Britis h ha d firs t establishe d themselve s i n India—th e East Indi a Compan y dominate d th e subcontinent , thoug h abou t two-fifth s re mained nominall y unde r princely rule . In 185 7 a mutiny brok e ou t i n th e Benga l arm y an d soo n becam e a revolt . I t began by a rescue a t Meeru t o f soldiers who had refuse d t o accept ne w cartridge s for Enfiel d rifle s an d ha d bee n place d i n irons . Th e cartridges , whic h ha d t o be bitten off , wer e supplie d wit h a fat o f mixed bee f (whic h Hindu s woul d no t eat ) and por k (whic h Muslim s woul d no t eat) . A s soo n a s th e Britis h discovere d th e mistake, i t wa s reversed—to o late . Musli m an d Hind u unit s togethe r capture d Delhi, a s well as much o f the north . A length y Britis h campaig n followed , wit h excesse s o n bot h sides . Afte r victory, th e arm y wa s reorganize d a s a n efficient , professiona l bod y largel y mad e up of northwesterners, an d th e Government o f India Act (1858) was passed. Th e act transferred powe r from th e East Indi a Company t o the crown (Queen Victori a was proclaimed Empres s of India in 1876) , governing through viceroy s from 185 8 to 1947 . Britai n promise d noninterventio n i n religiou s matters , a commitmen t she kep t t o a larg e extent , an d equalit y o f th e race s i n recruitin g civi l servants , which sh e did not . I n consequenc e bot h separatio n an d hostility between British ers and Indian s deepened . Lord Ripo n (vicero y i n 1880—84 ) sought t o create institution s o f electiv e loca l government but was frustrated b y organized white groups—who by their success ful campaig n agains t Ripo n "inadvertentl y demonstrate d t o a generation o f young Indian nationalist s th e tactic s o f politica l agitatio n an d protest. " I n 188 5 th e result was the founding of the Indian Nationa l Congress. 20 During its first twenty

350 Freedom:

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years, th e Congres s wa s almos t entirel y th e spokesma n fo r th e small , English educated middl e class that wa s mainly urban , Hindu , an d loyal to the Crow n bu t sought a share in governing the country . At length , i n 1905 , Vicero y Lor d Curzon' s orde r dividin g Benga l int o tw o provinces21 triggere d a nationwid e protest , accompanie d b y a boycot t o f Britis h goods wit h consequen t benefi t t o indigenou s industry . Shortl y afterwar d th e Muslim Leagu e wa s organized . Th e Libera l victor y i n th e Britis h election s o f 1906 le d t o th e fashionin g o f a reform b y John Morley , hea d o f th e Indi a Offic e in London : th e India n Council s Ac t o f 190 9 (the Morley-Mint o reforms) . A tiny Indian electorat e eligibl e throug h propert y an d educatio n wa s abl e t o elect mem bers o f legislativ e council s (whic h ha d existe d i n som e province s sinc e 1861 ) throughout th e country . G. K . Gokhale, acknowledge d a s his political mentor b y Mohandas K . Gandhi , at once introduced int o the Supreme Legislativ e Council a bill for free compulsor y education, an d thoug h i t faile d repeatedl y i t helpe d t o establis h a platfor m fo r Indian nationalis m t o state its aims. At his Coronation durbar (ceremonial celebra tion) hel d i n 191 1 Georg e V announce d th e reunificatio n o f Benga l (t o pleas e Hindus), an d th e capita l wa s move d fro m Calcutt a t o Delhi (t o please Muslims , since it was the old Mugha l capital) . Bu t suc h measure s wer e tardy . During World War I , despit e the way Indian soldier s distinguished themselve s fighting fo r Britai n (an d wer e rewarde d b y bein g finally admitte d t o th e office r corps), anti-Britis h feelin g grew . Th e Amritsa r massacr e o f 1 3 Apri l 191 9 re sulted i n th e killing of four hundre d Indian s and the wounding of twelve hundre d more. I t radicalize d millions , an d helpe d provid e th e broa d suppor t fo r Gandh i that fro m Augus t 192 0 on mad e hi s satyagraha (clingin g t o th e truth ) movemen t the spearhead of the growing national demand for swaraj (self-rule). Gandh i (late r called "Mahatma " or ''Great Soul" ) was a Gujarati barriste r wh o studied in Sout h Africa an d returne d t o India shortl y afte r th e outbrea k o f World Wa r I . H e no w called for nonviolen t boycot t of all British good s and institutions . By th e Governmen t o f Indi a Ac t (th e Montagu-Chelmsfor d reforms ) i n 191 9 Britain transforme d th e Suprem e Legislativ e Counci l int o a bicameral legislatur e (Council of State and Legislativ e Assembly). The majority o f the members of both would be elected, bu t th e franchise woul d be limited thoug h enlarged : one million for Assembly , onl y seventee n thousan d fo r th e Council . "Dyarchy " (dua l govern ment) wa s installe d a t th e provincia l level , a t whic h bot h appointe d an d electe d ministers woul d exist—th e forme r i n "reserved " department s (suc h a s justic e and police) , th e latte r i n education , publi c health , an d s o forth . Onc e agai n a measure tha t woul d hav e been enthusiasticall y welcome d a few year s earlie r wa s denounced a s insufficien t whe n enacted . However , despit e Gandhi' s bes t effort s Hindu-Muslim unity , a fragile for m o f which ha d been achieve d i n th e Luckno w

India, China, and Japan 35 1 Pact o f 1916 , coul d no t b e maintained , an d th e tw o movement s wen t thei r separate ways from 192 1 on. Gandhi advocated boycott of the elections for dyarchy, an d at first th e Congres s followed him . However , b y th e tim e o f th e 192 4 electio n Motila l Nehr u an d others wh o wishe d t o participat e wo n out , an d th e Congres s mad e impressiv e gains. Liberal s ( a breakawa y grou p fro m Congress) , Unionist s (mainl y Musli m with som e Hindus an d Sikh s in th e Punjab) , an d th e Justice party amon g Tamil s in th e sout h wer e als o active . Th e Britis h soo n recognize d tha t dyarch y woul d not las t long . I n 192 8 an All-Partie s Conferenc e a t Bomba y appointe d a commit tee chaire d b y Motila l Nehru ; i t submitte d a report favorin g dominio n status . B y 1930, however, Congres s too k a stand fo r independence . In 193 5 London produced anothe r Government of India Act: this one expanded the franchis e t o forty thousand . (Compar e th e "lea p i n th e dark " o f 1867 , whe n the electorat e wa s increase d fro m on e millio n t o tw o million ; th e Britis h ha d certainly becom e mor e accustome d t o larg e number s o f voters. ) Th e ac t als o provided fo r a federatio n includin g bot h Britis h India n province s an d princel y states, i f hal f o f th e latte r acceded ; the y neve r did , an d th e federatio n di d no t come int o effect . Sinc e 192 9 th e Congress' s presiden t ha d bee n Jawaharla l Nehru, so n of Motilal , wh o had spen t year s at Harrow , Cambridge , an d London , "a Bloomsbur y figure, a politicize d Lytto n Strachey , transplante d t o a n exoti c clime." 22 Nehr u stoo d fo r a socialis t republic ; nevertheless , othe r leader s o f the Congres s entere d th e election s an d wo n a stunnin g victory . I t the n pro ceeded t o for m ministrie s i n severa l province s an d t o wor k wit h th e Britis h i n doing so. At th e outbrea k o f Worl d Wa r I I th e viceroy , th e Marques s o f Linlithgow , declared Indi a at war without consulting nationalist leaders; Congress's provincia l ministers (not all immediately or with enthusiasm) resigned in protest. Th e leade r of th e Musli m League , Mohamme d Al i Jinnah , le d hi s colleague s t o adop t a n ambiguous resolutio n promptl y interprete d a s calling for a n independent Pakista n (Land o f the Pure) . Whe n th e Japanese neare d th e India n border , Gandh i calle d for Britis h withdrawal , threatenin g nonviolen t struggle ; h e wa s jailed, an d vio lence erupted, whic h wa s soon put down . The postwa r Labou r governmen t i n 194 7 proceede d t o gran t independence , but i t prove d impossibl e t o avoi d partitio n betwee n Pakista n an d th e remainin g territory, whic h kep t th e nam e India . Mor e important , n o on e coul d eithe r prevent o r sto p communa l riotin g tha t kille d fro m tw o hundre d thousan d t o si x hundred thousand. 23 Th e adjoinin g state s o f Burm a an d Ceylo n (Sr i Lanka ) received independence i n 1948 . Independence di d not brin g lasting peace or democracy t o the whol e subconti nent. I n 194 6 a Constituen t Assembl y fo r Britis h Indi a wa s elected , an d i n th e

3 52 Freedom:

A History

light o f Britis h Labou r part y plan s a n interi m governmen t wa s forme d wit h Jawaharlal Nehr u a s prime minister. Thos e wh o favored a separate Musli m stat e maintained a stance o f opposition t o the majority unti l Augus t 1947 , an d eventu ally became a separate Constituen t Assembl y fo r Pakistan . I t wa s entrusted wit h preparing an d a t lengt h (1956 ) produce d a constitution . I t wa s suspende d tw o years later , an d martia l la w wa s proclaimed . I n 196 2 anothe r constitutio n fol lowed, i n 197 3 a third; it was suspended in 1977 , and martial law was reinstitute d by Mohammad Zia-ul-Haq . In Jun e 198 8 a decree o f Presiden t Zi a proclaimed enactmen t o f th e (Islamic ) Shari'ah an d repeale d al l secula r civi l law ; i n Augus t h e wa s kille d i n a n unex plained plan e crash . I n Novembe r a n electio n gav e th e Pakista n People s part y the larges t numbe r o f seats , an d it s leader , Benazi r Bhutto , becam e th e firs t woman prim e ministe r o f an y Musli m country . Wha t he r governmen t woul d d o about Zia' s decree and in genera l wha t th e fortunes o f democracy woul d be under her leadershi p remaine d uncertain ; s o far Pakista n ha s no t manage d t o establis h firmly a free societ y either i n theor y or practice. All princel y state s wer e absorbe d b y eithe r Indi a o r Pakistan . Th e Niza m o f Hyderabad ha d a plan t o mak e hi s stat e independent , bu t i t faile d an d th e stat e fell t o India . A n undeclare d Indo-Pakistan i wa r a t th e tim e o f partitio n lef t Kashmir wit h a cease-fire lin e bu t n o legall y recognize d boundar y dividin g it ; i n another suc h wa r i n 197 1 Eas t Pakista n secede d fro m th e Wes t an d becam e a n independent stat e a s Bangladesh . Othe r geographica l change s involve d India n invasion o r annexatio n o f th e remainin g Europea n colonia l enclave s o n th e coas t and th e semi-independen t stat e of Sikkim in th e north . As for democracy , Indi a wa s more fortunat e tha n Pakista n o r Bangladesh—t o say nothin g o f Burma . Jawaharla l Nehr u pushe d a resolutio n throug h th e Con stituent Assembl y proclaiming Indi a a republic. Partitio n wa s decided by the ne w viceroy appointe d b y th e Labo r government , Admira l Lor d Loui s Mountbatten , soon afte r h e arrive d i n Indi a i n Marc h 1947 . Th e lin e wa s t o b e draw n b y a mixed committe e wit h a British chairman ; i n fac t th e latter , Si r Cyri l Radcliffe , had t o do the job by himself. Th e Britis h officiall y withdre w o n 1 5 August 1947 , and Indi a an d Pakista n becam e independent . Gandhi , wh o had fought i n vain fo r Indian unit y an d les s tha n successfull y fo r th e equalit y o f al l men—Brahmin s and harijans (untouchables), Hindu s an d Muslims , an d hel d thi s principl e t o be true Hinduism—wa s haile d a s Fathe r o f th e Natio n bu t wa s assassinate d b y a Hindu fanati c i n January 1948 . The Constituen t Assembl y served both t o draw up a constitution—which wa s adopted i n Novembe r 194 9 and too k effec t i n Januar y 1950—an d t o function a s a legislature i n th e meantime . On e write r declare s tha t fre e votin g and assertin g the wil l o f th e majorit y hav e dee p root s i n India n history , bu t h e acknowledge s

India, China, and Japan 35 3 that "i n it s institutiona l for m a s i t i s understoo d an d practise d i n Indi a today , democracy is a legacy of the British." 24 A "federa l constitutio n wit h unitar y features, " th e basi c documen t provide s for a two-hous e legislature : th e Rajy a Sabh a o r Counci l o f States , an d th e Lo k Sabha or Lowe r House ) electe d b y universal suffrage . Th e uppe r hous e is elected by th e stat e legislature s o n th e basi s o f population . A n apparen t America n borrowing i s judicia l supremacy ; ther e i s a Suprem e Cour t appointe d b y th e president o f the republic—whos e substantia l constitutiona l power s are exercise d usually with advic e or consent of the ministry . Nehru, leade r o f th e Congress , wa s prime ministe r fro m th e tim e of indepen dence until hi s death i n 1964 . H e had been th e pilot of the vehicle carrying Indi a into the worl d of postcolonial, independen t nations . Durin g th e period fro m 194 7 to 196 4 he an d othe r politica l leader s constantl y voice d a commitment t o "social ism," but in fac t preside d over a mixed econom y (not unlike certain Scandinavia n statesmen. The y attempte d t o root out socia l evils and promote economic reforms , but the y ha d als o t o deal wit h th e emergenc e o f tradition-minde d peasan t caste s and othe r rura l interest s tha t too k a newl y prominen t rol e i n stat e an d loca l politics. Nehru wa s succeede d b y anothe r Congres s leader , La i Bahadu r Shastri , wh o died i n 1966 . A t tha t poin t Nehru' s daughter , Indir a Gandh i (n o relatio n t o th e Mahatma), becam e prim e minister . He r declaratio n o f a stat e o f emergenc y i n 1975 contributed t o her fal l i n th e 197 7 election, i n whic h a coalition o f opposing groups calle d th e Janat a part y wo n overwhelmingly . Morarj i Desa i wa s prim e minister fo r tw o years, bu t i n Januar y 198 0 Mrs . Gandh i wa s returne d t o office , as the coalition prove d united onl y in thei r oppositio n t o her. One o f th e mos t importan t politica l current s o f th e er a o f independenc e wa s the driv e fo r ethnolinguisti c unity , whic h le d t o extensive redrawin g o f interna l borders and renamin g of states. Th e determination o f the Sikh s to have their own state led t o prolonged confrontatio n wit h th e central governmen t and , ultimately , to the assassination o f Mrs. Gandh i in 1984 . Sh e was succeeded by her so n Rajiv , but th e Nehr u dynast y fel l i n th e electio n o f 1989 , whe n V . P . Sing h becam e prime minister fo r a five-party National Fron t coalition . D. P . Singha l wrot e in 1983 : "while it is possible t o say that democracy i s saf e in India , muc h wil l depen d o n it s futur e growth." 25 A similar evaluatio n wa s made by Robert L . Hardgrave , Jr.: "India , th e world's largest democracy, sustain s a fragil e stabilit y an d confront s a n indeterminat e politica l future." 26 Tha t i s th e optimistic view . Polic e brutality , corruption , an d bureaucrati c abuse s ar e en demic in a country of seven hundred million , wher e th e shadow of caste overrides legal right , an d th e misery , unsurpasse d elsewhere , o f countles s poo r defie s governmental attempt s t o provide a bare minimum o f modern services .

354 Freedom:

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Nevertheless, tw o or thre e institution s hav e escaped corruptio n an d remaine d above politics: th e arme d forces , th e electora l commission , an d t o a lesser exten t the courts . Indi a cling s t o democrati c ideal s an d aspirations , an d ha s demon strated th e vitalit y o f it s democrac y b y turnin g ou t a prim e ministe r wh o ha d nearly establishe d hersel f a s dictato r an d b y the n justifiabl y gettin g ri d o f th e government tha t replace d her . There is much t o be said for th e optimistic view. I f India cannot securel y boast the achievemen t o f democratic government , i t i s very near t o being able to do so. Marx wa s wrong , o r a t an y rat e wa s guilt y o f exaggeration , whe n h e wrot e i n 1853 t n a t Britai n ha d produce d i n Indi a "th e greatest , and , t o spea k th e truth , the onl y socia l revolutio n eve r hear d o f in Asia. " Yet he wa s close t o the trut h o f what woul d happe n almos t a century hence . Britai n too k an oriental empir e and , after nearl y tw o centuries o f colonial rule , withdrew , leavin g behind i t a democracy. I n th e earl y twentiet h century , a n India n nationalis t criticize d th e vicero y for hi s autocrati c ways : "Lor d Curzo n i s no t actin g lik e a n Englishman ; he' s acting like an Asian despot/' 27 Indian s built a political syste m on Western model s and reinterprete d thei r ow n traditio n t o justif y doin g so . Despit e sever e an d searing problems tha t remain , fro m an y standpoint i t is a success story .

China Karl Augus t Wittfoge l declares , "i n Chin a th e legendar y tria l blaze r o f govern mental wate r control , th e Grea t Yii , i s sai d t o hav e rise n fro m th e ran k o f a supreme hydrauli c functionar y t o tha t o f king , becoming , accordin g t o protohistorical records , th e founde r o f th e first hereditar y dynasty , Hsia." 28 Yi i an d th e Hsia dynast y (traditiona l dates : 2205-177 6 B.C. ) ar e no t accepte d b y moder n scholars as historical, an d the harnessing of the rivers may not have been achieve d until th e Firs t Emperor , bu t the y ma y stil l serv e a s a symboli c prefigurin g o f much o f Chinese history . In th e Shan g or Yin dynasty, w e encounter alread y a highly developed cit y lif e and civilizatio n tha t wer e "bot h brillian t an d barbaric." 29 I t lef t behin d th e first historical records , incise d i n bon e an d carapac e rathe r tha n consigne d t o paper . In tha t for m survive s th e first Chines e writte n language , whic h eve r sinc e ha s been th e basi s fo r cultura l unit y amon g people speakin g different an d sometime s mutually unintelligibl e dialects . The nex t dynasty, Cho u (traditiona l dates : 1122-22 1 B.C. ) seem s to have been less a unit y tha n a congerie s o f state s tha t hav e bee n calle d feudal . Th e lords , however, wer e differen t fro m thos e o f Wester n feudalis m i n severa l respects : there wer e ministeria l lords , servin g at th e court o f the king ; subinfeudation wa s

India, China, and Japan 35 5 rare, and , mos t important , whe n i t di d occur , th e lord s assigne d land s "no t i n a contractual way " t o organize d knight s an d baron s bu t t o "offic e holder s an d persons permitted t o enjoy sinecures . The y wer e not fiefs but office lands." 30 Whatever th e precis e characte r o f th e "feudal-familia l system, " i t weakene d during th e Ch'un-ch'i u perio d ("Sprin g an d Autumn" fro m th e "Annals " bearin g that designation, 770-47 6 B.C.) 31 and subsequentl y disappeared . Beginnin g wit h Duke Hua n o f th e stat e o f C h i i n th e mid-sevent h century , a ne w interstat e position developed—tha t o f hegemon (pa) —which effectivel y replace d th e Cho u monarch. A t th e sam e time , quit e separat e state s too k shap e an d fough t eac h other, whil e "barbarians " o n th e peripher y bot h gaine d i n strengt h an d wer e absorbed int o the Chines e cultura l area . During the Chan-kuo ("Warring States, " 475-221 B.C. ) period, on e state afte r another succumbe d t o stronger neighbors , unti l Cho u itsel f wa s overcome and, i n 221 B.C. , th e stat e o f Chi n emerge d a s th e victo r an d sol e survivo r o f th e prolonged wars . Despit e th e politica l chao s o f th e late r Chou , i n th e word s o f Edwin O . Reischauer , "thi s wa s an ag e of dynamic growth, burstin g energy , an d tremendous creativeness , unparallele d b y an y late r stag e i n Chines e history . Possibly th e multiplicit y o f state s an d thei r rivalrie s serve d a s stimuli." 32 Th e comparison wit h ancien t Greec e come s t o mind . Th e possibilit y o f a continuin g political pluralism , instea d o f th e intermittentl y centralized , unitar y empire , seemed t o impend. However, a close r loo k reveal s a new , differen t trend : a "replacemen t o f th e old feuda l structur e b y system s o f incipien t bureaucrac y unde r monarchy." 33 Duke We n o f Chin 34 i n th e sevent h centur y reduce d th e influenc e o f Cho u royalty i n hi s stat e an d appointe d hi s ow n men , o n th e basi s o f meri t an d seniority, i n a hiearchica l structur e lik e tha t o f a militar y command . Loca l governors (prefects ) wer e appointed ; al l official s wer e paid , i n cas h o r kind . Armies change d character : nobles , followin g a fixed cod e o f behavior , shootin g from wa r chariots , wer e replace d b y conscrip t soldier s an d mercenarie s fighting on foot , i n larg e unit s o f severa l thousan d men , wit h som e cavalry bu t fe w o r n o chariots. Othe r state s followed sui t or developed variations on the sam e theme. In 22 1 B.C , th e kin g of Ch'in , takin g th e titl e o f Firs t Empero r (Shi h Huang ti), divide d Chin a int o fort y commanderie s subdivide d int o counties , connecte d and extende d existin g walls int o a Great Wall , du g canals, an d o n wha t becam e the "traditiona l territor y o f China [proper]" 35 created a n empire that laste d 2,13 2 years, th e longest-live d politica l institutio n o n th e planet . I t wa s a n oppressiv e government fro m th e first. Million s wer e conscripte d t o construc t gian t publi c works, an d thousands died en rout e to or from o r on the site of the task; hundred s of intellectual s wer e kille d fo r criticizin g th e emperor , an d book s wer e burne d

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(many o f the m wer e late r reconstructed , reportedly fro m memory) . Th e proces s of intellectuals ' shapin g th e writing s o f Confucianis m an d Taois m t o imperia l needs and uses began. The Ch'i n dynast y di d no t last ; i t provoke d a n uprisin g tha t place d o n th e throne Li u Pang , founde r o f th e milde r Ha n dynasty . I t lasted—excep t fo r th e brief usurpatio n o f Wan g Man g (A.D . 9-25)—fo r som e fou r hundre d years , leaving behin d " a practica l exampl e o f imperia l governmen t an d a n idea l o f dynastic authority'* that influenced al l succeeding regimes. Moder n writers insist , justifiably, tha t stron g an d stabl e governmen t i n fac t obtaine d durin g onl y a fe w short periods of those four centuries. 36 Nevertheless Ha n Chin a gav e u s somethin g nea r a n idea l type , t o us e Ma x Weber's phrase , o f what nineteenth - an d twentieth-centur y writer s calle d orien tal despotism: i t had a developed bureaucracy , post , census , conscriptio n fo r bot h military an d civil service, la w that th e monarch coul d easily circumvent, eunuch s (who could no t thin k i n term s o f inheritance o f wealth o r power), 37 systematize d taxation, publi c works , an d warfar e (i n Marx' s words , tw o majo r functions : plunder o f th e interio r an d plunde r o f th e exterior) . I n orde r t o staff officialdo m with educate d men , beginnin g aroun d 20 0 B.C . th e practic e wa s institute d o f awarding posts t o those wh o passed writte n examinations . I n th e reig n o f Wu T i and subsequentl y th e Confucia n classic s cam e t o b e th e basi s fo r a n imperia l examination system . I n T'ang time s it assumed th e form that , wit h interruptions , served a s th e rout e t o most officia l position s unti l 1905. 38 The remarkabl e thin g about thi s comple x o f governmenta l institution s wa s ho w i t coul d last , reconsti tute itself whe n apparentl y smashed , an d resist change except when enoug h forc e was applied from without . When th e Ha n dynast y decline d an d fel l (A.D . 220) , a perio d o f disunio n ensued i n whic h barbarian s occupie d th e nort h an d Chines e (th e Si x Dynasties ) ruled i n th e south . Protofeuda l tendencie s appeared—b y widesprea d consensus , the only time in Chinese histor y suc h a phenomenon i s to be found subsequen t t o the Cho u dynasty . A variety of doctrines an d religion s (in Chin a th e line betwee n them i s easil y crossed ) compete d fo r th e allegianc e o f elite s wit h Confucianism : Taoism, Legalism, 39 bu t abov e al l Buddhism , whic h rapidl y expande d afte r 300 . Those an d other doctrine s mixe d wit h loca l cults t o form "a n amorphou s mas s of creeds and practices collectivel y know n a s Chinese popular religion." 40 China regaine d it s los t unit y unde r th e brie f Su i (581-618 ) an d th e long lasting an d brillian t T'an g (618-906 ) dynasties . A rebe l arm y too k th e capita l Ch'ang-an i n 88 1 an d destroye d it ; i t wa s neve r th e capita l again . Afte r a brie f interlude o f disunit y i n th e tent h century , th e Norther n Sun g (960—1127 ) con solidated itself , wit h capita l a t K'ai-feng . A chie f councilor , Wan g An-shi h (i n office, 1069-76) , o f a n earl y empero r carrie d ou t a serie s o f sweepin g financial,

India, China, and Japan 35 7 educational, an d militar y reform s tha t le d hi m i n recen t time s t o b e praise d o r blamed a s a Socialist—quite inaccurately . The nomadi c an d pastoral people s of the north organize d temporaril y imposin g states: th e (Mongol ) Khita n (whos e nam e wa s reporte d b y Marco Pol o to Europ e as "Cathay " an d a s "Kitai " becam e th e Russia n wor d fo r China ) establishe d th e Liao empire (907-1125) ; th e (Tibetan ) Tangut s forme d th e Hsi-hsi a kingdo m i n 1038. Th e Liao , wh o ha d mad e Yen-chin g (today' s Peking ) a Chinese capita l fo r the firs t time , wer e overthrow n b y anothe r pastora l people , th e (Tungusic ) Juchen. Th e latter , wh o calle d thei r dynast y Chi n ( n 15-1234) , the n destroye d the Norther n Sung . South o f th e Yangtze , wher e th e norther n nomad s foun d i t uncomfortabl e t o try t o stay , a Souther n Sun g dynast y (1127-1279 ) wa s founded , wit h capita l a t present-day Hangchow . Th e Chi n an d Souther n Sun g empires live d in peac e fo r some time , bot h professin g t o be animate d b y th e sam e Confucia n principles . I n the Sun g increasin g abuse s amon g official s helpe d t o evok e a reaffirmatio n o f ethical norm s calle d Neo-Confucianis m (li-hsueh or "schoo l o f universa l princi ples"), le d b y Ch u Hs i (1130-1200) . Th e school , whic h "migh t b e describe d a s transcendental moralist s i n Confucianism, " dedicate d themselve s t o the rebuild ing of a moral society. 41 Philosophical an d politica l conflict s le d t o th e bannin g o f th e Ch u Hs i schoo l for a time, bu t i t then regaine d freedo m an d finally recognition a s orthodoxy. Th e Neo-Confucians urge d tha t th e well-field (ching-t'ien) and the feudal syste m (fengchien) be restored . A s K. C . Hsia o puts it , "th e well-fiel d syste m wa s expected t o overcome th e faul t o f inequalit y i n povert y an d wealth , an d th e feuda l syste m . . . would correc t th e faul t o f overcentralization o f authority" tha t ha d occurre d in th e Sung. 42 Freedo m recede d stil l further unde r th e dynasty; but Sun g cultur e in th e broades t sense , fro m th e fine art s t o the ar t o f living, reache d a new leve l of developmen t tha t place d Chin a "fa r ahea d o f th e res t o f th e worl d a t th e time." 43 Militarily th e Sun g were als o impressive; but they mad e th e stupi d mistak e of allying themselve s wit h th e Mongol s agains t th e Chin , an d whe n the y ha d t o confront th e Mongol s alon e the y fough t stubbornl y bu t ultimatel y i n vain . Th e first conques t dynast y t o overwhel m al l o f Chin a proper , th e Mongol s founde d the Yuan dynasty, whic h laste d from 127 9 to 1368 . They too k over from th e Chi n the practic e o f rankin g ethni c group s hierarchically , wit h th e souther n Chines e on th e very bottom. Religiou s toleratio n wa s practiced, bu t th e Confucia n exami nations wer e no w offere d onl y intermittently , an d thu s th e so-calle d ju, o r Confucian scholars , suffere d a blow. The fac t tha t Chin a ha d becom e par t o f a n empir e tha t extende d al l th e wa y to Russia , an d eve n th e arriva l o f th e Polo s an d Francisca n missionarie s i n th e

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Mongols' capita l (Ta-tu , the n know n i n Europ e a s Cambaluc , moder n Peking) , did no t lea d t o a breakdown o f th e Sinocentri c outloo k tha t ha d deepene d durin g the Sung . Unde r th e Mongol s certain privilege s wer e grante d t o religious group s and merchant an d craft guilds , an d laws and punishments wer e relativel y lenien t —and ye t ther e wa s "brutalization , i.e. , a destruction o f th e source s o f human ism and refinement , an d their replacemen t b y crudeness an d force." 44 The inabilit y o f th e Mongol s t o maste r Chines e governmen t le d t o rebellio n and civi l conflic t fro m whic h ther e emerge d a new indigenou s dynasty , th e Min g (1368-1644). Th e founder , T'a i Tsu , wa s a strong an d colorfu l personalit y wh o created " a syste m o f highly centralize d powe r an d fragmente d governmen t struc ture," which late r emperors found "inefficien t an d inconvenient." 45 H e abolishe d the centra l secretaria t an d wit h i t th e offic e o f prime minister ; h e als o strength ened th e censorate . 'These changes, " Mot e writes , "brough t th e for m o f despotism t o the pea k of its development, an d made th e Min g monarch th e stronges t rule r i n China' s lon g history." 46 Civilia n officials , recruite d vi a th e increasingl y formalize d examina tion system , di d th e wil l o f th e empero r o r migh t b e subjecte d t o th e mos t inhuman tortures , suc h a s th e deat h o f 3,35 7 cut s o f a knife, wit h a pause afte r every ten stroke s to permit th e victim t o regain feeling . Despite Min g politica l oppressiveness , ther e wa s cultura l ferment , especiall y in it s las t centur y o f th e dynasty . Th e scholar-statesma n Wan g Yang-min g (d . 1529) introduced Buddhist-derive d element s of meditation int o Confucianism an d preached religio-philosophica l relativism . Agains t suc h views , i n th e earl y 1600s , the scholar s o f the Tung-li n Academ y (nea r Suchou ) protested, seekin g to revive neo-Confucian moral s an d accomplis h ethica l refor m i n government . Popula r novels (suc h a s The Water Margin, known i n translatio n a s All Men Are Brothers) and drama (datin g from Yua n times ) flourished; scholarshi p achieved prodigies. In 164 4 a Chines e rebellio n overthre w th e Mings ' governmen t i n Peking ; a Ming genera l the n calle d o n th e Manchu s (descendant s o f th e Juchen s o f th e Chin dynasty ) fo r help , an d the y proceede d t o seiz e th e capita l an d proclai m a new (Ch'ing) dynasty (1644-1911) . The Ch'in g prove d t o be th e las t o f th e dynasties . I n som e respect s i t seeme d to exhibi t decay—it s poetr y an d paintin g coul d no t matc h thos e o f earlie r eras . In othe r respect s i t demonstrate d ne w possibilities—agricultur e leape d forwar d with ne w crops , suc h a s American-introduce d maize , swee t potatoes , an d pea nuts, an d ne w area s fo r ol d crops , suc h a s Szechuan , Kwangsi , an d Taiwa n fo r rice; th e populatio n climbe d fro m perhap s 15 0 million i n 170 0 t o 430 millio n i n 1850, an d i n th e late r nineteent h centur y migrant s streame d int o th e Manchu rian nort h an d th e wes t o f Chin a proper. 47 Th e clas s structur e wa s affected ; though peasan t farmin g remaine d standar d i n th e north , i n th e cente r an d sout h

India, China, and Japan 35 9 large landlord s cam e t o b e eve r mor e common . Th e Ch'ien-lun g empero r spon sored th e compilatio n (1772-82 ) o f a n amazin g thirty-six-thousand-od d volum e set o f Chines e writing s (thoug h suppressin g anti-Ch'in g works) ; suc h popula r novels as the Hung lou meng (Dream of the Red Chamber) appeared; the new schoo l of Empirica l Researc h an d Ha n Learnin g develope d method s ne w t o Chines e scholarship. There wa s a ne w elemen t wit h whic h th e Manchu s ha d t o contend : no t merely, a s earlier , a fe w Wester n visitor s prepare d t o accep t th e Chin a the y found (excep t i n th e religiou s sphere) , bu t a seaborne , wealthy , an d powerfull y armed Wes t challengin g th e Chines e orde r o f things in myriad ways . Th e empir e was force d t o ced e Hon g Kon g an d gran t tradin g privileges . A n indigenou s revolution employin g th e ideolog y o f Protestan t pietis t Christianit y seeme d t o be near succeeding in the 1850s ; the T'ai-p'ing rebellio n wa s not crushed unti l 1864 . Other revolt s multiplied th e dangers t o the dynasty, whos e chief officials, suc h a s Li Hung-chang , undertoo k a variet y o f militar y an d technologica l adaptation s t o the confrontation wit h th e West but resiste d an y significant politica l reform . Th e Western power s an d Japa n extorte d furthe r concessions , an d Japa n defeate d China i n a short wa r in 1894-95 . In thi s atmospher e o f humiliatio n tw o leadin g thinkers , K'an g Yu-we i an d Liang Ch'i-ch'ao, argued tha t th e Chinese classic s implied a need for reform , an d the Kuang-hs u empero r wa s wo n ove r t o thei r views . I n 189 8 h e reache d hi s majority an d thu s powe r passe d fro m hi s reactionar y aun t an d adoptiv e mother , Tz'u-hsi, t o hi m fo r thre e months . Th e "On e Hundre d Days " wer e terminate d by her countercoup , an d th e antiforeig n an d antirefor m curren t le d t o the Boxe r Rebellion (o f the "Righteou s an d Harmoniou s Fists" ) in 1900 . When foreig n troop s seize d Peking , Tz'u-hs i fled. L i Hung-chang , Chan g Chih-tung, an d othe r official s mad e peace . Th e empres s mad e half-hearte d ges tures o f reform , suc h a s abolitio n o f th e ancien t examinatio n syste m an d th e dispatch o f student s abroad , bu t th e prestig e o f th e Manchu s wa s a t a n end . O n 10 October 1911 , troop s i n Hupe h mutinie d an d occupie d th e cit y o f Wuhan; i t is remembered a s the crucia l da y of the Revolutio n tha t topple d th e alie n dynast y and the empire itself. A republic was proclaimed . For decades i t wa s simpl y a sham. Th e leade r of a nationalist group , Su n Yat sen, wa s electe d provisiona l presiden t an d the n resigne d i n favo r o f Yua n Shih k'ai, th e hea d o f th e singl e agenc y tha t ha d bee n successfull y modernized—th e Peiyang army . Yua n soo n turne d th e presidenc y int o a dictatorshi p an d eve n attempted t o make himsel f emperor , provokin g a revolt; while i t wa s in progress , he died. Othe r general s followed , bu t regiona l "warlords " became a s powerful a s those in th e capital . A movement startin g amon g student s i n th e ne w universitie s le d t o th e Ma y

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Fourth inciden t o f 1919 , i n whic h th e Versaille s conference' s decisio n t o tur n Germany's holdings in Shantun g over to Japan was the immediate target of protest — the broade r targe t bein g th e ill s o f th e abortiv e republic . Su n Yat-se n no w returned t o Canton; h e establishe d a new governmen t ther e bu t concentrate d o n rebuilding hi s Nationalis t part y (Kuomintang ) wit h ai d fro m Sovie t adviser s an d on th e mode l o f th e Sovie t Communis t party . A Communist-Nationalist allianc e was concluded tha t enable d Su n t o plan a march t o the north . H e died i n Marc h 1925. Th e commande r of the Nationalis t army , Chian g K'ai-shek, fough t hi s way to th e politica l leadershi p a s well . Chian g limite d th e Communists ' influenc e i n March 192 6 an d brok e wit h the m i n Apri l 1927 . Th e Norther n Expedition , launched i n July 1926 , wa s resumed i n sprin g 192 8 and complete d b y fall. O n 1 0 October 1928 , a National Governmen t wa s proclaimed wit h capita l a t Nanking . The Nationalis t governmen t brough t Chin a close r t o a fre e societ y than , probably, a t an y tim e sinc e Ch'i n Shi h Huang-t i ende d th e Cho u dynasty—bu t it was not very close. Unificatio n o f sorts was achieved, b y dint of Chiang's stron g financial backin g fro m th e coasta l region s an d th e West . Th e governmen t wa s modernized, transportatio n an d communicatio n improved , industr y encouraged ; 'Western idea s foun d expressio n i n education , i n th e risin g positio n o f women , and i n a relativel y fre e press." 48 A Chines e middl e clas s bega n t o gro w i n numbers an d strength . Unhappily , th e rura l majorit y benefite d ver y littl e fro m Nationalist rule , an d th e Communist s exploite d thei r grievances . Chian g drov e the Communist s ou t o f thei r Kiangs i base , an d vi a a Lon g Marc h t o norther n Shensi Ma o Tse-tun g an d othe r leader s establishe d a ne w cente r aroun d Yena n by mid-1936. Japan was steadily encroaching on China's attempt s a t self-government. Begin ning i n 1931 , sh e conquere d Manchuri a an d se t u p a puppe t governmen t ther e under th e las t Ch'in g emperor , P'u-yi . I n Jul y 193 7 a mino r clas h betwee n Japanese an d Chines e troop s le d t o a war tha t wa s ende d onl y b y Allied (chiefl y American) victor y in Augus t 1945 . The wa r weakene d th e Chines e middl e class. The Nationalists , b y bein g force d inland—thei r wartim e capita l cam e t o b e Chungking—were throw n increasingl y int o th e arm s o f th e rura l gentry . Th e Communists ha d husbande d thei r strengt h an d learne d ho w t o mobiliz e th e peasantry. I n th e civi l Wa r th e wear y an d poorl y le d Nationalist s wer e force d back an d finally drive n fro m th e mainlan d t o find refug e i n Taiwan . Th e Com munists proclaimed th e People's Republic of China (PRC) in Peking on 1 October 1949. On th e mainland ther e ensued periods of virtually unrelieved horro r an d costly economic blunders , wit h som e offsettin g developments i n th e area s o f publi c health an d education ; o n Taiwan , afte r a slo w start , unprecedente d economi c growth an d prosperit y wer e achieved . I n th e PR C ther e followed , fro m 1978 ,

India, China, and Japan 36 1 belated economi c move s pointe d i n similar direction s bu t fro m a ver y muc h inferior startin g point . Nevertheless , th e standar d o f livin g wa s significantl y raised, an d hope s fo r politica l freedo m ros e hig h wit h th e demonstration s o f spring 1989 . Suc h hope s wer e dashe d b y th e bruta l massacr e o f student s i n Tienanmen Squar e i n Pekin g on 4 June, whic h bega n a many-sided retrea t fro m economic a s wel l a s politica l refor m an d sen t th e countr y marchin g backwar d a t double time . I n th e meantim e fre e election s hel d i n th e Republi c o f Chin a o n Taiwan yielde d strengt h t o a legal opposition an d provided evidenc e tha t a certain amount o f politica l libert y wa s appearin g alon g wit h th e spectacula r economi c successes th e Chines e ther e had achieved . The stor y of freedom i n Chin a ha s been a tortuous on e indeed. Th e varian t of feudalism49 tha t prevaile d durin g th e Cho u period , unde r whic h cultura l plural ism o f a dazzling kin d developed , i n genera l undergirde d a polity tha t wa s muc h freer tha n obtaine d durin g th e entir e two-millenni a duratio n o f th e empire , an d during tha t tim e th e oppressivenes s o f governmen t probabl y gre w greater , no t less, u p until th e lengthy crisis of the nineteent h century . Attempts t o produce a modernized Chines e politica l an d socia l syste m o n th e part o f hig h Ch'in g officials—Su n Yat-sen , Yua n Shih-k'ai , Chian g K'ai-shek , and others—wer e no t note d fo r thei r emphasi s o n liberty , an d democrac y lon g remained a distant goa l for thos e few wh o voiced concern abou t achievin g it. However, th e millio n peopl e wh o filled Tienanme n Squar e i n suppor t o f th e movement fo r democrac y i n May—Jun e 198 9 an d raise d thei r ow n Statu e o f Liberty a s symbo l o f thei r aims , a s well a s th e peopl e o n Taiwan , fro m bot h th e Kuomintang an d th e opposition , wh o i n recen t year s talke d democrac y an d hav e begun t o act it too , demonstrate tha t th e few of the past have become the many of the present and , perhaps , th e future . The unexcelle d achievement s o f Chines e cultur e throug h th e age s hav e i n many case s bee n th e wor k o f artist s an d thinker s wh o learne d t o shu t ou t th e world o f politic s fro m thei r ow n privat e vision s an d artisti c creations . Th e achievements o f th e centra l government , o r despotism , wer e als o grea t i n term s of producin g th e longest-lastin g politica l institution—th e Chines e Empire—o n the planet . Th e Chines e hav e ha d t o lear n patience , an d n o peopl e ha s don e better i n retainin g goal s whil e deferrin g hop e fo r thei r realization . I n 199 0 democracy an d liberty ar e on the wish-list fo r many, an d a setback or two will not remove them .

Japan In a Han histor y Japan first make s it s appearanc e i n Chines e chronicle s (a t som e point afte r 10 8 B.C. ) a s th e lan d o f Wo , whic h i s "divide d int o mor e tha n 10 0

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states." 50 Som e kin d o f unificatio n wa s probabl y achieve d b y A.D . 350 , an d soo n afterward Japa n wa s stron g enoug h t o gai n influenc e ove r muc h o f souther n Korea. I n th e late r fifth century , however , th e youn g Japanes e stat e decline d markedly in power . The cour t was located in the Yamato district, perhap s near present-day Osaka . There wa s a hereditar y emperior , whos e highes t official s wer e draw n fro m tw o groups: muraji (vassal s fro m ancien t times ) an d omi (wh o ha d swor n allegianc e during unification); bu t intrigues within th e court helped to weaken it. Japan wa s divided int o semiautonomou s unit s calle d uji, perhap s derive d fro m th e ol d W o states. Probably durin g th e earl y sixt h century , Buddhis m wa s introduce d t o th e Yamato court, bu t i t seem s t o have already bee n know n t o many ordinary people . The primitiv e natur e worshi p of th e Japanese cam e t o be calle d Shinto to distinguish i t fro m th e newl y importe d Buddhism . Th e ideal s o f th e ne w religio n inspired th e policies (o r policies at an y rate attribute d t o him) of Prince Shotoku , regent fo r hi s empress aunt , bu t hi s "1 7 Article Constitution" (604) , i n whic h h e sets forth right s an d duties fo r ruler , ministers , an d people, i s even more strongl y influenced b y Confucianis m an d th e notio n o f a centralized politica l syste m tha t he admire d i n China . H e i s als o know n fo r establishin g relation s wit h (Sui ) China on an equal basis for th e first time . A fe w year s late r th e borrowin g fro m Chin a becam e ver y extensive . I n a n attempt t o imitat e th e politica l an d socia l syste m o f th e T'ang , Nakatom i n o Kamatari an d th e princ e wh o becam e th e empero r Tench i carrie d throug h th e Taika (th e nam e o f th e curren t era ) reforms . The y centere d i n a n edic t o f 64 6 that ma y be said to begin th e more or less reliable record of Japanese history. Th e Taika reform s abolishe d th e grea t private holding s of land an d agricultura l work ers an d institute d th e allotmen t o f land t o peasants i n accordanc e wit h a census, an imperia l post , an d imperia l appointmen t o f provincial governors . Th e progra m could no t b e carrie d ou t al l a t once , bu t wa s implemente d ove r th e nex t fe w decades. A new imperial court, a t Nara, attracte d man y from th e old uji elite who moved there , castin g asid e th e habit s o f wha t Joh n Hal l call s "primitiv e feudal ism" and "divestin g themselve s of their forme r localize d an d warlike qualities." 51 T'ang la w code s wer e introduce d wit h som e amendment s t o fit th e Japanes e situation. The ritsu-ryo system (ritsu = criminal code , ryo = civil and administrative codes ) thereby establishe d o n th e basi s of borrowing fro m Chin a wa s i n theor y a highly centralized autocracy , operatin g throug h a bureaucrac y recruite d fro m student s having passed certai n examinations . I n fac t me n o f noble descent an d ran k coul d be favored, s o that in reality ther e was a "compromise between th e new principle s of th e ritsu-ry o syste m an d th e ol d spiri t o f respec t fo r birth." 52 B y th e ne w

India, China, and Japan 36 3 system, i n principl e al l lan d wa s stat e property . However , i n 72 3 lan d newl y cultivated coul d b e retaine d b y the famil y o f the first tille r fo r thre e generations , and in 74 3 that lan d becam e its permanent possession . A s both noble s and monk s hastened t o so w crops , th e principl e o f publi c ownershi p o f lan d bega n t o giv e way. The perio d o f Sinicize d governmen t laste d fro m 71 0 t o 784 , wit h capita l a t Nara, an d fo r a century o r tw o following 79 4 in th e Heia n perio d wit h capita l a t Kyoto—both citie s bein g lai d ou t i n rectangular , checkerboar d fashio n i n imita tion o f Ch'ang-an . Durin g thos e centurie s th e influenc e o f Buddhis m deepened , and th e ne w religio n permanentl y transforme d Japanes e life . Th e empero r Shomu , like th e semilegendar y Shotoku , wa s inspire d b y Buddhis t ideals , an d moreove r was zealou s i n spreadin g th e faith . I n 74 1 h e ordere d th e buildin g o f Buddhis t monasteries fo r me n an d nunnerie s fo r wome n i n eac h province , assignin g land s to suppor t eac h institutio n i n th e T'an g fashion . Th e resul t wa s tha t th e monk s accumulated riche s an d aspire d t o power . Th e Chines e borrowing s wer e thu s manifold, extendin g fro m governmen t t o la w t o cit y plannin g t o religion ; never theless, the y ofte n prove d superficial , an d wit h th e passag e o f tim e gav e wa y i n several areas . Thi s wa s notabl y th e cas e i n th e politica l realm . B y th e nint h century th e ritsu-ryo system had greatly weakened, thoug h form s and titles continued fo r a time, an d th e borrowin g fro m Chin a wa s reduce d t o a shadow. Instea d of direc t rul e b y th e emperor , a syste m develope d whereb y a n officia l name d sessho (regent ) or kampaku (chief councilor ) acte d a s the rea l ruler . Fro m 88 4 th e holder o f eithe r offic e (ofte n bot h together ) neede d t o b e a membe r o f th e Fujiwara famil y (descende d fro m Kamatari ) an d th e emperor' s materna l grandfa ther o r father-in-law. 53 I t wa s the beginnin g of the syste m b y which th e empero r reigned bu t a n officia l ruled ; th e dualit y ha s bee n compare d wit h th e relatio n o f the Merovingia n kin g and th e Carolingia n mayo r of the palace in France. 54 During th e Heia n perio d privat e estate s gre w apace . Younge r member s o f th e imperial famil y an d aristocrat s frustrate d b y Fujiwar a contro l o f th e highes t officialdom wer e obtainin g lowe r officia l post s i n th e provinces , securin g lands , and buildin g u p arme d force s o f thei r own . Th e aristocrac y tha t cam e t o ow n these estate s becam e ric h an d powerful , thoug h th e cour t aristocrac y als o kep t their positio n fo r th e tim e being , an d th e grea t eleventh-centur y nove l The Tale ofGenji record s th e life of the Heia n cour t i n its ripest phase. To private ownership were added ta x immunities, an d th e result was the shoen form o f proprietorship, wherei n th e owner "assume d mos t of the dutie s o f governance a s wel l a s al l o f th e fiscal right s whic h ha d onc e belonge d t o th e centra l government/' 55 Thu s wa s formed a provincial militar y aristocracy , th e warrior o r samurai 56 class, read y for battle with loca l or central forces a t any time. Monasti c and priestl y armie s als o wer e organize d an d repeatedl y descende d o n Kyot o t o

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enforce som e demand . I n th e sam e period , inventio n o f th e tw o kana syllabaries made possibl e fo r th e first tim e a n effectiv e Japanes e writin g syste m (previousl y only Chinese characters , fo r a totally different kin d o f language, wer e available) , and Buddhis m wa s subjecte d t o extensiv e Japanes e adaptation . I n th e elevent h century a serie s o f emperor s wh o ha d alread y abdicate d an d becom e Buddhis t priests fo r a time supplante d th e sessho and kampaku system t o wield considerabl e power; they were know n a s the "cloistere d emperors " (insei). A perio d o f confuse d civi l conflic t ende d i n 119 2 wit h th e establishmen t b y Minamoto Yoritomo of the bakufu ("tent government/ ' fro m th e headquarters of a warrior engage d i n fighting) o r shogunat e a t Kamakura . I t woul d las t ther e unti l 1333, an d elsewher e unti l 1868 . Durin g th e Kamakur a perio d "th e militar y leadership an d feuda l practic e existe d i n equilibriu m wit h thos e o f th e Kyot o court." 57 However , i t wa s a balanc e tha t wa s shiftin g i n th e directio n o f th e Kamakura shogunate . Yoritom o relied o n "th e custom s an d institution s o f th e warrior class, " includin g th e rit e o f audienc e wit h himsel f i n whic h a vassa l would pledg e roya l service— a ti e unlik e Europea n homag e i n tha t i t wa s one sided, no t contractual , an d withou t lega l support; 58 nevertheless , i t ha d a rathe r similar effect . Thi s wa s als o a tim e whe n th e feudal , militar y cliqu e wa s inte grated wit h th e manorial syste m t o form a "single feudal structure." 59 In 127 4 an d 128 1 attempte d Mongo l invasion s wer e defeated . Th e Japanes e attributed a crucial rol e to the sudde n typhoon s tha t both time s destroyed mos t of the invaders ' fleets; the y wer e regarde d a s "divin e winds " (kamikaze) —a ter m that woul d b e give n t o suicid e flights b y Japanese aviator s i n 1945 . Despit e th e great prid e th e Japanes e ha d i n thei r successfu l defens e o f th e country , th e families o f th e Kyush u vassal s wh o ha d fough t an d die d neede d compensatio n that th e shogunat e ha d no means of supplying. In 133 3 th e empero r Go-Daig o attempte d t o restor e th e imperia l power . H e failed whe n Ashikag a Takauj i le d a n arm y tha t expelle d hi m fro m Kyoto . Ther e Takauji founde d a ne w shogunat e nominall y unde r a differen t branc h o f th e imperial family , whil e Go-Daig o establishe d a court i n Yoshin o t o the south ; th e division laste d fo r sixt y years . Th e Ashikag a neve r di d achiev e contro l ove r th e whole samura i clas s o r th e whol e country ; "durin g th e Ashikag a perio d [1338 x 573] ^ w a s n o t t n e shogun s bu t th e loca l lord s (late r t o b e know n a s daimyo ) who were th e ke y figures." 60 I n Halls ' words , durin g th e perio d th e samurai , o r bushi, "too k ove r th e remnant s o f th e imperia l syste m o f governmen t an d elimi nated mos t o f th e cour t proprietorships." 61 The y di d s o i n th e person s o f th e shugo, o r military governors, tha t were becoming "the real masters of the country side." 62 There wa s continua l feuda l warfare , bu t no t tota l chaos . Fro m th e reunifica tion o f th e tw o imperia l court s i n 139 2 unti l 146 7 ( a perio d ofte n terme d th e

India, China, and Japan 36 5 Muromachi shogunate , afte r th e distric t o f Kyot o where th e shogun s lived) , th e Ashikaga wer e abl e t o kee p a degre e o f peac e an d orde r i n th e regio n o f th e capital. Moreover , despit e th e amoun t o f militar y disruption , th e econom y gre w steadily; barte r wa s replace d b y th e us e o f money . Thoug h border s betwee n feudal domain s wer e ofte n ta x barrier s a s well , th e so-calle d za system enable d craftsmen an d merchants t o obtain exemptio n fro m frontie r dutie s an d importan t privileges in localities; they have been compared t o the guilds of medieval Europe . At th e sam e tim e commercia l town s develope d aroun d trad e centers , includin g Buddhist temple s an d feuda l castles ; Saka i cam e t o riva l th e fre e citie s o f th e contemporary West . Culturally th e Ashikag a perio d wa s brilliant ; i t sa w th e flourishing o f Ze n (seeking individua l "enlightenment " throug h rigorou s discipline ) an d othe r vari eties o f Buddhism , th e tea ceremony , th e 'cultivatio n o f th e little " i n esthetic s and life-style , painting , gardening , th e N o dram a (intersperse d b y shor t comi c pieces called Kyogen).63 Beginning wit h th e struggl e centerin g i n Kyot o calle d th e Oni n Wa r (1467 77), th e Ashikag a shogunat e weakene d and , afte r a centur y o f intermitten t warfare know n a s th e Sengoku (Warring States) , finally collapsed . Th e Oni n War, " a major break-poin t i n Japanese politica l history, " bega n "th e full y decen tralized phas e of Japanese feudalism." 64 Th e militar y governor s wer e supersede d by th e ne w loca l lords , know n a s dainty0; th e ol d shoen holdings, yielde d t o th e fief, and "th e tru e daimy o domain wa s simpl y a composite o f separat e fiefs" ove r which th e daimyo was overlord. 65 Both emperor an d shogu n remaine d i n Kyoto , but withou t politica l power. Ol d feudal familie s disintegrate d an d ne w one s too k thei r place , esconce d i n castles . The bushi became a n officer clas s commanding foot soldiers . Al l class distinction s became les s marked . Th e peasant s o f th e newl y mor e importan t village s wer e much free r tha n th e quasi-serf s o f the earlie r estates , an d self-governanc e b y th e villagers in many respects cam e to be a reality. In th e sixteent h centur y fo r th e first tim e European s arrive d i n Japan. A band of Portugues e wer e shipwrecke d o n a smal l islan d of f souther n Kyush u i n 154 3 and promptl y taugh t th e Japanese ho w t o make muskets . I n 154 9 Francis Xavie r landed an d spen t ove r tw o years i n Japan , launchin g th e Jesuit missio n tha t wa s to mak e severa l hundre d thousan d convert s t o Christianity . I n Reischauer s words, "th e sudde n appearanc e o f Europea n trade r an d missionaries " doubtles s contributed t o the reunificatio n o f the country. 66 One daimyo and th e first o f th e "thre e unifiers, " Od a Nobunaga , mad e a n attempt t o restore unity. H e tried t o break th e power of the Buddhist monasteries , a tas k complete d i n 159 0 b y hi s genera l Hideyosh i (s o lowbor n a s t o hav e n o surname). Bot h leaders conducted "swor d hunts" by which arm s were taken awa y

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from farmer s an d townsmen , an d thereb y stric t clas s distinction s wer e t o b e restored. Afte r Hideyosh i unwisel y launche d tw o expeditions agains t Kore a tha t failed, h e died . I n 1603 , thre e year s afte r winnin g th e decisiv e battl e o f Sekiga hara, Tokugaw a Ieyas u founde d a shogunate with headquarter s a t Edo. Rejecting th e labe l "centralize d feudalism " tha t som e Western historian s hav e applied t o th e Tokugaw a shogunate , Duu s term s i t " a hybri d stat e hel d togethe r by feuda l bond s a t th e to p an d b y bureaucrati c mean s a t th e bottom." 67 Th e daimyo swor e loyalt y t o th e shogu n an d wer e investe d wit h thei r lands ; lan d tenure wa s expected t o be hereditary bu t ofte n wa s not. Th e lord s were require d annually t o pa y ceremonia l visit s t o Ed o an d thei r wive s an d childre n t o liv e there; they were require d t o furnish militar y an d economic help. The shogu n establishe d a complex hierarch y o f loyalties fo r th e daimyo. Three families bor e the Tokugawa surname ; another 2 0 collateral houses (shimpan) came next; hous e daimyo (fudai) followed—14 5 i n th e eighteent h century—havin g been give n daimyo status b y Ieyas u o r hi s successors . Th e oute r daimyo (tozama) numbered 9 7 i n th e eighteent h century , les s honore d tha n th e previousl y liste d categories but treate d generousl y an d with caution, sinc e they had not been allie s so long. Afte r Sekigahar a th e shogu n ha d manage d t o triple hi s own holding s (t o almost seve n time s thos e o f th e larges t daimyo); he seize d land s whe n lord s die d without heir s an d confiscated man y more, reassignin g them t o allies. During th e seventeent h century , a s a result o f Confucia n idea s and , increas ingly, o f th e rea l situation , th e shogu n cam e t o b e regarde d a s th e officia l t o whom th e empero r ha d delegate d th e authorit y t o keep the peac e an d th e daimyo as th e shogun' s officials . A t th e botto m o f th e socia l pyramid , th e villager s wer e organized int o neighborhood association s t o assume joint responsibilit y fo r payin g the land ta x and fo r loca l peace and order. 68 Bu t abov e the village and tow n level , in th e Tokugaw a perio d th e power s o f civil governmen t la y entirely i n th e hand s of the samurai , th e military class whose commander-in-chief wa s the shogun . The shogun s wer e annoye d a t th e quarrel s amon g trader s an d missionarie s from differen t Europea n countries . The y als o feare d tha t th e Spanis h conques t of th e Philippine s migh t b e followe d b y similar effort s farthe r north . The y therefore determine d t o stam p ou t Christianit y eve n a t th e expens e o f trade , which Ieyas u (d . 1616) 69 wa s eage r t o continu e an d expand . Fro m 158 7 ther e were anti-Christia n edicts , bu t onl y afte r 161 2 was persecutio n keenl y felt , an d only afte r th e Shimabar a rebellio n wa s pu t dow n i n 163 8 wa s Christianit y crushed. Virtuall y tota l seclusio n wa s impose d o n Japan wit h modes t exceptions : the Dutc h coul d trad e throug h Nagasaki , an d som e trad e wit h th e Chines e an d Koreans continued. Moreover , a good deal of information fro m abroa d managed t o reach Japanese authorities . However, fro m 163 9 t o 185 3 Japanes e isolatio n wa s ver y great ; Japanes e

India, China, and Japan 36 7 society wa s nearl y froze n i n place , an d on e resul t wa s prolonged domesti c peace . To this kin d of situation Confucianis m (o f the Ch u Hs i school ) seemed especiall y relevant, an d i t wa s vigorousl y promote d b y th e Tokugawa . Buddhis m becam e less influential a t th e governmental level , an d th e shogun s were watchful les t th e monasteries recove r thei r power . However , a s par t o f th e anti-Christia n policy , the governmen t i n 164 0 require d everyon e t o registe r a t a (Buddhist ) temple , with th e exceptio n o f a fe w familie s allowe d t o registe r a t Shint o shrines , an d thereby nearl y th e whol e peopl e wa s i n effec t blankete d int o th e categor y o f Buddhist believers . The warrio r cod e o f th e samura i wa s somewha t reformulate d i n Tokugaw a times a s Bushido (The Wa y o f th e Warrior) , an d unde r governmentall y induce d infusion o f Confucia n idea s an d term s wa s turne d int o a prescriptio n fo r loyal , disciplined publi c service . Th e inciden t o f th e forty-seve n ronin (1703 ) ha d elements o f bot h ol d an d new : a daimyo was force d t o commi t suicid e fo r a technical offense , an d forty-seve n o f hi s no w masterles s samurai , o r ronin, afte r long and cleve r preparation , assassinate d th e officia l responsibl e fo r th e deat h o f their master—and despit e public sympath y were then force d t o kill themselves. 70 Periodic effort s wer e mad e b y shogun s an d thei r entourag e t o institut e re forms, whic h usuall y mean t effort s t o recaptur e th e rea l o r imagine d feuda l virtues o f th e past . Fo r th e mos t par t the y failed , bu t economi c chang e wa s occurring. Commercialize d agricultur e an d villag e industrie s wer e growing , a s were citie s an d towns . Th e consolidatio n o f daimyo realm s le d t o th e en d o f th e guilds (za) and th e multitudinous domesti c ta x barriers. In a word , capitalis m wa s growin g ou t o f feudalism : i n Japa n "wealth y com moners fel t sufficientl y protecte d b y th e clas s distinction s an d prejudice s o f feudalism t o venture int o long-range investment s i n manufacturing an d trade" — unlike th e nonfeuda l countrie s o f mainland Asia. 71 A s merchants risin g from th e lower classe s acquire d wealt h an d investe d it , economi c development s ha d cul tural consequences . A n urba n commone r cultur e too k form ; fo r example , ful l development o f bot h th e Kabuki and th e puppe t theate r date s fro m Tokugaw a times. Domestic chang e an d graduall y increasin g foreig n pressur e wer e takin g effec t when Admira l Matthe w C . Perr y le d a squadro n o f America n warship s int o Uraga Harbo r i n 185 3 an d demande d tha t Japa n ope n itsel f t o commercia l an d diplomatic relation s wit h th e outsid e world . A nationa l crisi s ensued , ou t o f which cam e a coup d'etat le d b y the tw o tozama daimyos o f Satsum a an d Chosh u in 1868 . Th e "restoration " o f th e youn g Meij i empero r (wh o ha d accede d th e previous year ) wa s proclaimed , th e capita l wa s move d t o Edo , th e las t shogu n fled, an d Japan bega n rapidl y t o enter th e moder n world . Al l subjects wer e mad e equal befor e th e law , peasant s give n th e righ t t o ow n land , th e samura i wer e

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deprived o f thei r forme r statu s an d replace d b y a conscript army , an d th e daimyo domains wer e replace d b y prefecture s governe d b y appointe d imperia l officials . Writes Duus , "i n th e spac e o f a decade , th e Japanes e experience d a politica l change tha t ha d take n centurie s i n som e part s o f th e West." 72 Ther e wer e uprisings, bu t mos t were minor excep t fo r th e Satsum a revol t of 1877 . Abolishing feudalis m prove d easie r tha n constructin g a ne w order . Privat e industries, ofte n owne d b y person s clos e t o th e government , wer e expande d t o serve a s a basis o f nationa l strength . Nationa l loyaltie s wer e fostere d b y a determined attemp t t o suppor t Shint o religio n an d Confucia n ethic s i n preferenc e t o Buddhism. I n seeking th e bes t kin d o f politica l syste m fo r Japan , a serie s o f missions t o Europ e le d th e authoritie s t o choos e a s thei r mode l Germany . A peerage wa s institute d i n 1884 , a cabinet syste m i n 1885 , an d a privy counci l t o protect th e constitution i n 1888 . The constitution wa s finished in 1889 . Election s were hel d fo r th e lowe r hous e o f th e ne w Diet , whic h coul d initiat e legislatio n and ha d t o approve th e budget ; i f i t di d not , th e previou s year' s budge t migh t b e followed. Onl y about five hundred thousan d wer e eligible to vote, but th e numbe r increased a s th e ta x qualificatio n wa s lowere d (i n 190 0 an d 1920) , an d i n 192 5 universal manhoo d suffrag e wa s adopted . Th e Hous e o f Peer s complete d th e Diet. 73 Japan defeate d Chin a i n th e war of 1894-9 5 a n d Russi a in th e war of 1904-5 ; annexing Korea , whic h i t alread y controlled , i n 1910 . B y th e tim e th e Meij i emperor die d i n 1912 , Japa n ha d "achieve d equalit y wit h th e Wes t an d had , i n fact, becom e the strongest military and imperialist power in Asia." 74 After limite d participation i n Worl d Wa r I , Japa n succeede d i n gainin g muc h influenc e i n China. Two majo r politica l partie s wer e organize d i n 1881—82 : Itagak i Taisuke' s Liberal part y an d Okum a Shigenobu' s urban-oriente d Progressives . I n th e earl y years of the constitution th e oligarchs who survived from th e restoration generall y had th e emperor' s ea r an d ra n th e government . However , th e partie s gaine d i n strength an d the oligarchs weakened an d died; a party cabinet was chosen in 191 8 and the n agai n i n 192 4 (whic h introduce d universa l mal e suffrage) . Bu t the y tended t o find thei r leader s amon g officials. Th e Lef t produce d a small Commu nist part y consistin g of intellectuals i n 1922 , as Socialists attempted t o organize a labor movement . Militarist leader s worrie d abou t th e dange r fro m th e Left , th e doublin g o f population (fro m thirt y t o almos t sixty-fiv e millio n fro m 186 8 t o 1930) , an d th e refusal o f numerou s countrie s t o permi t immigratio n o f th e surplus . The y als o distrusted th e parties ' abilit y t o handl e suc h problem s an d wer e angr y a t thei r unwillingness t o suppor t th e conques t o f ne w territorie s t o reliev e populatio n pressures an d obtain foo d an d other ra w materials . Extremis t officer s launche d a

India, China, and Japan 36 9 revolt i n Februar y 1936 , whic h wa s pu t down ; however , th e mor e moderat e Tosei-ha (Control ) factio n i n effec t too k power . Th e election s o f sprin g 193 7 indicated stron g support fo r th e parliamentary system . However , i n July the arm y struck a t th e Marc o Pol o Bridg e nea r Peking , an d th e full-scal e Sino-Japanes e War tha t ensue d enable d th e military t o dominate fo r eigh t years. Wartime Japa n ha d a cautious collaboratio n wit h German y an d les s clos e tie s with he r allie s Ital y an d th e USSR . Ther e wa s nationa l mobilizatio n an d a n attempt t o centraliz e politica l grouping s i n a n Imperia l Rul e Assistanc e Associa tion, bu t th e Meij i Constitutio n wa s no t abrogated . Afte r th e snea k attac k o n Pearl Harbo r o n 7 December 194 1 brought th e Unite d State s into the war , Japa n made extensive conquest s an d wa s the n drive n bac k fro m the m unti l th e countr y was reduce d t o economic and , fo r mos t of th e cities , physica l ruin . Th e droppin g of tw o nuclear bomb s an d Sovie t entr y int o th e wa r i n Augus t helpe d precipitat e the end on 1 4 August 1945 . General Dougla s MacArthu r a s Suprem e Commander , Allie d Powers , pushe d through a new constitutio n afte r a n initia l draf t produce d b y a Japanese commit tee wa s judged unsatisfactory . I n Apri l 194 6 a Die t wa s elected , wome n a s wel l as me n voting . I n Ma y 194 7 th e ne w constitutio n too k effect . I t retaine d th e emperor a s symbo l o f th e natio n bu t declare d tha t ''sovereig n power " reside d i n the people ; a Hous e o f Representatives , wit h four-yea r terms , ha d mor e powe r than th e ne w Hous e o f Councilors , whic h replace d th e Hous e o f Peer s (th e ol d peerage wa s abolished ) an d serve d fo r six-yea r terms . Th e Die t chos e th e prim e minister, an d a n independen t judiciar y exercise d judicia l review . A lengthy bil l of right s wa s included , an d Articl e 9 renounce d wa r an d forbad e arme d force s (though "Self-Defens e Forces " were created in the 1950s) . The constitution cam e to be both popular an d successful . A n extensive lan d refor m lai d a foundation fo r a prosperous independen t peasantr y tha t ha s been calle d th e foundatio n ston e fo r Japanese democracy . The U.S . occupatio n havin g completed it s wor k t o general America n satisfaction, a peace treat y effectiv e Apri l 195 2 restored nationa l sovereignty . Th e docu ment wa s no t signe d b y th e USS R o r eithe r China ; bu t relation s wit h Taipe i were soo n established and , thoug h Pekin g was recognized i n 197 2 and diplomati c relations wit h th e Republi c o f China o n Taiwan ended , othe r tie s with th e latte r were maintained. Relation s with th e USS R wer e restored i n 1956 . Japanese postwa r politic s wer e no t mor e turbulen t tha n thos e o f Wester n Europe. Th e Communis t vot e reache d a peak i n 194 9 with 1 0 percent; th e part y was i n effec t banne d durin g th e Korea n Wa r bu t reappeared , n o stronger , afte r 1952. Th e Japa n Socialis t party , clos e t o Peking , becam e th e chie f oppositio n t o the Liberal Democrati c party , whic h ha s dominate d Japanes e politic s sinc e tw o parties unite d i n 195 5 to form it . On e Libera l Democra t afte r th e other hel d th e

37° Freedom:

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prime ministershi p wit h mor e o r les s skil l an d effectiveness , presidin g ove r a n unprecedented economi c upsurge , a prosperit y b y th e 1990 s no t significantl y exceeded elsewher e i n th e world , an d wha t seeme d t o be a firmly roote d demo cratic system . A series of scandals tarnishe d th e Liberal Democrats and led to the fall o f mor e tha n on e premier; a s a result th e Socialist s increase d thei r vote , bu t seemed stil l som e distance fro m bein g abl e t o wi n a nationa l election . N o doub t the almos t tota l ethni c homogeneit y o f th e populatio n resulte d i n financial an d social advantages tha t th e Western democracie s did not share . Conclusion By th e las t decad e o f th e twentiet h centur y democrac y ha d appeare d t o hav e established itsel f solidl y in Japan, somewha t shakil y in India , t o be an uncertainl y voiced goa l for th e futur e i n th e officia l polic y of the People' s Republi c of China , and an aspiratio n muc h close r t o being realized b y both people and government i n the Republi c o f Chin a o n Taiwan . I f th e analysi s centra l t o thi s boo k i s valid , Japanese democrac y wa s predictable , India' s a mor e remarkabl e achievemen t i n that th e "institutiona l divide " ma y hav e bee n crossed . Despit e th e stunnin g economic achievements of South Korea , Taiwan , Hon g Kong (which face d annex ation b y the PR C an d probable economic ruin b y 1997) , Singapore , an d (in initia l stages) Thailand , an d certai n step s towar d democrac y i n Sout h Kore a an d Tai wan, fre e politica l system s remaine d a n elusiv e objectiv e fo r mainlan d Asi a eas t of Turkey an d Israel .

CHAPTER 1 2

Latin America

Before Columbus The pre-Columbia n civilization s o f th e Wester n Hemispher e ha d n o mor e fre e institutions tha n th e empire s o f the ancien t Orient. l A s in th e case of the latter , that di d no t mea n a n absenc e o f cultura l achievement . Th e Mayas , wh o befor e Christ wer e settle d i n th e regio n fro m souther n Mexic o t o Honduras, develope d possibly th e highes t o f th e civilization s precedin g Columbus' s voyages . Thei r mathematics an d astronomy , a s well a s applications thereo f i n engineering , wer e impressive indeed . Pedr o Carrasc o write s tha t whe n th e Maya n inscription s ar e fully deciphered , th e pictograph s ma y com e t o be understoo d a s a for m o f writ ing.2 Nevertheles s n o tru e writin g syste m i s know n t o have existe d anywher e i n pre-Columbian America . I n th e late r fifteenth centur y th e grea t Maya n citie s were abandone d an d th e civilizatio n wa s i n ful l decay , fo r reason s no t full y known. To th e northwes t an d sout h ther e wer e currentl y mor e vigorou s states , espe cially thos e o f th e Aztec s an d Incas . The y ha d muc h i n commo n fro m th e standpoint o f socia l an d economi c organization . I n th e simple r Inc a state , ther e was state contro l of agriculture, craf t production , an d trade ; in th e semi-comple x Aztec state , ther e wa s stat e contro l o f agricultur e bu t som e degre e o f indepen dence in craf t productio n an d trade. 3 All civilized area s of the Andean regio n ha d been brough t unde r th e rul e o f th e Incas , whos e empir e wa s " a thoroughl y organized absolute , paternal , socialistic , an d theocrati c despotism." 4 Al l powe r derived fro m th e Inca , rule r an d representativ e o f the su n god . The Mesoamerica n regio n wa s mor e heterogeneou s politically . Durin g th e 37i

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1430s a coalitio n o f th e Aztec s (wit h capita l a t Tenochtitlan) , Texcoco , an d Tlacopan wa s formed , bu t th e Aztec s wer e dominan t i n thi s "tripl e alliance " fo r only abou t fifteen year s befor e Corte s lande d a t Veracru z i n 1519 . I n th e Azte c polity ther e wa s somewha t les s centralizatio n tha n amon g th e Incas , bu t th e difference di d no t matter ver y much fo r th e individual. Th e principa l Aztec deity was th e go d o f wa r an d wa s propitiate d b y a syste m o f huma n sacrific e unsur passed i n exten t anywhere , an y time . Th e Inca s develope d a devic e o f knotte d ropes called the quipu, and th e Mesoamerican s used pictographs—these wer e th e only mean s o f communicatio n o r preservatio n o f traditio n othe r tha n wor d o f mouth. I n th e pre-Columbian empire s ther e wer e notable cultural achievements , in particula r i n mathematic s an d astronom y amon g th e Maya s an d Aztecs , ora l literature amon g Incas an d Aztecs, potter y an d textile s amon g all three. The siz e o f th e (entirel y Indian ) populatio n o f pre-Columbia n Lati n Americ a is th e subjec t o f debat e resultin g fro m widel y divergen t estimate s b y demogra phers. Centra l Mexic o ma y hav e ha d twenty-fiv e million , o r hal f that , o r man y fewer people ; Peru , fro m tw o or thre e t o twelve t o fifteen million; Brazil possibl y about eleve n million ; th e Caribbea n island s an d coas t perhap s severa l millio n more.5 N o scholarl y consensu s i s i n sight . Regardin g thei r behavio r on e fac t i s clear: the y di d no t al l liv e i n peac e wit h on e another , an d suc h people s a s th e Incas an d Aztecs were successfull y imperialisti c wit h regar d t o the ethni c group s they ruled , taxed , o r exterminated. 6 Colonial Spanish America The conques t bega n i n 149 2 with th e landfal l o n one of the Bahama s (whic h on e is stil l disputed ) o f th e Spanis h ship s le d b y Christophe r Columbus , a Genoes e born Colomb o and calle d Colo n b y the Spaniard s who m he served . B y 1515 , wit h the foundin g o f Havana , th e Caribbea n ha d bee n explore d an d th e majo r island s settled. Th e coast s ha d bee n touched , an d th e Pacifi c ha d bee n reache d ove r Panama, whe n Herna n Corte s wit h si x hundre d me n wa s ordere d onl y t o trad e and explore in Mexico . Hi s men founde d th e tow n of Veracruz, whic h ne w tow n promptly authorized Corte s t o conquer an d colonize; he proceeded t o do so.7 After a campaig n characterize d b y deceit o n Cortes s par t an d delusio n o n th e par t o f the Aztec s (wh o believe d Corte s t o b e th e returnin g go d Quetzalcoatl) , h e too k the capital in 152 1 and his forces fanne d ou t as far a s Baja Californi a i n the nort h and Nicaragu a i n th e south , wher e they clashed wit h Spaniard s fro m Panama . The conques t o f Per u followed . I n 153 0 Francisco Pizarr o launche d a n expe dition tha t destroyed the Inca empire. Hi s subchiefs conquere d Chil e and wester n Argentina i n th e sout h an d Ecuado r an d souther n Columbi a i n th e north . A n abortive attemp t t o coloniz e easter n Argentin a wa s mad e i n 1535 ; those settler s

Latin America 37 3 found refug e i n Asuncio n t o th e north . I n 158 0 Bueno s Aire s wa s refounde d t o serve a s a seapor t fo r Paraguay . Durin g th e nex t centur y th e territorie s thu s fa r staked out were filled in. The governmen t o f th e Spanis h colonie s la y wit h th e Counci l o f th e Indies , established i n 1524 . Th e oversea s official s i t nominate d t o the kin g included th e viceroy o f Ne w Spai n (1529 ) i n Mexic o City , governin g al l Spanis h territor y north o f Panama , an d th e vicero y o f Per u (1544 ) i n Lima , governin g al l othe r Spanish-held territor y o n th e continent . Fro m Per u th e viceroyalt y o f Ne w Granada was removed in 171 7 (then dissolve d in 172 3 but restore d in 1739) ; with seat a t Bogota , i t governe d today' s Venezuela , Colombia , Panama , an d Ecuador . In 177 6 the viceroyalty of the Rio de la Plata was taken fro m Per u an d establishe d in Bueno s Aires. 8 Th e viceroys , an d th e captains-genera l wh o usuall y becam e their nomina l subordinates , ha d in eac h cas e an audiencia, o r court tha t gav e him advice. Initiall y th e tow n council , o r cabildo, had som e autonomy an d wa s locally chosen, bu t soo n came to consist of councilmen wh o had been th e highest bidder s for th e positions. Beginning wit h arrangement s mad e b y Columbus , Indian s wer e distribute d among Spanis h colonist s t o provid e the m wit h tribut e an d labor , whil e th e colonists wer e t o protect th e Indians . I n practic e thi s encomienda syste m becam e one o f slaveholding . Bartolom e d e La s Casas , a Dominica n pries t wh o ha d bee n an ecomendero, espoused th e caus e o f th e Indian s wit h a sweepin g serie s o f proposals partly adopte d in Charle s I s Ne w Law s of the Indie s in 1542. 9 The law s did not achieve thei r objective, bu t th e encomienda died anyway. Th e main reaso n wa s a horrendous declin e i n th e India n population , fro m twenty-fiv e million t o on e millio n i n th e perio d fro m 151 9 t o 1605 , according t o a recen t estimate. Europea n an d Africa n diseases , compounde d b y psychosocia l factors , were responsible. 10 A ne w system , th e repartimiento y provided fo r compulsor y Indian labo r fo r minuscul e wage s throug h par t o f th e yea r only , o n publi c work s and o n Spanis h ranches , mines , an d s o forth . Thi s syste m di d no t wor k wel l either, an d wag e labor cam e t o supplant i t on th e mainland, whil e larg e number s of black slave s were imported t o replace th e dead Indian s of the Caribbean . The Azte c an d Inc a ruler s wer e initiall y friendl y t o th e foreigners . Th e Spaniards exhibite d bot h cruelt y an d treachery . Nevertheles s thei r program , a s conceived b y crow n an d clergy , wa s a relativel y moderat e progra m designe d t o implant Christianity , t o harness th e Indian s t o the servic e of the Spanish , an d t o cement Spanis h rul e beyon d th e possibilit y o f reversin g th e conquest . Bu t th e changes, onc e initiated, se t in process a revolution i n nativ e societ y tha t wen t fa r beyond what th e royal bureaucracy an d th e clergy had contemplated. 11 That wa s th e dilemm a o f Europea n imperialis m fo r severa l centuries . Shoul d the conqueror s restric t themselve s t o rulin g throug h indigenou s authorities ,

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leaving th e societie s concerne d essentiall y alone , o r shoul d the y see k t o remak e them, imposin g Europea n notion s o f law , property , government , morality , an d religion? Ther e wa s neve r an y eas y answer . Equall y difficul t t o resolv e i s th e dispute abou t whether—fo r an y given country o r countries concerned , metropol itan o r colonial—th e resul t o f imperialis m wa s ne t benefi t o r harm . (O f cours e there wer e amon g men comin g from al l European countrie s t o colonies thos e who wished onl y profit fo r themselve s a t an y cost t o the indigenes , bu t thei r number s or motives do not necessarily answe r th e question just posed.) 12 In Spanis h America , th e interactio n betwee n "th e dominan t Spanis h cultur e —which trie d t o impos e it s values an d customs—an d th e dominate d nativ e culture—which insiste d o n preservin g it s own value s an d customs " too k variou s forms ove r the centuries o f the colonial period, dependin g on "th e pre-Columbia n inheritance an d o n th e strengt h o f th e opposin g parties. " Thos e form s wer e "syncretism, resistance , interbreeding , hispanicization." 13 Before lon g ther e wa s i n Spanis h Americ a a quite clearl y delimite d hierarch y of socia l group s partl y determine d b y ethni c background , rangin g fro m Spaniar d officials, Creole s (bor n i n th e Ne w World) , an d elit e immigrant s t o the mas s of the Indian s and , a t th e ver y bottom , Negr o slaves . A t first ther e wer e governor s (gobernadores), ofte n als o entitle d captains-genera l (adelantados), wh o ha d roya l warrants fo r conques t o f area s o n thei r fund s an d consequentl y receive d powe r and privilege . Thi s varian t o f feudalis m wa s quashed afte r th e first decades , an d viceroys, wh o were direct agent s of the Spanis h kings , too k its place. 14 A numbe r o f Castilia n institution s wer e take n ove r int o th e Ne w World , especially a t first i n th e are a o f municipa l self-government . Bu t th e subjugatio n and oppressio n o f th e Indian s b y wa y of th e encomienda syste m i n th e towns , a s well as forced labo r in th e mines, th e rura l haciendas, an d the mita, or corvee, fo r public works , exclude d th e mas s o f th e populatio n fro m participatin g i n o r benefiting fro m anythin g like free institutions . B y 160 0 there wer e n o longer an y really effective institution s o f self-government i n Spanis h America, an d there ha d been non e in Portugues e America u p to that time . It wa s th e ai m o f Charle s I , an d th e monarch s wh o precede d an d succeede d him, t o Christianiz e th e Indians . Clerg y accompanie d Columbu s o n hi s secon d voyage an d o n ever y expeditio n thereafter . Th e friars , Franciscan s an d Domini cans, "frequentl y combine d with missionar y zea l a sensitive social conscience an d love of learning." 15 Th e Franciscan s penetrated th e area north o f the Ri o Grande first and continued t o dominate th e mission field there up until Mexica n indepen dence. Jesuits arrive d last , i n 157 2 (i n Brazi l the y wer e first, fro m 1549) , an d wer e the most influential o f all the orders. The y achieved thei r most notable success in

Latin America 37 5 Paraguay, wher e the y maintaine d thousand s o f Guaran i Indian s i n thei r pre Hispanic socia l forms , isolate d fro m slav e hunter s an d planters , unti l the y wer e expelled b y roya l orde r i n 1767 . I n 1569 , b y the actio n o f Phili p II , th e Spanis h Inquisition wa s establishe d i n Mexic o Cit y an d Lim a (an d briefl y i n Cartagena ) but no t elsewhere in th e hemisphere. 16 After a short tim e Indians were exempte d from it s jurisdiction becaus e they wer e regarde d a s recen t convert s wit h limite d understanding of the faith . The resul t o f al l th e missio n activit y wa s tha t th e Indian s (excep t i n th e remoter areas ) o f Spanis h (an d Portuguese ) Americ a becam e Christian s an d intermarried extensivel y wit h whit e Iberians . Unfortunately , th e majorit y o f nonsedentary an d semisedentar y Indians , thoug h converted , died , a s a resul t o f maltreatment, malnutrition , an d disease . However , ther e wer e soo n man y mor e brown-skinned peopl e in th e sout h o f the hemisphere tha n i n th e north; in Brazi l there wa s als o extensiv e intermixtur e wit h th e Negroe s bein g brough t i n fro m Africa. Following th e Wa r o f Spanis h Successio n (1702-13) , th e ne w Bourbo n kings , especially Phili p V an d hi s tw o immediat e successors , undertoo k a progra m o f reform i n bot h Spai n an d th e colonies . Th e mai n effec t o n th e colonie s lay in th e improved quality of officialdom an d heightened efficiency . Trad e restrictions wer e decreased, an d th e bureaucrac y i n Madri d wit h function s affectin g Americ a wa s scaled down . Agricultura l outpu t rose , minin g revived , an d industr y expande d despite Spanis h mercantilis t legislation . In th e 1780 s intendant s (governors ) wer e place d i n provincia l capital s t o improve administration , wit h reasonabl y goo d results . Les s successfu l wa s th e replacement o f th e officials wit h th e title s corregidor and alcalde mayor (who wer e notorious for mistreatmen t o f the Indians ) by new subdelegados, wh o soon came to behave quite as badly as their predecessors . In genera l Indian s an d mestizos benefited littl e fro m eighteenth-centur y eco nomic growth, whil e Creol e (American-bor n Spaniards ) landowners , merchants , and min e owner s gre w rich . I n consequenc e ther e wer e popula r revolts . Th e worst i n th e whol e colonia l perio d wa s tha t i n Per u i n 1780-8 3 o f Jose Gabrie l Condorcanqui, a descendant o f Tupac Amaru , th e las t Inca , wh o took his ances tor's name. Spain suffere d defeat s i n th e Seve n Years ' Wa r tha t impelle d he r t o fortif y colonial port s an d strengthe n America n armies . Fo r officer s i t dre w o n upper class Creoles , offerin g privilege s an d exemption s fro m mos t civi l la w a s induce ments t o tak e u p tha t career . Th e resul t wa s t o give ris e t o an office r clas s tha t was t o hav e al l to o successfu l a subsequen t histor y i n man y Spanis h America n countries.

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A History

The Revolutions in Spanish America By th e late r eighteent h century , lif e wa s comfortabl e fo r man y Creole s i n th e cities, bu t they chafe d unde r mercantilis t restriction s o n colonia l commerc e an d exclusion (wit h fe w exceptions ) fro m th e highes t level s of both ecclesiastica l an d governmental authority . Th e idea s o f th e Frenc h an d Britis h Enlightenmen t combined wit h th e example s o f Unite d State s independenc e an d Frenc h Revolu tionary succes s t o stimulat e a movemen t fo r independenc e o f th e colonie s fro m Spain and other Europea n countries . Man y of Latin America's leaders who fough t for independenc e als o wishe d t o establis h constitutiona l governments , democra cies, an d fre e societies . Thos e fou r goal s were not identical, bu t tha t fac t becam e clear only gradually an d painfully. Ofte n th e assumptio n wa s made tha t indepen dence fro m th e mothe r countr y woul d b e automatically , o r a t an y rat e easily , followed b y self-government an d internal freedom . I t was not to be so. The firs t uprisin g wa s tha t le d b y Toussaint-Louvertur e i n Haiti , whic h b y January 180 4 ha d produce d a black republic—not , b y th e way , a n achievemen t the Ibero-America n Creole s admired . Man y Nort h American s wer e skeptica l o f the whol e revolutionar y movement , thoug h i t owe d s o much t o thei r own : Joh n Adams declare d tha t th e notio n o f formin g fre e government s i n Sout h Americ a was a n absur d a s tryin g "t o establis h democracie s amon g th e birds , beast s an d fishes."17 Numerou s Sout h Americans hav e thought otherwise, bu t thei r struggl e has been long and difficult . When Napoleo n occupie d Spain , a libera l constitutio n wa s proclaime d i n Cadiz by a Cortes tha t made clear no concessions were to be expected. Purportin g to b e loya l t o Kin g Ferdinan d VII, 18 th e Creol e leader s prepare d t o act . Thre e foci o f revolutionar y actio n appeared . I n th e first—Caracas—Simon Bolivar , educated i n Europe , a Freemaso n an d liberal , cooperate d wit h Francisc o Mi randa, a n ol d revolutionar y who m h e persuade d t o retur n fro m England . The y managed t o summo n a congress , electe d b y tow n councils , whic h proclaime d Venezuelan independence—th e first suc h ac t in Sout h America—an d adopte d a liberal constitution . But royalis t an d clerica l resistance , fortifie d b y fear tha t a great earthquak e i n March 181 2 indicate d divin e disapproval , wa s strong . Indian s an d blacks gener ally stoo d asid e fro m involvemen t wit h eithe r side . Mirand a wa s accuse d o f betrayal an d turne d ove r t o th e Spaniards ; h e die d i n a Spanis h prison , whil e Bolivar was allowed t o leave for Colombia . Ther e h e raised a n arm y and returne d to captur e Caracas , bu t i n 181 4 th e fal l o f Napoleo n gav e a fillip to th e royalis t cause, an d Boliva r wa s drive n ou t onc e more . However , h e rallie d force s tha t liberated first Colombi a (1819 ) and the n Venezuel a an d Ecuador . For a shor t tim e al l thre e wer e unite d int o a singl e state , th e Republi c o f

Latin America 37 7 Colombia (terme d Gra n Colombi a b y historians) . A t Cucut a (i n Colombi a nea r the Venezuela n border ) i n 182 1 a constitutional conventio n adopte d a Constitu tion supersedin g a temporar y documen t o f 181 9 base d o n Bolivar' s ideas . I t created executive (Bolivar was elected president), judicial, an d legislative branches— the last-name d electe d b y a small grou p of property holder s (a s wa s th e "liberal " standard i n wester n Europ e a t th e time) . I t di d no t contai n th e "Areopagus, " o r moral power , Boliva r ha d advocate d tha t woul d "ac t i n th e realm s o f educatio n and civi c purity , seeking t o eliminat e slot h an d othe r socia l ills." 19 Th e Cucut a convention als o declared th e childre n o f blac k slave s fre e a t birt h an d abolishe d Indian tribute . The secon d focu s o f revolutio n wa s Mexico . I t bega n wit h th e uprisin g le d by Father Migue l Hidalgo in th e Queretaro region, prematurel y disclose d and launche d in 1810 . Th e pries t rouse d th e Indian s t o tak e par t b y th e "Grit o [Call ] d e Dolores [th e name of his parish]," declaring the Virgin of Guadalupe 20 the patron of revolt, an d proclaimed bot h th e abolition o f slavery and of Indian tribute . Tha t day, 1 6 September i s celebrated a s Mexico's independence day . But Hidalg o reape d a fearfu l whirlwind . I n Guanajuat o i n Septembe r a n Indian mob , reinforce d b y others, brok e into the granary an d hacked t o death five hundred Creol e adult s an d children. 21 Th e Creole s firs t hesitated , the n oppose d the movement . B y summer 181 1 Hidalg o had bee n executed . Hi s revolt , write s a sober scholar , "laste d onl y thre e month s an d it s impac t upo n th e struggl e fo r independence wa s largel y counter-productiv e [becaus e of ] it s lac k o f clear objec tives an d th e terro r i t provoke d amon g Creole s wh o migh t hav e supporte d a les s destructive movemen t fo r political reform." 22 However, revol t continue d t o smolder . A forme r studen t o f Hidalgo's , th e mestizo priest Jose Maria Morelos , too k over th e leadership of the movement unti l he to o wa s capture d an d sho t i n 1815 . Guerrill a fighting continue d unti l th e Spanish revolution of 182 0 produced Creole determination t o produce an indepen dent but conservative Mexico . Consequentl y th e officer Agusti n de Iturbide mad e peace wit h th e revolutionar y leade r h e ha d just bee n fighting, an d togethe r thei r forces wo n a quic k victory . O n 2 8 Septembe r 1821 , Iturbid e declare d Mexica n independence, whic h lasted , an d soon afterward ha d himself proclaimed emperor , in which position he did not last. Hi s short-lived empire included not only Mexic o but als o th e regio n fro m present-da y Guatemal a t o Cost a Rica . Whe n Iturbid e abdicated i n Marc h 1823 , tha t regio n declare d itsel f independen t a s th e Unite d Provinces o f Centra l America ; th e stat e wa s t o dissolv e int o fragment s i n 1837-38. In Mexic o a constituent Congres s assemble d i n Novembe r 182 3 and dre w u p a constitutio n (enacte d 1824 ) tha t "bor e a strikin g resemblanc e t o tha t o f th e United States." 23 I t provide d fo r a federa l unio n o f ninetee n sovereig n states ,

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which woul d choos e thei r ow n governor s an d legislatures , an d fou r territories . There woul d als o be a nationa l Congres s compose d o f a Senat e electe d b y stat e legislatures an d a Chambe r o f Deputie s chosen fro m electora l districts . Th e president an d vice-presiden t wer e t o be electe d b y a majority o f the stat e legisla tures, al l wit h a n equa l vote . Ther e wa s n o "full-scal e bil l o f right s . . . n o guarantee of equal treatmen t unde r th e law." 24 Roma n Catholi c Christianit y wa s the stat e religion, an d no others wer e permitted . Ironically, fo r th e first severa l years of independence muc h of Mexican politic s was manage d b y Freemasons , wh o wer e traditionall y anti-Catholic . The y cam e from tw o differen t lodges , Yor k Rit e (th e charte r brough t b y th e America n minister, Joe l R. Poinsett ) an d Scottis h Rit e (the charter furnishe d b y the Britis h minister). Th e Mexica n governmen t abolishe d slaver y i n 1829 , chiefl y t o mak e Texas less attractive t o the Anglos flooding into that part of Mexican territory . I n the same year, i n a country strugglin g to establish economi c and political stability , almost al l native Spaniard s wer e expelled—th e motiv e being to deprive a n antic ipated Spanis h invasio n o f collaborators, bu t th e actual resul t wa s a severe loss of human capital . Mexica n independenc e wa s not off t o a good start. The thir d focu s o f revolutio n wa s Bueno s Aires . Th e Creole s ther e ha d repelled tw o Britis h invasion s i n 1806-7 . O n 2 5 Ma y 1810 , a cabildo abierto 25 followed th e lea d o f Marian o Moreno , a Creole leader , depose d th e viceroy , an d created a junta t o rul e i n th e nam e o f Ferdinan d VI I (who , a s noted , ha d bee n forced t o abdicate). Moren o seem s t o have been impelle d b y Rousseaua n notion s of a socia l contrac t unde r whic h legitimat e authority , havin g lapse d i n Spain , reverted t o th e people—i n thi s case , o f Argentina , or , t o us e th e nam e adopte d in 1813 , th e Unite d Province s of the Rio de la Plata . Toda y 2 5 May is celebrate d as Independence Da y (though independenc e wa s formally declare d onl y in 1816) . As i n th e cas e o f th e north , th e viceroyalt y fel l t o pieces . Uppe r Per u elude d Buenos Aires' s contro l an d becam e Bolivi a (1820) , th e territor y aroun d Asuncio n became Paragua y (1813) , an d the so-called Banda Oriental afte r a lengthy conflic t was recognized a s independent Urugua y (1828) . In Chil e a cabildo abierto, summoned b y a reluctan t captain-general , i n 181 0 had establishe d a Creol e junt a nominall y loya l t o Ferdinan d VII ; bu t a royalis t counteroffensive, launche d b y th e vicero y o f Peru , overthre w th e junt a an d a prolonged civi l conflic t ensued . Bueno s Aires sen t Colone l Jose de Sa n Marti n t o support th e patriotic forces , b y now under th e political an d military leadershi p of Bernardo O'Higgins . A n illegitimat e so n o f a n intendan t wh o refuse d t o hav e anything t o do with him , O'Higgin s ha d become a liberal i n Europea n exile . Th e new Chilea n stat e declare d it s independenc e i n Februar y 1818 . Initiall y it s armies suffere d defeats . However , Sa n Martin' s an d O'Higgins' s armie s wo n a

Latin America 37 9 decisive victory over the royalists at Maipii in Ma y 1818 , and the Chilean republi c was restored . In Augus t 182 0 Sa n Marti n saile d nort h fo r Peru . H e lande d sout h o f Lim a and bluffed th e Spanis h arm y into evacuating the city. H e then entere d Lim a and proclaimed Peruvia n independence . However , a t onc e intrigue s an d politica l squabbles erupted , an d Sa n Martin , convince d tha t onl y monarchy coul d restor e order t o Spanish America , sen t emissarie s t o Europe t o hunt fo r a prince. He met i n secre t wit h Boliva r in Guayaquil ; exactl y wha t wa s sai d is unclear , but Boliva r was now left i n a position o f leadership tha t h e skillfull y manipulate d until a united forc e unde r hi s long-time lieutenant , Jos e Antonio Sucre , defeate d the Spanis h arm y i n th e las t majo r battl e o f th e War s o f Independenc e a t Ayacucho on 9 December 1824 . Colonial Portuguese America In th e trai n o f a rathe r differen t sor t o f history , Brazi l gaine d independenc e without fighting. Befor e 149 2 th e Portugues e ha d receive d fro m th e papac y a grant o f paga n land s i n Africa . Afte r Columbus' s first voyag e Spai n aske d th e same fo r th e newl y discovere d territories . Papa l grant s wer e accordingl y made , but Portuga l objecte d an d th e lin e o f demarcatio n wa s move d b y th e Treat y o f Tordesillas (1494 ) to 370 leagues west of the Cap e Verde Islands . In 150 0 th e fleet o f th e Portugues e Pedr o Alvare s Cabral , boun d fo r India , was drive n of f cours e t o th e west , an d h e discovere d tha t Brazi l wa s o n hi s nation's sid e o f th e line . Tin y an d poo r Portugal , concentratin g o n Asi a an d Africa, ha d littl e tim e fo r th e ne w land . However , a valuabl e dyewoo d dubbe d brazilwood brough t a fe w trader s an d settlers . I n 153 3 Frenc h harassmen t in duced Joa o II I t o establis h a ne w administrativ e syste m whereb y th e coastlin e was divided int o fifteen paralle l strip s extendin g t o the Tordesillas lin e an d mad e hereditary captaincies . Th e captai n (donatdrio) wa s a t th e sam e tim e a feuda l vassal of the kin g and a n entrepreneu r wh o hoped fo r profi t fro m hi s own estate s and fro m taxe s levie d o n colonist s t o who m h e gav e land. 26 Actuall y onl y tw o captaincies, Pernambuc o an d Sa o Vincente, succeeded ; bu t soli d colonizatio n o f the coas t ha d a t leas t begun . I n 154 9 a centra l administratio n wa s founde d a t Bahia, an d th e first Jesuit s arrive d a t tha t time . B y 163 0 th e donataria l syste m had been supersede d b y royally appointed official s i n almos t all the captaincies. 27 The economi c developmen t o f Brazi l wa s no w unde r way . Suga r (firs t culti vated in 1521 ) soon became th e chie f crop , and , i n order t o provide employees fo r the plantations , Indian s wer e enslaved , despit e continua l Jesui t effort s t o sto p the practic e an d als o t o improv e Portugues e treatmen t o f them . I n th e seven -

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teenth centur y Caribbea n sugar provide d unwelcom e competitio n fo r Brazilia n sugar, an d th e industr y suffere d a s a result . Th e discover y o f gol d i n Mina s Gerais (northeas t o f Ri o d e Janeiro ) i n th e 1690 s an d subsequentl y i n severa l other region s led t o a notable shif t i n th e political an d economic center o f gravity. Along with mining , cattl e raisin g grew t o satisfy increasin g urban demand . The ethni c compositio n o f th e ne w countr y change d rapidly . Indian s a s slaves seldom live d long . Especiall y afte r 155 0 Africans wer e importe d i n sizabl e num bers a s a substitute . B y 158 5 blac k slave s wer e abou t one-fourt h o f th e tota l "settled" populatio n o f Brazil . I n 179 8 black slave s made u p 42% of th e total ; by 1819 3i%. 2 8 Ther e wa s muc h mixin g o f races , perhap s mor e i n Brazi l tha n i n any other country . During th e period tha t Portuga l fel l unde r th e rul e of Spai n (1580-1640) , th e country wa s allowe d a goo d dea l o f autonom y an d th e tw o empire s wer e kep t separate. A Council o f Portuga l sa t i n Madrid , an d on e o f th e thre e Secretarie s of State belonging to the Counci l wa s for "Indi a an d th e Conquere d Territories.' ' In Lisbo n ther e wa s a Council of State, an d th e Spanis h king s kep t a s before tw o Secretaries of State, on e for Portuga l an d th e other fo r it s empire. Afte r Portuga l regained it s independence , th e Oversea s Counci l (Conselh o Ultramarino ) wa s the agenc y managin g th e empire , fro m 164 2 t o 1750 . Th e lin e o f Tordesilla s (1494) was gradually forgotten an d formally abandone d with th e Treaty of Madri d between Portuga l an d Spai n i n 1750 , producin g approximatel y th e boundarie s of today.29 In 175 9 the Marque s d e Pombal , ministe r o f Jose I , expelle d th e Jesuits fro m all Portugues e territory . A s they wished, h e forbade enslavemen t o f Indians; but , as the y di d no t wish , h e ende d th e aldeas policy (b y whic h th e Jesuit s ha d separated th e Indian s fro m th e whites ) an d consequentl y mad e th e Indian s accessible a s paid workers t o be exploited b y the colonists. Th e order ha d becom e "Brazil's larges t landowne r an d greates t slave-master " (tha t is , o f blacks no t Indians). Th e Jesuits ' disappearanc e remove d th e mos t influentia l o f th e orders , and i n th e nex t fe w decade s th e othe r order s wer e als o destroye d o r weakened ; the consequenc e wa s th e "enfeeblemen t o f th e Catholi c church " i n nineteenth century Brazil. 30 The administratio n o f the vas t are a of Brazil, rapidl y bein g penetrated thoug h as ye t fa r fro m settled , wa s confusing . Official s an d cleric s ha d overlappin g an d ill-defined jurisdictions , wit h fe w cartographer s availabl e t o clarif y boundaries . In 176 3 the governo r o f Ri o de Janeiro wa s substitute d fo r th e governo r o f Bahi a as chief officia l wit h th e titl e of viceroy, bu t othe r governor s mainly ignored him . In th e localitie s ther e wer e municipal council s appointe d b y the crow n o r electe d by a smal l grou p o f propert y holders . However , roya l judges and , abov e all , th e district militi a officer s (capitdes mores) found i t eas y t o interfer e eve n wit h thi s

Latin America 38 1 limited for m o f self-government , an d th e militi a officer s ''becam e a symbo l o f despotism an d oppression." 31 When Napoleo n invade d Portuga l i n 1808 , th e Portugues e cour t escape d t o Rio de Janeiro. Th e prince-regen t replace d th e previou s mercantilis t polic y pur sued b y Lisbo n b y openin g Brazilia n port s t o foreig n trade , foundin g a Ban k o f Brazil, an d encouragin g loca l industry. Th e Creole s (Brazilia n whites ) welcome d such step s bu t resente d th e Portugues e newcomer s wh o cam e wit h th e cour t t o compete for opportunities . In 182 0 a libera l revolutio n occurre d i n Portugal , an d th e leader s demande d that th e kin g (a s th e prince-regen t ha d becom e i n 1816 ) return . H e did , leavin g his eldes t so n Do m Pedr o a s regent . Bu t a s th e Lisbo n regim e sough t t o revers e the post-180 8 concession s t o Brazil , i n Decembe r 182 2 Do m Pedr o rejecte d it s demand tha t h e to o return hom e an d was proclaimed empero r of Brazil. Thus , a s an empir e no t a republic , th e countr y becam e independent , wit h onl y mino r protests a t wha t ha d occurred . Th e first natio n t o recogniz e Brazilia n indepen dence was the Unite d States ; others, includin g Portugal , followe d suit . Independent Latin America, 1825-1914 Independence brough t fe w immediat e improvements . Black s remaine d slave s o r only nominall y emancipate d persons . Indian s showe d a preferenc e fo r isolatio n and too k littl e par t i n th e politica l process eve n whe n permitte d t o do so. Mulat toes (half-black, half-white ) an d mestizos (half-Indian, half-white) , "mor e aggressive than th e Indian s bu t distrusted b y the Creoles,' ' showe d themselve s ready — in th e person of the gauchos and llaneros, th e cowboys of Argentina an d Venezuel a respectively—for violenc e in redres s of their grievances. 32 As fo r th e mainl y Spanis h (o r Portuguese , fo r Brazil ) whites , i n mos t o f th e territory sout h o f th e Ri o Grande 33 they wer e a minority consistin g o f landown ers, clergy , an d intellectuals . The y wer e ap t t o be fiercely individualistic defend ers of their privileges, unwillin g to subject thei r libertie s t o the laws they enacte d for th e lowe r orders . Altogethe r th e constitution s they wrot e fo r th e ne w state s were honore d a s ofte n i n th e breac h a s i n th e observance . An d ye t peopl e fro m the ethnicall y an d sociall y less-fortunat e group s di d o n occasio n brea k ou t an d rise to positions of economic and political power . For decades after Independence , throughou t mos t of Latin America hacendados (owners o f larg e landholding s o r haciendas), clergy, an d th e military , ofte n allie d with merchants , supporte d loca l bosses (caudillos) —'Violent me n o f destiny wh o broke al l th e bond s o f nationa l an d socia l order"—bu t stil l kep t u p th e pretens e of republicanis m an d fre e elections . Thei r powe r bas e reside d no t i n genuin e political parties but shiftin g grouping s based on th e tie s ofpersonalismo.

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Mexico and Central America At th e tim e o f independence , Mexic o wa s "Spain' s mos t productiv e colony " an d in 180 0 may have had a per capit a incom e about hal f tha t o f the Unite d States. 34 At Independenc e i t als o had th e larges t populatio n o f any Lati n America n natio n — 5.8 million. 35 Th e centra l governmen t di d no t contro l muc h o f th e country : caudillos rule d i n man y localities ; India n revolt s disrupted orde r i n th e fa r north west an d fa r southeast ; an d regionalis t pressure s i n Jalisc o (aroun d Guadalajara ) led t o tension , i n Yucata n t o civi l war . Shafe r sum s up : "th e chie f feature s o f government wer e instability , irresponsibility , an d lac k o f funds . I n it s first hal f century th e Mexica n republi c average d more than on e chief executiv e a year." 36 The shak y norther n boundar y wa s threatene d b y wha t wa s happenin g i n Texas, the n Mexica n territory . Fro m th e 1820 s North American s began enterin g Texas, a t first wit h Spain' s encouragement . Bu t a fe w year s late r Mexic o Cit y tried to slow down Nort h America n migration an d to increase Mexica n migration , in vain . I n 183 6 a Texan constitutiona l conventio n declare d independenc e fro m Mexico, an d i t first seeme d a s if Mexic o and the Unite d State s would accep t thi s as a lastin g solution . However , event s outra n it : i n 184 5 Texa s wa s admitte d t o the Union , an d wa r wa s th e result . I n th e Mexica n War , conclude d b y the 184 8 Treaty of Guadalupe Hidalgo , Mexic o lost everything north o f the Ri o Grande. A prolonged competition betwee n Liberal s and Conservative s erupte d int o civil conflict, fro m whic h eventuate d Libera l ascendancy : it s feature s include d th e Constitution o f 1857 , th e presidenc y o f th e Zapote c India n Benit o Juarez , an d the Refor m Law s (1859-60) tha t confiscate d al l ecclesiastical property except th e churches themselve s (althoug h muc h of it had already disappeared) an d separate d church an d state . However, th e ambition s o f Napoleo n II I o f Franc e an d th e concentratio n o f the Unite d State s on its Civi l War combine d t o permit a French invasio n i n 186 2 that, tw o years later, installe d Maximilia n vo n Habsburg as emperor and his wife, the Belgia n princes s Carlotta , a s empress . Afte r th e Unio n wo n it s victory , American bolsterin g o f Juarist a force s an d pressur e o n th e Frenc h le d the m t o withdraw thei r army , an d in 186 7 Maximilian wa s captured an d shot . In th e perio d o f Restoratio n (o f th e republic) , Juare z reduce d th e siz e o f th e Mexican arm y from sixt y thousand t o twenty thousand an d acted in a conciliatory way towar d man y Frenc h sympathizer s despit e libera l call s fo r revenge . H e pushed throug h completio n o f th e Mexic o City-Veracru z railroa d an d appointe d a commissio n tha t strov e t o reform education : primar y schoolin g was proclaime d to b e fre e an d obligator y (unfortunatel y realit y wa s recalcitrant) , an d favo r wa s shown th e positivis t philosoph y o f August e Comte , whic h becam e officia l stat e doctrine in th e 1880s . Juarez died in office i n 1872. 37

Latin America 38 3 Four years later hi s successo r wa s overthrown b y a revolt le d by Porfirio Diaz ; he becam e presiden t an d soo n effectiv e dictato r o f Mexic o unti l 1911 . Ther e were severa l regiona l caudillos, eac h wit h hi s own army , bu t Diaz wa s in charge . Under th e Portfiriato , ther e wa s n o politica l chang e bu t considerabl e economi c development, spurre d b y th e positivis t intellectual s (terme d th e cientificos) wh o were apostle s o f "progress " rathe r tha n o f democracy . Dia z manage d t o hir e a British fir m t o drain Mexic o Cit y successfully , solvin g a long-standing an d hith erto insolubl e problem . Hi s cientifico secretary o f th e treasury , Jos e Limantour , brought orde r int o governmenta l finances an d greatl y improve d Mexico' s imag e abroad. Th e resul t wa s a n increas e bot h i n privat e investmen t an d th e importa tion o f foreign capital . Th e econom y grew , bu t popula r incom e an d consumptio n actually declined . O n th e surfac e Mexic o "neve r ha d seeme d mor e stabl e an d prosperous."38 And yet the Mexica n Revolutio n wa s at hand . As fo r Centra l America , th e attemp t a t unio n o f 182 3 di d no t las t long . A Liberal dictator , Francisc o Morazan , preside d ove r disestablishmen t o f th e Ro man Catholi c church , an d Congres s passe d othe r anticlerica l legislation . I n th e late 1830 s th e unio n fel l apart . Guatemala , th e capita l o f th e colonia l captaincy general, tende d t o tak e th e lead , bu t neithe r economi c no r politica l succes s wa s achieved excep t fo r Costa Rica. Ther e th e intense educational effor t o f a minister (named i n 1885) , Maur o Fernandez , pave d th e wa y fo r th e late r emergenc e o f a functioning democracy . The Andean Republics, 1815-1914 In 183 0 Bolivar's creation, "Gra n Colombia," 39 disintegrated int o Colombia (the n called Ne w Granad a an d includin g Panama) , Ecuador , an d Venezuela ; Boliva r himself resigne d fro m offic e an d died i n bitte r disappointmen t whe n abou t t o sail for Europea n exile . Ne w Granad a wa s composed of sharply differing geographica l regions amon g whic h movemen t wa s difficult , an d stric t racia l distinction s pre vailed, separatin g th e whit e elit e fro m th e Indian , African , an d mixe d lowe r classes. Th e elit e value d intellectua l achievemen t an d produce d som e impressiv e talent; i t too k it s politic s ver y seriously , bu t th e resul t wa s no t a functionin g system. In th e 1840 s a revolution wa s put down by a coalition o f moderates and forme r followers o f Boliva r tha t becam e th e Conservativ e party ; th e oppositio n too k th e name Liberal . Bu t th e Conservative s wer e als o vaguely an d romanticall y liberal . Under Bolivar' s vice-president, Francisc o de Paul a Santander , muc h educationa l emphasis ha d been place d on th e utilitaria n writing s of Jeremy Bentham , an d hi s ideas continued t o be influential. Conservativ e leader s hailed th e "secon d Frenc h Revolution" i n 1830 . Th e Jesuit s wer e welcome d bac k t o New Granad a i n 184 4

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but chiefl y fo r educationa l reasons ; they were t o be expelled, t o return, an d t o be expelled agai n in th e near future . In th e 1860 s a sterner , mor e practicall y oriente d view , positivism , reare d it s head. A s i n Mexic o an d othe r part s o f Lati n America , th e technocrati c ben t o f the follower s o f Auguste Comt e mingle d wit h th e enthusias m fo r fre e enterpris e of th e socia l Darwinia n Herber t Spencer . Th e Liberal s enacte d th e Colombia n Constitution o f 186 3 (whic h officiall y abandone d th e nam e "Ne w Granada") . I t carried federalis m t o a n astonishin g extreme—th e state s coul d eve n issu e thei r own postag e stamps—an d confirme d o r broadene d freedoms . Th e Liberal s als o enacted anticlerica l measures . However, Presiden t Rafae l Nunez , a Liberal wh o cam e t o prefe r orde r t o liberalism, introduce d a ne w constitutio n i n 1886 , whic h laste d wit h man y amendments t o 1936 . I t institute d a highl y centralize d system , b y whic h th e president appointe d th e governor s an d th e governor s name d th e mayors , an d a concordat wit h th e papac y wa s accompanie d b y a restoratio n o f th e churc h t o a commanding position. Nunez inaugurate d a period o f conservatism o r even reactio n tha t laste d unti l 1930; althoug h h e trie d t o foun d a ne w party , h e an d hi s successor s allie d themselves wit h th e Conservatives . Bu t bot h earlie r an d durin g tha t nea r half century, politica l chicanery an d violence, includin g civil war, wer e endemic. Th e worst episod e too k place in 1899-1902 . This disaster wa s followed b y the loss of Panama in 1903 . (Theodore Roosevel t may or may not hav e sai d " I too k Panama, " bu t i t wa s approximatel y tru e i n an y case.) Th e consequenc e wa s constructio n o f th e Panam a Cana l an d th e cessio n —for al l practica l purposes—o f a Cana l Zon e t o th e Unite d State s (unti l th e administration o f Jimmy Carte r agree d i n effec t t o retrocession). Th e Colombia n electorate remaine d ver y small , althoug h a la w o f 190 9 resulte d i n minorit y representation i n th e Congres s an d cabinet , thu s reducin g politica l turbulenc e somewhat. Ecuador, wit h a mostly Indian and mestizo population of fewer tha n one million (at Independence) , wa s on e o f th e poore r nation s economically . I n th e fifteen years afte r th e dissolutio n o f Gran Colombi a it s political scen e was dominated by General Jua n Jos e Flores— a Venezuela n o f lo w birt h an d a military man , a s i n the cas e of other figures assumin g leadershi p i n independen t Lati n America , bu t who b y marriag e wa s abl e t o ente r th e Quit o nobility . I n i86 0 Gabrie l Garci a Moreno, a conservativ e Catholic , seize d power . H e raise d th e Roma n Catholi c church t o an exalte d positio n indeed ; i n 187 3 the Congres s dedicate d Ecuado r t o the Sacre d Hear t of Jesus. Garcia wa s abl e t o stimulat e som e economi c growt h an d kep t orde r fo r som e years; bu t afte r h e wa s assassinate d i n 1875 , Liberal s an d Conservative s squab -

Latin America 38 5 bled. Genera l Elo y Alfaro , a charismati c figure wh o ha s bee n compare d t o Giu seppe Garibaldi , i n 189 5 led a liberal arm y int o Quit o an d establishe d a militar y government tha t severel y restricte d th e privilege s of the church . Afte r h e died i n 1912 the Liberal s an d clerg y managed t o compromise. I n 191 6 "the debt-peonag e of the sierra " linke d t o the la w on imprisonment fo r deb t wa s ended, an d th e lif e of the upland Indian s benefited thereby. 40 At Independenc e Venezuel a als o ha d fewe r tha n on e millio n people . It s first president wa s Jose Antonio Paez . A cowboy (llanero) wh o ha d becom e a general, he was " a typical lower-clas s caudillo " in whos e leadership, write s Shafer , "Ven ezuela wa s o n th e whol e fortunate " durin g mos t o f 1830-46. 41 Fo r example , i n 1834 Venezuel a wa s on e o f th e first Lati n America n countrie s t o legislat e reli gious toleration . Th e countr y wa s less fortunat e durin g th e remainde r o f the on e hundred year s tha t followe d Independence . Afte r Paez , Genera l Jos e Tade o Monagas an d hi s brothe r alternate d holdin g th e powe r fo r fifteen years ; fro m 1870 on, Antoni o Guzma n Blanc o fo r nearl y twenty ; Genera l Joaqui n Cresp o i n the 1890s , durin g whic h perio d th e administratio n o f Grove r Clevelan d insiste d on a n arbitratio n betwee n Venezuel a an d Britai n becaus e "th e Unite d State s i s practically sovereig n o n thi s continent , an d it s fiat i s law, " bu t Cresp o wa s otherwise no t memorable . I n 190 9 Juan Vicent e Gome z too k power ; h e lasted , a repulsive despot, t o 1935. Thus i n th e half-centur y o r s o following Independenc e th e Andea n republic s into whic h Gra n Colombi a ha d dissolve d experience d a n er a o f politica l turbu lence, sometime s arme d conflict , marke d i n eac h cas e b y the strif e betwee n tw o parties bearin g th e name s Liberal an d Conservative , ofte n decide d b y generals , with scan t participatio n i n th e rea l politic s of th e perio d eve n b y the smal l grou p that ha d th e vote , som e economi c developmen t occurred ; th e gul f betwee n th e white elit e an d th e brow n an d blac k masse s wa s bridge d i n th e cas e o f a fe w individuals only; corruption wa s widespread. I n sum , democrac y wa s no accurat e term t o describe th e political syste m of Colombia, Ecuador , o r Venezuela . The most optimistic evaluation of change in the third quarter of the nineteent h century i s tha t libera l reformers , despit e th e fac t tha t thei r concern s wer e wit h the middl e an d uppe r socia l strata , "largel y complete d th e jo b o f clearin g awa y the lega l structur e o f individua l an d corporat e specia l privilege s inherite d fro m the colonia l regim e an d abolishin g th e mos t glarin g restrictions—political , reli gious, an d economic—on individua l liberty. " I n si x Spanish America n countries , the final abolition o f slavery too k place fro m 185 1 to 1854 : Venezuela, Colombia , Ecuador, Peru , Argentina , an d Uruguay , whic h ha d all adopted laws of free birt h before o r a t Independence , no w free d "th e slave s bor n to o soo n t o benefi t fro m the free-birth principle." 42 Farther dow n th e Andes , th e forme r empir e o f the Inca s wa s beset b y seriou s

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problems. Per u an d Bolivi a eac h ha d a small , mainl y Creol e minorit y tha t con trolled politics , a n India n majorit y (foremos t amon g th e tribes : Quechu a an d Aymara) tha t ha d n o vote , an d a n intermediat e mestizo group growin g i n size . However, grav e conflicts an d tension s existed between an d within both . Bolivia ha d begu n wit h Antoni o Jos e Sucre , Bolivar' s favorit e lieutenant , a s effective an d the n forma l president , bu t wit h th e bes t o f intentions h e achieve d little result . Andre s Sant a Cru z becam e presiden t i n 182 9 and create d a confed eration of Peru an d Bolivia (originally Uppe r Peru) , bu t it lasted only a short tim e (1835-36) an d wa s broken u p b y Chile . Bolivi a los t it s seacoas t t o Chil e i n th e War o f the Pacifi c (1879-84) , afte r whic h tw o parties, Conservative s an d Liber als, emerge d tha t wer e no t ver y sharpl y opposed . Conservatives , amon g who m silver-mining magnates wer e strong , dominate d fro m 188 4 to 1899 ; thereafter ti n replaced silve r a s th e chie f expor t an d Liberal s replace d Conservative s i n th e government—via a revolt . I n thi s fight Liberal s turne d t o Indian s fo r help , bu t after victor y disarme d th e India n troop s an d execute d thei r leaders ; politic s returned t o th e hand s o f th e 1 3 percent o f th e populatio n tha t wa s white . Th e Liberals lost som e eastern territor y t o Brazil in 190 3 and spli t in tw o in 1914 ; the Republicans, a s the breakaway part y called itself, overthre w th e Liberal s in 192 0 by force. 43 As fo r Peru , i t starte d wit h militar y aggressio n agains t neighbor s nort h an d south, whic h wa s generall y unsuccessful . Afte r th e confederatio n wit h Bolivi a collapsed, ther e wa s a perio d o f civi l wa r i n th e 1840 s afte r whic h Ramo n Castilla, a mestizo (in Per u th e wor d used wa s cholo), emerged a s caudillo from 1845 t o 1862 . I t wa s the n tha t th e "guan o era " began . Per u ha d discovere d a bonanza i n th e for m o f bird dropping s use d fo r fertilize r tha t require d merel y t o be shoveled onto ships bound fo r Europ e in order to yield immense revenues. Th e money wa s mismanaged , however , an d neithe r th e econom y no r th e polit y wa s stabilized. In 187 2 Manue l Pard o founde d th e Civilist a party , th e first "organize d politi cal party wit h a coherent program " in Peruvia n history. 44 A year later Pard o was the first civilia n presiden t t o tak e office . H e trie d withou t succes s t o reduce th e size an d influenc e o f th e military . Th e arm y wa s unabl e t o sav e Per u (whic h fought alongsid e Bolivia ) fro m muc h sufferin g an d th e los s o f som e territor y t o Chile i n th e Wa r o f th e Pacific , bu t retaine d mos t of its own power . A new elit e emerged "whos e politica l expression wa s th e Civilis t party, " consistin g of hacendados an d bankers. 45 Th e civilistas startled Per u b y backin g thei r forme r enem y Nicolas Pierola , wh o was elected i n 1895 . H e presided over what ha s been calle d the "Aristocrati c Republic " (1895-1919) , a period o f unparallele d "politica l sta bility an d economi c progress." 46 H e tame d th e militar y b y first reducin g it s siz e and the n expandin g i t a s a vehicl e o f socia l mobilit y fo r middl e an d eve n lowe r

Latin America 38 7 classes. A s peasants migrate d t o the cities , a modern labo r movement too k shape . World War I brought furthe r socia l change, an d amidst mounting unrest twenty five years o f civilista rule ende d i n 191 9 wit h th e electio n o f Jos e Leguia , wh o promised reform . The las t o f th e Andea n republics , Chile , ha d littl e mor e tha n hal f a millio n people. Despit e th e fac t tha t i t ha d bee n poyerty-stricke n befor e Independence , in many respects it * 'became the principal succes s story among the former Spanis h colonies/' 47 It s long , narro w shap e wa s uniqu e i n th e world ; th e smalle r siz e of its * 'effective nationa l territory' ' ( a centra l valle y o f si x hundre d kilometer s b y eighty kilometer s o r less ) manageable . Creol e landowner s hel d abou t eight y per cent o f th e goo d land , th e chiefl y mestizo peasants bein g eithe r thei r tenant s o r hired laborers. The first government afte r Independenc e was headed by the father o f independent Chile , Bernard o O'Higgins , wh o di d muc h t o ope n th e countr y t o Britis h and othe r foreig n trad e an d t o encourag e th e developmen t o f th e por t o f Valpa raiso. H e decreed prohibitio n o f entail—b y whic h a landowner coul d wil l trans mission o f hi s propert y fro m eldes t so n t o eldes t so n i n perpetuity—bu t th e Senate h e himsel f ha d appointe d suspende d th e measure . H e wa s drive n int o exile in 1823 . O'Higgins's liberalis m ha d bee n sometime s tactless , bu t hi s libera l ideas wer e share d b y others . Late r th e sam e yea r Chil e becam e th e first Lati n American countr y t o abolis h slavery ; i t als o agai n prohibite d entail , a measur e reversed an d reenacte d unti l th e practice was finally ended by law in 1857 . In th e late r 1820 s there wa s a period o f disorder fro m whic h th e businessma n Diego Portale s rescue d th e country . Followin g a confuse d revol t o f 1829 , h e became the chief figure in a government tha t accomplished th e feat of subordinat ing th e militar y t o civil authority . Liberals , a t first hi s target s an d hostil e t o hi s policy, wer e wo n over. Tamin g th e military , a n actio n al l Lati n Americ a needed , was achieve d i n Chil e alone . Portale s establishe d a conservative politica l system , by way of th e Constitutio n o f 1833 , which laste d almos t a century—until 1925 . It provided for a small electorate qualifying throug h literac y and property holding , an indirectl y electe d presidency , an d Roma n Catholicis m a s th e stat e religion . Other Lati n America n constitution s o f th e perio d wer e similar ; th e differenc e was tha t thi s on e wa s "functionin g an d viable " by Europea n o r Nort h America n standards, earnin g fo r Chil e th e reputatio n o f bein g "th e Englan d o f Sout h America."48 Fro m 183 1 t o 186 1 thre e electe d president s serve d te n year s (tw o terms) each. Portale s broke up the confederation o f Peru an d Bolivia by aggressive war, an d he was killed by one army faction i n 1837 . The Portalia n state , a s i t cam e t o b e called , wa s a politicall y conservativ e system thoug h a good deal o f economi c developmen t occurre d durin g th e tim e i t lasted. Parliamen t too k a n increasingl y activ e rol e i n governing ; th e presidenc y

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grew weaker. Bot h parties collaborate d i n furtherin g suc h change . Liberal s man aged to enact wha t amounte d t o religious toleration (lon g in de facto operation fo r Protestant foreigners ) fro m th e 1860 s to the 1880s . Conservative s too k the initia tive in eliminating property (though no t literacy) qualifications fo r voting in 1874 . A Radical party , founde d i n 1861 , was surpasse d i n it s radicalis m b y th e Demo cratic part y (1887) , whic h announce d suppor t fo r politica l democracy , labo r legislation, an d compulsory fre e education . President Jose Balmaceda, electe d b y a reform o f the early 1880 s that awarde d the vot e t o al l literat e male s ove r twenty-five , trie d t o revers e th e diminutio n o f executive power, whic h ha d reache d a point tha t a ministry neede d suppor t fro m a majorit y i n Congres s t o sta y i n offic e (thoug h th e constitutio n provide d fo r n o such thing) . However , h e failed , onl y provokin g a brie f civi l wa r durin g whic h his forces wer e overcome, an d he committed suicid e in 1891. The victor y of Congressional di d not mean governmenta l stability : Fro m 189 1 to 191 5 there wer e n o fewer tha n sixt y cabinets, wit h a n averag e life o f just ove r four months. 49 Durin g th e 1890 s th e numbe r o f majo r partie s increase d fro m four t o seven . Give n th e dominatio n o f th e parliamentar y leaders , "fe w o f th e eligible literat e male s though t votin g worthwhile." 50 Bu t sign s o f impendin g change appeared ; industria l minin g strike s increase d durin g th e 1890 s an d sub sequently. Lui s Recabarre n le d th e growt h o f Marxis m amon g workers, organiz ing th e Socialis t Worker s part y i n 191 2 an d th e Communis t part y i n 1920 . Congress responde d b y passing som e labor legislation , beginnin g with workmen' s compensation i n 1916 .

The River Plate Republics, 1825-1914 Independent Argentin a wa s a country wher e th e tension s betwee n th e province s and Bueno s Aire s prevented rea l unit y fro m emerging . Provincia l leader s desire d to anne x Paragua y an d Uruguay . Argentin e troop s wer e drive n bac k fro m Para guay. I n a two-stat e wa r involvin g Argentina , Brazil , an d Uruguaya n armies , Brazil first manage d t o anne x Uruguay , the n los t i t again . A s a result o f Britis h mediation (an d London' s polic y of fragmentation) , Urugua y becam e a n indepen dent stat e in 1828 . Buenos Aire s sa w a struggl e betwee n federalist s an d centralizers . I n 181 9 a constituent congres s adopte d a centralis t constitutio n tha t me t wit h promp t rejection b y th e provinces . I n wha t Argentine s cal l ''th e terribl e yea r twenty, " the countr y fel l apar t politically . A government o f th e provinc e o f Bueno s Aire s began t o pu t thing s bac k together . Late r i n 182 0 landlord s an d militar y me n

Latin America 38 9 called o n th e merchan t an d lawye r Bernardin o d e Rivadavi a t o hea d a libera l regime, an d he responded . The governmen t i n whic h h e wa s th e dominan t figure sough t t o reduc e th e size o f th e army , create d a ne w university , limite d th e rol e o f th e church , legislated freedo m o f worshi p (1825) , an d abov e al l attempte d t o promot e eco nomic development . Rivadavi a ha d a drea m o f makin g Argentin a a par t o f th e European worl d h e kne w an d loved. I t is often sai d that h e appeared to o soon. I n any case he became president i n 182 5 but wa s ousted tw o years later . Soon thereafte r th e federalist s foun d a leader i n Jua n Manue l d e Rosas , bor n in th e uppe r class , wh o ha d becom e a sor t o f lor d o f th e souther n frontier. 51 Having earlie r serve d a s governo r o f Bueno s Aire s province , i n 183 5 h e becam e dictator an d rule d unti l 1852 . Hi s equall y cleve r wife , Don a Encarnacion , orga nized a kind o f secre t polic e called th e Mazorc a (Ea r o f Corn) tha t bea t o r kille d the persons o f the opposition an d seize d thei r properties . However , Rosa s treate d blacks an d mulattoe s wit h respect , espouse d simpl e virtues an d rejecte d comple x foreign idea s a s wel l a s thei r supporters , an d altogethe r achieve d widesprea d popularity amon g th e masse s unawar e tha t "hi s policie s wer e no t improvin g th e life of the ordinary person bu t [were ] inexorably concentrating landed property in a fe w hands/' 5 2 H e blame d th e country' s trouble s o n th e Unitarios , th e grou p seeking a mor e closel y unite d countr y (thoug h h e ha d othe r enemie s a s well) . The sloga n "Deat h t o th e Unitarios " wa s printe d o n al l officia l correspondenc e and laws and was required t o appear on all newspaper mastheads. 53 All o f this , however , applie d onl y t o Bueno s Aire s province ; th e governmen t was nationa l onl y i n name . Rosa s joine d wit h th e othe r province s t o for m a n Argentine Confederation , whic h lacke d a president, congress , o r administrativ e apparatus bu t simpl y authorize d Bueno s Aire s t o handl e defens e an d foreig n relations fo r th e country . However , Rosa s graduall y an d cautiousl y extende d hi s influence. Hi s accumulate d foreig n an d domesti c enemie s finally had enough . A coalition heade d b y hi s forme r ally , th e governo r o f Entr e Rios , Ju s to Jos e d e Urquiza, i n 185 2 defeated Rosa s in battle , fro m whic h th e lose r fled into exile in a British ship . Urquiza summoned a conventio n tha t produce d th e Constitutio n o f 185 3 — which laste d unti l th e presen t (thoug h i t wa s replace d durin g th e Pero n years) . It was federalist i n substance , bu t se t up a national government with a president, Congress, Suprem e Court , an d administrativ e apparatus . Th e constitutio n di d not prescribe suffrage , bu t restriction s o n universa l mal e suffrag e wer e judged t o be exclude d b y implication—eve n thoug h fo r decade s longe r i n practic e thing s were different . Th e bes t featur e o f th e documen t wa s freedo m o f speech, whic h was actually put into effect .

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Buenos Aires held out for a decade against acceptanc e of the new constitution . Urquiza serve d a s president fro m Parana , hi s modes t (fiv e thousan d population ) upriver capital . Then , afte r tw o brie f civi l wars , Bueno s Aire s rejoine d th e res t of the country unde r th e governor Bartolome Mitre , wh o then becam e president . In 186 8 h e yielde d th e offic e t o "th e greates t o f al l Argentina' s nineteenth century liberals, " Doming o Sarmiento. 54 Bor n o f poo r Creol e parents , h e earl y became a unitario, wishin g t o comba t "barbarism " b y mean s o f educatio n an d economic development—both o f which h e hope d immigratio n woul d further . H e declared, "a n ignoran t peopl e wil l alway s elec t a Rosas" ; an d h e lef t Argentin a with "clearl y th e bes t schoo l syste m i n Lati n America." 55 H e promote d th e election o f hi s ministe r o f education , Nicola s Avellaneda , a s hi s successor . On e feature o f hi s ter m a s presiden t wa s th e "conques t o f th e desert, " b y which th e Indians o f th e south , wh o ha d occupie d muc h territor y withou t usin g it s re sources, suffere d sever e casualties , an d th e survivor s wer e confine d t o reserva tions (much a s in th e Unite d State s in th e same period). From th e 1880 s until World War I , th e Argentine economy grew at a rate tha t left th e res t o f Lati n Americ a fa r behind . Railroa d buildin g wa s producin g rea l national unity . Woo l becam e th e leadin g export , bu t liv e cattl e an d refrigerate d beef, a s wel l a s wheat , wer e als o important. Th e hope s o f Sarmient o fo r a soli d small farmer clas s built u p by immigrants tha t woul d undermine th e "barbarism " of the gaucho culture wer e disappointed—from 181 0 to 191 4 three millio n immi grated, especiall y fro m Spai n an d Italy , bu t man y becam e tenan t farmer s o r laborers. Th e whit e influ x di d much t o eliminate black s an d Indian s a s recognizable groups . A s fo r th e gauchos, they virtuall y disappeared , thoug h thei r ghos t remained i n th e form o f a growing cult of the no-longer-existent cowboy . The oligarchi c polity produced economi c wonders but wa s thoroughl y corrupt . Under Genera l Juli o Roc a (presiden t i n 1880-8 6 an d 1898-1904) , th e "con queror o f th e desert, " fre e compulsor y publi c educatio n (1884 ) wa s introduced ; by 191 4 6 0 percen t o f th e populatio n wa s literate . Bueno s Aire s wa s mad e a federal district , an d th e provinc e ha d t o buil d a ne w capita l o f it s own—th e result bein g t o contribut e t o nationa l unit y i n plac e o f a favore d bu t detache d capital-province. In th e 1890 s ne w politica l partie s challenge d th e oligarchy : th e Radicals , whose leade r Hipolit o Yrigoyen became , an d th e Socialists , le d by Juan B . Justo. In 190 5 Yrigoye n attempte d a n arme d revolt , whic h wa s crushed , an d afte r a short jail ter m le d hi s part y i n boycottin g elections . Th e oligarch y introduce d a new electora l la w providin g fo r a free , obligatory , an d secre t vot e fo r al l male s over eighteen . I n addition , th e part y winnin g th e larges t vot e would receiv e twothirds o f the seat s in th e Chambe r o f Deputies; the party wit h th e secon d larges t total would receiv e the other one-third .

Latin America 39 1 Skepticism wa s replace d b y astonishment ; th e refor m worked . Th e Radical s elected Yrigoyen , wh o becam e presiden t i n 1916 . Argentin a wa s advancin g eco nomically a t a rapid rate ; politically ther e wer e hopeful developments . Ther e wa s a disadvantage : "b y 191 4 Argentin a wa s a n economi c colon y o f Grea t Britain. " One Englishma n cried , 'Tak e Canad a fro m us , bu t no t Argentina.'' 56 Ther e were, however , wors e fates tha t ha d befallen nation s a t that poin t in history , an d Britain di d no t a t an y rat e contro l Argentin e politics ; some though t thing s migh t have been bette r i f it had . As fo r Paraguay , Creole s ther e manage d t o thro w of f dominatio n o f Bueno s Aires, declarin g independenc e i n 1811 . Th e populatio n wa s fo r th e mos t par t Guarani Indians , onc e havin g bee n repute d t o enjo y th e benefit s o f a Jesuit-le d Utopia, b y no w poo r subsistenc e farmers . Fo r mos t o f th e tim e fro m 181 1 unti l 1840 Dr . Jos e Gaspa r Rodrigue z d e Franci a wa s dictator ; h e "largel y seale d th e country of f fro m th e outsid e world." 57 A t hi s deat h Carlo s Antoni o Lope z man aged t o en d isolatio n an d begi n modernization . Hi s so n Francisc o Solan o Lope z led th e countr y int o th e Paraguaya n Wa r (1865-70 ) agains t Argentina , Brazil , and Uruguay , i n whic h 50 % o f th e populatio n o f hal f a millio n perishe d an d Paraguay los t muc h territory . Th e impoverishe d countr y suffere d fro m politica l turbulence thereafter . Edwar d Schaerer , electe d presiden t i n 1912 , encourage d economic growth, an d World War I , by increasing foreign deman d for Paraguaya n foodstuffs, especiall y meat, brough t temporar y prosperity . At Independenc e (1828 ) Urugua y ha d onl y sixt y thousan d people . Soo n tw o parties formed: th e conservative Blancos, or Nationalists, supporte d by Rosas, th e Argentine dictator , an d th e libera l Colorados , representin g th e middl e classe s of the miniatur e (sixtee n thousand-person ) capital , Montevideo . I n 1872 , followin g a civi l war , a n agreemen t betwee n th e tw o parties grante d dominatio n ove r fou r out o f th e fifteen department s (provinces ) t o th e landowner-clerica l Blancos ; i n 1897 a Blanc o risin g resulte d i n increasin g th e numbe r t o si x ou t o f th e the n nineteen politica l units . Immigratio n mad e Urugua y a largel y whit e countr y o f over on e millio n b y 1908 , an d educationa l expenditure s raise d literac y t o nearl y 50% by the tur n o f the century . In 190 3 a Colorad o journalist, Jos e Batll e y Ordonez , wa s narrowl y electe d president b y th e Congres s an d proceede d t o end th e curiou s politica l divisio n o f the country by appointing Colorados to posts in Blanc o departments. Th e Blanco s revolted; i n a civi l wa r wit h heav y casualties , Batll e won . H e "dominate d th e political lif e o f Uruguay " fro m 190 3 until hi s death i n 1929. 58 In th e governmen t now trul y nationa l i n it s geographica l outreach , "election s wer e fair , th e pres s free, an d th e arm y apolitical" 59 Sinc e Batll e left undisturbe d th e economi c domination o f rura l Urugua y b y th e owner s o f grea t estates , the y tolerate d him , an d an era of relative prosperity an d stabilit y was ushered in .

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Brazil, 1822-1914 Independent Brazi l wa s a n empir e fro m 182 2 t o 1889 . A Constituent Assembl y drew u p a constitution , adopte d i n 1824 , tha t create d a centralized governmen t of four branches : executive, legislative , judicial, an d "moderating." 60 Th e Parlia ment ha d a Chambe r o f Deputie s electe d fo r fou r year s an d a Senat e whos e members ha d lif e tenure . Indirec t election s wer e provide d for , th e vot e bein g confined t o fre e adul t male s wit h a n annua l incom e o f on e hundre d dollar s o r more. The empero r i n effec t ha d bot h executiv e an d ''moderating " powers . H e appointed a cabinet (responsibl e t o him an d removabl e b y him), th e presidents of provinces, an d bishops ; he coul d vet o legislation; h e coul d dissolv e th e Chambe r of Deputie s an d hol d ne w election s a t an y time ; h e was , however , require d t o consult th e ten-ma n Counci l o f Stat e befor e exercisin g th e "moderating " power . The constitutio n lacke d a provisio n Do m Pedr o muc h wishe d t o inser t bu t sacrificed fo r th e sak e o f speed y approva l o f th e document : abolitio n o f slavery . The centralizin g characte r o f the constitution le d the five northeastern province s promptly t o revol t an d t o declar e themselve s th e independen t Confederatio n o f the Equator , bu t th e rebellio n wa s soon put down . At th e momen t o f Independenc e Brazil' s econom y wa s shiftin g fro m th e pro duction o f gold , silver , sugar , an d ship s t o coffee . Wit h fe w Indians , Brazi l imported man y African s a s slaves ; i n 182 2 ther e wer e mor e tha n on e million . Seldom did a slave survive more than seve n years' hard labo r on a plantation o r in a mine, an d thu s th e slav e trade was indispensable t o maintain th e labor force fo r the economy as then constituted . The emperor , Pedr o I , an d hi s chie f adviser s wer e abolitionists . The y place d their hope s on Europea n immigrant s no t simpl y to replace slave s but als o to raise the economi c leve l o f th e whol e country , an d specificall y t o furnis h soldier s fo r new elit e units . Th e wa r fo r Urugua y i n 1825—2 8 wrecked thi s hope . Germa n and Iris h soldier s an d thei r familie s wer e attacke d b y the indigenou s population ; they replie d b y violence , th e mutin y wa s bloodil y suppressed , an d Brazi l wa s compelled t o accep t th e independenc e o f Uruguay . Th e slaveowner s an d thei r spokesmen wer e in th e saddle . A treaty with Britai n (1826 ) to stop the slave trade should hav e taken effec t i n 1830 , but Parliamen t refuse d t o furnish th e means t o enforce it . Abandoned eve n by the army , Pedr o fled in 1831 . He left behin d hi s five-yearold son , wh o acceded a s Pedr o I I unde r a regency an d wa s crowned a t th e ag e of fifteen. I n th e lat e 1830 s Conservativ e an d Liberal partie s too k shape ; an d th e Liberals, identifyin g themselve s wit h th e majorit y o f Pedro , wer e elbowe d asid e

Latin America 39 3 but the n returne d t o power in 1844 . The young emperor believed in th e desirability of rotating th e tw o parties i n power an d used hi s ''moderating' ' powe r t o bring that about . Brazilia n participatio n i n th e Paraguaya n Wa r (1865-70 ) cos t th e country muc h i n me n an d mone y an d ha d th e unpleasan t resul t o f inducin g th e army t o interfer e i n politics . Pedr o II , himsel f a Mason , refuse d t o approv e a papal encyclical forbiddin g Catholic s t o be Masons. A struggl e betwee n th e hig h clerg y an d governmen t ensued ; certai n priest s combined Masonr y an d abolitionism . I n i86 0 abou t hal f th e population consiste d of black slaves , an d man y Brazilian s wer e awar e tha t slaver y ha d bee n abolishe d in Spanis h Americ a an d woul d soo n b e i n th e Unite d States . Finally , i n 1871 , the Ri o Branco La w of th e Fre e Wom b enacte d tha t ever y chil d hencefort h bor n of a slave was free a t birth. Whe n h e or sh e reache d th e ag e of eight, th e forme r master coul d choos e betwee n commandin g th e child' s labo r unti l th e ag e o f twenty-one o r a payment fro m th e government ; almos t al l slaveowner s chos e th e former. In 188 1 Liberal s pushe d throug h th e Saraiv a Law , whic h substitute d direc t elections for th e indirect syste m of choosing electors who then chos e the deputies, and broadened th e suffrage a bit—but stil l only 142,00 0 voters decided thing s fo r fourteen million. 61 Slaver y wa s th e burnin g issue ; i n th e 1880 s province s an d municipalities bega n individuall y t o abolis h it , an d opinio n turne d increasingl y against recaptur e o f runaways . I n 188 8 emancipation withou t compensatio n wa s enacted by Parliament. I n consequenc e man y slaveowner s deserted th e empire . Republicanism wa s growing , an d a Republica n part y wa s founde d i n Ri o d e Janeiro i n 1870 . I n Sa o Paulo many Republican s wer e plantatio n owners ; in Ri o they wer e ap t t o b e student s an d professionals ; i n th e rura l area s monarchist s held sway . Th e Paulista s wer e underrepresente d i n governmen t an d leane d t o federalism a s a principa l plan k o f a Republica n platform . Fro m 188 7 som e Republicans wer e thinkin g o f makin g commo n caus e wit h th e army , wher e dissatisfaction wa s growing. In 188 9 a militar y cou p d'eta t decide d th e cours e o f events ; th e empir e wa s overthrown, an d "n o one ros e t o defend [it]." 62 Wha t cam e t o be calle d th e Ol d Republic wa s proclaimed ; i t woul d las t fro m 188 9 t o 1930 . Bu t 188 9 "di d no t mark a significan t brea k i n Brazilia n history" ; th e econom y reste d a s befor e o n export o f farm product s an d foreig n investment ; th e oligarchy dominated . A new constitution (1891 ) created a federal system , i n which th e state s possessed exten sive powers , bu t th e centra l governmen t coul d interven e i n th e states . Suffrag e was mad e "universal " bu t wa s conditione d o n literacy , whic h mean t tha t th e electorate di d no t gro w b y much. 63 Tenur e fo r senators , th e Counci l o f State , and th e "moderating " powe r were abolished ; separatio n o f church fro m stat e wa s

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enacted. Non e o f thes e reform s wrough t th e hoped-fo r "miraculou s effects. " 'The mai n accomplishmen t o f th e Republi c wa s t o brin g int o powe r a ne w oligarchy of coffee planter s an d thei r clients/' 64 At first military men dominated th e government an d put down local rebellions, especially on e of 1893 , but th e followin g yea r th e civilia n forme r governo r of Sao Paulo, Prudent e de Morais, was elected president and "government thus returne d to th e grea t [coffee-producing ] estat e owners " wh o remaine d i n contro l unti l 1930.65 Othe r Paulista s followe d i n th e presidency : a notable exampl e wa s Fran cisco d e Paul a Rodrigue s Alves , "generall y regarde d a s Brazil' s ables t civilia n president" (hi s ter m wa s 1902-6). 66 I n th e 191 0 electio n th e oligarch y wa s challenged b y a ne w Civilist a party , whic h wa s stron g enoug h t o hold "th e first democratically electe d nominatin g conventio n i n th e country' s history." 67 It s candidate, Ri u Barbosa , conducte d a n American-styl e campaign , unprecedente d in Brazil , bu t wa s defeated i n a far fro m fre e election . The populatio n remaine d largel y rura l an d impoverished ; th e smal l contingen t of industria l worker s wer e poorl y pai d an d enjoye d th e protectio n o f almos t n o labor legislation. Bu t the real political power lay in the states, which could impose tariffs an d expor t duties , rais e militias , contro l publi c lands , regulat e immigra tion, an d contrac t loan s fro m abroad . Th e coroneis (colonels o f militia , ofte n simply loca l bosse s wh o ha d acquire d tha t rank ) wer e lef t alon e b y th e stat e political machine s "t o fight ou t thei r rivalrie s a t th e leve l o f th e munipio, " bu t the winner s wer e expecte d t o support th e stat e bosses . Th e literac y require d fo r voting limited thos e castin g ballots t o 4% or fewe r u p t o 1930 , an d th e caudilho s who ran th e municipalities exercised effective contro l undisturbed b y the people's will. A s fo r th e nationa l scene , th e machine s o f th e tw o state s o f Mina s Gerai s and Sa o Paulo , first covertl y an d then , fro m 1919 , explicitly, alternate d th e presidency between them . Mexico and Central America since 1910 During th e first year s o f th e centur y th e long-live d Diaz regim e bega n t o accu mulate effectiv e enemies : Francisc o Madero , wh o was wealthy bu t democratic i n his views ; Panch o Villa , chie f o f th e norther n cowboys ; Emilian o Zapata , leade r of lan d seizur e b y peasants . I n 191 1 follower s o f Mader o drov e Diaz t o resign , and Mader o wa s electe d president . However , h e soo n face d dissatisfie d Zapat a men o n th e left and , o n th e right , Victorian o Huert a an d other arm y officers an d reactionaries, wh o murdered Mader o in Februar y 1913 . A period o f violent confusio n ensued . Huert a seize d powe r but coul d no t kee p it. B y now Presiden t Woodro w Wilso n wa s determined t o intervene o n behalf o f

Latin America 39 5 "decent government " bu t wa s unsure ho w t o do so. Venustiano Carranza , hones t but limited , cooperate d wit h Alvar o Obrego n i n takin g th e capital ; Huert a wa s overthrown. Wilson' s force s wer e i n Veracru z wit h n o notion o f what t o do with it (they evacuated i t months later). At Aguascaliente s a Revolutionar y Conventio n assemble d i n Octobe r 1914 . Pancho Vill a temporaril y becam e maste r o f th e situation . Obregon , recognizin g Villa's politica l instability , fough t an d defeate d hi m i n Apri l 191 5 and drove hi m back north t o Chihuahua. Th e wea k Carranz a governmen t survive d to summon a constitutional conventio n a t Queretar o (Novembe r 191 6 to January 1917) , an d i t produced a basic document . The Constitutio n o f 191 7 was strongly anticlerical : th e churc h coul d no t eve n own property ; antihacendado : estate s wer e t o b e broke n u p an d villag e land s restored; antiforeign: alien s could not own land in certain area s and must promis e not t o appea l t o hom e government s fo r support . Th e churc h wa s remove d fro m all educatio n excep t tha t i t coul d operat e privat e colleges . Othe r provision s legalized labo r unions , regulate d industria l work , an d uphel d th e righ t t o strike . With th e adoption of a radical constitution, th e Mexica n Revolutio n wa s over. Carranza wa s electe d presiden t withou t oppositio n an d hel d th e pos t fro m 1917 t o 1920 . Zapat a wa s assassinate d b y Carranza' s troop s i n 1919 . Carranz a threatened Obregon , bu t fro m th e latter' s bas e province , Sonora , cam e a deter mination t o clean u p th e political scene . Carranza , force d t o flee, was murdered . Obregon wa s elected presiden t an d managed t o ride out hi s term by putting down a revolt in 1923-24 . General Plutarc o Elia s Calle s wo n th e electio n o f 1924 . Hi s reform s designe d to consolidate th e revolution , lik e Obregon's, wer e not swif t o r numerous, bu t h e took decisiv e actio n t o implement th e anticlerica l provision s o f th e constitution . In 192 6 th e churc h proclaime d a n imminen t interdict, 68 bu t i t ha d becom e a n ineffective weapon ; man y Catholic s the n resorte d t o arms . Th e rebellio n o f th e Cristeros smoldere d fo r som e time , wa s mediate d b y U.S . Ambassado r Dwigh t Morrow, an d by mid-1929 religious peace returned . Obregon wa s assassinate d whe n abou t t o resum e th e presidency . Calle s an nounced tha t ther e woul d b e n o more caudillos i n Mexico , bu t stil l continue d t o rule a s boss (jefe mdximo) until 1934 . I n 193 0 he halte d lan d distribution , whic h had transferre d twent y millio n acre s t o fou r thousan d village s i n th e for m o f ejidos, or communa l farms . The y ha d no t bee n a success ; th e peasant s o n the m had n o incentiv e t o work . Bu t i n othe r respect s th e revolutio n ha d produce d substantial change s i n Mexica n societ y withou t destroyin g th e uppe r classe s o r private ownership . Th e India n wa s finally honored , th e pre-Columbia n heritag e highly valued . Jos e Vasconcelos a s minister o f education unde r Obrego n encour -

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aged suc h attitude s b y supportin g th e grea t radica l muralist s Dieg o Rivera , Jos e Clemente Orozco , an d Davi d Alfar o Siquieros . Vasconcelo s als o helpe d buil d a new federal schoo l system, and the national university became autonomous (1934). In tha t yea r Lazar o Cardenas , wh o ha s bee n compare d wit h Frankli n D . Roosevelt, wa s electe d president . Adroitl y h e remove d Calles' s supporter s an d i n 1936 sent Calles himself int o exile. I n 193 8 he remade a loose governmental part y into the Part y of the Mexica n Revolutio n (PRM) , most of whose million member s belonged t o Vincente Lombard o Toledano s labo r confederatio n (CTM ) o r a ne w peasant confederatio n (CNC) , o r both. 69 H e double d th e numbe r o f ejido peasants, distributin g forty-fou r millio n acres . (Hi s successor , Genera l Manue l Avil a Camacho, distribute d eleve n millio n acres , bu t chiefl y t o peasant familie s rathe r than th e dubiousl y successfu l ejidos.) 70 I n Marc h 193 8 Cardena s expropriate d foreign-owned oi l holdings , a sensationa l ste p tha t yielde d greate r benefi t t o national pride tha n t o economic growth . During Worl d Wa r I I Mexica n ligh t industr y developed , and , paradoxically , the militar y becam e a les s importan t facto r i n politics . Beginnin g wit h th e election o f Migue l Alema n i n 1946 , al l president s hav e bee n civilians . Unde r Aleman Mexic o prospered an d built—highways , dams , and , mos t spectacula r o f all, th e ne w Universit y Cit y t o house th e Nationa l Universit y of Mexico. Alema n changed th e nam e o f th e rulin g part y t o Partid o Revolucionari o Instituciona l (Institutional Revolutionar y party ) withou t changin g it s character , an d bot h corruption an d waste were rife . President Adolf o Rui z Cortine s wa s honest bu t ha d t o deal with a problem no t of hi s making . Th e populatio n wa s increasin g a t a fantasti c rate : fro m 193 4 t o 1958 i t gre w fro m abou t sixtee n millio n t o ove r thirty-tw o million. 71 I n 195 8 Adolfo Lope z Mateo s wa s th e first presiden t t o b e electe d b y wome n a s wel l a s men voters—i t prove d tha t th e PRI' s margi n o f victor y wa s scarcel y affecte d though th e tota l number o f ballots cast was increased. 72 Lope z Mateos, "th e most fondly remembere d presiden t o f the postwar era, " distributed som e thirty millio n acres o f lan d t o bot h familie s an d ejidos and embarke d i n i96 0 o n a n unprece dented progra m o f governmenta l constructio n o f low-cost housing , muc h neede d as the urban passe d th e rura l population. 73 Strenuous governmenta l effort s i n rural educatio n finally produced results : th e percentage o f illiterate s fel l fro m 2 8 (1970 ) t o 17. 1 (1980) . Bu t th e extende d prosperity o f th e period wa s ended b y a sharp downturn i n th e econom y i n 1982 ; intellectual an d som e broade r publi c opinio n wa s troubled . I n 198 8 th e single party syste m wa s challenge d b y election result s tha t lef t i n doub t th e positio n o f the PRI . Th e countr y ha d ri d itsel f o f som e chroni c politica l ills , suc h a s caudillismo, military ascendancy , an d dominatio n b y the uppe r classes . However , Mexico was still seeking an orderly polity and economic stability .

Latin America 39 7 In Centra l Americ a th e pictur e wa s mixed . I n Cost a Ric a socia l reform s piloted throug h b y Rafae l Caldero n Guardi a i n th e 1940 s an d other s b y Jos e Figueres in the 1950 s did not remove substantial economi c problems but produce d a democracy tha t ha s survive d into th e 1990s , unlik e he r neighbors—ami d muc h scholarly debat e abou t ho w thi s remarkabl e situatio n cam e about . Herculea n efforts t o creat e democrac y i n Guatemala , E l Salvador , an d Hondura s remaine d inconclusive i n thei r effects . A new elemen t wa s introduce d int o th e hemispher e wit h th e victor y o f Com munism o n a n islan d i n th e Caribbean . Cub a an d Puert o Ric o wer e th e las t remnants o f th e Spanis h empir e i n th e Americas . B y 181 7 Cub a ha d com e t o be the chie f Spanish-America n importe r o f black slaves , wh o made up about 39 % of the population, th e whites 42%, free blacks and mulattoes 20% . The importatio n of slaves continued. 74 I n succeedin g decades th e econom y boomed: by i86 0 Cub a produced one-fourt h o f th e world' s sugar ; th e railroa d buil t afte r 183 4 i n a n ar c south an d eas t of Havana was the first i n al l Latin Americ a an d one of the first i n the world. 75 A ten-yea r revolutionar y wa r fro m 186 8 t o 187 8 faile d t o wi n independence bu t helpe d induc e th e Spanis h Corte s t o pass i n 186 9 a free-birt h law; slavery was completely abolishe d i n 1886 . In 1898 , as a result of the Spanish-America n War , th e Unite d State s acquire d both Cub a an d Puert o Rico . Th e latte r becam e a territory an d late r a "common wealth" o f th e Unite d States . Cub a receive d nomina l independenc e qualifie d b y the Piat t Amendmen t (1901) , whic h provide d fo r U.S . interventio n i n certai n circumstances, unti l repeale d i n 1934 . Fro m 193 3 t o th e en d o f 195 8 Fulgenci o Batista wa s effectiv e dictato r o f Cuba . H e wa s overthrown b y a revolution le d by Fidel Castro , wh o proclaime d th e regim e t o be Communis t i n 1961 . Thereafte r Cuba belonge d t o th e Sovie t camp , thoug h Castr o mad e n o secre t o f hi s disap proval of the reformis t policie s of Gorbachev. Aside fro m th e statele t o f Grenada, ther e hav e been a t leas t tw o unsuccessfu l attempts t o sprea d Communism : i n Chil e unde r th e Marxis t president , Salvado r Allende (1970-73) , an d i n E l Salvado r b y wa y o f a prolonge d guerrill a war , a s well a s a thir d apparentl y unsuccessfu l attempt , i n Nicaragu a unde r Danie l Ortega Saavedr a fro m 197 9 unti l hi s defea t a t th e poll s i n 1990 . I n th e wak e of Castro's victor y ne w group s spran g u p mor e o r les s read y t o us e violenc e i n furthering thei r revolutionar y aims , suc h a s th e Tupamaro s i n Urugua y an d th e guerrillas i n Venezuel a an d Peru ; Ch e Guevara , a close associat e o f Castro , wa s killed whe n tryin g t o fomen t revolutio n i n Bolivia . However , althoug h Lati n American leader s ofte n used visit s t o o r fro m Castr o o r Orteg a t o demonstrat e their independenc e (o r antipathy ) i n regar d t o the Unite d States , they hav e been quite read y to suppress arme d Communis t rebel s within thei r own borders.

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The Andean Republics since 1910 Venezuela suffere d fro m th e lon g and bruta l dictatorshi p of Juan Vicent e Gome z from 190 9 t o 1935 , bu t alread y fro m th e 1920 s oi l bega n t o yiel d enormou s revenues. Afte r Gome z died in 1935 , two military men serve d as president fo r th e next decade . Th e secon d wa s overthrown b y a coup of younger officer s wh o gave the leade r o f an oppositiona l coalition , Romul o Betancourt, th e provisiona l presi dency. A ne w electora l la w grante d th e vot e t o everyon e ove r twenty-one , an d other reform s wer e rapidly—to o rapidly , a s Betancour t late r declared—enacte d or seeme d t o impend . Th e dominan t party , Actio n Democratica , electe d it s candidate, Romul o Gallegos , i n 1947 , bu t h e wa s overthrow n no t lon g afte r inauguration. Another militar y regim e wa s installed , movin g durin g th e perio d 1948-5 8 "from th e merel y deplorabl e t o th e despicable/' 76 A formidabl e coalitio n too k shape an d overthre w th e regime . Betancour t wa s electe d presiden t onc e again , and fro m th e tim e o f hi s inauguratio n i n Februar y 195 9 Venezuela , despit e it s "dreadful politica l history, installe d open competition an d fre e elections." 77 Betancourt's part y ha d aide d Castr o t o come t o power i n Cuba , bu t leftists a t first criticized hi s government an d then resorte d t o guerrilla action an d terrorism . He an d hi s successor s fough t back , an d deprivatio n o f universit y autonom y i n 1970 resulte d i n los s o f importan t leftis t base s (thoug h man y moderat e student s did no t approv e o f th e endemi c violence) . Poo r agricultura l method s an d a rura l scene dominate d b y larg e estate s wer e combate d b y a la w o f i96 0 expropriatin g holdings ove r 37 0 acre s wit h compensation , a measur e tha t ha d mixe d results . Oil wa s a dangerousl y exclusiv e pivo t o f th e res t o f th e economy , bu t th e government di d it s bes t t o diversify industr y an d exploi t ne w minera l resources , especially in Guayana i n th e east . Nevertheless i n 199 0 it coul d be argued tha t oi l brought "dee p socia l change " to Venezuela, an d a s a result " a combination o f powerful mas s organizations an d strong, skille d leadership " produced "th e oldes t an d mos t stabl e mas s democrac y in Sout h America. " I n si x consecutiv e nationa l election s powe r wa s transferre d peacefully, "th e oppositio n replacin g th e governmen t o n eac h o f th e las t fou r occasions (1968 , 1973 , 1978 , 1983)." 78 I n Decembe r 198 8 another orderl y elec tion brought Carlo s Andres Pere z to power. Colombia continue d unde r th e sam e sor t o f conservativ e government s tha t ruled i n Bogot a from 188 4 until 1930 . Modes t economic growth too k place, base d on th e expor t o f banana s an d coffe e an d som e industry . Th e Libera l part y recaptured th e presidenc y i n 193 0 with promise s of stat e actio n t o remedy socia l ills. Peacefu l election s followe d throug h 1946 . Presiden t Alfons o Lope z (1934— 38 an d 1942-45 ) le d th e eliminatio n i n 193 6 o f qualification s t o vot e base d o n

Latin America 39 9 literacy an d property , introduce d certai n economi c an d socia l reforms , an d re moved mentio n o f th e churc h fro m th e constitution . Liberal s seeme d t o hav e achieved a lasting majority . However, th e apparen t politica l tranquillit y wa s shattered . I n th e electio n o f 1946 th e Liberal s spli t thei r vot e betwee n tw o men , an d th e Conservativ e wo n with a minorit y o f ballot s cast . On e o f th e tw o Liberal candidates , Jos e Eliece r Gaitan, wa s assassinate d i n Apri l 1948 ; hi s supporter s turne d t o violence . Th e Conservative president , Marian o Ospin a Perez , killed , beat , an d intimidate d Liberals t o a point wher e they withdre w thei r candidate . Thereupon , i n Novem ber 1949 , th e pro-Fascis t an d pro-Falangis t Laurean o Gomez , newl y returne d from Franco' s Spain , chalke d u p almos t 100 % o f th e vote . Soon , however , h e turned t o repression , an d Ospin a supporter s wer e amon g hi s victims . I n 195 3 Gomez wa s overthrown, an d hi s militar y replacemen t wa s i n tur n remove d fro m office fou r year s later . From 194 8 to the late 1950 s "La Violencia" (th e violence) as Colombians cam e to call it , involve d guerrill a actio n undertake n o r supporte d b y the tw o parties— Liberal an d Conservative—rathe r tha n clas s struggl e an d a mixtur e o f motive s that def y eas y characterization . Certainly , "L a Violencia " brough t abou t th e deaths o f many—a t leas t on e hundre d thousand—an d destroye d muc h prop erty.79 I n 195 7 a curiou s agreement—th e Declaratio n o f Sitges—wa s reache d between th e tw o parties unde r whic h the y would alternat e i n th e presidency an d share offices , an d whic h woul d establis h a syste m i n whic h a two-third s vot e i n Congress woul d b e require d o n al l matter s o f substance . Thi s agreemen t wa s then approve d by plebiscite. On thi s basi s th e Libera l Albert o Llera s Camarg o becam e th e first president , and th e agreemen t o n th e presidency wa s kept unti l i t expire d in 1974 . Colombi a enjoyed a talente d elite , skille d a t recruitin g fro m th e growin g middle class , an d able t o avoid military dominance . Sh e continue d t o suffer fro m som e of the sam e economic ill s tha t bese t neighborin g countries , suc h a s latifundios little touche d by land refor m an d minifundios in which farmin g methods were inefficient beyon d belief. However , sh e wa s afflicte d wit h a level o f violence peculia r t o herself; i n the 1960 s "L a Violencia " o f earlie r time s wa s joined b y a ne w phenomenon — urban terrorism . B y th e 1980s , dru g trafficker s ha d becom e stron g enoug h i n scale to assassinate officials wit h impunit y an d drench muc h o f society in corrup tion. Th e electio n o f Liberal Virgili o Barc o Varga s i n 198 6 brought int o bein g a single-party governmen t afte r prolonge d coalitio n rule , heade d b y a ma n deter mined t o break th e power of the drug lords. Ecuador los t territory t o Brazil in 190 4 and t o Colombia in 1916 , and yielded a large chun k t o Per u b y treat y i n 194 2 thoug h it s leader s subsequentl y an d repeatedly denounce d it . It s econom y was very weak, it s political histor y bizarre .

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For years Jose Maria Velasco Ibarra was the central figure. "Th e archetyp e of the demagogue/' h e wa s exper t a t manipulatin g nationalis t slogans . H e wa s electe d president i n 1933 , 1952 , i960 , an d 196 8 an d seize d powe r i n 1944 , bu t onl y finished one of those terms . Between 194 8 an d i96 0 thre e civilia n administration s manage d completion , and many hope d th e influenc e o f the military ha d receded ; it was not t o be so. I n Shafer's words , "whe n th e junt a o f 196 6 wa s ousted , tha t wa s th e twelft h unscheduled chang e i n administratio n sinc e 1931." 80 A land-refor m la w too k effect i n 196 5 and withi n a decade ha d begu n t o have palpable results . However , continued militar y ascendanc y an d politica l instabilit y lef t th e immediat e pros pects cloudy . The tur n o f th e centur y foun d Per u i n th e throe s o f tryin g t o conten d wit h nascent labo r problems . I n 1915-1 9 Presiden t Jos e Pard o manage d t o ge t som e laws enacte d regardin g chil d an d femal e labor , bu t enforcemen t prove d difficult . Students a t th e Universit y o f Lim a joined worker s i n a general strik e i n Januar y 1919, which failed . In 192 4 Victor Raul Haya de la Torre founded th e Alianza Popular Revolucion aria American a (APRA) ; th e announcemen t wa s mad e i n Mexic o an d wa s in tended t o creat e a movemen t embracin g th e whol e continent— a hop e neve r realized. I n Peru , however , thi s semi-Marxis t (bu t no t Communist ) grou p at tracted a considerabl e following . I n th e electio n o f 1931 , th e first unde r a ne w law enablin g al l literat e male s ove r twenty-on e t o vot e an d t o d o s o b y secre t ballot, APR A cam e i n a respectabl e secon d t o Colone l Lui s Sanche z Cerro . Apristas no w openly advocate d rebellio n and , respondin g t o governmental repres sion, resorte d t o violence. Hay a was imprisoned an d the n exiled . Sanchez Cerr o wa s assassinate d i n 1933 , bu t hi s successo r Osca r Benavide s continued hi s policies . Banne d fro m 193 1 t o 1945 , APR A i n a "fairl y fre e election" wo n a majority i n th e lowe r hous e an d hal f o f the Senate ; "understand ing that i t woul d no t b e allowed t o elect Hay a de la Torre," i t used a cover nam e for itsel f an d joine d i n a coalitio n behin d Jos e Bustamante. 81 However , th e military overthre w hi m i n 1948 . APR A remaine d illega l unde r a regim e tha t promoted economi c development an d even granted wome n th e vote in 1955 . Thereafter APR A ha d politica l up s an d downs . Hay a toppe d th e pol l fo r th e presidency i n 1956 , bu t Congress , exercisin g it s prerogativ e t o choos e betwee n the tw o leadin g candidate s i f non e receive d one-thir d o f th e votes , electe d Fer nando Belaund e Terry , a charismatic figure ne w t o politics. H e pushe d throug h Congress a mil d land-refor m la w i n 196 4 bu t a yea r late r loose d th e arm y o n leftist guerrillas , whic h largel y disperse d them . Bu t h e di d no t satisf y th e mili tary, whic h seize d control in 1968 . The Peruvia n military , considere d "bourgeois " b y th e Lef t an d leftis t b y th e

Latin America 40 1 Right, hel d swa y fo r a generation. 82 Th e junt a declare d th e ai m o f a "nationa l revolution." I t proceede d t o distribut e eleve n millio n acre s o f land— a partiall y successful measur e tha t brok e th e bac k o f th e ancien t latifundio but lef t man y small farmer s i n poverty—an d pursue d a progra m o f economi c nationalism , seizing foreig n interest s an d insistin g o n Peruvia n holdin g of a majority o f stoc k in foreig n companies . General Juan Velasc o Alvarado headed th e military regim e fro m 196 8 to 1975 , when a coup replaced hi m b y General Francisc o Morale s Bermudez, a man mor e supportive of private enterprise . A Constituent Assembl y successfull y produce d a new constitutio n i n Jul y 1979 , an d th e sophisticate d civilia n Belaund e wa s returned t o the presidency i n th e 198 0 elections. I n 198 5 APRA's dynamic young candidate, Ala n Garci a Pere z (Hay a ha d die d i n 1979) , brough t tha t part y t o th e presidency fo r th e first time . H e had t o contend with th e mindless violence of th e Maoist guerrill a grou p Sender o Luminos o (shinin g path ) an d grav e economi c problems. In Chil e th e 191 8 congressional election s swun g th e countr y somewha t t o th e left, followe d b y th e 192 0 electio n a s presiden t o f Artur o Alessandri , a n Italia n immigrant's so n wh o ha d transforme d himsel f fro m a conservativ e lawye r int o a spokesman fo r th e lower classes. Th e Liberal Alliance for thre e parties (Radicals , Liberals, an d Democrats ) ha d a majority i n th e Chambe r o f Deputie s bu t no t i n the Senate , whic h blocke d muc h o f Alessandri' s reformis t program . H e wa s forced ou t o f office i n 192 4 by a military coup ; the following yea r he was recalle d by Major Carlo s Ibanez , leade r o f another coup ; he accede d afte r bein g promised a new constitution . One was adopted: it separate d churc h an d state , provide d fo r direc t electio n of the president , an d mad e th e cabine t responsibl e t o the president. Bu t Alessandr i was compelle d t o resig n onc e again . Ibane z becam e dictator-presiden t an d spen t a grea t dea l o f mone y o n modernization , whic h earne d hi m th e titl e o f th e first Latin America n practitione r o f authoritaria n reformism , o r "democrati c Caesar ism." 83 The Grea t Depressio n brough t hi m down; he was forced i n tur n t o resign in 1931 . Alessandri wa s soo n electe d onc e mor e an d fro m 193 2 t o 193 8 played a more centrist par t tha n before . Leftists , respondin g t o th e Mosco w Comintern' s cal l for Communis t collaboratio n wit h othe r leftist s agains t th e Nazis , produce d a Chilean Popula r Front , combinin g five parties wit h th e ne w workers ' confedera tion. I t narrowly won the elections of 1938 , electing the right-wing Radical Pedr o Aguirre Cerda , bu t Congres s wa s i n th e hand s o f th e opposition . Th e Popula r Front accomplishe d littl e an d fel l apar t whe n Aguirr e resigne d fo r reason s o f health i n 1941 . Women wer e grante d suffrag e i n 1949 . Literac y an d ag e qualifications limite d

402 Freedom:

A History

the electorate , thoug h literac y reache d 80 % i n i96 0 (an d staye d there) . Chil e faced sever e economi c problems , an d th e post-194 1 president s wer e unabl e t o make headwa y i n dealin g wit h them . Ne w politica l group s sough t vote r support : FRAP ( a leftis t formatio n datin g fro m 1956 ) an d a Christia n Democrati c part y (PDC) with roots reaching back to the 1930 s but newly renamed and reorganized . In 195 8 Arturo' s so n Jorg e Alessandr i narrowl y wo n th e presidency , wishin g to appl y free-enterpris e solution s bu t failin g t o resis t pressure s tha t frustrate d them. I n th e "quie t an d fair " electio n o f 196 4 th e PD C leader , Eduard o Frei , received a majority o f th e vote. 84 H e strov e fo r "Chileanization " a s a remedy fo r the country' s economi c ills , meanin g no t necessaril y nationalizatio n bu t mor e extensive indigenou s ownership . H e achieve d onl y modes t successe s an d wa s accused of subservience t o the Unite d States . In 197 0 a Chilea n electio n shoo k th e whol e hemisphere . Salvado r Allende , a Socialist85 runnin g o n behal f o f a coalitio n calle d popula r Unit y (UP : Commu nists, Socialists , Radicals) , wo n 36.3 % of th e vote , th e center-righ t Alessandr i 34.9%, th e PD C Radomi r Tomi c (Fre i wa s barre d b y th e constitutio n fro m running again ) 27.8% . Allend e believed in socializatio n o f the economy by stages, and declare d tha t "neithe r socialis m no r communis m wa s a cree d fo r despotis m —which raise d doubts about either hi s candor or his understanding of the natur e of communist regimes." 86 During his presidency, lan d refor m attaine d breaknec k speed; mos t farm s o f mor e tha n tw o hundre d acre s wer e expropriate d an d con verted int o state-controlle d cooperatives ; man y lan d seizure s b y radica l group s also took place. Th e resul t wa s rapi d declin e i n agricultura l output . Nationaliza tion o f mining , industry , an d publishin g proceede d rapidly , wit h som e suppor t from th e traditiona l elites . However, problem s bega n t o multiply. Inflatio n leape d upwar d t o exceed 30 0 percent; th e nationa l deb t ros e sharply . Mountin g turbulenc e climaxe d i n Sep tember 197 3 when th e Chilea n military , previousl y prou d o f its apolitical reputa tion, intervened . I t overthre w Allende , reporte d hi m a suicide , an d installe d a new governmen t heade d b y Genera l August o Pinoche t Ugarte , "probabl y wit h the suppor t of a majority o f Chileans." 87 Chil e soo n was in th e grip of "one of the harshest dictatorship s o f th e contemporar y world, " thoug h sparta n policie s ef fected a shift "fro m a state-supported, import-substitutin g industrialization mode l to a n export-oriente d econom y wit h lo w tarif f barrier s an d fe w governmen t subsidies" 88 —and lo w inflation . I n 198 8 Pinoche t attempte d a plebiscit e an d lost. I n Decembe r 198 9 th e Christia n Democrat , Patrici o Aylwin , wa s electe d president, an d Chilea n democrac y seeme d t o have been restored .

Latin America 40 3 Argentina, Paraguay, and Uruguay since 1910 YrigoyerTs happ y inauguratio n i n 191 6 bega n a fourteen-yea r perio d o f Radica l power. Th e Argentin e presiden t firs t reache d som e degre e o f accommodatio n with organize d labo r an d then , afte r a genera l strik e i n Januar y 191 9 (whe n the arm y ha d t o intervene) , pulle d back . Th e arm y becam e increasingl y profes sionalized an d th e office r corp s bette r educated . Yrigoyen , super b a s a candidat e for offic e bu t ver y poo r a s a n administrator , returned , afte r a n interval , fo r a second ter m i n 1928 . Th e Grea t Depressio n mad e hi s incompetenc e intolerable , and a cou p le d b y Genera l Jos e Uribur u remove d hi m i n 1930 . I t wa s "th e end o f th e constitutiona l continuit y tha t ha d laste d fo r 6 8 year s an d als o th e end o f th e lon g perio d o f economi c expansio n base d o n th e expor t o f ra w mate rials." 89 The conservative s no w hel d powe r fo r thirtee n years , unti l 1943 . Uribur u aspired t o hea d a corporativ e o f Fascis t regime . H e wo n littl e support , an d General Agustin Justo was elected—narrowly, eve n though th e Radical candidat e had bee n disqualified—a s candidat e o f th e coalitio n o f Nationa l Democrat s (conservatives), Antipersonalis t Radicals , an d Independen t Socialists , terme d th e Concordancia. Justo' s successor s ha d t o contend wit h Worl d Wa r II . Ther e wa s support fo r th e Axi s amon g officers an d outsid e pressur e fro m th e Allies ; Argentina remaine d neutral . I n Jun e 194 3 th e arm y overthre w Presiden t Ramo n Castillo. After a confuse d perio d o f transition , Colone l Jua n Doming o Pero n ros e t o power. Athlete , scholar , middle-clas s graduat e o f th e militar y academy , h e ha d admired Naz i an d Fascis t achievement s whil e servin g in Europ e an d wa s willin g to imitate particular method s of theirs without seekin g to duplicate thei r systems . As Secretar y o f Labor , h e shrewdl y buil t u p worke r suppor t b y promis e an d performance, resultin g i n a n enormou s increas e i n organize d labor—fro m 10 % of the labor force in 194 3 to 60% in 1951—an d a great number of new supporter s of the government. Identifyin g himsel f wit h th e so-calle d shirtles s (descamisados), he declared tha t Argentin a wa s (i n 1946 ) " a countr y o f fat bull s an d undernour ished peons." 90 Peron achieve d immens e popularity . H e fixed wages , prices , an d rent s b y decree, expande d th e welfar e system , mobilize d smal l gang s o f tough s i n som e circumstances an d larg e mob s i n other s t o frighte n opponents . I n a complicate d series of maneuvers, h e rose to a position fro m whic h h e could win th e presidenc y as candidate of a new Labor party in Februar y 1946 . As El Lider he and his gifte d mistress, Ev a (ofte n calle d Evita) , who m h e marrie d jus t afte r th e crisi s o f October 1945 , rode on a wave of nationalism t o great power . In 194 9 a new constitution wa s introduced; i t provided fo r woman suffrage , a n

404 Freedom:

A History

enhanced rol e fo r government , an d immediat e reelectio n o f th e president . Pero n in fac t receive d a second term , 1952-58 , durin g whic h hi s policies became mor e conservative, partl y as a result of Eva's death in 1952 . His regime was authoritar ian rathe r tha n totalitarian . H e use d intimidatio n agains t th e opposition , bu t i t could stil l operat e openl y i n Congres s an d elsewhere ; h e purge d th e Suprem e Court afte r a vote i n th e Chambe r approvin g suc h action ; h e used a heavy han d on th e pres s an d th e universities . Nevertheles s oppositio n deputies , professors , and student s continue d t o criticize hi s government . Argentina ha d th e mos t advance d econom y i n Lati n America , bu t governmen tal cost s ros e high . Taxe s wer e raise d tha t wer e hardes t o n th e poo r (despit e Peron's populism) , an d th e agricultura l secto r wa s badl y exploited . Th e damag e Peron did t o the econom y helped lea d to his downfall, bu t th e precipitating facto r was hi s anticlerica l policy , whic h offende d par t o f th e military . The y remove d him fro m offic e i n Septembe r 1955 . Argentina had a population mor e than 9 0 percent literate, th e highest standar d of livin g in Lati n America , an d th e clea r lea d i n modernizatio n sout h o f th e Ri o Grande. Bu t th e tw o decade s tha t followe d Peron' s overthro w brough t neithe r resumed economi c growt h no r restore d politica l order . A series of military dicta torships ensued , severa l o f whic h sough t t o reestablis h constitutiona l govern ment. I n 197 3 Peronistas gathere d strengt h an d at length manage d to elect Pero n himself presiden t onc e more ; he laste d onl y a few month s an d died i n July 1974 , leaving his wife t o succeed him fro m th e vice-presidency. Isabel (s o called, thoug h he r nam e was Mari a Estela ) Martine z d e Peron trie d to master th e politica l turbulenc e an d failed ; a group of officers overthre w he r i n March 1976 . I n 198 2 th e militar y regim e blundere d int o a wa r ove r th e Falk lands/Malvinas b y seizin g th e island s an d the n wer e humiliate d b y sufferin g expulsion a t British hands . I n th e wake of this needless disaster, th e lawyer Rau l Alfonsin wa s elected presiden t i n Octobe r 1983 , and th e Radical s won a majorit y in Congress . H e di d hi s bes t t o wrestl e wit h th e man y economi c an d politica l problems h e inherite d bu t lef t behin d a n econom y i n disarray . Th e Peronist a candidate, Carlo s Sau l Menem , surprise d n o one b y bein g electe d i n Ma y 198 9 but surprise d almos t everyone by inaugurating a tough economi c policy of the sor t that ha d yielded spectacular success in Chil e and Bolivia. Paraguay remaine d poo r an d obscure . Th e Chac o regio n wa s th e subjec t o f a dispute wit h Bolivi a tha t erupte d int o wa r i n 1932—35 , endin g i n a treat y b y which Paragua y gaine d much o f the conteste d territory , bu t th e war had impose d heavy burden s o n a n alread y poo r population . On e dictato r succeede d another . For thirty-five year s beginning in 1954 , General Alfredo Stroessne r hel d power in "a countr y tha t i n man y way s remaine d i n th e nineteenth-centur y Ag e o f th e

Latin America 40 5 Caudillos."91 However , i n Februar y 198 9 Genera l Andre s Rodrigue z overthre w him i n a militar y cou p an d i n Ma y wa s overwhelmingl y electe d t o a four-yea r term a s president, promisin g a transition t o democracy. In th e twentiet h centur y Urugua y starte d bette r tha n Paragua y bu t seeme d t o be finishing worse . Jos e Batll e y Ordonez wa s presiden t fo r tw o term s bu t ha d a decisive influenc e whethe r h e wa s i n offic e o r not . H e finally pushe d throug h a constitutional refor m i n 191 7 creatin g a modifie d collegiat e executiv e (sinc e h e admired th e Swis s system ) bu t on e directly electe d b y the voter s rathe r tha n th e Congress. Th e refor m introduce d proportiona l representatio n (th e part y comin g in first wa s t o receiv e two-thirds , tha t i n secon d plac e one-thir d o f seat s i n Congress an d a Nationa l Counci l o f Administration ) an d sharpl y separate d churc h (which had very little influence i n Urugua y anyway) and state. Batll e nationalize d utilities, muc h industry , an d man y banks . H e bega n t o nationaliz e railroad s (completed i n 1948) . A welfar e system , whic h include d a n eight-hou r workda y and acciden t an d old-ag e insurance , mad e th e countr y unusua l indee d o n th e continent, thoug h Montevide o benefite d muc h mor e tha n th e countrysid e fro m such measures . To head of f a Blanco coup, Presiden t Gabrie l Terra wit h ai d from th e militar y carried ou t a coup that resulte d i n th e constitution o f 1934 . Women ha d receive d the vot e i n 1932 ; voting was no w compulsor y fo r bot h sexes . Th e administrativ e council wa s abolished . A full y collectiv e executiv e wa s create d i n 1951 . I t ha d nine members , si x fro m th e part y winnin g th e mos t vote s an d thre e fro m th e runner-up, th e chairmanshi p ("president" ) rotatin g amon g th e majorit y group . The populatio n stabilized , lif e expectanc y wa s high , literac y exceede d 90 % an d embraced eve n th e campesinos. But th e Colorado s coul d no t rul e forever . Economi c stresse s multiplied ; th e export o f wool and mea t coul d no t pay for everything . I n 195 8 a Blanco presiden t was elected; som e headway wa s made agains t inflation . I n 196 2 the party wo n by a much reduce d margin; in 196 6 Colorados regaine d power , an d th e voters ende d the collegiate executive s o that Genera l Osca r Gestid o was a real president . However, problem s multiplied . Th e econom y remaine d i n poo r shape . Th e revolutionary grou p called Tupamaro s (name d afte r Tupa c Amaru , th e las t Inca ) carried ou t terroris t action s deliberately intende d t o destroy th e system—eve n b y provoking foreign intervention . Leftist s forme d a Broad Fron t tha t frightene d th e military, an d others , b y th e siz e o f th e vot e i t gaine d i n 1971 . Th e militar y virtually suppresse d th e Tupamaros , too k a n increasingl y activ e rol e i n politics , and fro m 197 3 wer e operatin g a n authoritaria n government . Urugua y wa s a n immense disappointment t o those wh o saw in i t a model welfare stat e tha t other s ought t o emulate.

406 Freedom:

A History

Brazil since 1914 The Brazilia n militar y playe d a prominen t rol e fro m th e tim e th e republi c wa s established i n 1889 , and th e dominant politica l elements wer e the fazendeiros, the owners of great coffe e plantations . However , othe r force s gathere d som e strengt h around th e tim e o f Worl d Wa r I . I n 191 6 severa l group s merge d t o for m a Brazilian Socialis t party , an d fro m 191 9 o n som e modes t labo r legislatio n wa s pressed. I n th e 1920 s Sao Paulo overtook Rio de Janeiro as the center of industrial growth, bu t Ri o ha d mor e o f it s childre n i n school . Th e nationa l literac y rate , however, wa s only 30 % in 1920 . Religiou s miracles an d prophets complicate d th e political scene ; dissatisfaction wit h th e oligarchy an d nationalis t idealis m cam e to affect man y of the younger officers o f the military . In 193 0 th e demand s fo r refor m cam e t o a head , finding thei r cente r i n th e state o f Ri o Grand e d o Su l an d it s governor , Getuli o Vargas . H e becam e th e candidate of a Liberal Alliance and won 1. 1 millio n votes, though the incumbent' s chosen candidate was declared th e winner with 1. 9 million. A rebellion too k place in Octobe r amon g th e officer s (an d th e enliste d me n wh o followe d them ) o f several provinces, an d in consequence th e military in general deserted th e regime. A three-ma n junt a replace d it , bu t Varga s mad e hi s wa y slowl y nort h t o Ri o de Janeiro and became president. H e held th e post for a total of fifteen years. Much o f tha t tim e h e rule d a s a dictator ; however , "h e di d no t establis h a police state , an d hi s forgivenes s o f enemie s wa s legendary/' 92 Durin g th e year s 1930-45 h e mad e th e federa l governmen t decisivel y superio r t o th e state s an d promoted economi c nationalism an d industrial growth . H e demonstrated consum mate politica l skill , usin g th e younge r officer s extensivel y bu t listenin g t o everyone. Withi n week s h e dispense d wit h Congress , th e stat e legislatures , an d governors—whom h e replaced , i n mos t states , b y interveners. Th e bi g planter s and industrialist s o f Sa o Paulo conspired t o overthrow Vargas , launchin g a revolt in Jul y 1932 ; Vargas crushe d i t bu t treate d th e vanquishe d ver y gently. H e the n had a Constituen t Assembl y electe d tha t prepare d a ne w constitution , hewin g rather closel y t o th e syste m o f th e 1.89 1 document . Th e Constituen t Assembl y turned itsel f int o Chamber o f Deputies. A Communist party , le d by Luis Carlo s Prestes , mad e itself hear d on th e left , while a new Integralist a part y emerge d o n th e right . I n 193 5 Vargas replie d t o a Communist cal l fo r revolutio n b y outlawin g th e party . A ne w Constitutio n o f 1937, bearin g littl e resemblanc e t o a rea l constitution , establishe d a n Estad o Novo (Ne w State) , i n whic h th e presiden t wa s t o rul e b y decree. Al l legislativ e bodies wer e dissolved , th e politica l partie s an d state s cease d t o exist , th e stat e militias were incorporated int o the national army , an d interventors responsibl e t o the presiden t permanentl y replace d stat e governors. 93 I n 193 8 th e Integralista s

Latin America 40 7 attempted a coup against Vargas ; they faile d an d wer e largel y suppressed . Varga s had deal t wit h bot h politica l extremes , an d Worl d Wa r I I soo n gav e furthe r reason fo r governmen t b y decree. Under Varga s Brazi l mad e progress , bu t mor e strikin g wa s th e growt h o f bureaucracy an d th e assumptio n o f governmen t responsibilit y i n th e socia l an d economic fields. Illiterac y wa s reduced , bu t i n 197 0 it wa s stil l no t muc h unde r 40%. I n 194 5 three-quarter s o f employe d Brazilian s wer e stil l i n agricultura l o r pastoral sector s o f th e economy , an d th e countr y remaine d extremel y dependen t on export . Nevertheless , industr y mad e considerabl e headwa y i n th e Varga s period. In 194 5 Vargas announced elections . Hi s followers organize d no t one party bu t two: the Brazilia n Labo r party (PTB ) an d th e Socia l Democrati c part y (PSD) . An anti-Vargas Democrati c Nationa l Unio n (UDN ) als o took shape. Ther e wer e now nearly si x millio n voters , literat e wome n havin g bee n adde d t o literat e men . General Euric o Dutr a wa s elected , Varga s retired , an d a Constitutio n o f 194 6 restored th e parties , states , stat e legislatures , an d stat e flags tha t th e so-calle d Constitution o f 193 7 ha d abolished . Th e Communis t party , th e larges t i n th e hemisphere, havin g announced tha t i t would fight for th e USS R i n th e even t of a war with Brazil , wa s suppressed a s the result of a decision by the Supreme Court , pressured b y an embarrassed Dutra . In general , however , a ne w perio d o f politica l participatio n an d activit y en sued. Varga s no w reappeare d i n politic s a s a friend o f representative governmen t and th e poor , an d wa s electe d presiden t agai n i n 1950 . Inflatio n an d othe r economic problem s bedevile d th e ne w Varga s government . Finally , i n 1965 , a murder o f a n ai r forc e majo r wa s trace d t o Vargas' s bodyguard ; i n Augus t hig h officers too k th e evidenc e t o Varga s an d demande d hi s resignation . Instea d h e committed suicide . After a brie f perio d o f confusion , th e governo r o f Mina s Gerais , Juscelin o Kubitschek, wa s electe d presiden t (wit h onl y 36 % of th e vote) . Fo r five years h e spent mone y freel y t o encourag e economi c development , a polic y symbolize d b y the buildin g o f a ne w capital , Brasilia , i n th e interior . Bu t h e ignore d inflatio n and corruption. I n i96 0 th e revulsio n a t both thes e chronic ills led to the electio n of Janio Quadros, governo r o f Sa o Paulo. A s president h e wa s hones t bu t incom petent, an d th e astonishin g achievemen t o f electoral victory by anti-Vargas force s after thirt y year s o f being out o f office ebbe d awa y t o nothing; Quadro s resigne d in 1961 .

The vice-president , Joa o Goulart , wh o ha d bee n Vargas' s proteg e an d pre sumed successor , wa s allowe d t o retur n fro m abroa d an d succeed Quadro s onl y on acceptin g a constitutiona l amendmen t establishin g a parliamentar y system , under whic h th e president ha d little power an d the prime minister much. Never -

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theless, withi n a year Goular t ha d regaine d th e forme r power s o f th e presidenc y via plebiscite , bu t h e rapidl y alienate d th e militar y an d th e propertie d elit e b y turning t o th e left , proposin g radica l divisio n o f th e grea t estate s an d othe r measures, suc h a s suffrag e fo r illiterate s an d enliste d men . I n Apri l 196 4 th e military overthrew him . Marshal Humbert o Castell o Branco , forme r arm y chie f o f staff, becam e presi dent an d institute d indirec t electio n o f th e presiden t an d reductio n o f politica l parties t o two . Severa l militar y leader s followe d him , non e fo r long . Unde r military rule , economi c growt h t o a point som e wer e callin g a n "economi c mira cle" took place, bu t th e regim e was repressive an d brutal wit h th e opposition . In 198 5 the electoral colleg e chose the governor of Minas Gerais and candidat e of the opposition party, Tancred o de Almeida Neves, a s the first civilian presiden t since 1964 . However , h e fel l il l an d die d befor e h e coul d assum e office . Vice President Jos e Sarney , leade r o f a dissident factio n o f th e rulin g part y tha t ha d joined wit h th e oppositio n t o support Neves , too k over. Hi s governmen t restore d direct presidentia l election s an d gav e the vot e t o illiterates. However , Brazi l wa s afflicted b y mountainous economi c problems : a gigantic foreig n debt , hig h infla tion, muc h increase d unemployment , an d a stagnan t gros s nationa l product . Much o f th e populatio n ha d no t ye t bee n draw n int o th e politicall y concerne d o r active citizenry . Th e fazendeiros an d militar y ha d no t bee n decisivel y replace d a s arbiters o f the nationa l destiny . I n Octobe r 198 8 a new constitutio n wa s promulgated. I n Decembe r 1989 , a conservativ e candidate , Fernand o Collo r d e Mello , edged ou t a radical ; h e plunge d ahea d wit h neede d reform . I n Brazi l freedo m flickered like a candle—now bright , no w dim. Conclusion Robert Shafer , writin g i n 1977 , discerne d five kind s o f politica l group s i n Lati n America: thos e who preferred evolutio n t o revolution a s the way of progress; those concerned onl y fo r lessene d "dependency" 94 o n th e Unite d State s an d othe r outside forces ; thos e inten t o n economi c developmen t b y whateve r method s at tained; thos e interested i n socia l justice alone ; those who "think th e ultimat e tes t is whether Lati n America has open or closed societies, democracy or autocracy." 95 Those five groups overlap, an d i t i s not necessar y t o confine one' s preoccupation s to a single value—political, legal , economi c (o r intellectual o r spiritual, a congeries o f value s Shafe r doe s no t mention) . Wha t on e ca n affir m wit h confidenc e i s that unles s freedo m i n al l th e realm s i s reasonabl y wel l secure d i n an y give n country o f Latin America , th e prospects fo r prosperity , economi c growth , huma n rights, an d happines s wil l remain clouded . The economie s o f Lati n Americ a hav e suffere d fro m severa l ills : runawa y

Latin America 40 9 inflation (recentl y nearin g 2,000 % i n Brazil) , th e heav y burde n o f foreig n deb t (for whic h reckles s America n banker-lender s mus t shar e th e blam e wit h Lati n American borrowers) , an d populatio n growt h s o rapid tha t i t overtake s effort s a t social welfare . Th e continen t ha s place d muc h fait h i n industrialization , an d government interventio n t o haste n i t ha s no t alway s bee n successful . I t ha s recognized th e desirability of land reform, seldo m with th e strength t o accomplish it o n an y significan t scal e o r th e skil l t o carr y i t ou t wisely , thoug h Mexico , Bolivia, an d Cuba have done so roughly and without compensatio n an d Venezuel a is doin g s o wit h th e mone y t o repa y estat e owners . Fo r th e rest , th e grea t hacendados/fazendeiros remai n i n th e saddle, whil e th e India n an d othe r peasant s continue t o b e outsid e th e moder n world—leavin g asid e th e questio n whethe r they prefer t o remain so . As fo r politics , th e pictur e i s mixed . Governmenta l centralizatio n ha s broke n down th e rul e o f loca l an d regiona l despot s unde r variou s name s an d title s an d immensely strengthene d th e nationa l executives . Th e suffrag e ha s bee n ex tended, wit h eliminatio n o f property, literacy , an d gender qualifications. Politica l parties hav e take n variou s form s bu t i n genera l hav e becom e a settle d featur e o f the politica l landscape . Th e depressin g phenomeno n ha s repeatedl y surface d o f the goo d candidate wh o is a bad president: fo r example , Yrigoye n i n Argentin a o r Velasco Ibarra i n Ecuador . Eve n th e good president, whe n h e or she appears, ha s grave difficulty i n unitin g th e citizenr y o r imparting t o it an y share d visio n of th e nation's future . The weigh t o f th e militar y i n Lati n America n histor y sinc e independenc e ha s been enormous . Otherwis e i t migh t hav e bee n possibl e t o avoi d o r shorte n suc h prolonged, devastating , an d ultimatel y inconclusiv e conflict s a s th e Wa r o f Para guay agains t Argentina , Uruguay , an d Brazi l (1865—70) , th e Wa r o f th e Pacifi c (1879-84) betwee n Chile , Peru , an d Bolivia , an d th e Chac o Wa r (1932-35 ) between Bolivi a an d Paraguay ; and , a t leas t a s important, t o prevent th e militar y coups tha t mad e a mocker y o f constitutiona l an d democrati c processe s s o ofte n and i n s o man y countries—despit e th e fac t tha t militar y rul e wa s no t alway s worse tha n civilia n rul e an d tha t general s wer e sometime s als o effectiv e reform ers. Th e preponderan t Roma n Catholi c churc h retain s it s hol d o n th e grea t majority an d politically has retreated fro m quit e unequivocal suppor t of traditional orders t o an apolitica l stance , encouragemen t o f liberal reform , or , wit h increas ing frequency, a n astonishin g leftist radicalism . Many attempt s hav e bee n mad e t o cas t a balanc e shee t regardin g whic h political trend s ar e i n th e ascendant : i n recen t decade s severa l militar y coup s have displaced civilia n governments, an d certain countrie s have seen long, painfu l histories o f struggl e fo r democrac y seemingl y reverse d an d a t leas t temporaril y forgotten. Nevertheless , a t th e tur n o f th e las t decad e o f th e twentiet h century ,

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the advanc e o f democrac y i n Lati n Americ a wa s clearl y th e prevailin g current , whether o r no t i t wa s t o b e long-lasting . A recen t assessmen t wa s tha t "i t wa s evident tha t th e long-rang e tren d i n Lati n Americ a wa s toward mor e governmen t by law and b y the people/ 9 6 Fo r a continent an d a half tha t ha s faced immensel y difficult problem s o f multiethni c populations , colonia l an d foreig n oppressio n (along wit h benefits) , an d delaye d o r attenuate d developmen t o f nationa l con sciousness—through whic h alon e s o many problems of th e moder n worl d appea r capable o f bein g addressed—tha t statemen t migh t occasio n som e satisfactio n with th e present o r even optimism fo r th e future .

Conclusion

Freedom—or pluralisti c society , constitutiona l government , o r democracy—is , to be sure , no t th e onl y valu e i n th e socia l o r politica l context . I t ha s no t protecte d the societie s o f th e Wes t an d Japa n fro m th e sufferin g an d destructio n o f war , the miser y an d wan t o f economi c depression , th e discriminatio n o r oppressio n that ha s afflicte d minorities—racial , ethnic , religious , o r o t h e r — t h e miscarriag e of justice fo r individual s o r groups , th e unjus t deprivatio n o f propert y o r unrea sonable restriction s o n it s use , th e inefficienc y an d incompetenc e o f bureaucra cies, th e lac k o f courag e o f publi c officials . Free societie s hav e no t eliminate d individua l o r grou p fear s an d hatreds . The y have faile d t o inculcat e i n al l thei r inhabitant s respec t fo r thei r fello w citizens , a readiness t o compromise o r t o accept defea t i n legall y conducte d politica l struggle , to bea r privat e burden s fo r th e publi c good , th e habi t o f gratitud e o r prais e whe n long-denied justic e i s finally done , th e acceptanc e o f civilit y a s th e standar d governing al l publi c discours e n o matte r wit h ho w despise d a n enemy . Man y citizens o f a democracy fit th e followin g description : He enjoy s th e libertie s har d wo n ove r centurie s b y the allianc e o f philosophi c geniu s an d political heroism , consecrate d b y th e bloo d o f martyrs ; h e i s provide d wit h comfor t an d leisure b y th e mos t productiv e econom y eve r know n t o mankind ; scienc e ha s penetrate d the secret s o f natur e i n orde r t o provide hi m [wit h th e roc k musi c h e i s listenin g to ; an d yet muc h o f th e teen-age d an d twentie s generatio n i s entirely absorbe d i n thi s subcultur e of the subnormal.] 1 T h e passag e refer s t o a n adolescent , bu t it s substanc e ma y appl y t o an y adul t wh o may hav e cease d t o liste n t o roc k (i f h e o r sh e eve r did ) bu t i s unawar e o f hi s o r her blessings , politica l an d economic , an d ho w the y cam e about . Ou r educationa l 411

412 Freedom:

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system needs t o be better; a t present an y survey, n o matter ho w superficial, yield s examples of absurd misconception s an d horrifying ignorance—partl y becaus e th e subjects surveye d ar e currentl y taugh t onl y ver y poorl y o r no t a t all . Bu t eve n i f our school s wer e improved , i t woul d remai n tru e tha t th e youn g d o no t under stand th e travail s an d sacrifice s o f previou s generations—o f cours e the y neve r do, althoug h i t i s possibl e tha t America n yout h di d respec t the m more , say , a half-century ago . Part o f wha t scandalize s th e educate d perso n abou t al l thi s applie s chiefl y t o the Unite d States , bu t par t i s commo n t o al l democrati c countrie s an d result s from a surfei t o f prosperity , technologica l wonders , an d labo r saving . Th e bes t that ca n b e sai d o f the m is , t o paraphrase Winsto n Churchill , tha t the y ar e th e worst possibl e societie s excep t fo r al l th e others ; or , fro m anothe r angle , the y provide th e instrument s t o b e preferre d ove r al l other s know n t o human s fo r correcting ills, offering hop e for economi c betterment, an d living in peace. The view of history se t forth i n thi s book is based on the recognition tha t ther e are al l sort s o f societie s an d a variety o f paths o f development tha t a societ y may follow. A few example s ma y help. Bot h Russi a an d Chin a bega n wit h protoplur alistic societie s and became monist fo r centurie s befor e movin g in th e direction of pluralism again , fel l bac k int o tota l monism , i n th e las t year s showin g renewe d shoots o f pluralism . A s fo r Italy , i t enjoye d republica n institutions , nex t a n autocratic empir e too k ove r the n graduall y disintegrated , the n semifeuda l insti tutions existe d fo r som e tim e an d yielde d t o a gradual process o f unificatio n an d democratization—from roug h pluralis m t o monism t o complete pluralism. Begin ning much later , Franc e an d Englan d marche d fro m pluralisti c feudalis m almos t straight, eve n i f painfull y an d slowly , t o pluralistic freedom . Japa n trie d t o copy Chinese monism , failed , bu t the n develope d it s own variet y of feudalisti c plural ism fro m whic h i t coul d lea p spectacularl y an d swiftl y t o freedom . (Importan t ethnic change s occurre d i n severa l of these countrie s whil e ther e wer e occurrin g the institutiona l change s i n question , bu t i t seem s ver y difficul t t o find an y connection betwee n ethni c an d institutional change. ) The conclusio n tha t follow s fro m thes e example s o f sequentia l developmen t i s that ther e i s no inexorable serie s o f phases o f history, bearin g th e name s "mode s of production" or something else, throug h whic h mankind ha s had to pass or need to b e expecte d t o pas s i n th e future . "Modernization, " a popula r categor y fo r explaining world history during th e past few decades, certainl y ha s affected ever y part o f th e plane t t o som e degree , bu t th e incontrovertibl e kerne l o f moderniza tion i s technology—whic h has , t o be sure , affecte d men' s live s in a breathtaking number o f respects , rangin g fro m ai r trave l t o televisio n t o flush toilet s t o immunization t o refrigeration t o plastics to computers. Th e borrowing of Western technology ha s neithe r secure d freedo m no r prevente d tyrann y an d act s a s n o

Conclusion 41 3 determinant o f institutions. Fa r fro m assurin g liberty, i t may greatly ease the tas k of oppression fo r th e tyrant , a s Evgeni Zamiatin forecas t i n hi s novel We. 2 If th e Marxis t sequence—slavery , feudalism , capitalism , an d socialism , wit h the possibilit y o f substitutin g th e Asiati c mode 3 fo r th e first two—canno t b e depended upo n t o brin g abou t huma n liberation 4 an d modernizatio n canno t b e relied upo n either , wha t ca n one say of the future ? This autho r an d probabl y mos t o f hi s reader s wil l assum e tha t freedo m i s a positive value, an d tha t a free, pluralisti c society , founde d o n th e rul e of law an d strong property , i s th e likelies t t o produc e a happ y an d prosperou s population , and th e bes t thin g t o do is t o try t o create on e wher e non e exists . Unfortunatel y many believe tha t th e wa y t o success i s to use th e time-honore d Wester n device s for obtainin g reform—writin g pamphlets , signin g petitions , holdin g mas s meet ings, passing resolutions, marchin g in the streets, an d shouting slogans or displaying the m o n signs . Th e assumptio n ha s ofte n bee n tha t evi l men, eithe r i n non Western countrie s o r i n Wester n capitals , ar e responsibl e fo r nonfre e systems , and i f they ca n onl y be drive n ou t (o r worse ) al l wil l b e well, o r a t an y rat e ver y much better . Those method s ar e likel y t o work onl y in societie s tha t alread y hav e a heritage of partia l freedom . Instance s ar e eas y t o find i n whic h drivin g ou t th e allegedl y tyrannical incumben t ha s bee n followe d b y somethin g a s ba d o r eve n worse — Park Chung-he e b y Chu n Doo-hwan , th e Sha h o f Ira n b y Ayatolla h Khomeini , Idi Ami n b y Milto n Obot e (granted , no t quit e a s bad) . Ther e ar e institutiona l prerequisites fo r democracy , an d withou t the m demonstration s o r eve n election s may be unable t o produce th e syste m desired . "Crossing th e institutiona l divide " ( a phrase tha t seem s t o be Kar l A . Wittfo gel's invention) 5 i s th e grea t unrecognize d issu e o f ou r time . Muc h publi c dis course abou t th e Thir d Worl d proceed s fro m th e assumptio n tha t th e cours e o f development fo r mankin d ha s bee n an d wil l be unilinear; th e categorie s specifie d for past , present , an d futur e ma y b e roug h o r primitive , bu t th e assumptio n i s very widely made. Thus one is told that Bangladesh , fo r example, is "two hundred years behind " th e Unite d State s o r (unwittingl y adoptin g th e Marxia n categor y for a n are a fo r whic h Mar x himsel f woul d neve r hav e bee n s o foolis h a s t o us e the term ) tha t Saud i Arabia , say , i s "stil l feudal " becaus e i t demand s wome n b e veiled.6 The Marxist-Leninis t unilinea r schem e (thoug h i t wa s no t th e vie w o f Mar x himself, a s pointed ou t earlier ) in whic h slavery , feudalism , an d capitalis m ar e to be foun d everywher e a s a prelud e t o th e inevitabl e socialis m i s professe d an d often acte d upo n b y the USSR . However , ther e ar e other unilinearisms . Foreign aid program s an d foreign-polic y pronouncement s ar e draw n u p i n Washington , D.C., bu t als o in othe r Wester n capital s o n th e assumptio n tha t wha t i s needed ,

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or possible , i s fo r th e Unite d States , o r Britain , o r Swede n t o push , drag , o r nudge th e Thir d Worl d alon g th e sam e pat h the y themselve s hav e travele d hitherto. Raymon d Aro n i s on e o f thos e wh o hav e questione d th e unilinea r vie w of history: "i f th e trut h o f the Asiatic [mode ] of production i s admitted, tw o types of society , fundamentall y different , an d tw o kind s o f evolutio n mus t b e recog nized/' 7 Ther e ma y b e mor e tha n two , i f w e loo k har d enough . I n an y cas e a single path fo r civilization , i n th e past or future, canno t be assumed . Another assumptio n i s tha t American s (o r others ) ma y expec t t o remak e economic institutions, th e environment , o r health car e in Thir d Worl d countrie s independently o f politics, avoidin g governmental interferenc e wit h th e foreigner s trying t o hel p an d bein g rewarde d b y officia l gratitud e becaus e o f th e obviou s selflessness o f the effort s concerned . ( A recent horrifyin g instanc e i s the attemp t of Westerner s t o carr y famin e relie f t o Ethiopia , wher e th e proble m wa s partl y created an d th e solutio n partl y impede d b y th e polic y o f Mengisthu. ) I t ma y a t times b e pruden t t o pretend tha t th e econom y o r medica l car e ar e separat e fro m politics—but they are not. Bangladesh o r Saud i Arabi a o r som e other suc h countr y ma y indee d cros s th e institutional divide . Bu t i t ma y no t b e th e choic e o f th e people—i n th e countr y concerned—even t o try, o r t o persist i f it proves difficult, costly , o r painful t o do so. Th e safes t cours e for, a foreig n observe r i s t o urg e tha t th e attemp t b e mad e only if the governing group (with, on e would hope, th e consent of the people even if democrac y i s stil l impossible ) i s full y consciou s o f the goal , committe d t o work toward it , ca n find som e rea l o r allege d domesti c root s fo r th e tre e the y wis h t o grow, an d can hop e for som e support or encouragement abroad . There ca n b e undu e an d suicida l hast e i n th e searc h fo r democracy . Th e lat e Andrei Sakharo v declared , i n hi s 197 5 Nobe l lecture : "W e nee d reform , no t revolution. W e nee d a flexible, pluralist, toleran t society"—not , w e need instan t democracy, whic h h e kne w t o be out of the question . It woul d the n b e desirable t o explain tw o things t o different audiences : To th e conservatives an d traditionalists : tha t th e past , eve n i f i t lay s heav y burden s o n the present, doe s not exclude tryin g to create a different societ y that can preserv e much o f wha t i s goo d i n tradition . T o radica l studen t leader s an d journalist critics: one electio n doe s not creat e democracy , a second party doe s not necessar ily mean a responsible o r viable opposition, an d th e best plac e t o chart th e futur e course of a distant lan d i s not the street s or campuses of the Unite d State s wher e howling mob s wit h sign s cavor t b y day but ar e abl e t o go home a t nigh t withou t fear o f sufferin g th e consequence s o f thei r simplisti c nostrum s (usually formu lated mor e with thei r domesti c opponents i n min d tha n inhabitant s o f the remot e places whose names appea r on their placards). 8 One of the most astute of our political scientists , Hanna h Arendt, an d the first

Conclusion 41 5 to offer a n extende d analysi s of totalitarianism, argue d i n 196 8 that "th e crisi s of the presen t worl d i s primaril y political " an d tha t th e declin e o f th e "Roma n trinity o f religion , tradition , an d authority, " alon g wit h th e underminin g o f Roman politica l foundations , i s at th e roo t of our troubles . Sh e argue s tha t "ne w political bodies " ma y b e neede d t o restor e t o "th e affair s o f me n . . . som e measure o f dignity an d greatness." 9 Fo r Arendt, "t o be human an d t o be free ar e one and th e same." 10 If Arend t ha d live d t o earl y 1990 , sh e woul d hav e see n politica l freedom , which sh e placed ahea d of philosophical freedom, 11 com e to be valued throughou t the eart h a s neve r before—t o th e astonishmen t an d deligh t o f millions , thoug h some on th e extrem e righ t doub t th e depth an d durabilit y o f recent changes , an d some o n th e extrem e lef t ar e afrai d tha t capitalis m ma y flourish alon g wit h freedom. This lon g journey migh t en d wit h a coupl e o f straightforward , simpl e defini tions (o r evocations ) o f freedo m fro m Englan d an d Russi a respectively . Th e first comes fro m Willia m Pit t th e Elder , defende r o f th e unrul y America n colonists , debating the excise bill of 1763: The poorest man may in his cottage bid defiance to all the force of the Crown. It may be frail; The roof may shake; the wind may blow through it; the storms may enter, the rain may enter, — but the King of England cannot enter. 12 The othe r wa s compose d b y Russia n revolutionaries , possibl y b y Nichola s Chernyshevsky, fo r disseminatio n amon g peasants, bu t migh t indee d strik e nea r the level of peasant comprehension : "No w here's just wha t rea l freedom i s on thi s earth: th e people are everyone's leade r and every official i s obedient t o the popula r assembly.13 Court s ar e just, an d court s trea t everyon e th e same , an d n o one dare treat th e peasant improperly . Th e [internal ] passpor t doe s not exist , no r does th e head tax . Militar y conscriptio n doe s no t exist . No w that' s freedo m lik e freedo m really is." 14 Freedom i s essentiall y simple ; i t i s base d o n th e natura l wis h o f th e huma n being no t t o b e interfere d wit h or , i n th e comple x worl d o f th e lat e twentiet h century, t o suffe r n o more interferenc e fro m highe r authorit y tha n necessar y t o assure th e "genera l welfare"—a s th e Foundin g Father s pu t it—t o protec t th e country an d th e huma n rac e fro m th e consequence s o f thei r wille d o r uninten tional folly i n myriad directions, t o lessen pain an d increase happiness . But attainin g freedom—tha t is , creatin g an d maintainin g a fre e society—i s

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extremely difficul t an d ha s elude d th e bes t effort s o f man y a would-b e liberato r or liberatin g arm y o r part y o r group . Fo r thos e wh o woul d undertak e th e task , study an d reflectio n o n th e pas t ough t t o b e th e bedroc k o n whic h th e edific e rises. I n th e words of T. S . Eliot : And the end of all our exploring Will be to arrive where we started And know the place for the first time. Through the unknown, remembered gate When the last of earth left to discover Is that which was the beginning . . . 15 This i s of cours e no t th e en d o f history. 16 However , owin g t o th e devote d labor s of scholar s i n recen t time s especially , on e ca n travers e th e whol e pat h fro m th e beginning t o the present an d understan d th e chief line s of the stor y in a way tha t a century or two ago could not be done in anythin g like the depth no w possible. Free societie s embrace much mor e of the planet tha n i n th e time of Pericles or the Hebre w prophet s an d hav e cast asid e many institutional constraint s t o which the ancien t worl d clung . Nevertheles s on e ma y discove r tha t ma n i s th e sam e now a s then ; th e stat e o f being fre e i s no t significantl y differen t fo r th e moder n American o r Japanese a s compared wit h th e ancient Gree k (th e freeman , no t th e slave) or Hebrew . Raymon d Aro n cite s a s hypothesis "tha t freedo m i s the strong est an d mos t endurin g desir e o f al l mankind " i n th e contex t o f discussing , i n 1965, th e futur e o f Soviet Communism, 17 a proposition tha t migh t hav e served a s a prediction o f th e remarkabl e event s o f 1989-9 0 throughou t Easter n Europ e i n particular. Bu t unde r whateve r institution s ma n lives , the human spiri t ha s been and remain s everlastingly free .

Notes

Introduction i. Georg e Shultz , "Nationa l Succes s an d Internationa l Stabilit y i n a Time o f Change,' ' in Thinking about America: The United States in the 1990s, ed. Annelis e Anderso n and Dennis L . Bark . Stanford , 1989 , 519. 2. Franci s Fukuyama , "Th e En d of History?" The National Interest (Summer 1989)13 , 4. 3. Herber t J . Muller , Freedom in the Western World: From the Dark Ages to the Rise of Democracy. Ne w York , 1963 , xiv. 4. Herber t J. Muller , Freedom in the Modern World. New York , 1966 , ix. 5. Othe r volume s wit h apparentl y simila r title s hav e quit e differen t contents . Fo r ex ample, Benedett o Croce' s History as the Story of Liberty (translated fro m Italian) , Ne w York, 1941 , is a meditation o n th e issue , no t a history o f it . T o b e sure , th e origina l Italian titl e is quite different: La storia come pensiero e come azione (History a s though t and action). 6. Gertrud e Himmelfarb , addres s i n Our Country and Our Culture: A Conference of the Committee for the Free World. New York, 1983 , 50. 7. I n a demonstration o n th e Stanfor d Universit y campus , th e mob' s shoute d sloga n wa s "Hey, hey , ho , ho , Western culture' s go t to go." 8. Herber t Butterfield , The Whig Interpretation of History. 1931; reprint, London , 1959 , v > 3-4 9. Ibid. , 109 . 10. Wha t I mean here is "Greek freedom" rathe r tha n "Jewis h freedom." Th e tw o phrases are explaine d mor e full y i n th e chapter s tha t follow , bu t i n brief : Gree k freedo m i s a relatively rar e phenomenon i n history , base d on free o r partly free institutions ; Jewish freedom i s existential an d is the possession o f all human being s past and present . 11. Herber t J. Muller , Freedom in the Ancient World. New York, 1961 , 192. 12. Jame s A. Michener , Poland. Ne w York , 1983 , 189-90 . 417

418 Notes 13. Shultz , Thinking about America. Continues withou t a break th e passag e cite d i n not e 1 above. 14. Donal d W . Treadgold , The West in Russia and China, vol . 1 , Russia: 1472-1917. 1973; reprint, Boulder , Colo. , 1985 , xxi. 15. Joh n E . E . D . Acton , 1s t Baro n Acton , The History of Freedom and other Essays, London,1907, 39 . 16. Ther e were , o f course , mino r conflict s i n Europe , brie f i n duratio n an d limite d i n territory affected . Outsid e Europe , ther e was bloodshed enough in the American Civi l War an d th e T'ai-p'ing rebellio n i n China .

Chapter 1 1. Willia m Foxwel l Albright , From the Stone Age to Christianity: Monotheism and the Historical Process. 1940 ; reprint, Baltimore , 1957 , 198 . 2. Joh n Bright , A History of Israel, 3 d ed. Philadelphia , 1981 , 36. 3. Thorkil d Jacobsen, "Mesopotamia, " i n The Intellectual Adventure of Ancient Man: An Essay on Speculative Thought in the Ancient Near East, ed. H . an d H. A . Frankfor t e t al. Chicago , 1946 , 202-4 . 4. Thorkil d Jacobsen , "Primitiv e Democrac y i n Ancien t Mesopotamia, " first publishe d in journal of Near Eastern Studies 2 (1943); and Geoffre y Evans , "Ancien t Mesopota mian Assemblies," first publishe d i n Journal of the American Oriental Society 78 (1958), both reprinted in Problems in Ancient History, vol . 1 , The Ancient Near East and Greece, 2d ed. , ed . Donald Kagan . Ne w York , 1975 . Evan s refine s Jacobsen' s origina l argu ment. 5. Georg e E . Mendenhall , "La w an d Covenan t i n Israe l an d th e Ancien t Nea r East. " Reprinted fro m The Biblical Archeologist, Pittsburgh , 1955 , 10 . 6. Diet z O . Edzard , "Mesopotami a an d Iraq , Histor y of , 1 and 2, " Encyclopaedia Britannica (hereafter cite d a s EB), 1974 , 11:980 . 7. T . G . H . James, "Egypt , Histor y of, 1, " EB, 1974 , 6:460 . 8. Ibid. , 462 . 9. Se e the remarks in Muller , Freedom in the Ancient World, 96 and 98. 10. Wolfra m Th . vo n Soden, "Mesopotami a an d Iraq , Histor y of, 2, " EB, 1974 , 11:980 . 11. On e unresolve d proble m i s th e rol e o f th e Hurrians ; the y apparentl y cam e t o be th e foremost ethni c component of the Mitann i population an d founded som e smaller state s to th e west . Thei r racia l o r linguisti c characte r i s uncertain , bu t leadin g element s were evidently Indo-Iranian . 12. Thi s masquerad e ha d it s parallels elsewher e i n history . Iva n th e Terribl e establishe d a shadow monarchy i n hal f of Muscovy over which h e pretended no t t o rule; Peter th e Great delighted i n a plethora of mock ceremonies in which h e pretended not t o be tsar at all and paid homage to others assigne d t o act in tha t capacity . 13. Kar l A. Wittfogel, Oriental Despotism. Ne w Haven , 1959 , 90. 14. Bright , History of Israel, 74 . 15. Pete r J. Parr , "Syri a and Palestine, Histor y of," EB, 1974 , 17:940 , gives this interpretation. I find it more convincing than others . 16. Harr y Thoma s Frank , Discovering the Biblical World. New York , 1975 , 66. 17. Yehezke l Kaufmann , The Religion of Israel: From Its Beginnings to the Babylonian Exile. Translated an d abridge d b y Mosh e Greenberg . Chicago , i960 , 2 . Thi s volum e i s a n

Notes 41

9

abridged translatio n o f seven volume s out o f th e eigh t published unde r thi s titl e u p t o 1956. 18. Willia m A . Irwin , "Th e Hebrews, " i n Intellectual Adventure of Ancient Man, ed . H . and H . A . Frankfor t e t al., 227 . 19. Quote d i n ibid . 20. Marti n Noth , The History of Israel, 2 d ed. Ne w York, i960 , 88 . 21. Bright , History of Israel, 163 . 22. Se e "Israel: 3 . History of Israel," in New Catholic Encyclopaedia. 23. Mendenhall , "La w an d Covenant i n Israe l an d th e Ancient Nea r East, " 18 . 24. Ibid. , 19 . 25. Albright , From the Stone Age to Christianity, 285 . 26. Se e the treatmen t i n Bright , History of Israel, o f the period of Judges and Kings . 27. Ibid. , 204. 28. Seymou r Cain , "Biblica l Literature , 3 and 4a," EB> 1974 , 2:897 . 29. Bright , History of Israel, 265 . 30. Ibid. , 269 5 31. Frank , Discovering the Biblical World, 130—31. 32. L . H . Silberman , "Judaism, " EB, 1974 , 10:290 . 33. Irwin , "Hebrews, " 352. 34. Ibid. , 359 .

Chapter 2 1. Se e the interesting three-part articl e entitled "Urba n Revolution " (to which th e reade r is referred wh o tries to look up the term "Civilization" ) in the International Encyclopaedia of Social Sciences, vol . 16 . Ne w York , 1968 . V . Gordo n Childe , a leading Marxis t anthropologist, i s cited a s advancing tw o criteria a s marking "th e firs t achievemen t o f a civilized way of life": the formation o f cities and the invention o f writing; the earlies t instance i s give n a s th e lowe r plai n o f th e Tigri s an d Euphrates , i n whic h irrigatio n was use d t o supplemen t rainfal l fo r agriculture . Th e concep t o f civilizatio n i s trace d much furthe r back , bu t specia l weigh t i s give n t o th e par t playe d b y Lewi s Henr y Morgan, wh o in tur n muc h influence d Mar x an d Engels , i n formulatin g th e concept . 2. Joh n Chadwick , The decipherment of Linear B., 2 d ed . London , 1970 . Thi s i s th e detective story , a s i t were , fo r th e layman ; specialist s ar e referre d t o othe r work s o f his. 3. W . H . McNeill , The Rise of the West. Chicago , 1963 , 193. 4. B . Raphael Sealey , "Gree k Civilization , Ancient , 2, " EB, 1974 , 8:335 . 5. McNeill , i n Rise of the West, 198-99 , write s eloquentl y an d persuasivel y abou t th e ethos o f equalit y an d civic-mindednes s tha t h e believe s attende d th e inventio n o f th e phalanx, bu t som e authorities d o not accep t suc h arguments . 6. Sealey , "Gree k Civilization, " 8:338 . 7. Ibid. , 343 . 8. Ibid. , 344. 9. Raphae l Sealey , A History of the Greek City-States, 700-338 B.C . Berkele y an d Lo s Angeles, 1976 , 164-66 . 10. Albright , From the Stone Age to Christianity, 336 . n . McNeill , Rise of the West, 203.

420 Notes 12

13 14 15 16 17 18 19 20 21

Herodotus, History, Rawlinson trans . Ne w York , 1947 , 188-89 . Karl A. Wittfogel, Oriental Despotism. 1957; reprint, Ne w York, 1981 , 355. Herodotus, History, bk. 7 , 396 . Russell Meiggs , "Gree k Civilization , Ancient , 3, " EB, 1974 , 8:356 . T. Cuyle r Young , Jr., "Iran , Histor y of, 1, " EB, 1974 , 9:835. Richard McKeon , ed. , The Basic Works of Aristotle. New York , 1968 . Politics, bk . 2 . Ibid., bk. 3, chap. 7. Ibid., bk. 7, chap. 7. Ibid., bk. 3, chap. 14. F. E . Peters , The Harvest of Hellenism: A History of the Near East from Alexander the Great to the Triumph of Christianity. Ne w York, 1970 , 59.

Chapter 3 1. Peters , Harvest of Hellenism, 170 . 2. Ibid. , 183-84 . 3. Ibid. , 187 . 4. I have relied on Lily Ross Taylor, Roman Voting Assemblies from the Hannibalic War to the Dictatorship of Caesar. An n Arbor, 1966 . 5. Ibid. , 5 . 6. M . Car y and H. H . Scullard , A History of Rome, 3d ed. Ne w York , 1975 , 67. 7. Ibid. , 174 . 8. Muller , Freedom in the Ancient World, 256, 264. 9. Paraphrase d b y John P . V . Dacr e Balsdon, "Rome , Ancient, 2, " EB, 15:1096 . 10. Car y and Scullard , History, 197. 11. E . Badian , "Rome , Ancient, 3, " EB, 1974 , 15:1100 . 12. Peters , Harvest of Hellenism, 332-33 . 13. Badian , "Rome , Ancient," 236 . 14. Carr y an d Scullard , History, 236. 15. Ibid. , 237-38 . 16. Edwar d Tog o Salmon, "Rome , Ancient, 4, " EB, 1974 , 15:1107 . 17. Muller , Freedom in the Ancient World, 250-51 . 18. Peters , Harvest of Hellenism, 387 . 19. Salmon , "Rome , Ancient," 1107—8 . 20. Peters , Harvest of Hellenism, 392 . 21. Car y and Scullard , History, 450. 22. Peters , Harvest of Hellenism, 392 . 23. Salmon , "Rome , Ancient," m i . 24. Ibid . 25. Car y and Scullard , History, 450. 26. Maso n Hammond , contributio n t o Encyclopedia of World History, rev. 3 d ed., 117 . 27. Peters , Harvest of Hellenism, 610 . 28. Car y and Scullard , History, 530. 29. Fergu s Millar , The Emperor in the Roman World (31 B.C.-A.D. 337). Ithaca , 1977 , 619. 30. Margare t Deanesly , A History of Early Medieval Europe from 476 to 911, 2 d ed . London,i960, 150 .

Notes 42

1

31. Kur t Raaflaub , "Freihei t i n Athe n un d Rom : ei n Beispie l divergierende r politische r Begriffsentwicklung i n der Antike," Historische Zeitschrift, 238 (1984)1565-66. 32. Malcol m Todd, "Germani c Peoples, " Encyclopedia Americana, 1988, 12:583-84 ; Cour tenay Edwar d Stevens , "Germany " (i n part) , EB, 1986 , 20:44-46 . Tacitus , i n hi s Germania, distinguished sharpl y betwee n th e Germani c invader s an d th e indigenou s Celts, bu t modern scholar s se e little cultural difference . 33. Henr y Bradley, The Goths. New York, 1903 , 13.

Chapter 4 1. L . A . Siedentop , "Liberalism : Th e Christia n Connection, " TLS, 24-3 0 Marc h 1989 , 308. 2. Joh n E . E . D . Acton , The History of Freedom and Other Essays. London , 1909 , 25-26 . 3. Ibid. , 34 . 4. Lyn n White, Jr. , i n The Pirenne Thesis, ed . Alfre d F . Havighurst . Boston , 1958 , 83 5. Unde r th e three-field (o r three-course ) system , th e commo n lan d was divide d int o three part s o f which on e or tw o (but usuall y one) in rotatio n la y fallow eac h year , th e rest being cultivated. Thu s one-thir d rathe r tha n one-hal f (a s in th e two-fiel d system ) went t o fallow . 6. Lyn n White , Jr. , 82-83 . Th e thre e invention s ar e single d ou t b y Lefebvr e de s Noettes, who m White cites , an d the n h e adds the observations on fuel . 7. Loui s Brehier , Le monde byzantin, vol. 2 , Les institutions de Vempire hyzantin. Paris, 1949, 182 .

8. Ibid. , 582-83 . 9. Ala n Cameron , Circus Factions: Blues and Greens at Rome and Byzantium. Oxford, 1976, 308-11 . 10. Brehier , Les institutions, 582 . 11. Georg e Ostrogorsky, History of the Byzantine State, rev. ed . Translated b y Joan Hussey . New Brunswick , 1969 , 106 . 12. Chapte r 1 1 deals with th e relation o f freedom t o India, China , an d Japan. 13. Th e similaritie s ar e analyzed i n a provocative, controversial , an d illuminating manne r in Wittfogel , Oriental Despotism. Recent Sovie t historian s hav e offere d a s alternativ e terms "stat e mod e o f production " an d "politarism, " bu t th e meaning s greatl y overla p if the y ar e no t th e same . Se e Donal d W . Treadgold , "Sovie t Historians ' View s on th e 'Asiatic Mod e of Production, ' " Acta Slavica Japonica 5 (1987); Chinese translatio n i n Shixuelilun (Beijing) 2 (June 1987) . 14. Phili p Curtin , Steve n Feierman , Leonar d Thompson , an d Ja n Vansina , African History. Boston, 1978 , 30-36 , 81-84 , 157—61 . 15. Mar c Bloch, Feudal Society. Translate d b y L. A. Manyon . Chicago , 1961 , chap. 28 . 16. Th e Christia n churc h use d tw o adjectives t o distinguish itsel f fro m bodie s of heretics: catholic, meanin g universal , an d orthodox , meanin g correc t i n doctrine . Th e forme r term came to be most often use d in th e West, th e latter ter m in th e East . 17. Th e Merovingia n dynast y was named afte r Clovis' s grandfather, Merovech , wh o led a Frankish forc e agains t th e Hun s a t th e decisiv e battl e o f th e Catalaunia n Field s i n 451. 18. However , Arab s remaine d nort h o f th e Pyrenee s fo r som e time . Abou t 89 0 the y established a robbers' nes t a t L e Freine t (nea r Freju s o n th e Riviera ) an d fro m ther e

422 Notes raided nort h u p th e Rhon e valle y an d int o Switzerlan d unti l th e coun t o f Provenc e captured L e Freinet i n 972. 19. Avant-propo s of Henri Ber r in Brehier , Les institutions, viii. 20. Muller , Freedom in the Western World, 40 . 21. Josep h F . O'Callaghan , "Spain , Histor y of, 2, " EB, 1974 , 17:406 . 22. Quote d i n Bloch , Feudal Society, 160. 23. Ibid. , 116 . 24. Ibid. , 171-72 . 25. Mauric e Keen , The Pelican History of Medieval Europe. Harmondsworth, Middlesex , England, 1969 , 49. 26. Bloch , Feudal Society, 445-46 . 27. Ibid. , 382 . 28. Ibid. , 389 . 29. Quote d i n ibid., 451. 30. Ibid. , 452 . 31. Ostrogorsky , History, 106-7. 32. Deanesly , History of Early Medieval Europe, 409 . 33. Dmitr i Obolensky , The Byzantine Commonwealth. New York , 1971 , chap. 2 . 34. Warre n T . Treadgold , "Th e Reviva l o f Byzantin e Learnin g an d th e Reviva l o f th e Byzantine State, " American Historical Review 84 (1979): 1245-66. 35. Cyri l Mango , Byzantium: The Empire of New Rome. New York, 1980 , 136 . 36. Imr e Bob a ha s persuasivel y argue d tha t th e Moravi a t o whic h Cyri l an d Methodiu s went was no t present-da y centra l Czechoslovaki a bu t th e regio n aroun d Sirmium , present-day Sremsk a Mitrovic a i n Serbia . Se e Boba, Moravia's History Reconsidered: A Reinterpretation of Medieval Sources. Th e Hague , 1971 . 37. Brehier , Les institutions, 20-22. 38. Obolensky , Byzantine Commonwealth, 117. 39. Ibid . 40. Ibid. , 308 . 41. Marshal l G . S . Hodgson , The Venture of Islam, 3 vols. Chicago, 1974 , 1:206-8 . 42. F . E . Peters , Allah's Commonwealth: A History of Islam in the Near East, A.D. 600IJ00. Ne w York , 1973 , 84-85. 43. Hodgson , Venture, 2:120. 44. Peters , Allah's Commonwealth, 576. 45. Ibid. , 104 . A n interestin g paralle l i s t o b e foun d i n th e Russia n notio n o f "Mosco w the Thir d Rome, " expounde d b y a monk o f Psko v aroun d 1500 , an d othe r aspect s of the ideologica l stanc e adopte d b y Iva n III , wh o simultaneousl y anathematize d th e Byzantines an d too k them a s his model for ho w to rule. 46. Peters , Allah's Commonwealth, 140. 47. Ibid. , 159 . Th e institutiona l consequence s o f th e inventio n o f paper o n th e growth of bureaucracies worldwid e deserve stud y an d reflection . 48. Ibid. , 267-68 . 49. Fazlu r Rahman , "Islam, " EB, 1974 , 9:920 . 50. Peters , Allah's Commonwealth, 515. 51. Rahman , "Islam, " 921. 52. Hodgson , Venture, 2:119-20. 53. Ibid. , 916 .

Notes 42

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Ibid. Peters, Allah's Commonwealth, 588 Wittfogel, Oriental Despotism, 85 . Peters, Allah's Commonwealth, 745 Hodgson, Venture, 2:346. Ibid., 2:434 . 60. Ibid., 3:439 . 545556. 5758. 59-

Chapter 5 1. Donald MacGillivra y Nicol , "Byzantin e Empire, " EB, 1974 , 3:564 . 2. Se e chapter 1 1 of this volume. 3. Se e th e illuminatin g essa y b y F . W . Mote , "Th e Growt h o f Chines e Despotism, " Oriens Extremus 8 (August 1961):!-41 , i n which Hsia o is quoted. 4. Edwi n O . Reischaue r an d Joh n K . Fairbank , East Asia: The Great Tradition. Boston , i960, 524 . 5. Quote d i n Z. N . Brooke , A History of Europe from 911 to 1198. London, i960 , 177 . 6. Bloch , Feudal Society, 380-82. 7. Th e "phanto m emperors " held th e titl e whe n th e empir e ha d lapse d i n fact ; fro m 92 4 to 962 the titl e itself disappeared . 8. Hamlet, act 4, sc . 5 . 9. Willia m L . Langer , ed. , New Illustrated Encyclopedia of World History. 2 vols., Ne w York, 197 5 (hereafter cite d a s NIEWH), 1:227 . 10. Se e page 87. 11. Quote d i n Brooke , 911 to 1198, 172 . 12. Langer , NIEWH, 1:239 . 13. Brooke , 911 to 1198, 505. 14. Langer , NIEWH, 1:213-14 . 15. F . W. Maitland , The Constitutional History of England. Cambridge , 1948 , 91. 16. C . H . Haskins , "Englan d an d Sicil y i n th e Twelft h Century, " English Historical Review 27 (July-Octobe r i9ii):664-65 . H e write s tha t w e mus t bea r i n min d "th e possibility of a connexion betwee n [the ] Domesda y Book and th e fiscal registers whic h the sout h ha d inherite d fro m it s Byzantin e an d Sarace n rulers. " But h e clearl y has i n mind more than a possibility. 17. Wittfogel , Oriental Despotism, 214 . 18. Langer , NIEWH, 1:219-20 . 19. Henri k Enander , "Scandinavia , Histor y of, 1, " EB, 1974 , 16:307 . 20. Obolensky , Byzantine Commonwealth, 163. 21. Ostrogorsky , History of the Byzantine State, 371. 22. Ibid. , 375 . 23. Se e ibid., lon g footnote o n 404. 24. Se e th e length y accoun t wit h a critica l examinatio n o f th e source s i n Obolensky , Byzantine Commonwealth, chap. 6 . 25. Ibid. , 235 . 26. Hodgson , Venture, 2:42. 27. Langer , NIEWH, 1:283 . 28. Car l Brockelmann , History of the Islamic Peoples, trans . Ne w York, 1947 , 195 .

424 Notes 29. Ibid. , 240 . 30. Langer , NIEWH, 1:222 . 31. J . G . Edwards , "Edwar d I s Castle-Buildin g i n Wales , Proceedings of the British Academy 32(1946). 32. Coli n Piatt , Medieval England: A Social History and Archeology from the Conquest to AD 1600. London, 1978 , 102 . 33. Previte-Orton , A History of Europe from 1198 to 1378, 3 d ed. London , 1951 , 119. 34. Ibid. , 264. 35. O'Callaghan , "Spain , Histor y of," 411 . 36. Hansa meant a group or association. Th e ter m cam e to be applied t o a group of largely North Germa n town s i n th e Balti c tha t wa s important fro m th e thirteent h centur y t o the fifteenth century . Th e leagu e was formally dissolve d much later . 37. Obolensky , Byzantine Commonwealth, 249 . 38. Ibid. , 252 . 39. Ostrogorsky , History of the Byzantine State, 514. 40. Hodgson , Venture, 2:416. 41. Previte-Orton , 1198 to 1378, 136 . 42. Muller , Freedom in the Western World, 14. 43. Barnett e Miller , The Palace School of Muhammad the Conqueror. Cambridge , Mass. , 1941, 71 .

44. Steve n Runciman , Byzantine Civilization. Ne w York , 1956 , 163 . H e note s tha t ther e is n o evidenc e tha t th e character s o f eunuch s wer e warpe d b y thei r physica l impair ment. Ove r th e lon g expans e o f Byzantin e history , h e declares , the y wer e n o mor e corrupt o r less patriotic tha n "thei r complete r fellows. " 45. Wittfogel , Oriental Despotism, 357 . 46. Muller , Freedom in the Western World, 68. 47. Georg e H. Sabine , A History of Political Theory. New York, 1946 , 218-19 . 48. Bloch , Feudal Society, xviii. Th e earlies t exampl e Bloc h coul d find o f th e us e o f th e terms feodal and feodalite to cover societ y a s a whole wa s i n a book publishe d posthu mously in 172 7 entitled Lettres historiques sur les Parlemens, writte n b y Boulainvilliers, but i t was Montesquie u wh o gave the term currenc y i n th e sens e mentioned . 49. Bloch , Feudal Society, chaps . 21 , 26. 50. Sabine , History of Political Theory, 220 . 51. Joh n Dickinson' s prefac e t o The Statesman's Book of John of Salisbury. Ne w York , 1927, xxv .

52. Ibid . (Policratus) , 65. 53. Sabine , History of Political Theory, 255 . 54. Ibid. , 258 . Seepag e 102 . 55. Ibid. , 307 . 56. Dant e Alighieri, quote d i n Muller , Freedom in the Western World, 64-65 .

Chapter 6 1. Th e nam e wa s take n fro m Jacque, the "by-nam e o f a peasant," i n tur n derive d fro m the word for a peasant's shor t tunic . 2. W . T . Waugh , A History of Europe from 1378 to 1494. London, 1949 , 19 . 3. Ibid. , 37 .

Notes 42

5

4. Ibid. , 97 . 5. Pau l Cram, i n N1EWH, 1:322 . 6. Waugh , 1378 to 1494, 404. 7. Norma n Davies , Heart of Europe: A Short History of Poland. Oxford , Eng. , 1984 , 292. 8. Han s Roos , "Poland " (in part), EB, 1986 , 25:924 . 9. Waugh , 1378 to 1494, 409. 10. C . A . Macartney , "Easter n Europe, " i n th e New Cambridge Modern History, vol 1 . Cambridge, Eng. , 1957 , 382-83. 11. Waugh , 1378 to 1494, 380 . 12. Ibid. , 387 . 13. Suc h is the finding of Ralph E. Giesey , If Not, Not: The Oath of the Aragonese and the Legendary Laws of Sobrarde. Princeton, 1968 . Th e boo k i s a fascinatin g piec e o f detective work . 14. H . G . Koenigsberger , "Spain , Histor y of, 4, " EB, 1974 , 17:421 . 15. Henri k Enander , "Scandinavia , Histor y of, 1, " EB, 1974 , 16:312 . 16. Obolensky , Byzantine Commonwealth, 258 . 17. Waugh , 1378 to 1494, 437. 18. Obolensky , Byzantine Commonwealth, 319 . 19. J . L . I . Fennell , The Emergence of Moscow, 1304-1359. Berkeley , 1968 , 14 . 20. Muller , Freedom in the Western World, 282. 21. Quote d i n ibid., 284. 22. W . E . Lunt , History of England. Ne w York , 1946 , 372-73. 23. Ibid. , 375 . 24. Ibid. , 380-83 . 25. J . Russel l Major , Representative Government in Early Modern France. New Haven , 1980, quotes the whole statement, 183-84 . 26. Waugh , 1378 to 1494, 264. 27. Muller , i n Freedom in the Western World, suggests th e mixe d blessin g tha t thi s even t brought whe n h e write s tha t Savonarol a "ha d delusion s a s a prophet , an d s o ha d helped t o brin g upo n th e cit y th e Frenc h Kin g Charle s VIII , a dwarfish half-wi t i n whom he saw the Lord' s instrument fo r th e salvatio n of Italy" (127). 28. Ibid. , 292 . 29. A . J. Grant , A History of Europe from 1494 to 1610. London, 1954 , 342. 30. I t wa s stil l Capetian , b y descent throug h a secon d son , Charle s o f Valois , brothe r o f Philip IV , whe n th e Sali c La w exclude d roya l descen t throug h a woma n i n th e succession o f 1328 . 31. Grant , 1494 to 1610, 488. 32. W . F . Reddaway , A History of Europe from 1610 to 1715. London, 1959 , 101. 33. Cran e Brinton , i n N1EWH, 1:465 . 34. Grant , 1494 to 1610, 20. 35. Koenigsberger , "Spain , Histor y of, 4, " 17:423 . 36. Pau l Cram, i n N1EWH, 1:301 . 37. Reddaway , 1610 to 1715, 24. 38. Waugh , 1378 to 1494, 325. 39. Grant , 1494 to 1610, 86. 40. Ibid. , 114 . 41. Ibid. , 493.

426 Notes 42. Reddaway , 1610 to 1715, 39. 43. Th e nam e o f a regio n no t a city , sinc e negotiation s too k plac e betwee n th e empero r and representative s o f Swede n a t Osnabruc k an d betwee n hi m an d representative s o f France a t Minister (thirt y mile s separated th e two towns). 44. Reddaway , 1610 to 1715, 199 . 45. Ibid. , 168 . 46. Norma n Davies , God's Playground: A History of Poland, 2 vols. New York, 1982 , 1:323 . See the fine diagram on 324-25 . 47. Jame s Bryce, The Holy Roman Empire. London, 1913 , 250. 48. Davies , God's Playground, 334 . 49. Ibid. , 212 . 50. Osca r Halecki , Borderlands of Western Civilization, New York , 1952 , 168-72 . 51. Ibid. , 339 . The Confederatio n o f Warsaw i n 157 3 had included th e entire Sejm . 52. C . A . Macartney , "Hungary , Histor y of," EB, 1974 , 9:33. 53. Grant , 1494 to 1610, 11. 54. Langer , N1EWH, 1:439 . 55. Obolensky , Byzantine Commonwealth, 369. 56. Car l Brockelmann , History of the Islamic Peoples. Ne w York, 1947 , 295. 57. Bernar d Lewis , The Arabs in History. New York, 1967 , 165 . 58. Obolensky , Byzantine Commonwealth, 365. 59. Th e term s boyars (boiare) and gentry (dvorianstvo) changed thei r meanin g considerabl y over th e centuries . Se e th e article s i n th e Modern Encyclopedia of Russian and Soviet History: Joseph T . Fuhrmann , "Absolutism" ; Pau l Dukes , "Nobilit y of Russia"; Rich ard Hellie , "Dvoriane" ; Robert O . Crummey , "Boiar. " 60. I a m aware of the substantia l scholarshi p tha t show s how fa r Pete r fel l shor t o f doing all he wished t o do. 61. Georg e H. Sabine , A History of Political Theory. New York , 1946 , 333. 62. Muller , Freedom in the Western World, 208 . 63. Jame s A. Michener , Poland. Ne w York, 1983 , 189-90 . 64. Muller , Freedom in the Western World, 160-69. 65. A n authoritativ e recen t examinatio n o f the questio n o f who the autho r wa s conclude s that h e wa s Philipp e d u Plessis-Morna y (1549-1623) , a diplomat, soldier , an d late r adviser t o Henr i d e Navarr e (Henr y IV) . Julia n H . Franklin , Constitutionalism and Resistance in the Sixteenth Century. New York, 1969 , 139 . 66. Abbreviate d tex t of the Vindiciae, found i n ibid., 149 . 67. Sabine , History of Political Theory, 475. 68. Muller , Freedom in the Western World, 224-25. 69. Grant , 1494 to 1610, 381. 70. Thi s take s Switzerlan d t o be a medieval phenomeno n datin g t o th e Leagu e o f Thre e Forest Canton s i n 1291 , but "federa l government " i s no t th e bes t descriptio n o f th e resulting association fo r som e centuries thereafter . 71. Quote d i n Grant, 1494 to 1610, 424.

Chapter 7 1. Muller , Freedom in the Western World, 290. 2. Se e chapter 1 1 of this volume.

Notes 42

7

3. S o J. A . Sharp e argues in Early Modern England: A Social History, 1550-1760. London , 1987, 30-39 . 4. Ibid. , 304 . 5. Ibid. , 306 . 6. Cran e Brinton , i n N1EWH, 1:454 . 7. Muller , Freedom in the Western World, 307. 8. Lung , History of England, 468 . 9. Muller , Freedom in the Western World, 308. 10. Si r George Clark, English History: A Survey. Oxford, 1971 , 356-57. 11. Lunt , History of England, 483-86 ; Clark, English History, 351 . 12. Clark , English History, 352 . 13. Franc e an d Englan d woul d once again b e pitted agains t eac h other in war during most of the period, fro m 179 3 to 1815. 14. Moder n medicin e ha s suggeste d tha t Georg e II I actuall y suffere d fro m porphyri a rather tha n insanity . 15. Muller , Freedom in the Western World, 352. 16. R . R . Palmer , The Age of the Democratic Revolution: A Political History of Europe and America, 1760-1800, 2 vols. Princeton , 1959 , 1:41 . 17. Ibid . 18. Major , Representative Government in France, 667 . 19. Ibid. , 630 . 20. Ibid. , 672 . 21. Montesquieu , Esprit des Lois, Book 11,6 , translate d b y Thomas Nugent . 22. Palmer , Democratic Revolution, 1:94. 23. I t i s tru e tha t consen t o f th e medieva l State s Genera l an d loca l estate s ha d bee n assumed t o be necessar y fo r a time, especiall y fro m abou t 135 0 to 1450 , bu t n o righ t to do so had reache d th e level of law or political theory . 24. Emile , a s quoted i n John Morley , Rousseau, 2 vols. London , 1873 , 2:224-25. 25. Muller , Freedom in the Western World, 389. 26. M . Reinhard , Religion, revolution et contre-revolution. Paris , 1985 , 173 . Th e culte decadaire relate d t o th e replacemen t o f th e seven-da y wee k b y th e ten-da y week , o r decade, anothe r innovatio n tha t did not last . 27. Quote d in Sabine, History of Political Theory, 593 . 28. Joh n D . Hicks , Georg e E . Mowry , an d Rober t E . Burke , The Federal Union. Boston, 1970, 203 .

29. Palmer , Democratic Revolution, 1:223-24. 30. Ibid. , 1:235 . 31. W . F . Reddaway , A History of Europe from 1715 to 1814. London, 1959 , 105 . 32. Willia m Harve y Maehl , Germany in Western Civilization. University, Ala. , 1979 , 208. 33. Editors , "Germany , Histor y of," EB 1974 , 8:94 . 34. Maehl , Germany, 251 . 35. Ibid. , 252 . 36. "Carolingian " her e i s a n adjectiv e derive d fro m Carolus , Lati n fo r Charles ; i t ha s nothing t o do with th e dynasty of Charlemagne, whic h ha s the sam e etymology. 37. Gudmun d Sandvik , "Scandinavia , Histor y of," EB, 1974 , 16:317 . 38. Quote d i n Davies , God's Playground, 1:367 . 39. Reddaway , 1715 to 1814, 272.

428 Notes 40. Davies , God's Playground, 2:143 . 41. C . A . Macartney , "Hungary , Histor y of," EB, 1974 , 9:35. 42. Brockelmann , History of the Islamic Peoples, 335 . 43. Palmer , Democratic Revolution, 2:572 .

Chapter 8 1. Reddaway , 1715 to 1814, 174 . 2. Ibid. , 479 . 3. Maehl , Germany, 312. 4. R . R . Palmer , A History of the Modern World, 2d ed. Ne w York, 1956 , 502. 5. Ibid. , 579 . 6. Joe l Colton i n "France, " EA, 1988 , 11:804 . 7. Technicall y ther e wa s n o suc h cit y a s Budapest . Bud a an d Pes t wer e separate , an d indeed Pes t was the only one of the tw o to be active in th e Marc h days of 1848 . 8. HajoHolborn , A History of Modern Germany, 1840-1945. Princeton , 1982 , 148 . 9. Gordo n A. Craig , Germany, 1866-1945. Ne w York, 1978 , 29. 10. Frit z Fellner , "Austria, " EB, 1986 , 14:515 . 11. Rober t A. Kann , A History of the Habsburg Empire, 1526-1918. Berkeley , 1977 , 454. 12. C . A . Macartne y an d George Barany, "Hungary, " EB, 1986 , 20:765. 13. Hungary' s abilit y t o vaul t fro m postfeuda l monarch y throug h communis m towar d democracy was arrestingl y indicate d b y th e invitatio n extende d i n lat e 198 9 t o Ott o von Habsburg , wh o woul d b e king-empero r i f Austria-Hungary stil l existed , t o stan d for th e presidency of the new Hungary. (H e declined. ) 14. Th e write r was Friedric h Nietzsche ; th e quotatio n her e i s a paraphrase o f Nietzsch e by Craig, i n Germany, 35 . 15. Quote d i n ibid., 45. 16. Ibid. , 273 . 17. Ibid. , 292 . 18. I n th e Alsatian tow n of Zabern (Saverne) , a young Prussian lieutenan t mad e insultin g references t o the peopl e o f Alsace; in th e ensuin g hullabaloo , a succession o f govern mental blunder s le d t o a refusal t o answer an interpellation, henc e th e vote. 19. Craig , Germany, 390. 20. Quote d i n ibid. ,415. 21. Ralp h Flenley , Modern German History. London, 1968 , 369. 22. Holborn , History of Modern Germany, 700 . 23. Craig , Germany, 543 . 24. Ibid. , 763-64 . 25. Richar d C . Eichenberg , "Th e Federa l Republi c o f Germany, " i n Politics in Western Europe. Stanford, 1988 , 161. 26. Walte r Dirk s writin g i n Frankfurter Hefte, Augus t 1953 , a s quote d i n Richar d His cocks, Democracy in Western Germany. London , 1957 , 52 . 27. Stanle y G. Payne , A History of Spain and Portugal, 2 vols. Madison , 1973 , 2:422. 28. Ibid. , 428 . 29. Ibid. , 446 . 30. Ibid. , 456 .

Notes 42

9

31. Ibid. , 467 . 32. Ibid. , 640 . 33. Ibid. , 661. 34. Payn e writes, "Eve n th e Republican constitutio n o f 191 1 was less democratic, becaus e of its sectarian anticlerica l provisions " (ibid., 518) . 35. Ibid. , 572 . 36. Quote , withou t attribution , i s from Si r J. A . R . Marriott , A History of Europe, 18151939. London, i960 , 103 . 37. Marin o Berengo, "Italy " (in part), EB, 1986 , 22:224. 38. Georg e Martin , The Red Shirt and the Cross of Savoy. New York, 1969 , 659. 39. Se e Paul Johnson, Modern Times. Ne w York , 1985 , 56-58 . 40. Ibid. , 100 , quotin g Ivon e Kirkpatrick , Mussolini: A Study of a Demagogue. London , 1965, 144 . 41. Jorge n Weibull , "Denmark, " EB, 1986 , 17:239 . 42. Johnson , Modern Times, 604 .

Chapter 9 1. Quote d in J. A. Sharpe , Early Modern England: A Social History, 1550-17760. London , 1987, 350 . 2. Muller , Freedom in the Western World, 313. 3. Quote d i n R . J. White , Europe in the Eighteenth Century. New York, 1965 , 277. 4. Clark , English History, 430 . 5. Ibid. , 492 . 6. Ibid. , 514 . 7. Johnson , Modern Times, 601. 8. Geral d A . Dorfman , "Grea t Britain, " i n Dorfma n an d Pete r J . Duignan , Politics in Western Europe. Stanford, 1988 , 47. 9. Joh n D . Hicks , Georg e E . Mowry , an d Rober t E . Burke , The Federal Union, 5t h ed . Boston, 1970 , 306 . 10. Alexi s de Tocqueville , Democracy in America, pt. 1 , 1 . I t was firs t publishe d i n 183 5 and 1840 . 11. Ibid. , bk . 4 , pt . 2 .

12. Hug h Brogan, Longman's History of the American People. London , 1985 , 320 . 13. "Apparent, " becaus e th e so-calle d "Redeemers, " b y practicin g widesprea d intimida tion an d persuasion backe d with money , kep t many Negroes from votin g for Tilden . 14. Samue l Elio t Morison , The Oxford History of the American People, vol . 3 (1869-1963). New York , 1972 , 62. 15. Ibid. , 58-59 . 16. Joh n D . Hicks , Georg e E . Mowry , an d Rober t E . Burke , The American Nation, 4t h ed. Ne w York, 1965 , 209. 17. Muller , Freedom in the Modern World, 77. 18. Hicks , Mowry , an d Burke , American Nation, 375 . 19. I n Schen k v . th e Unite d States . 20. A 1962 poll of seventy-five leadin g American scholar s by the New York Times Magazine yielded th e judgmen t tha t ther e ha d bee n onl y tw o presidentia l failures : Gran t an d Harding. Ibid. , 441.

430 Notes 21. Ibid. , 601. 22. Morison , Oxford History of the American People, vol . 3 , 340. 23. Johnson , Modern Times; the titl e of chapter 18 .

Chapter 10 1. Piot r S. Wandycz , The Lands of Partitioned Poland, 1795-1918. Seattle , 1974 , 76. 2. Michae l T. Florinsky , Russia: A History and An Interpretation, 2 vols. New York, 1970 , 2:706.

3. Davis , God's Playground, 2:332-33 . 4. Ibid. , 64 . 5. Wandycz , Partitioned Poland, 229 . 6. Ibid. , 317-18 . 7. Ibid. , 330 . 8. Davies , God's Playground, 2:396 . 9. Norma n Davies, Heart of Europe: A Short History of Poland. Oxford , 1984 , 123 . 10. Ibid. , 125 . 11. Ibid. , 425. 12. Ibid. , 463. 13. Davies , Heart of Europe, 67. Th e dea d of Katy n Fores t (nea r Smolensk ) were but par t of a tota l o f ove r fiftee n thousan d Polis h prisoner s wh o disappeare d fro m Sovie t captivity in sprin g 1940 . Fe w doubt tha t th e Soviet s killed the m all . 14. Ibid. , 78 . 15. Ibid. , 489 . 16. Fro m 193 8 on, som e five thousand, "practicall y th e entir e activ e membershi p o f th e party," were killed . Ibid. , 545 . 17. Ibid. , 548 , 553. 18. Th e Armenia n churc h wa s name d fo r Sain t Gregor y th e Illuminator , reputedl y responsible fo r conversio n o f th e countr y t o Christianit y abou t A.D . 300 . I t becam e Monophysite afte r th e Council of Chalcedon (451 ) and nominally remain s so. 19. Charle s and Barbara Jelavich, The Establishment of the Balkan National States. Seattle, i977> 58 . 20. Ibid. , 124 . 21. Th e Bessarabia n coas t becam e Romania n i n 1856 ; i t wa s give n t o Russi a agai n i n 1878. 22. Kann , History of the Habsburg Empire, 418 . 23. Penfiel d Roberts , i n NIEWH, 2:944 . 24. Hug h Seton-Watson , Eastern Europe between the Wars, 1918-1941, 3 d ed. Hamden , Conn., 1962 , 174 . 25. Josep h Rothschild , East Central Europe between the Two World Wars. Seattle , 1974 , 216. 26. Seton-Watson , Eastern Europe, 224 . 27. Ibid. , 236 . 28. Rothschild , East Central Europe, 278 . 29. Ibid. , 291 . I t need s t o b e remembere d tha t th e Sovie t "lan d reform " (o r rathe r spontaneous seizur e an d distributio n o f land i n 1917 ) was reverse d wit h a vengeanc e after 192 8 when collectivizatio n began .

Notes 43 30 3i 32 33 34 35

1

Adevarul (The truth ) of 25 February 1937 , as quoted i n ibid. , 322 . Seton-Watson, Eastern Europe, 216. C. an d B. Jelavich, Balkan National States, 315 . Ibid., 319 . Malcolm Edwar d Yapp , "Turke y an d Ancient Anatolia, " EB, 28:93iff . See Jeffre y Brooks , When Russia Learned to Read: Literacy and Popular Literature, 1861-1917. Princeton , 1985 .

Chapter 11 1. Oxford History of India, 3d ed. 1961 , 33. 2. D . P . Singhal , A History of the Indian People. London , 1983 , 28. 3. Romil a Thapar, "India " (in part) , EB, 1986 , 21:30. 4. Autho r uncertain . On e migh t not e tha t tw o of th e othe r grea t worl d religion s may be similarly described : Judais m an d Christianity , bot h o f whic h originate d i n Palestin e but wer e virtuall y nonexisten t ther e fo r man y centuries . Buddhis m proceede d t o spread t o China, Korea , Japan, Southeas t Asia , Tibet , an d Mongolia . 5. A . L . Basham , The Wonder That Was India, 3d rev. ed . Ne w York, 1968 , 324-25 . 6. Oxford History of India, 8 . 7. Hinduis m i s a ter m coine d b y Westerners t o describe th e ancien t religiou s syste m of India, ou t o f whic h a comple x pantheo n an d th e theor y an d practic e o f th e cast e system emerged . It s mai n threa d come s fro m th e Aryan s wh o entere d th e peninsul a in th e secon d millennium B.C. , an d i n th e sixt h centur y B.C . it was challenged b y two new major sects : Jainism an d Buddhism . 8. Thapar , "India, " 48. 9. Ibid. , 49 . 10. Augus t von Haxthausen, Studies on the Interior of Russia. Chicago, 1972 , 250. Adapted by S . Frederic k Star r fro m Studien uber die inneren Zustande . .. . Russlands, 3 vols. Hanover an d Berlin , 1847-52 . H e wa s referrin g t o Russia, bu t i n Indi a th e situatio n was similar . Kar l Mar x an d others note d th e similaritie s betwee n India n an d Russia n society; the differences o f course were great and obvious. 11. Phili p B. Calkins, "India " (in part), EB, 21:51 . 12. Shant i Prasa d Varma , "India " (in part), 74 . 13. Oxford History of India, 335. The ton e is triumphal, bu t th e facts ar e correct . 14. Cornwallis' s aim, t o cite a recent study , wa s "t o stabilise a hereditary lande d aristoc racy," a notion accordin g both wit h Whi g ideas of the sanctit y of property an d Frenc h Physiocratic doctrin e tha t lan d wa s th e sourc e o f al l wealt h (propagate d i n Indi a b y Philip Franci s o f th e Calcutt a Council) . C . A . Bayly , i n New Cambridge History of India, vol. 2 , pt. 1 (i988):65 15. Oxford History of India, 535-36 . Thi s wa s th e centra l ac t of the Britis h polic y praise d by Kar l Mar x a s "blowin g up " th e economi c basi s o f th e India n villag e community , thus producin g "th e greatest , and , t o spea k th e truth , th e onl y social revolution eve r heard of in Asia" (New York Tribune, 2 2 June 1853) . 16. Curiousl y parallelin g t o a considerable exten t th e geograph y of th e post-194 7 divisio n of the subcontinent betwee n Indi a an d Pakistan . 17. T . G . Perciva l Spear , "India " (in part), EB, 21:86 . 18. Kar l Mar x (see n. 10 ) therefore exaggerate d th e extent of British-introduced change .

432 Notes 19. Ibid. , 88 . 20. Spear , ''India, " 95. 21. On e wit h a Musli m majority , th e othe r wit h a Bihari - an d Oriya-speakin g Hind u majority, thu s neithe r wit h a majorit y o f Bengal i Hindus—wh o le d th e movemen t nationwide. 22. Johnson , Modern Times, 472 . 23. Ibid. , 474 , 770 . Fou r differen t recen t estimate s ove r tha t rang e ar e cited . Thi s wa s one instanc e whe n estimate s mad e a t th e tim e wer e greate r (on e t o two million) tha n proved t o b e th e reality , bu t th e sufferin g wa s o n a giganti c scale : " a processio n o f terrified Hindu s an d Sikhs , fo r instance , stretche d fo r fifty-seve n mile s [eastward ] from th e West Punjab. " 24. Singhal , History of the Indian People, 408 . 25. Ibid. , 413. 26. Rober t L . Hardgrave , Jr. , an d Stanle y A . Kochanek , India: Government and Politics in a Developing Nation, 4t h ed . Ne w York , 198 6 (but th e sentenc e wa s evidentl y i n th e 3d ed., writte n b y Hardgrave alone), 1 . 27. Quote d b y Ainsle e Embre e i n "Huma n Right s i n Sout h Asia : Th e Conflic t o f Valu e Systems," i n Cross-Cultural Aspects of Human Rights: Asia, ed . Lind a Lum . Washing ton, D.C. , 1988 , 18 . 28. Kar l A. Wittfogel, Oriental Despotism, rev . ed . Ne w Haven , 1959 , 27. 29. L . Carringto n Goodrich , "China " (i n part), EB, 1986 , 16:66 . 30. Wittfogel , Oriental Despotism, 33 . 31. Cho-yu n Hsu , "China " (in part), EB, 1986 , 16:68 . 32. Edwi n O . Reischaue r an d Joh n K . Fairbank , eds. , East Asia: The Great Tradition. Boston, i960 , 54 . 33. Hsu , "China, " 69. 34. No t t o be confused wit h Ch'in . 35. Hsu , "China, " 72 . 36. Ed. , "China, " 72 . 37. Nevertheless , i n th e Late r Ha n perio d eunuch s wer e permitte d t o adop t son s wh o could inherit thei r nobl e titles. 38. I n Reischaue r an d Fairbank , East Asia, Reischaue r writes : China wa s "already begin ning t o develo p a moder n typ e o f civi l servic e base d o n merit . I t wa s almos t tw o thousand year s befor e th e West adopte d a system simila r to , an d perhap s inspire d by , that of the Chinese" (107). 39. Confucianis m (fro m K'ung-fu-tzu , traditiona l dates : 551-47 9 B.C. ) began a s a teach ing of ethics carrie d int o th e political realm ; in th e Ha n period , wit h Legalis t borrowings, i t wa s give n a n authoritaria n ting e origina l Confucia n teachin g lacked . Taois m was a congeries o f religious , philosophical , an d protoscientifi c idea s trace d t o Lao-tz u and Chuang-tz u o f Chou times . Legalis m was a school associated wit h th e Ch'in tha t stressed la w bu t a s th e fiat o f th e ruler , no t a restraint o n hi m o r a protection o f th e citizen. 40. Eri k Ziircher, "China " (i n part), 83. 41. Jame s T. C . Liu , "China " (i n part), 102 . 42. Bot h system s wer e though t t o hav e existe d i n th e Cho u period . (Th e "well-fiel d system" was s o named fro m th e fac t tha t th e Chines e characte r fo r "well, " somewha t like # , yielde d a patter n o f eigh t [peasant , purportedl y communal ] fields aroun d a

Notes 43 3 central [lord's ] field.) K. C . Hsiao , Chung-kuo cheng-chih ssu-hsiang shih. Taipei, 1954 , 503, a s quoted i n F . W . Mote , "Th e Growt h o f Chinese Despotism, " Oriens Extremus (August 1961)113 . Bu t th e Neo-Confucian s an d othe r Sun g thinker s nevertheles s reacted t o th e problem s o f thei r tim e b y advocatin g greate r powe r fo r th e sovereign : "from th e statesme n ther e cam e a force tendin g towar d greate r rea l power , an d fro m the philosophers a force providin g philosophical justification o f that power . . . . [T]h e Sung marked a turning point in th e growth o f despotism" (Mote, "Growth, " 14 , 16) . 43. Liu , "China, " 104 . 44. Mote , "Growth, " 18 . See also Herbert Franke , "China " (i n part), EB, 109 . 45. Charle s O . Hucker , "China " (i n part), EB, i n . 46. Mote , "Growth, " 26. 47. Chuse i Suzuki , "China " (i n part), EB, 118-19 . 48. Wittfogel , Oriental Despotism, 435 . 49. A n attempt wa s made by Derk Bodd e to evaluate Chou (an d other) feudalism i n Chin a in a comparativ e contex t an d wit h examinatio n o f differin g theoretica l view s o f Westerners i n "Feudalis m i n China, " i n Feudalism in History, ed. Rushto n Coulborn . Hamden, Conn. , 1965 , 49-92 . However , i t wa s base d o n a 195 0 conference, an d a n updating would be highly desirable. 50. Tar o Sakamoto , "Japan " (in part), EB, 1986 , 22:305. 51. Joh n Whitney Hall , Japan: From Prehistory to Modern Times, Ne w York, 1970 , 50 , 46. 52. Sakamoto , "Japan, " 306 . 53. Ibid. , 308 . 54. Coulborn , Feudalism in History, pt . 3 , 204-5 . H e makes the comparison wit h th e late r Kamakura shogunate , bu t th e duality bega n earlier . 5^. Hall , Japan, 69. 56. O n th e changin g us e o f th e term , se e Pete r Duus , Feudalism in Japan. Ne w York , 1969, 45. 57. Hall , Japan, 78. 58. Duus , Feudalism in Japan, 49. 59. Edwi n O . Reischauer , "Japanes e Feudalism, " in Fedualism in History, 31—32 . 60. Reischauer , i n East Asia, 555. 61. Hall , Japan, 78. 62. Ibid. , n o . 63. Reischauer , i n East Asia, 565. 64. Hall , Japan, 127 . 65. Ibid. , 129 . 66. Reischauer , i n East Asia, 581. 67. Duus , Feudalism in Japan, 81—82. 68. Kitajim a Masamoto , "Japan " (in part), EB, 318 . 69. H e resigned th e shogunat e in 160 5 but continue d t o rule behind th e scenes . 70. Reischaue r comments , "on e ca n se e ho w grea t wa s th e Tokugaw a peac e i f th e Incident o f th e Forty-Seve n Roni n wa s th e mos t renowne d even t durin g a period o f two centuries" {East Asia, 621). 71. Ibid. , 642 . 72. Duus , Feudalism in Japan, 106 . 73. Mariu s B . Jansen, "Japan " (in part), EB, 326 . 74. Ibid. , 327 .

434 Notes

Chapter 12 i. Se e Migue l Leon-Portilla , "Mesoameric a befor e 1519/ ' i n Cambridge History of Latin America (hereafter cite d a s CHLA), ed . Lesli e Bethell, 7 vols., 1984 , 1:19 . 2. Pedr o Carrasco , "Th e Politica l Econom y o f th e Azte c an d Inc a States,' ' i n The Inca and Aztec States, 1400-1800: Anthropology and History, ed. Georg e A . Collier , Renat o I. Rosaldo , an d John D . Wirth . Ne w York , 1982 , 27. 3. Ibid. , 38 . 4. Rober t S . Chamberlain , i n NIEWH, 1:382 . 5. Lesli e Bethell , " A Not e o n th e Nativ e America n Populatio n o n th e Ev e o f th e European Invasions, " in CHLA , 1:145-46 . 6. Rober t Jone s Shafe r write s tha t th e conques t produce d " a fe w hundre d thousan d Spaniards, abou t a millio n black s carrie d fro m Afric a i n chains , an d 3 0 t o 5 0 mil lion conquere d Indians " ( A History of Latin America. Lexington , Mass. , 1978 , 123).

7. Write s Benjami n Keen : "Corte s thu s dre w o n Spanis h medieva l tradition s o f municipal autonom y t o vest hi s disobedienc e wit h a cloak o f legality" ("Lati n America, " EB, 22:817).

8. Shafer , History of Latin America, 85. 9. Charle s I , th e kin g of Spain, wa s also Charles V as Holy Roman Emperor . 10. Keen , "Lati n America " (i n part), 822 . 11. Woodro w Borah , "Th e Spanis h an d India n Law : Ne w Spain, " i n Collier , Rosaldo , and Wirth, Inca and Aztec States, 270. 12. Th e literatur e bearin g on bot h question s i s immense an d nee d not b e cite d here , bu t a titillatin g passag e appear s i n Johnson' s Modern Times, 148-62 . On e linea l descen dant o f th e Hobson-Leni n school , whic h indicte d imperialis m fo r th e ills of the Thir d World an d credite d i t wit h n o les s tha n th e postponemen t o f th e doo m o f worl d capitalism fo r decade s b y it s profi t t o th e metropolita n nations , i s "dependenc y the ory." I t ha s ha d grea t influenc e o n th e stud y o f Lati n Americ a i n th e Unite d State s (see n. 9 4 below). 13. Natha n Wachtel , "Th e India n an d th e Spanis h Conquest, " i n CHLA , 1:248 . 14. J . H . Elliott , "Spai n an d Americ a i n th e Sixteent h an d Seventeent h Centuries, " i n CHLA, 1:292f t 15. Keen , "Lati n America, " 824 . 16. N o forma l tribunal s existe d i n Brazil , thoug h severa l length y inquisitoria l investiga tions were conducted durin g the colonial period . 17. Quote d b y Davi d Bushnell , "Th e Independenc e o f Spanis h Sout h America, " i n CHLA, 3:108 . 18. Ferdinan d assume d th e Spanis h thron e briefl y i n 180 8 but wa s almos t a t onc e force d by Napoleo n t o abdicate ; h e wa s restore d t o th e thron e onl y i n Marc h 181 4 afte r Wellington liberate d Spain . 19. Shafer , History of Latin America, 333 . 20. I n 153 1 th e India n peasan t Jua n Dieg o reporte d a n appearanc e o f a brown-skinne d Virgin Mar y to him at Guadalupe Hidalgo , nea r Mexic o City. 21. Shafer , History of Latin America, 311 . 22. Timoth y Anna , "Th e Independenc e o f Mexic o an d Centra l America, " i n CHLA , 3:65.

Notes 43 5 23. Davi d Bushnel l an d Neil l Macaulay , The Emergence of Latin America in the Nineteenth Century. New York , 1988 , 65. 24. Ibid . 25. I n colonia l Spanis h Americ a th e cahildo was th e tow n council , usuall y compose d o f Creoles, wh o ha d littl e powe r i n governmen t otherwise , an d migh t hav e a doze n members. A cahildo abierto was no t a continuin g institutio n bu t a specia l meeting , called b y th e counci l o r th e governor , tha t assemble d a few scor e o f th e loca l elit e t o deal with a n emergency . 26. Keen , "Lati n America, " 825. 27. Jame s Lockhar t an d Stuar t B . Schwartz , Early Latin America. New York , 1983 , 243. 28. Mari a Luiz a Marcilio , "Th e Populatio n o f Colonial Brazil, " in CHLA , 1:54 . 29. Frederi c Mauro , "Portuga l an d Brazil : Political an d Economi c Structure s o f Empire, " in CHLA , 1:467 . 30. Dauri l Alden, "Lat e Colonial Brazil , 1750-1808, " in CHLA , 2:613 . 31. Keen , "Lati n America, " 826 . 32. Joh n J. Johnso n an d editor, "Lati n America " (i n part), EB, 832 . 33. Wit h th e exception s of British Hondura s an d Guiana , Dutc h Surinam , Frenc h Guiana , not t o mention th e entire West Indies . 34. Bushnel l an d Macaulay , Emergence, 45 . 35. Shafer , History of Latin America, 377. 36. Ibid. , 434 . 37. Th e importance of the restoration perio d is stressed by Michael C. Meye r and William L. Sherman , The Course of Mexican History, 2d ed. Ne w York, 1983 , 414. 38. Shafer , History of Latin America, 551. 39. Th e Gran i s a n additio n b y late r historian s t o th e nam e i t bor e i n it s time , t o distinguish i t from wha t becam e today' s Colombia . 40. Malcol m Deas , "Colombia , Ecuado r an d Venezuela , c . 1880-1930, " i n CHLA , 5:663 70.

41. Shafer , History of Latin America, 480 . 42. Bushnel l an d Macaulay , Emergence, 190 . 43. Herber t S . Klein , "Bolivi a fro m th e Wa r o f th e Pacifi c t o th e Chac o War , 1880 1932," in CHLA, 5:563-73 . 44. Bushnel l an d Macaulay , Emergence, 245 . 45. Pete r F . Klaren , "Th e Origin s of Modern Peru , 1880-1930 , i n CHLA , 5:587 . 46. Ibid. , 602 . 47. Bushnel l an d Macaulay , Emergence, 108 . 48. Harol d Blakemore , "Chil e fro m th e Wa r o f th e Pacifi c t o th e Worl d Depression , 1880-1930," in CHLA, 5:500 . 49. Ibid. , 534 . 50. Shafer , History of Latin America, 576. 51. Joh n Lynch , "Th e Rive r Plat e Republics from Independenc e t o the Paraguayan War, " in CHLA , 3:617-18 . 52. Shafer , History of Latin America, 388. 53. Bushnel l an d Macaulay , Emergence, 129. Th e sloga n wa s graduall y lengthene d unti l it rea d "Deat h t o the Vile, Filthy , Savag e Unitarios. " 54. Ibid. , 228 . 55. Ibid .

436 Notes 56. Johnso n an d editor , "Lati n America, " 834. 57. Pau l H . Lewis , "Paragua y fro m th e Wa r o f th e Tripl e Allianc e t o th e Chac o War , 1870-1932," in CHLA , 5:475 . 58. Jua n A . Oddone , "Th e Formatio n o f Moder n Uruguay , c . 1870-1930, " i n CHLA , 5:464. 59. Shafer , History of Latin America, 582. 60. Th e "moderatin g power " wa s "a n inventio n o f th e Frenc h publicis t Benjami n Con stant." Emili a Viott i d a Costa , "Brazil : Th e Ag e of Reform , 1870-1889, " i n CHLA , 5:735. Ther e wa s als o a Brazilian positivis t name d Benjami n Constant ; h e was one of those who helped pus h th e military t o end th e monarchy i n 1889 . 61. Shafer , History of Latin America, 422 . 62. Viott i da Costa, "Brazil, " 767-77 . 63. Th e electorat e quadruple d an d stil l remaine d les s tha n five hundre d thousan d i n a population o f ove r thirtee n million . Bori s Fausto , "Brazil : Th e Socia l an d Politica l Structure o f the Firs t Republic , 1889-1930, " in CHLA , 5:800 . 64. Viott i da Costa, "Brazil, " 777. 65. Shafer , History of Latin America, 528. 66. Lewi s W. Bealer , Arthu r S . Gelston , Jr. , Georg e I. Blanksten , an d Rollie E. Poppino , "Brazil" (in part), EB, 15:207 . 67. Shafer , History of Latin America, 537. 68. Th e ter m interdict meant suspensio n o f th e sacraments , a punishment use d a numbe r of times in medieval time s t o compel a ruler t o submit t o papal authority . 69. Shafer , History of Latin America, 695 . 70. Thoma s E . Skidmor e an d Pete r H . Smith , Modern Latin America. New York , 1984 , 242.

71. Meye r an d Sherman , Course of Mexican History, 647 . 72. Ibid. , 651. 73. Ibid. , 661. 74. Bushnel l an d Macaulay , Emergence, 264. 75. Ibid. , 267 . 76. Shafer , History of Latin America, 753 . 77. Ibid . 78. Danie l H . Levine , "Venezuela : Th e Nature , Sources , an d Prospect s o f Democracy, " in Democracy in Developing Countries, vol. 4, Latin America, ed. Larr y Diamond , Jua n J. Linz , an d Seymou r Marti n Lipset . Boulder , Colo. , 1989 , 247. 79. Ibid. , 748 . 80. Ibid. , 787 . 81. Ibid. , 759 . 82. Ibid. , 764. 83. Ibid. , 578 . 84. Ibid. , 722 . 85. Shafe r comment s tha t "th e Socialis t part y i n Chil e wa s different fro m thos e i n man y countries i n includin g Trotskyit e an d Maois t communist s an d bein g more i n favo r o f violence than th e Chilea n Communis t party " (ibid., 724) . 86. Ibid . 87. Ibid. , 714. Shafe r note s th e charge s tha t th e Unite d State s wa s responsibl e an d mentions th e fac t tha t anti-Allend e officer s though t th e Unite d State s migh t sympa -

Notes 43

7

thize wit h a coup . H e concludes , "n o evidenc e ha s bee n found , however , tha t th e United State s played a direct rol e in th e 197 3 coup" (ibid., 728-29) . 88. Artur o Valenzuela , "Chile : Origins , Consolidation , an d Breakdow n o f a Democrati c Regime," in Diamond , Linz , an d Lipset , Democracy in Developing Countries, 159, 194 . 89. Tuli o Halperin Donghi , "Argentina " (i n part), EB, 14:55 . 90. Quote d i n Skidmor e an d Smith , Modern Latin America, 91 . 91. Shafer , History of Latin America, 801 . 92. Ibid. , 662 . 93. Ibid. , 666-67 . 94. Fo r a semina l statemen t o f dependenc y theory , se e Fernand o Henriqu e Cardos o an d Enzo Faletto , Dependency and Development in Latin America. Berkeley , 1979 . I t i s clearly indebte d t o Marxia n analyti c assumption s an d socialis t politica l goals , thoug h it woul d tak e u s afiel d t o asses s exactl y th e exten t o f th e debt . A related intellectua l development i s "liberatio n theology, " for whic h th e Peruvia n Fr . Gustav o Gutierrez i s a central figure. 95. Shafer , History of Latin America, 805 . 96. Johnso n an d editor, "Lati n America " (i n part), 842 .

Conclusion 1. Alla n Bloom , The Closing of the American Mind. Ne w York , 1987 , 75 . I apologiz e t o Bloom fo r endin g thi s passag e wit h m y own, carefull y bracketed , paraphras e o f wha t he is getting at. I have reservations abou t th e book but not abou t thi s passage. 2. We wa s writte n durin g th e Russia n civi l wa r (1917-21 ) bu t coul d onl y b e publishe d much later . Th e boo k in tur n ma y have had antecedents ; Elizabet h Stenbock-Fermo r suggests Jerome K . Jerome, bu t Zamiati n deserve s credit enough . 3. Thi s i s a Marxia n categor y present-da y Marxist-Leninist s eithe r refus e t o acknowl edge, attemp t t o explain away , or strive to treat in a gingerly manner keepin g it distan t from an y possibility tha t i t can be equated o r compared wit h socialism . Se e my article, "Soviet Historian s an d th e 'Asiati c Mod e o f Production, ' Acta Slavica Japonica (Sap poro, Japan) 5 (1987); Chinese translation i n Shixuelilun (Beijing, China) , 1988 . Non Marxists nee d not be similarly embarrassed i n dealing with it . 4. Thi s goe s als o fo r dependenc y theory , world-system s analysis , "liberatio n theology, " and other offshoots o f Marxism . 5. Se e Wittfogel, Oriental Despotism, 204 and passim . 6. Veiled—a s the y never were in an y feudal area ! 7. Raymon d Aron , Democracy and Totalitarianism. Translated b y Valence Ionescu . Ne w York, 1965 , 213. 8. Thi s migh t b e a suitabl e poin t a t whic h t o pa y tribut e t o Raymon d Gastil s long continuing periodi c assessmen t o f freedo m countr y b y country o n a quantitative basi s in th e periodica l Freedom at Issue. There i s n o pretens e o f analyzin g th e histor y o f each countr y o r th e directio n o f change , i f any ; th e assessmen t merel y applie s t o th e way things ar e at th e moment, bu t b y so doing provides u s all with valuable service . 9. Hanna h Arendt , Between Past and Present. Ne w York , 1968 , 140 .

10. Ibid. , 167 .

11. Gabrie l Masooan e Tlab a s o argue s i n hi s interestin g thoug h flawed Politics and Freedom: Human Will and Action in the Thought of Hannah Arendt. Ne w York , 1965 ,

438 Notes 181. I myself do not place political freedo m ahead ; it is simply the chief subjec t o f this book. 12. Quote d i n C . A . Goodrich , Select British Eloquence. Ne w York, 1963 , 65. 13. Th e origina l read s "th e mir, " whic h mean s th e villag e commune , bu t clearl y th e context suggest s lifting th e village institution t o the national level. 14. N . G . Chernyshevski i i n "Barski m krest'iana m o t ikh dobrozhelatele i poklon, " Polnoe sobranie sochinenii 16:946—53. I a m indebte d t o Alan Kimball , a leading specialis t o n Russian populism , fo r callin g this passage t o my attention. 15. T . S . Eliot , "Littl e Gidding," from Four Quartets. 16. Apologie s g o t o Franci s Fukuyama , whos e articl e i s referre d t o i n th e Introduction , when h e says that i t is the end—in a good sense, t o be sure. 17. Aron , Democracy and Totalitarianism, 229. Aron declares th e word "freedom " t o be "so equivocal tha t i t call s fo r a furthe r study, " bu t th e meanin g o f th e sentenc e quote d seems clear enough .

Index

Apostrophe omitte d befor e Arabi c names. Abd al-Malik, caliph , 9 4 Abd el-Krim, 25 7 Actium, battl e of , 63 , 65 , 6 6 Act of Supremacy , 151 , 15 2 Acton, Lord , 4 , 6 , 76 , 77 , 19 2 Adam, 1 1 Adams, John, 208 , 209 , 212 , 280 , 37 6 Adams, Joh n Quincy , 284 , 29 1 Adams, Samuel , 20 7 Adenauer, Konrad , 253-5 4 Adonijah, 2 8 Aeschylus, 43 , 4 6 Africa, 81-8 2 Agga, king , 1 3 Agincourt, battl e of, 14 0 Aguirre Cerda , Pedro , 40 1 Ahab, king , 2 9 Ahmad Sha h Abdali , 34 7 Ahmose, 17 , 2 2 Akbar the Great , emperor , 34 5 Akkadians, 12 , 13 , 1 4 Albanians an d Albania, 147 , 316 , 333-3 4 Albert I , emperor , 11 9 Albert II , emperor , 14 2 Albert, margrav e an d grand master, 16 7 Albigensians, 118 , 150-5 1 Albright, W . F. , 3 9 Alcibiades, 44 , 4 5 Aleko Pasha, 32 2 Aleman, Miguel , 39 6

Alemanni, 7 3 Alen^on, Francois , duk e of, 15 9 Alessandri, Arturo , 40 1 Alessandri, Jorge , 40 2 Alexander III , pope , 10 6 Alexander VI , pope , 16 1 Alexander, gran d prince an d kin g of Poland , 172 Alexander of Battenberg , princ e of Bulgaria , 322 Alexander, kin g of Serbia , 32 4 Alexander I , kin g of Yugoslavia, 32 8 Alexander Karageorgevic , princ e of Serbia , 31 8 Alexander Nevsky , gran d prince o f Valdimir, 130 Alexander I , emperor , 226 , 233 , 266 , 307-8 , 316, 33 6 Alexander II , emperor , 309 , 337-3 8 Alexander III , emperor , 322 , 33 8 Alexander th e Great , 31 , 48 , 49-50 , 52 , 53 , 80 , 81, 34 4 Alexandra, empress , 33 9 Alexis, tsar , 17 8 Alexius I Comnenus, 112 , 11 3 Alfaro, Eloy , general , 38 5 Alfonsin, Raul , 40 4 Alfonso VI , kin g of Castile , 10 9 Alfonso VIII , kin g of Castile , 11 0 Alfonso X the Wise , kin g of Castile , 121 , 12 5 Alfonso V the Magnificent , kin g of Aragon, 141, 14 5 Alfonso XI, kin g of Castile, 144-4 5

439

44° Index Alfonso XII , kin g of Spain , 25 6 Alfonso XIII , kin g of Spain , 257 , 25 9 Alfonso (Affonso ) III , kin g of Portugal , 12 5 Alfred th e Great , king , 8 4 Algeria, 23 8 Ali, caliph , 94 , 9 7 Aljubarrota, battl e of , 14 5 Allende, Salvador , 397 , 40 2 Alp Arslan, 9 8 Alphabet, 26 , 35 ; Glagolithic an d Cyrillic , 9 1 Althing, 11 0 Alva, Fernand o Alvare z de Toledo , Duk e of , 184 Amalekites, 2 6 Amenemhet I , king , 1 6 Amenemhet III , king , 1 7 Amenhotep I , 21 , 22 Amenhotep I V (Akhenaton) , 2 2 Amin, Idi , 41 3 Amorites, 1 4 Amos, prophet , 29 , 30 , 3 3 Amyntas, king , 4 8 Anabaptists, 15 1 Anastasius I , emperor , 10 2 Andrew II , king , 11 1 Andronicus I Comnenus , emperor , 11 4 Andronicus II , emperor , 12 9 Andronicus III , emperor , 12 9 Andropov, Yur i V. , 34 0 Angles, 8 4 Anglicans, 7 Anna, empress , 22 5 Anne, queen , 190-91 , 193-95 , 22 8 Anselm, archbishop , 10 7 Antigonus th e One-Eyed , king , 5 2 Antiochus I V Epiphanes , king , 6 1 Antitrinitarians, 15 1 Antoninus Pius , emperor , 6 8 Antonius, Marcu s (Mar c Anthony) , 62 , 63 , 6 6 Aquinas, St . Thomas , 7 , 134 , 135 , 19 3 Arabs, 80 , 84 , 89 , 94 , 99 , 34 4 Aragon, 84 , 110 , 125-26 , 128 , 145 , 162-6 4 Aramaeans, 19 , 20 , 2 6 Archelaus, 4 8 Archons, 3 8 Arendt, Hannah , 414-1 5 Argentina, 378 , 381 , 385 , 388-91 , 403-4 , 40 9 Arianism, 72 , 75 , 82 , 84 , 15 0 Aristophanes, 4 6 Aristotle, 38 , 47-48 , 49 , 51 , 53 , 117 , 12 5 Armada, Spanish , 153 , 16 4 Armenia an d Armenians , 90 , 92 , 116 , 315 , 33 4

Arminians, 18 4 Aron, Raymond , 414 , 41 6 Arsaces, king , 5 3 Artaxerxes I , king , 3 1 Artaxerxes II , king , 4 5 Arthur, Cheste r A. , 29 3 Articles o f Confederation , 208-1 1 Asen, Joh n Peter , an d Kaloyan , kings , 114 , 12 7 Ashikaga Takauji , 36 4 Ashoka, emperor , 34 4 Ashurbanipal, king , 19 , 2 0 Ashurnasirpal II , king , 1 9 Ashur-uballit I , king , 1 8 Ashur-uballit II , king , 2 0 Asparuch, 9 0 Asquith, Herbert , 27 7 Assyria, 14 , 18-20 , 22 , 26 , 30 , 4 0 Atatiirk, Mustaf a Kemal , 332 , 334-3 5 Athaliah, queen , 2 9 Athens, 37 , 38-39 , 41-47 , 73 ; Duchy of , 14 5 Augsburg, Religiou s Peac e of , 16 8 Augustine, Saint , 103 , 10 5 Augustus II , king , 22 2 Augustus III , king , 22 2 Augustus, emperor , 63-67 , 69 , 70 . See also Octavius, Gaiu s Aurangszeb, 34 6 Aurelian, emperor , 7 0 Australia, 3 , 9 , 29 6 Austria an d Austria-Hungary , 219 , 222-23 , 231-33, 239-45 , 252 , 264 , 268 , 301 , 317-18, 320, 322 , 324 , 325 , 326 ; and Poland , 30712. See also Holy Roma n Empir e Avars, 9 0 Avellaneda, Nicolas , 39 0 Averroes (ibn-Rushd) , 13 1 Avila Camacho , Manuel , general , 39 6 Aylwin, Patricio , 40 2 Aztecs, 371-72 , 37 3 Babur, 34 5 Babylon an d Babylonia , 14 , 17-19 , 20 , 26 , 27 , 31, 39 , 40 , 5 0 Baden, 240 , 241 , 246 Badeni, Kazimier z Felix , count , 24 3 Badian, Ernst , 6 0 Baji Rao , 34 6 Balbo, Cesare , 26 2 Baldwin, Stanley , 277-7 8 Balmaceda, Jose , 38 8 Bangladesh, 413 , 41 4 Banockburn, battl e of , 12 1

Index 44 Barak, 2 5 Barbosa, Riu , 39 4 Barco Vargas , Virgilio , 39 9 Bardas Phocas , 92 , 11 5 Bardas Skleros , 9 2 Bar Kokhba , Simon , 6 8 Basil I , emperor , 91 , 92 Basil I I Bulgaroktonos , emperor , 92 , 93 , 101 , 114 Basil Lupu , prince , 17 5 Bathory, Sigismund , prince , 17 5 Bathory, Stephen , prince , 17 3 Batlle y Ordonez, Jose , 391 , 405 Bavaria, 167 , 170 , 217 , 232 , 240 , 246 , 31 9 Bayezid I , sultan , 14 7 Beccaria, Cesare , 215 , 21 8 Becket, Thoma s a , archbishop , 108 , 13 4 Belalll, king , 11 2 Belaunde Terry , Fernando , 400 , 40 1 Belgium, 213 , 216 , 218 , 237 , 279 , 308 , 32 1 Belize, 3 Bell, John , 28 8 Bellievre, Pomponn e I . de , 20 0 Benavides, Oscar , 40 0 Benedict o f Nursia , 8 2 BeneS, Eduard , 325 , 32 7 Bentham, Jeremy , 271 , 38 3 Bentinck, Willia m G . F . Cavendish , Lord , 34 8 Berbers, 82 , 98 , 109 , 11 0 Berengar I , emperor , 10 3 Berg, Fedor , general , 31 0 Berke, khan , 13 0 Bernadotte, Jea n Baptist e Jule s (Charle s XI V John, king) , 220 , 232 , 266 , 26 7 Bernstein, Eduard , 24 8 Bernstorff, Andreas , count , 22 1 Betancourt, Romulo , 39 8 Bethlen, Istvan , count , 24 5 Bethlen Gabor , prince , 17 5 Bethmann-Hollweg, Theobal d von , 24 8 Bhutto, Benazir , 35 2 Bill of Rights . English , 9 , 191 , 203; American, 9, 211-1 2 Birger Jarl , 12 6 Bishops, 7 6 Bismarck-Schonhausen, Ott o Eduar d Leopol d von, prince , 242-43 , 246-48 , 254 , 26 2 Black Death , 124 , 127 , 13 9 Blaine, Jame s G. , 29 3 Blanc, Louis , 23 4 Bloch, Marc , 88 , 89 , 10 3 Blum, Leon , 23 8

1

Bodin, Jean , 180 , 18 1 Bohemia, 102 , 104 , 111 , 119 , 142 , 143 , 166 , 168, 169 , 174 , 175 , 180 , 187 , 216 , 21 8 Boleslaw I th e Brave , king , 11 1 Boleslaw I I th e Bold , king , 10 4 Boleslaw III , king , 11 1 Bolivar, Simon , 376-77 , 379 , 38 3 Bolivia, 378 , 386 , 387 , 404 , 40 9 Bolsheviks, 9 Boniface VIII , pope , 123 , 135-3 6 Borgia, Cesare , 161 , 18 1 Boris I , khaga n an d tsar , 9 1 Boris III , tsar , 33 2 Bossuet, Jacque s Benigne , bishop , 19 8 Bosworth, battl e of , 15 1 Botswana, 3 Boulainvilliers, Henri , comt e de , 13 3 Boulanger, Georges, general , 23 7 Boule (o f Athens) , 4 4 Bouvines, battl e of , 12 2 Boyne, battl e o f the , 19 2 Brandt, Willy , 25 4 Bratianu, Ion , 32 0 Bratianu, Ionel , 33 0 Brazil, 372 , 374 , 375 , 379-81 , 386 , 388 , 392 94, 399 , 406- 8 Breasted, Jame s H. , 2 4 Breckenridge, Joh n C , 28 8 Brehier, Louis , 7 8 Brest, Unio n of , 17 3 Brezhnev, Leoni d I. , 34 0 Briand, Aristide , 23 7 Bright, John , 23 , 25 , 3 0 Britain, British , o r Britons , 8 , 67 , 82 , 84 , 187 98, 227-29 , 246 , 259 , 261 , 266, 270-79 , 280 , 282, 286 , 297 , 300 , 302 , 304 , 319 , 327 ; in India, 346-54 ; in Lati n America , 376 , 385 , 387, 391 , 392 , 404 , 414 . See also England and Englishme n British Empire , 9 Brockelmann, Carl , 11 7 Broglie, Achill e Charle s Leonc e Victor , du e de , 234 Bruce, Robert , 12 1 Briining, Heinrich , 25 1 Brutus, Marcu s Junius , 62 , 6 3 Bryan, Willia m Jennings , 294-95 , 29 8 Bryce, James , viscount , 17 2 Buchanan, James , 28 8 Buddhism, 81 , 342 , 362-63 , 367 ; Zen, 36 5 Bulgars an d Bulgaria , 90 , 91 , 92, 114 , 127 , 147, 315 , 321-23 , 325 , 331-32 , 33 8

442 Index Bulow, Bernhar d von , count , 24 8 Buonarroti, Filippo , 26 1 Burgoyne, John , general , 20 8 Burgundy, 84 , 8 6 Burke, Edmund , 8 Burma, 4 , 81 , 35 1 Burr, Aaron , 281-8 2 Bush, George , 30 6 Bustamante, Jose , 40 0 Bute, Joh n Stuart , 3r d ear l of , 19 6 Butterfield, Herbert , 4 Byzantine Empire , 21 , 71 , 73 , 80-81 , 83 , 112 , 116, 127-32 , 137 , 147-50 ; influence o n cali phate, 9 5 Cabal, 18 9 Caboche, Simon , 13 9 Cabral, Pedr o Alvares , 37 9 Caesar, Gaiu s Julius , 60 , 61-62 , 63 , 6 6 Caesaropapism, 2 1 Caetano, Marcello , 26 0 Calderdn Guardia , Rafael , 39 7 Calhoun, Joh n C , 28 4 Caligula (Gaius) , 6 7 Calles, Plutarc o Elfas , general , 395-9 6 Callias, Peac e of , 4 3 Callisthenes, 4 9 Calvin, Joh n (Jea n Cauvin ) an d Calvinists , 7 , 151, 152 , 158 , 168 , 170 , 175 , 181 , 184 , 186 ,

206 Calvo Sotelo , Jose , 25 8 Cambyses, king , 23 , 4 0 Campbell-Bannerman, Si r Henry , 27 5 Canaanites, 23-24 , 26 , 2 7 Canada, 3 , 9 , 207-12 , 28 2 Canalejas, Jose , 25 7 Cannae, battl e of , 5 6 Canovas de l Castillo , Antonio , 25 6 Capet, Hugh , 86 , 8 8 Caprivi, Geor g Le o von, general , 247 , 31 1 Caracalla, emperor , 7 0 Cardenas, Lazaro , 39 6 Cardinals, Colleg e of , 10 4 Carlotta, empress , 38 2 Carlsson, Ingvar , 26 8 Carol I , king , 320 , 32 4 Carol II , king , 33 0 Carranza, Venustiano , 39 5 Carrasco, Pedro , 37 1 Carrhae, battl e of , 53 , 6 2 Carter, Jimmy , 306 , 38 4

Carthage, 47 , 55-5 7 Cary, M. , 56 , 60 , 6 9 Casimir III , king , 142-4 3 Casimir I V Jagiellonczyk, king , 143-44 , 171-7 2 Cass, Lewis , 28 7 Cassius, Avidius , 6 8 Cassius Longinus , Marcus , 62 , 6 3 Castello Branco , Humberto , marshal , 40 8 Castile, 84 , 88 , 101 , 109-10 , 12 , 124-26 , 144 45, 162-6 5

Castilla, Ramo n (Peru) , 38 6 Castillo, Ramo n (Argentina) , 40 3 Castro, Fimbord , Henr i Charles , comt e de , 23 4 Chambord, Henr i Charles , comt e de , 23 6 Chandragupta Maurya , 52 , 34 4 Chang Chih-tung , 35 9 Charles Martel , 8 3 Charles o f Anjou, king , 12 8 Charles th e Bold , duk e o f Burgundy , 16 3 Charlemagne (Charle s th e Great) , 83 , 85 , 89 , 97, 136 , 14 2 Charles I , kin g of England , 154-56 , 183 , 187 , 188, 191 , 19 2 Charles II , kin g of England , 183 , 187-90 , 19 2 Charles Edwar d th e Youn g Pretender , 19 6 Charles I th e Bald , kin g of France , 83 , 8 9 Charles V the Wise , kin g of France , 138-3 9 Charles VI , kin g of France , 139-4 0 Charles VII , kin g of France , 140 , 15 7 Charles VIII , kin g of France , 157 , 16 1 Charles X , kin g of France , 23 4 Charles II , kin g of Spain , 21 3 Charles X , kin g of Sweden , 21 9 Charles XI , kin g of Sweden , 21 9 Charles XII , kin g of Sweden , 22 0 Charles XIII , kin g of Sweden , 22 1 Charles I , kin g of Hungary , 11 9 Charles IV , kin g of th e Tw o Sicilies , 21 4 Charles IV , Roma n empero r (Charle s I of Bohemia), 119 , 142 , 17 2 Charles V , Roma n empero r (Charle s I of Spain), 158 , 163-65 , 167-69 , 183 , 373 , 37 4 Charles VI , Roma n empero r (Charle s II I o f Hungary), 216 , 217 , 22 3 Charles VII , Roma n emperor , 21 7 Charles I , empero r o f Austria, 24 4 Chernenko, Konstanti n U. , 34 0 Chernyshevsky, Nicholas , 41 5 Chiang K'ai-shek , 360 , 36 1 Ch'ien-lung emperor , 35 9 Chile, 378-79 , 387 , 397 , 401-2 , 40 4 China, 4 , 5 , 6 , 2 1 , 8 1, 95, 102 , 130 , 162 , 229 ,

Index 44 3 305, 306 , 342 , 354-61 , 362-63 , 370 , 41 2 Chingis Kha n (Genghi s Khan) , 117 , 34 5 Ch'in Shi h Huan g Ti , emperor , 355 , 36 0 Christian I (Christia n o f Oldenburg) , kin g of Denmark, Norway , an d Sweden , 147 , 17 0 Christian III , kin g of Denmark , 17 1 Christian IV , kin g of Denmark , 169-70 , 17 1 Christian Frederick , kin g of Norway , 26 7 Christianity: conversio n o f Roma n empire , 71 72; conversio n o f norther n barbarians , 110 ; influence o n Byzantin e empire , 75-81 ; i n Ja pan, 365-66 ; in Lati n America , 373 ; under Muslim rule , 94-95 , 98 . See also Eastern Or thodox Christian s Christina, queen , 21 9 Christopher o f Wittelsbach, king , 14 6 Chu Hsi , 35 7 Chun Doo-hwan , 41 3 Churchill, Si r Winston , 51 , 254, 278-79 , 41 2 Cicero, Marcu s Tullius , 61 , 6 3 Cid, E l (Rodrig o de Bivar) , 10 9 Cimbri, 59 , 7 3 Cimon, 4 2 Cinna, Cornelius , 6 0 Civil liberties , 9 Civil War: American , 58 , 288-89 , 382 ; English , 156, 158 , 183 , 193 ; Spanish, 258-5 9 Clarendon, Edwar d Hyde , 1s t ear l of , 18 8 Clark, Si r George , 195 , 27 6 Claudius I , emperor , 6 7 Claudius II , emperor , 7 0 Clay, Henry , 284-8 7 Cleisthenes, 36 , 3 8 Clemenceau, Georges , 23 7 Clement V , pope , 12 3 Clement XIV , pope , 21 4 Cleopatra VII , queen , 62 , 63 , 6 6 Cleveland, Grover , 293-94 , 38 5 Clive, Robert , baron , 34 7 Clovis, 82 , 8 3 Cluniacs, 10 3 Cobbett, William , 27 0 Codreanu, Corneliu , 33 0 Collor de Mello , Fernando , 40 8 Colombia, 373 , 376-77 , 383 , 385 , 398-9 9 Columbus, Christopher , 162 , 165 , 371 , 372, 374, 37 9 Commodus, emperor , 68 , 6 9 Commune, Pari s (1871) , 23 6 Compromise o f 185 0 (U.S.A.), 28 7 Compromise (Ausgleich ) o f 1867 , 24 3 Compromise o f 1877 , 29 3

Comte, Auguste , 382 , 38 3 Concordat o f Bologna , 15 8 Concordat o f Vienna , 16 5 Condorcanqui, Jos e Gabriel , 37 5 Confederate State s o f America , 288-89 Confucianism, 356 , 357 , 362 , 36 7 Congress (colonia l America n an d U.S.) , 207-1 2 Conrad II , emperor , 85 , 10 4 Constantine, missionary , 9 1 Constantine Dukas , 11 3 Constantine I th e Great , emperor , 71-72 , 75 , 76, 78 , 80 , 10 3 Constantine IV , emperor , 8 9 Constantine V , emperor , 8 9 Constantine XI , emperor , 14 8 Constantine I , kin g of Greece , 33 2 Constantine Pavlovich , gran d duke , 308 , 309 , 336 Constantius, emperor , 7 1 Constitution o f 178 7 (U.S.A.) , 9 , 203 , 210-12 ; judicial review , 28 1 Constitutions o f Melfi , 11 7 Coolidge, Calvin , 301- 2 Corinth, 37 , 39 , 4 5 Corn Laws , repea l o f the , 27 3 Cornwallis, Charles , 1s t marqui s an d 2 d earl , 197, 208 , 347-4 8 Cortes, Hernan , 37 2 Cortes an d Corts , 110 , 125 , 145 , 163 , 164 , 213, 256 , 257 , 25 8 Corvee, 21 , 28, 9 9 Costa Rica , 4 , 383 , 39 7 Councils: o f Chalcedon , 85 ; of ecumenica l councils o f Christia n church , 76 ; of Nicae a II, 89 ; of Toledo , 76 , 84 ; of Trent , 7 , 168 ; of the Wester n church , 14 1 Counter-Reformation, 168 , 173 , 21 4 Cox, Jame s M. , 30 1 Craig, Gordon , 242 , 248 , 25 3 Cram, Paul , 10 8 Crassus, Marcu s Licinius , 53 , 61 , 62 Crawford, Willia m H. , 28 4 Crecy, battl e of , 12 4 Crespo, Joaquin , general , 38 5 Crispi, Francesco , 26 3 Croatia, 13 6 Cromwell, Oliver , 156 , 187 , 192 , 19 8 Crossing th e institutiona l divide , 9 , 10 , 41 3 Crusades, 98 , 102 , 105 , 106 , 109 , 113 , 114 , 116, 118 , 122 , 130 , 13 1 Cuba, 257 , 295 , 296 , 397 , 398 , 40 9 Cumans o r Polovtsy , 115 , 13 0

444 Index Curzon o f Kedleston , Georg e Nathanie l Cur zon, 1s t earl , 350 , 35 4 Cuza, Alexander , hospodar , 32 0 Cyaxares, king , 4 0 Cypselus, 37 , 3 9 Cyrus th e Great , king , 20 , 31 , 39 , 40 , 4 2 Cyrus th e Younger , 4 5 Czartoryski, Adam , prince , 308 , 30 9 Czechs an d Czechoslovakia , 4 , 243 , 325-27 , 330. See also Bohemia Dagobert, king , 8 3 Dahlmann, F . C , 24 1 Daladier, Edouard , 32 6 Danby, Thoma s Osborne , 1s t ear l of , 18 9 Danes an d Denmark , 84 , 102 , 110 , 111 , 126 27, 146-47 , 170-71 , 220-21 , 232 , 242 , 266 69, 280 , 297 , 34 6 Dante Alighieri , 118 , 134 , 13 6 Dan ton, George s Jacques, 203 , 20 4 Darius I , king , 40 , 41-42 , 4 3 Darius III , king , 4 9 David, king , 12 , 26 , 27-28 , 32 , 13 2 Davies, Norman , 143 , 172 , 309 , 313 , 31 4 Davis, Jefferson , 28 8 Davis, Joh n W. , 30 2 Deborah, prophetess , 2 5 Debs, Eugen e V. , 298-99 Declaration o f Independenc e (American) , 20 3 Declaration o f th e Right s o f Ma n (French) , 9 , 203 De Leon , Daniel , 29 9 Delian League , 42 , 43 , 4 4 Demirel, Suleyman , 33 5 Democracy, 1 , 6 , 9 , 10 , 47 , Chapter s 8-1 0 Demosthenes, 4 6 Depretis, Agostino , 26 3 Derby, Edwar d George , 14t h ear l of , 273-7 4 Desai, Morarji , 35 3 Deuteronomy, Boo k of, 30-31 , 3 3 Dewey, Thoma s E. , 30 5 Diaz, Porfirio , 383 , 39 4 Dicey, A . V. , 27 8 Diderot, Denis , 21 8 Diggers, 156 , 18 6 Dimitrov, Gheorghe , 33 2 Diniz th e Worker , king , 14 5 Diocletian, emperor , 70-71 , 7 8 Dionysius th e Elder , 4 9 Disraeli, Benjamin , 273-7 4 Divine righ t o f kings , 7-8 , 15 4 Djoser, king , 1 6

Dmowski, Roman , 31 1 Dollfuss, Engelbert , 24 4 Domesday survey , 10 7 Dominican Republic , 291 , 29 6 Dominicans (Orde r o f Preachers) , 37 4 Domitian, emperor , 6 7 Dom Pedro , 255 , 259 . See also Pedro I , em peror o f Brazi l Don Carlos , prince , 25 6 Don Miguel , king , 25 9 Donnelly, Ignatius , 29 4 Donoso Cortes , Juan , 25 6 Dorians, 35 , 3 6 Douglas, Stephe n A. , 28 8 Douglas-Home, Si r Alec , 27 9 Drake, Si r Francis , 152-5 3 Dreyfus, Alfred , captain , 237-3 8 Drusus, Marcu s Livius , 59-6 0 Dubcek, Alexander , 32 7 Dunning, John , 19 7 Dusan, Stephen , 127 , 128 , 129 , 14 7 Dutch, 8 , 346 , 366 . See also Netherlands (Lo w Countries, Holland ) Dutra, Eurico , general , 40 7 Duus, Peter , 366 , 36 8 Dzierzynski, Feliks , 31 1 Eastern Orthodo x Christians , 93 , 148 , 173 , 175, 31 5 Ebert, Friedrich , 249-5 0 Ecuador, 373 , 376 , 383 , 384 , 385 , 399 , 40 9 Eden, Anthony , 27 9 Eden, Nils , 26 7 Edward th e Confessor , king , 10 7 Edward th e Martyr , king , 10 3 Edward I , king , 12 1 Edward II , king , 121-22 , 12 4 Edward III , king , 122 , 124 , 139 , 15 5 Edward IV , king , 15 1 Edward VI , kin g 15 2 Edward VII , king , 27 5 Edward th e Blac k Prince , 13 8 Egypt an d Egyptians , 13 , 15-18 , 20-23 , 25 , 26 , 27, 28 , 29 , 32 , 34 , 39 , 40 , 43 , 46 , 49 , 50 , 62, 63 , 65 , 66 , 81 , 98, 109 , 116 , 132 , 167 68, 205 , 34 2 Eisenhower, Dwigh t D. , 30 5 Elamites, 1 9 Eleanor o f Aquitaine, queen , 10 7 Eliot, Thoma s Stearns , 41 6 Elisha, prophet , 2 9 Elizabeth I , queen , 152 , 153 , 15 4

Index 44 Elizabeth II , queen , 27 9 Elizabeth, empress , 33 5 Elphinstone, Mountstuart , 34 8 Emancipation o f serf s i n Russia , 310 , 337 ; in Poland, 31 0 Emancipation Proclamatio n (U.S.A.) , 28 9 Engelbrekt Engelbrektson , 14 6 England an d Englishmen , 8 , 84 , 86 , 87 , 88 , 101, 105 , 110 , 120-24 , 137 , 138-41 , 145 , 172, 187 , 207 , 220 , 248 , 270 , 321 , 412. See also Britain, British , o r Briton s Enlightenment, 218-19 , 22 6 Epaminondas, 46 , 4 8 Ephors, 3 7 Epicurus, 5 8 Erasmus o f Rotterdam , 18 4 Erhard, Ludwig , 25 4 Eric (Erik ) V dipping, kin g of Denmark , 12 6 Erik, kin g of Sweden , 11 1 Erik VII , kin g of Denmark , 14 6 Erlander, Tage , 26 8 Esarhaddon, king , 1 9 Estaing, Valer y Giscar d d' , 23 9 Estates, 77 , 123-24 ; compared wit h Russia n Assembly o f th e Land , 178 ; Estates (o r States) Genera l o r provincial estate s of France, 123 , 138 , 139 , 157 , 159 , 160 , 187 , 198-201; of th e Hol y Roma n Empire , 168 ; of the Netherlands , 183 , 184 ; of Prussia , 172 ; of Spain , 187 ; of Sweden , 171 , 219-2 0 Estonia an d Estonians , 120 , 126 , 22 5 Estrup, Jaco b B . S. , 26 9 Ethiopia, 81 , 82, 41 4 Etruscans, 26 , 5 5 Eunuchs, 41 , 131-3 2 Euripides, 4 , 6 , 48 , 5 3 European Communitie s (EC) , 279-8 0 Eusebius o f Caesarea , 2 4 Exodus, 13 , 2 3 Ezra, 3 1

Fatima, 9 7 Fenelon, Francoi s de Saligna c de Lamotte , archbishop an d cardinal , 19 8 Ferdinand III , St . an d kin g of Castile , 124-2 5 Ferdinand II , kin g of Arago n an d unite d Spain , 145, 162-65 , 18 1 Ferdinand VII , kin g of Spain , 231 , 255-56 , 37 8 Ferdinand I , kin g of th e Tw o Sicilies , 261 , 26 3 Ferdinand I , emperor , 168 , 17 5 Ferdinand II , emperor , 16 9

5

Ferdinand, tsa r o f Bulgaria , 322 , 323 , 33 1 Ferdinand I , kin g of Romania , 324 , 33 0 Ferguson, Miria m A . (nee Wallace; "Ma") , 30 2 Fernandez, Mauro , 38 3 Feudalism, 86 , 107 , 109 , 113 , 121 , 125 , 127 , 130, 131 , 161 , 162 , 172-73 , 176 , 261 , 345, 354-55, 361 , 365-66 , 374 , 41 2 Figueres, Jose , 39 7 Fillmore, Millard , 28 7 Finland, 110 , 219 , 220 , 232 , 233 , 266 , 269 , 297, 308 , 33 6 Flaccus, Marcu s Fulvius , 5 9 Flenley, Ralph , 25 1 Fleury, Andr e Hercul e de , cardinal , 20 1 Florence (Firenze) , 160-61 , 21 5 Flores, Jua n Jose , general , 38 4 Folk, Joseph , 29 6 Ford, Gerald , 30 6 Fortescue, Si r John , 15 1 Foster, Willia m Z. , 30 3 Fox, Charle s James , 19 7 France, 84 , 86 , 101 , 120-24 , 137 , 138-41 , 157 60, 168 , 170 , 172 , 187 , 198-205 , 207 , 220 ,

221, 227 , 228 , 229 , 230-31 , 233-39 , 242 ,

243, 246 , 254 , 255-56 , 260 , 262 , 266 , 279 -

80, 304 , 308 , 317 , 320 , 321 , 325 , 326 , 327 , 346-47, 376 , 382 , 41 2 Francia, Jos e Gaspa r Rodrigue z de , 39 1 Francis I , king , 15 8 Francis I I Rakoczi , prince , 22 3 Francis I , Roma n empero r an d grand duke , 215, 217 , 21 9 Francis I I ( I o f Austria) , Roma n emperor , 232 , 261 Franciscans, 37 4 Franco, Francisco , general , 258-59 , 260 , 39 9 Franco, Joao , 26 0 Frank, H . T. , 2 3 Franklin, Benjamin , 20 7 Franks, 73 , 75 , 82 , 8 3 Franz Ferdinand , archduke , 246 , 32 5 Franz Josef , emperor , 24 4 Frederick Willia m th e Grea t Elector , 216-1 7 Frederick III , elector , an d I , kin g of Prussia , 217 Frederick II , kin g of Prussia , 196 , 217 , 21 9 Frederick Willia m II , kin g of Prussia , 21 9 Frederick Willia m III , kin g of Prussia , 233 , 240 Frederick Willia m IV , kin g of Prussia , 24 1 Frederick III , kin g of Denmark , 22 0 Frederick VI , kin g of Denmark , 26 8

446 Index Frederick I Barbarossa , Roma n emperor , 88 , 105, 106 , 109 , 111 , 14 2 Frederick II , Roma n emperor , 106 , 117-18 , 12 1 Frederick III , Roma n emperor , 165-6 6 Frederick III , Germa n emperor , 24 7 Frederick th e Wise , elector , 151 , 166 , 16 7 Freedom, defined , 2 ; Jewish an d Greek , 7 , 1 1 Frei, Eduardo , 40 2 Fremont, Joh n C. , 28 8 Fronde, 160 , 179 , 180 , 19 9 Fukuyama, Francis , 1 , 2 Gagern, Heinric h Wilhel m Augus t von , baron , 240 Gaitan, Jos e Eliecer , 39 9 Galba, emperor , 6 7 Gallegos, Romulo , 39 8 Gama, Vasc o da, 34 5 Gambetta, Leon , 23 6 Gambia, 3 Gandhi, Indira , 35 3 Gandhi, Mohanda s K. , 350-5 1 Gandhi, Rajiv , 35 3 Gao, 8 1 Garashanin, Iliya , 31 8 Garcia Lorca , Federico , 25 7 Garcia Moreno , Gabriel , 38 4 Garcia Perez , Alan , 40 1 Garfield, Jame s A. , 29 3 Garibaldi, Giuseppe , 262-6 3 Gasped, Alcid e de , 26 5 Gates, Horatio , general , 20 8 Gaudi, Antoni , 25 7 Gaulle, Charle s de , genera l an d president , 238 39 Gauls, 5 5 Gaveston, Piers , 12 1 Gedymin, grand prince , 14 3 Gelasius I , pope , 102 , 103 , 134 , 13 5 Genesis, 11 , 23 Genoa, 112 , 129 , 21 5 George I , kin g of England , 194-9 5 George II , kin g of England , 195-9 6 George III , kin g of England , 196-98 , 22 8 George V , kin g of England , 275 , 35 0 George of Podiebrad , kin g of Bohemia , 14 2 George I , kin g of Greece , 31 9 George II , kin g of Greece , 332-3 3 George I Rakoczi , prince , 17 5 George I I Rakoczi , prince , 22 3 Georgia, 11 6 Germans, German y an d Nazis , 9 , 58 , 73-74 ,

75, 82 , 84 , 85 , 86 , 87-88 , 118-20 , 126-27 , 133, 137 , 187 , 215-19 , 229 , 236 , 239-55 , 258, 264 , 268 , 269 , 279 , 295 , 301 , 304 , 310 , 313, 315 , 326-27 , 329 , 333 , 368 , 36 9 Geronimo, 29 2 Gestido, Oscar , general , 40 5 Ghana, 3 , 81 , 82 Ghazan Khan , 13 0 Gheorghiu-Dej, Gheorghe , 33 1 Gibbon, Edward , 6 9 Gideon, 25 , 3 2 Gierek, Edward , 31 4 Gilgamesh, king , 13 ; epic of , 18-1 9 Gioberti, Vincenzo , 26 2 Giolitti, Giovanni , 263 , 26 4 Gladstone, Willia m Ewart , 276 , 32 1 Go-Daigo, emperor , 36 4 Godolphin, Sidney , ear l of , 193 , 19 4 Godunov, Boris , tsar , 17 8 Gokhale, G . K. , 35 0 Golden Bul l o f 1222 , 89 , 112 , 119 , 22 3 Golden Bul l o f 1356 , 119 , 141 , 17 2 Goliath, 2 7 Gombos, Gyula , 24 5 Gomez, Jua n Vicente , 385 , 39 8 Gomez, Laureano , 39 9 Gompers, Samuel , 29 9 Gomulka, Wladyslaw , 31 4 Gorbachev, Mikhail , 246 , 254 , 315 , 340 , 39 7 Gorchakov, Michae l (Mikhail) , prince , 30 9 Goths, 72 , 73 . See also Visigoths; Ostrogoth s Goulart, Joao , 407- 8 Gracchus, Gaius , 59 , 6 0 Gracchus, Tiberius , 58-5 9 Granada, 125 , 126 , 162 , 16 3 Grant, A . J. , 16 1 Grant, Ulysse s S. , 289-90 , 30 1 Great Protestation , 15 4 Greeks an d Greece , 26 , Chapte r 2 , 76 , 148 , 355; influenc e o n Egypt , 52 ; influence o n Hellenistic kingdoms , 53 ; influence o n Rome , 56, 58 ; modern Greece , 280 , 315-19 , 321-23 , 325, 331 , 332-34 , 33 6 Greeley, Horace , 29 0 Greenland, 12 7 Gregory I th e Great , St . an d pope , 13 2 Gregory VI I (Hildebrand) , pope , 104-5 , 13 3 Gregory o f Nyssa , 7 7 Grenada, 39 7 Grenville, George , 20 7 Grey, Charles , earl , 27 2 Groener, Wilhelm , general , 24 9

Index 44 7 Grotius, Hugo , 7 , 18 4 Guatemala, 38 3 Gudea, 1 3 Guevara, Che , 39 7 Guizot, Francois , 23 4 Gustavus I , king , 170-7 1 Gustavus I I Adolphus , king , 170 , 171 , 219 Gustavus III , king , 22 0 Gustav (Gustavus ) IV , king , 26 6 Gustav V , king , 26 7 Gutians, 1 3 Guyana, 3 Guzman Blanco , Antonio , 38 5 Gyllenborg, Carl , count , 22 0 Haakon IV , king , 12 7 Haakon V , king , 12 7 Haakon VII , king , 26 7 Hadrian, emperor , 68 , 7 9 Haiti, 37 6 al-Hakim, caliph , 9 8 Hall, Joh n Whitney , 36 2 Hamilcar Barca , 5 5 Hamilton, Alexander , 210 , 212 , 280-8 1 Hammond, Mason , 7 0 Hammurabi, Cod e of , 13 ; king, 14 , 1 7 Hampden, John , 155 , 18 8 Hancock, Winfiel d S. , 29 3 Hannibal, 55-5 6 Hanseatic League , 120 , 126 , 127 , 146 , 147 , 149 Hansson, Pe r Albin , 26 7 Harald Bluetooth , king , 11 0 Hardenberg, Kar l August , princ e von , 233 , 23 9 Hardgrave, Rober t L. , Jr. , 35 3 Harding, Warre n G. , 301 , 30 5 Harold II I (o r Harald ) Hardrada , king , 115-1 6 Harrison, Benjamin , 293-9 4 Harrison, Willia m Henry , 28 5 Harun-ar-Rashid, caliph , 9 7 Hastings, Warren , 34 7 Hatshepsut, regen t an d kin g [sic], 22 Haugwitz, Christia n August , coun t von , 21 8 Havel, Vaclav , 32 7 Haxamanish, king , 4 0 Hay, John , 29 5 Haya d e l a Torre , Victo r Raul , 400-40 1 Hayes, Rutherfor d B. , 29 0 Heath, Edward , 27 9 Hebert, Jacque s Rene , 20 4 Hebrews, 23-24 . See also Jews Hegel, Geor g Wilhelm Friedrich , 1 , 5 1

Heine, Heinrich , 24 1 Hellenic League , 4 8 Hellenistic kingdoms , 3 2 Henry I , kin g of England , 10 7 Henry II , kin g of England , 107- 8 Henry III , kin g of England , 120 , 12 2 Henry I V (Henr y o f Bolingbroke) , kin g of Eng land, 13 9 Henry V , kin g of England , 14 0 Henry VI , kin g of England , 140-41 , 15 1 Henry VII , kin g of England , 151-52 , 153 , 18 1 Henry VIII , kin g of England , 151 , 152 , 15 3 Henry II , kin g of France , 15 8 Henry III , kin g of France , 159 , 17 3 Henry I V (Henr y o f Navarre) , kin g of France , 159, 160 , 18 3 Henry I th e Fowler , kin g of Germany , 8 5 Henry II , kin g of Castile , 14 5 Henry IV , kin g of Castile , 14 5 Henry III , emperor , 85-86 , 103 , 10 4 Henry IV , emperor , 104 , 10 5 Henry VI , emperor , 10 6 Henry th e Lion , duke , 10 6 Henry th e Navigator , prince , 14 6 Heraclius, emperor , 72 , 78 , 80 , 83 , 8 9 Herodotus, 15 , 41, 43, 50 , 5 1 Herding, Geor g von, count , 24 8 Hezekiah, king , 3 0 Hidalgo, Miguel , priest , 37 7 Hideyoshi, 365-6 6 Himmelfarb, Gertrude , 2 Hindenburg, Pau l vo n Beneckendorf f und , field marshal, 248 , 25 1 Hinduism, 8 1 Hitler, Adolf , 9 , 57 , 238 , 244 , 245 , 250-53, 265, 304 , 326 , 329-3 3 Hittites, 18 , 3 2 Hlinka, Andrew , priest , 32 6 Hobbes, Thomas , 180 , 182 , 183 , 185 , 19 3 Hodgson, Marshal l G . S. , 96 , 99 , 10 0 Hodza, Milan , 32 6 Hohenlohe-Schillingsfiirst, Chlodwi g zu , prince, 24 7 Hohenwart, Kar l Siegmun d von , count , 24 3 Holborn, Hajo , 242 , 25 2 Holmes, Olive r Wendell , 30 0 Holy Roma n Empire , 6 , 105 , 111 , 112 , 118-20 , 141, 215-19 , 232 , 24 6 Homeric epics , 3 5 Honecker, Erich , 25 4 Hong Kong , 37 0 Hooker, Richard , 7 , 180 , 182 , 193 , 20 9

44 8 Index Hoover, Herbert , 302- 3 Horodlo, Unio n of , 14 3 Horthy, Miklos , admiral , 24 5 Hosea, prophet , 3 3 Hrushevsky, Mykhailo , 31 1 Hsiao Kung-ch'uan , 102 , 25 7 Huan, duk e o f Ch'i , 35 5 Huerta, Victoriano , 394-9 5 Hugenberg, Alfred , 25 1 Hughes, Charle s Evans , 296 , 30 0 Huguenots, 158-6 0 Hulagu (Hiilegu) , 98 , 13 0 Human rights, 9 Humble Petitio n an d Advice , 18 7 Hundred Years'War , 124 , 138 , 14 0 Hungary an d Hungarians , 102 , 104 , 111 , 112 , 114, 119 , 142 , 144 , 147 , 168 , 172 , 174-75 , 180, 187 , 216 , 218 , 222 , 223 , 224 , 229 , 243 45, 301 , 326 , 33 6 Huns, 72 , 73 , 34 4 Hunyadi, John , 148 , 17 4 Hus, John , an d Hussites , 142 , 15 1 Husayn ib n Ali , 94 , 9 7 Huskisson, William , 27 1 Hyksos, 1 7

Iran an d Iranians , 95 , 176 . See also Persia an d Persians Iraq, 2 0 Ireland, 84 , 87 , 108 , 110 , 121 , 152 , 187 , 192 , 197, 272-74 , 276-77 , 280 , 287 Irene, empress , 9 0 Irwin, Willia m A. , 3 3 Isaac Comnenus , 112 , 11 3 Isabella, queen , 145 , 162-6 5 Isaiah, prophet , 30 , 31 , 40 Isidore o f Seville , 9 0 Islam, 80-81 , 93-100 , 116-17 , 130 , 13 1 Ismail, shah , 17 6 Isma'il an d Isma'il i Muslims , 9 7 Israel, 11 , 22, 23-33 ; modern , 25 4 Issus, battl e of , 4 9 Itagaki Taisuke , 36 8 Italy, 9 , 84 , 87 , 137 , 205 , 213 , 214-15 , 231, 258, 261-66 , 279 , 304 , 326 , 369 , 39 0 Iturbide, Agusti n de , emperor , 37 7 Ivan I Kalita , gran d prince , 13 0 Ivan II I th e Great , gran d princ e an d tsar , 150 , 176-77 Ivan I V th e Terrible , tsar , 177-7 8 Ivan V , tsar , 22 5

Ibanez, Carlos , major , 40 1 ibn-al-Athir, 11 7 ibn-Nasr, 12 5 Ibo, 8 2 Iceland, 110-11 , 12 7 Iconoclastic controversy , 89-9 0 Ilarion, bishop , 32 1 Incas, 371-7 3 India, 9 , 81 , 98, 100 , 102 , 146 , 162 , 229 , 342 54, 37 0 Indians (Nort h an d Sout h American) , 207 , 209, 283 , 286 , 291-92 , 372 , 373-74 , 375 , 376, 377 , 380 , 381 , 382 , 386 , 390 , 391 , 392, 395, 40 9 Indo-China, 100 , 23 8 Indonesia, 8 1 Innocent III , pope , 117-18 , 123 , 14 2 Innocent IV , pope , 13 5 Inonu, Ismet , 334-3 5 Inquisition, Spanish , 163 , 375 ; Roman, 163 ; Netherlands, 18 4 Instrument o f Government , 18 7 International law , 7 Investiture controversy , 104- 5 Ionians, 35 , 36 , 39 , 41 , 42, 4 6

Jackson, Andrew , 283-8 5 Jacob (Israel), 2 4 Jacquerie, 138 , 13 9 Jadwiga, queen , 14 3 Jagiello (Yagailo) , gran d prince , 14 3 Jainism, 34 3 James I of Englan d an d V I o f Scotland , king , 154, 180 , 186 , 20 5 James II , kin g of England , 189-92 , 19 8 James I th e Conqueror , kin g of Aragon, 12 5 James II , kin g of Aragon, 12 6 James th e Ol d Pretender , 195 , 19 6 Janissaries, 176 , 224 , 316 , 31 7 Japan, 4 , 7 , 9 , 81 , 187 , 229 , 252 , 304 , 360 , 361-70, 411 , 412 Japanese-Americans, 30 5 Jaruzelski, Wojciech , general , 314-1 5 Jefferson, Thomas , 208 , 212 , 280-8 2 Jehu, king , 19 , 2 9 Jelavich, Charle s an d Barbara , 321 , 33 2 Jeremiah, prophet , 3 1 Jeroboam I , king , 2 8 Jeroboam II , king , 3 0 Jesus, Societ y o f (Jesuits) , 168 , 214 , 231 , 374 , 379, 380 , 384 , 39 1

Index 44 9 Jesus Christ , 75 , 15 6 Jews, Chapter , 1 , 61 , 67, 342 ; under Musli m rule, 94 , 98 , 148 ; in Portugal , 162 ; in Spain , 163; in Germany , 252 , 254 ; in England , 271 ; in U.S.A. , 293 ; in Poland , 144 , 310 , 311 , 313-14; in th e Balkans , 315 , 32 3 Jezebel, princess , 2 9 Jinnah, Mohamme d Ali , 35 1 Joanna th e Mad , queen , 16 4 Joan o f Arc (Jeann e Dare) , 14 0 Joao III , king , 37 9 Joao VI, king , 25 5 John Comnenus , emperor , 11 3 John o f Damascus , Saint , 9 5 John o f Salisbury , 133-3 4 John XII , pope , 8 5 John XXII , pope , 13 5 John, kin g of England , 108-9 , 120 , 12 2 John II , kin g of Portugal , 16 2 John IV , kin g of Portugal , 16 2 John I I Casimir , kin g of Poland , 174 , 22 2 John II I Sobieski , kin g of Poland , 22 2 John I Tzimisces, emperor , 9 2 John V , emperor , 129 , 14 7 John V I Cantacuzene , emperor , 129 , 14 7 John VIII , emperor , 14 8 Johnson, Andrew , 28 9 Johnson, Hiram , 29 6 Johnson, Lyndo n B. , 30 6 Johnson, Paul , 278 , 30 6 Jonathan, 2 7 Jose I , king , 38 0 Joseph, vizier , 2 3 Joseph Bonapart e (Jos e I) , kin g of Spain , 213 , 255 Joseph I , kin g of Portugal , 21 3 Joseph II , emperor , 218 , 219 , 223-2 4 Josephine, empress , 23 0 Joshua, 23 , 2 5 Josiah, king , 3 0 Jovanovic, Peter , metropolitan , 31 8 Juan Carlos , king , 25 9 Juarez, Benito , 38 2 Judah, 2 5 Judaism, adopte d b y Khazars , 11 4 Judges, Boo k of, 2 4 Jugurtha, 5 9 Julian, emperor , 7 2 Justinian I , emperor , 78 , 79-80 , 82 , 96 , 10 3 Justinian II , emperor , 8 9 Justo, Agustm , general , 40 3 Justo, Jua n B. , 39 0

Kalmar, Unio n of , 146 , 17 0 Kanem, 8 1 K'ang Yu-wei, 35 9 Kapp, Wolfgang , 25 0 Kara Djordje , 22 4 Kara Mustafa , 22 4 Kassites, 1 8 Kaunitz, Wenze l Anton , princ e von , 21 8 Keen, Maurice , 8 7 Kennedy, Joh n F. , 30 6 Khaza'rs, 90 , 11 4 Khmelnitsky, Bohdan , 22 2 Khmer empire , 8 1 Khomeini, Ruhollah , ayatollah , 41 3 Khrushchev, Nikit a S. , 314 , 34 0 Khufu, king , 1 6 Kiesinger, Kur t Georg , 25 4 King, Marti n Luther , Jr. , 30 6 Kiselev, Paul , count , 319 , 33 7 Kissinger, Henry , 30 6 knighting, 13 3 Knights Templar , 12 3 Knox, John , 7 Kohl, Helmut , 25 4 Kopriilu, Mehmed , 22 4 Korea, 81 , 362 , 368 , 37 0 Kosciuszko, Tadeusz , 22 3 Kosovo Polje , battl e of , 14 7 Kozyce, Charte r of , 14 3 Kramaf, Karl , 32 5 Krum, khagan , 9 0 Kuang-hsu emperor , 35 9 Kubitschek, Juscelino , 40 7 Kulturkampf, 246 , 31 0 Kun, Bela , 24 5 Ladislas III , kin g of Poland , 17 4 Ladislas IV , kin g of Poland , 174 , 17 8 Ladislas II , kin g of Hungary , 17 4 Lafayette, Mari e Joseph , marqui s de , 23 4 LaFollette, Robert , 296 , 298 , 30 2 Lagash, 12 , 1 5 Lamartine, Alphons e de , 23 4 Landon, Alfre d M. , 30 3 Largo Caballero , Francisco , 25 8 Las Casas , Bartolom e de , 163 , 37 3 Las Nava s de Tolosa , battl e of , 110 , 116 , 12 4 latifundia, 58 , 64 , 71 , 7 9 Latin America , 9 , Chapte r 1 2 Latin Empir e o f Constantinople , 10 9 Latin Kingdo m o f Jerusalem, 109 , 11 6 Latin League , 5 5

450 Index Latvians, 120 . See also Livonia Laud, William , archbishop , 15 5 Lavigerie, Charles , cardinal , 23 7 Lee, Rober t E. , general , 288 , 28 9 Legnano, battl e of , 10 5 Leguia, Jose , 38 7 Leipzig, battl e of , 23 0 Lenin, Vladimi r I. , 264 , 265 , 339-4 1 Leo I , pope , 8 5 Leo III, pope , 83 , 9 0 Leo X, pope , 16 1 Leo XIII, pope , 24 7 Leo III, emperor , 8 9 Leo VI th e Wise , emperor , 91 , 92 Leon, 84 , 88 , 109-10 , 124-2 5 Leonidas, king , 4 2 Leopold I , gran d duk e o f Tuscany , 21 5 Leopold I , emperor , 22 3 Leopold II , emperor , 21 9 Lepanto, battl e of , 16 4 Lepidus, Marcus , 6 3 Lerma, Francisc o de Sandova l y Rojas, duke , 165 Leszek th e White , king , 11 1 Levellers, 156 , 18 6 Liang Ch'i-ch'ao , 35 9 Liebknecht, Karl , 24 9 Li Hung-chang , 35 9 Lilburne, John , 15 6 Lincoln, Abraham , 288-8 9 Linlithgow, Victo r A . J . Hope , 2 d marqui s of , 351 Lithuania an d Lithuanians , 75 , 120 , 130 , 143 44, 148 , 150 , 171-73 , 177 , 31 1 Liu Pang , 35 6 Liverpool, Rober t Bank s Jenkinson , 2 d ear l of , 270 Livius, Titu s (Livy) , 53 , 6 4 Livonia, 126 , 136 , 219 , 225 . See also Latvians Lleras Camargo , Virgilio , 39 9 Lloyd George , David , 275 , 27 7 Locke, John , 8 , 193 , 208 , 20 9 Lodge, Henr y Cabot , 30 1 Lombardo Toledano , Vicente , 39 6 Lombards, 8 0 Lopez, Alfonso , 39 8 Lopez, Carlo s Antonio , 39 1 Lopez, Francisc o Solano , 39 1 Lopez Mateos , Adolfo , 39 6 Lorenzo th e Magnificent , 16 1 Lothair I , emperor , 8 3 Lothair II , emperor , 10 5

Louis th e Child , king , 8 5 Louis th e German , king , 8 3 Louis th e Piou s (counte d a s Loui s I of France) , king, 8 3 Louis V , kin g of France , 8 6 Louis VI , kin g of France , 10 6 Louis VII , kin g of France , 106 , 10 7 Louis IX , St . an d kin g of France , 120 , 121 , 123 Louis XI , kin g of France , 157 , 18 1 Louis XII , kin g of France , 20 0 Louis XIII , kin g of France , 16 0 Louis XIV , kin g of France , 160 , 191 , 193 , 198 201, 21 3 Louis XV , kin g of France , 201 , 20 2 Louis XVI , kin g of France , 201 , 204, 23 0 Louis XVIII , kin g of France , 231 , 233, 33 6 Louis Philippe , kin g of th e French , 23 4 Louis I th e Great , kin g of Hungary , 14 4 Louis II , kin g of Hungar y an d Bohemia , 168 , 174-75 Louis I I o f Hungary , kin g of Polan d [sic], 143 Lublin, Unio n of , 17 3 Ludendorff, Eric h F . W. , general , 248-4 9 Lueger, Karl , 24 3 Lunt, W . E. , 19 2 Lupescu, Magda , 33 0 Luther, Martin , an d Lutherans , 4 , 7 , 151 , 161, 164 , 166-68 , 170 , 174 , 18 4 Luxembourg, 27 9 Luxemburg, Rosa , 249 , 31 1 MacArthur, Douglas , general , 36 9 Macartney, C . A. , 17 4 Macaulay, Thoma s Babington , 34 9 Maccabees, 6 1 MacDonald, Ramsay , 27 8 Macek, Vladko , 328-2 9 Macedonian Wars , 5 6 Machiavelli, Niccolo , 161 , 180 , 19 8 McKinley, William , 29 5 Macmillan, Harol d (ear l o f Stockton) , 27 9 Madero, Francisco , 39 4 Madison, James , 210 , 281-8 2 Maehl, Willia m Harvey , 217 , 21 8 Magdeburg Law , 11 9 Magellan, Ferdinand , 16 2 Magna Carta , 89 , 108 , 121 , 12 6 Magnus V I th e Lawmender , king , 12 7 Magnus VI I Smek , king , 126 , 12 7 Magyars, 84 , 8 5

Index 45 Maitland, F . W. , 10 7 Major, Russell , 20 0 Malaysia, 10 0 Mali, 8 2 Mamluks, 100 , 130 , 150 , 168 , 34 5 Manchus, 35 8 Manegold o f Lautenbach , 10 5 Manetho, 1 7 Maniaces, George , 10 1 Maniu, Iuliu , 330 , 33 1 Mann, Thomas , 24 9 Manoel I , king , 16 2 Manuel I , emperor , 11 4 Manuel II , emperor , 14 8 Manzikert, battl e of , 98 , 101 , 112 , 11 3 Mao Tse-tung, 36 0 Marat, Jea n Paul , 8 , 20 3 Marathon, battl e of , 4 2 Marbury, William , 28 1 Marcel, Etienne , 13 8 Marcus Aureliu s Antoninus , emperor , 6 8 Mardonius, 4 2 Margaret, queen , 14 6 Mari, 1 4 Maria I , quee n o f Portugal , 21 4 Maria Christina , regent , 25 6 Maria Luisa , empress , 23 0 Maria Theresa , empress , 216-18 , 22 3 Marie Antoinette , queen , 201 , 20 4 Marius, Gaius , 58-6 0 Marlborough, Joh n Churchill , duk e of , 19 3 Marozia, 8 5 Marshall, John , 281-8 2 Marsiglio of Padua , 118 , 134-35 , 14 1 Marston Moor , battl e of , 15 6 Martin V , pope , 14 1 Marx, Karl , an d Marxism , 1 , 343 , 354 , 356 , 413 Mary I , queen , 15 2 Mary II , queen , 190-92 , 22 8 Mary o f Burgundy , 163 , 165 , 18 3 Mary Quee n o f Scots , 153 , 15 4 Masaryk, Thoma s Garrigue , 325-2 6 Masinissa, king , 5 7 Massacre o f St . Bartholomew , 7 , 15 9 Matteotti, Giacomo , 26 4 Matthias Corvinus , king , 17 4 Maupeou, Ren e Nicola s Charle s Augustin , 20 1 Maurice, emperor , 8 0 Mausolus, 4 6 Maximian, emperor , 7 1 Maximilian, empero r o f Mexico , 38 2

1

Maximilian, Hol y Roma n emperor , 163 , 165 , 166, 18 3 Maximinus, emperor , 7 0 Mayas, 37 1 Mayflower Compact , 205 , 21 0 Mazarin, Jules , cardinal , 7 , 160 , 19 9 Mazzini, Giuseppe , 262 , 26 3 Medes, 20 , 4 0 Meiggs, Russell , 4 4 Mendenhall, Georg e E. , 13 , 2 6 Menem, Carlo s Saul , 40 4 Menes, 1 6 Mentuhotep II , king , 1 6 Merneptah, king , 2 3 Mesopotamia, 12-15 , 17 , 18-20 , 28 , 29 , 32 , 34 , 40, 46 , 13 2 Metcalfe, Si r Charles , 34 8 Methodius, missionary , 9 1 Metternich, Klemen s von , prince , 161 , 231, 239, 26 1 Mexico, 236 , 372 , 377-78 , 382-83 ; (U.S.- ) Mexican War , 286-87 , 382 , 40 9 Micah, prophet , 3 3 Micaiah, prophet , 3 0 Michael, tsar , 178 , 22 4 Michael Obrenovic , prince , 31 8 Michael III , emperor , 9 0 Michael VII I Paleologus , 127-2 8 Michener, James , 5 , 18 0 Middle Ages , Western , 6 , 7 , 76 , Chapter s 4 and 5 Midianites, 2 5 Mikhailovich, Drazha , general , 32 9 Mikolajczyk, Stanislaw , 31 4 Milan, edic t of , 7 1 Milan I , princ e an d king , 318 , 32 4 Miliukov, Pau l N. , 17 8 Miliutin, Dmitry , count , 33 8 Miliutin, Nicholas , 310 , 33 8 Millar, Fergus , 7 1 Miller, Barnette , 13 1 Milo§ Obrenovic, prince , 316-1 8 Milton, John , 19 1 Milvian Bridge , battl e of , 7 1 Minamoto Yoritomo , 36 4 Ming T'a i Tsu , 35 8 Minos, king , 3 4 Miranda, Francisco , 37 6 Miro, Joan , 25 7 Mir Qasim , 34 7 Mita, Ciriac o de , 26 6 Mitanni, 1 8

452. Index Mithradates V I Eupator , king , 60 , 6 1 Mitre, Bartolome , 39 0 Mitterand, Frangois , 23 9 Mohacs, battl e of , 168 , 17 5 Moldavia, 147 , 14 8 Monagas, Jos e Tadeo , 38 5 Mongols, 98 , 99 , 100 , 115 , 117 , 119 , 130 , 147 50, 177 , 357-58 , 36 4 Monmouth, Jame s Scott , duk e of , 18 9 Monophysitism, 94 , 15 0 Monotheism, 2 4 Monroe, James , 282 , 284 ; Monro e Doctrine , 283, 29 6 Montenegro, 148 , 315-16 , 322 , 323 , 32 7 Montesquieu, Charle s d e Secondat , baro n de l a Brede e t de , 201-2 , 211 , 221-2 2 Montfort, Simo n de , 12 1 Morais, Prudent e de , 39 4 Morales Bermudez , Francisco , general , 40 1 Moravia, 9 1 Morazan, Francisco , 38 3 Morelos, Jos e Maria , 37 7 Moreno, Mariano , 37 8 Morison, Samue l Eliot , 292 , 30 4 Morley, John , 35 0 Moro, Aldo , 26 5 Morocco, 9 8 Morrow, Dwight , 39 5 Moscow (principality ) o r Muscovy , ris e of , 130 , 148-50, 222 . See also Russia o r Ru s an d Rus sians Moses, 11 , 25, 2 9 Mote, Frederic k W. , 35 8 Mountbatten, Louis , 1s t ear l Mountbatte n o f Burma, 35 2 Muawiyah, caliph , 9 4 Muhammad, th e Prophet , 80 , 9 3 Muhammad al-Mahdi , 9 4 Muhammad Riz a Khan , 34 7 Muhammad I th e Restorer , sultan , 147-4 8 Muhammad I I th e Conqueror , sultan , 77 , 148 Muller, Herber t J. , 2 , 5 , 64 , 83 , 132 , 158 , 179, 180 , 181 , 186 , 270 , 29 7 Munro, Si r Thomas , 34 8 Murad I , sultan , 14 7 Muslims. See Islam; Turke y an d Turks ; Persi a and Persians ; Arab s Mussolini, Benito , 9 , 264-65 , 326 , 33 3 Mutawakkil, caliph , 9 7 Mu'tazilites, 9 7

Nabonidus, King , 2 0 Nabopolassar, king , 2 0 Nadir Shah , 34 6 Nakatomi n o Kamatari , 36 2 Nantes, Edic t of , 159 , 183 ; revocation, 191 , 200-01 Naples, 231 , 26 1 Napoleon I an d Napoleoni c Cod e an d Wars , 8 , 205, 213 , 214 , 219 , 220 , 223 , 226 , 229 , 230 33, 234 , 236 , 240 , 255 , 261 , 266, 270 , 307 , 310, 336 , 376 , 38 1 Napoleon III , 234-36 , 242 , 262-63 , 320 , 38 2 Narmer, 1 6 Narvaez, Ramon , general , 25 6 Nathan, prophet , 2 9 Navarre, 84 , 110 , 126 , 159 , 16 2 Nazis. See Germans, Germany , an d Nazi s Nebuchadrezzar I , king , 1 8 Nebuchadrezzar II , king , 20 , 3 1 Negrin, Juan , 258-5 9 Negroes (o r blacks o r Africa n Americans) , 206 , 209, 289 , 290-92 , 305 , 375 , 376 , 377 , 380 , 381, 385 , 387 , 390 , 39 2 Nehemiah, 3 1 Nehru, Jawaharlal , 351-5 3 Nehru, Motilal , 35 1 Nenni, Pietro , 26 5 Nero, emperor , 6 7 Nerva, emperor , 6 8 Nestorianism, 15 0 Netherlands (Lo w Countries , Holland) , 120 , 137, 158 , 164 , 170 , 183-84 , 210 , 231-32 , 279. See also Dutch Neves, Tancred o de Almeida , 40 8 Newcastle, Thoma s Pelham-Holles , duk e of , 196, 20 7 New Zealand , 3 , 9 Nicholas V , pope , 14 1 Nicholas I , tsar , 308-9 , 336-3 7 Nicholas II , tsar , 322 , 338-3 9 Nigeria, 8 2 Nixon, Richar d M. , 30 6 Nobility, 13 3 Normans, 84 , 87 , 101 , 105-6 , 114 . See also Vikings North, 2 d ear l o f Guilford an d 8t h baro n North, 19 7 Northwest Ordinance , 210 , 28 3 Norway, 102 , 110 , 111 , 115-16 , 127 , 146-47 , 170-71, 221 , 232 , 266-69 , 29 7 Noth, Martin , 2 5

Index 45 3 Novgorod, 149 , 150 , 17 7 Novosiltsev, Nicholas , 30 8 Numa Pompilius , king , 53 , 6 3 Numbers, Boo k of, 2 7 Nunez, Rafael , 38 4 Oates, Titus , 18 9 Obolensky, Dmitri , 12 8 Obote, Milton , 41 3 Obregon, Alvaro , 39 5 Occam, Willia m of , 13 5 O'Connell, Daniel , 27 1 Octavius, Gaiu s (late r Gaiu s Juliu s Caesa r Oc tavianus), 63 , 66 . See also Augustus, empero r Oda Nobunaga , 36 5 O'Higgins, Bernardo , 378 , 38 7 Okuma Shigenobu , 36 8 Olaf Haraldsson , -king , 11 0 Old Testament , 12 , 23 , 2 4 Oleg, gran d prince , 11 4 Olga, princess , 9 2 Olgerd, gran d prince , 14 3 Olivares, Gaspa r de Guzman , count-duke , 16 5 Olof Skotkonung , king , 11 0 Omri, king , 2 9 Orodes II , king , 5 3 Orozco, Jos e Clemente , 39 6 Ortega Saavedra , Daniel , 39 7 Oscar I , king , 26 6 Ospina Perez , Mariano , 39 9 Ostracism, 38-3 9 Ostrogorsky, George , 80 , 113 , 12 9 Ostrogoths, 73 , 80 , 82 . See also Goths; Visigoths Othniel, 2 5 Otho, emperor , 6 7 Othon, king , 317-1 9 Otto I , emperor , 85 , 13 6 Otto III , emperor , 8 5 Ottokar I I th e Great , king , 111 , 11 9 Owen, David , 27 9 Oxenstierna, Axel , 17 1 Paez, Jos e Antonio , 38 5 Paine, Thomas , 20 8 Pakistan, 351-5 2 Palestine, 109 , 11 3 Palme, Olof , 26 8 Palmer, R . R. , 199 , 210 , 212 , 22 6 Palmerston, Henr y Joh n Temple , 3r d viscount , 273

Panama, 373 , 383 , 38 4 Papacy, 85 , 103-5 , 136 , 142 , 214 , 38 4 Papagos, Alexandros , general , 33 3 Papal States , 83 , 161 , 262 Papen, Fran z von , 25 1 Paraguay, 374-75 , 378 , 388 , 391 , 404-5 Pardo, Jose , 40 0 Park Chung-hee , 41 3 Parker, Ato n B. , 29 8 Parlements o f France , 122 , 139 , 140 , 157 , 159 , 160, 187 , 198-20 3 Parliaments, 138 ; English Parliament , 8 , 89 , 121, 122 , 139 , 140 , 145 , 151-56 , 187-98 ; Parliament Act , 275-7 6 Parmenides o f Elea , 4 3 Parthians, 53 , 62 , 68 , 7 0 Pasic, Nikola , 324 , 327 , 32 8 Paul, St. , 75 , 76 , 13 2 Paul, prince , 328-2 9 Paul I , emperor , 226 , 33 6 Pausanias, 4 2 Pavelic, Ante , 32 9 Payne, Stanley , 258 , 25 9 Peasant Revol t (Germany , 1525) , 16 7 Pechenegs, 113 , 11 5 Pedro I , empero r o f Brazil, 381 , 392 . See also Dom Pedr o Pedro II , empero r o f Brazil , 392-9 3 Pedro IV , kin g of Portugal , 25 9 Pedro, V , kin g of Portugal , 25 9 Peel, Si r Robert , 271 , 27 3 Peisistratus, 3 8 Peloponnesian League , 38 , 44 , 4 5 Pepin th e Short , king , 8 3 Perez, Carlo s Andres , 39 8 Pericles, 5 , 44 , 45 , 64 , 41 6 Peron, Eva , 40 3 Peron, Isabe l Martine z de , 40 4 Peron, Jua n Domingo , colonel , 403- 4 Perry, Matthe w C , admiral , 36 7 Persia an d Persians , 20 , 23 , 31 , 39 , 40 , 41-42 , 43, 44 , 45 , 50 , 51 , 72, 80 , 95 , 117 ; Il-khans, 99, 130 , 131 , 150 , 176 , 22 5 Peru, 372 , 373 , 375 , 378 , 379 , 385 , 386-87 , 397, 40 0 Peter III , kin g of Aragon, 12 6 Peter I , tsa r an d empero r o f Russia , 177 , 220 , 225, 233 , 31 5 Peter III , empero r o f Russia , 225 , 33 5 Peter I , kin g of Serbia , 32 4 Peters, F . E. , 53 , 65 , 9 4

454 Index Petition o f Right , 155 , 17 9 Petkov, Nikola , 33 2 Phalanx, 36 , 37 , 4 4 Philip I of France , king , 86 , 10 6 Philip I I Augustu s o f France , king , 107 , 109 , 122 Philip I V th e Fai r of France , king , 122 , 123-2 4 Philip V I of France , king , 12 4 Philip I the Handsome , kin g of Spain , 16 4 Philip II , kin g of Spain , 162 , 164 , 184 , 37 5 Philip III , kin g of Spain , 16 5 Philip IV , kin g of Spain , 16 5 Philip V , kin g of Spain , 213 , 37 5 Philip I I o f Macedon , 48-4 9 Philip V of Macedon , king , 5 6 Philip, margrave , 16 7 Philippe Pot , seigneu r d e L a Roche, 15 7 Philippines, 257 , 29 5 Philistines, 25 , 26 , 2 7 Phoenicians, 26 , 29 , 4 2 Photius, patriarch , 9 1 Picasso, Pablo , 25 7 Pierce, Franklin , 287-8 8 Pierola, Nicolas , 38 6 Pilsudski, Jozef , 311-1 3 Pinochet Ugarte , Augusto , 40 2 Pisa, 11 2 Pitt, William , 1s t ear l o f Chatham , 196 , 198 , 415 Pitt, William , th e Younger , 197 , 198 , 27 0 Pius VII , pope , 23 1 Pius XI , pope , 26 5 Pizarro, Francisco , 37 2 Place, Francis , 27 1 Plataea, battl e of , 4 2 Plato, 47 , 4 9 Plumb, J . H. , 27 0 Plutarch, 5 3 Poincare, Raymond , 23 8 Poinsett, Joe l R. , 37 8 Poitiers, battl e of , 13 8 Poles an d Poland , 4 , 5 , 102 , 104 , 111 , 119 , 136, 137 , 142-44 , 148 , 151 , 168 , 171-75 , 180, 187 , 221-23 , 226 , 227 , 229 , 233 , 241 , 243, 244 , 307-15 , 326 , 327 , 33 6 Polignac, Jule s Auguste, princ e de , 23 4 Polis, 35 , 36 , 46 , 47 , 50 , 6 4 Polk, Jame s K. , 28 6 Polo, Marco , 35 7 Polybius, 56 , 57 , 6 4 Pombal, marqui s de , 213-14 , 38 0 Pompeius, Gnaeu s (Pompey) , 60-6 2

Pompeius Strabo , Gnaeus , 6 0 Pompidou, Georges , 23 9 Poniatowski, Stanislas , 22 2 Portales, Diego , 38 7 Portuguese an d Portugal , 110 , 125 , 145-46 , 162, 163 , 164 , 165 , 180 , 259-61 , 280 , 345 , 346, 365 ; in Lati n America , 379-81 , 392-94 , 406-8 Poynings' laws , 15 2 Praemunire, Statut e of , 13 9 Praetors, 5 6 Pragmatic Sanctio n o f Bourges , 140 , 15 7 Presbyterians, 15 6 Prestes, Lui s Carlos , 40 6 Prieto, Indalecio , 25 8 Prim, Do n Juan , 25 6 Primo de Rivera , Miguel , general , 25 7 Primogeniture, 88 , 99 , 108 , 11 9 Protestants, 4 , 7 , 151 , 293 , 35 9 Provisions o f Oxford , 12 0 Provisors, Statut e of , 13 9 Prussia, 166 , 216-19 , 221 , 222-23 , 231 , 232 , 233, 239-42 , 266 , 268 ; and Poland , 307-1 2 Psamtik, king , 2 2 Ptolemy I Soter , king , 6 2 Ptolemy XII , king , 6 2 Puerto Rico , 39 7 Pufendorf, Samuel , 18 5 Pugachev, Emelian , 22 6 Puritans, 154-55 , 158 , 188 , 205- 6 Pushkin, Alexander , 33 7 P'u-yi, emperor , 36 0 Pym, John , 155 , 18 8 Pyrrhus, king , 5 5 Pythagoras, 4 3 Quadros, Janio , 40 7 Qur an, 93 , 9 7 Radcliffe, Si r Cyril , 35 2 Radic, Stjepan , 32 8 Rahman, Fazlur , 9 7 Raleigh, Si r Walter , 20 5 Ramon Berengue r I , count , 12 5 Ramses II , king , 22 , 2 3 Ramses III , king , 2 2 Ranke, Leopol d von , 3 Rasputin, Gregory , 33 9 Reagan, Ronald , 30 6 Recabarren, Luis , 38 8 Recared, king , 8 4 Reddaway, W . F. , 170 , 194 , 214 , 222 , 23 2

Index 45 Reformation, 7 , Chapte r 6 , 22 1 Reform Bil l (English) , 1st , 272 ; 2nd, 273-74 ; 3rd, 274 ; (Scottish) , 273 ; (Irish) 27 3 Rehoboam, king , 2 8 Reischauer, Edwi n O. , 355 , 36 5 Renaissance, 7 , Chapte r 6 Revolution: English , 156 , 179 , 186 , 187 , 228 ; French, 8 , 187 , 201-5 , 226 , 228 , 233 , 239, 266; American, 187 , 201 , 208; Glorious Rev olution i n England , 190 , 192-93 , 207-12 , 228; of 183 0 in France , 383 ; of 1848 , 241, 287; of 190 5 in Russia , 311 ; Russian (1917 21), 339-40 ; Chinese (1911) , 35 9 Richard I Coeu r de Lion , king , 108 , 10 9 Richard II , king , 13 9 Richard III , king , 15 1 Richelieu, Arman d Jea n d u Plessis , cardina l and duk e of , 7 , 160 , 17 0 Richelieu, Arman d Emanue l d u Plessis , duk e of, 23 1 Riego, Rafae l del , major , 25 5 Rio Salado , battl e of , 14 4 Ripon, Georg e F . S . Robinson , 1s t marqui s of , 349 Rivadavia, Bernard o de , 38 9 Rivera, Diego , 39 6 Robert I , king , 10 3 Robespierre, Maximilie n Mari e Isidor e de , 201, 203-4, 26 1 Roca, Julio , general , 39 0 Rocroi, battl e of , 16 5 Rodrigues Alves , Francisc o d e Paula , 39 4 Rodriguez, Andres , general , 40 5 Rodriguez d e Francia , Jos e Gaspar , 39 1 Roman Catholics , 4 , 7 , 84 , 152 , 160 , 167 , 168 70, 216 , 218 , 293 , 314 , 315 , 40 9 Romanians an d Romania , 91 , 114 , 147 , 175 , 224, 315-16 , 319-24 , 325 , 327 , 330-3 1 Romans, 21 , 26, 32 , Chapte r 3 , 7 6 Romanus I V Diogenes , emperor , 11 2 Rome: origins, 53 ; the republic , 53-64 ; its Assemblies, 54-55 ; its religion , 57 ; the empire , 64-74, 132 ; legacy t o Byzantium, 77 ; legacy in West , 86 , 87 , 88 , 110 , 125 , 132-33 , 166 . See also Senate Romulus, 5 3 Romulus Augustulus , emperor , 7 3 Roosevelt, Frankli n D. , 303- 5 Roosevelt, Theodore , 295-98 , 38 4 Rosas, Jua n Manue l de , 389-90 , 39 1 Rothschild, Joseph , 329 , 33 0 Rotteck, Kar l von , 24 0

5

Rousseau, Jea n Jacques , 8 , 202-3 , 204 , 37 8 Roxana, 4 9 Roy, Rammohan , 34 9 Rudolf I , emperor , 11 9 Ruiz Cortines , Adolfo , 39 6 Runciman, Si r Steven , 13 2 Russia o r Ru s an d Russians , 6 , 8 , 9 , 84 , 92 , 114-15, 117 , 130 , 137 , 147-50 , 180 , 221, 222, 224-26 , 231 , 233, 246 , 266 , 286 , 301, 342, 412 ; an d th e Balkans , 316-25 ; and Po land, 307-12 . See also Union o f Sovie t Social ist Republic s (USSR , Sovie t Union ) Rutilius Rufus , Publius , 5 9 Sabine, Georg e H. , 134 , 135 , 179 , 18 3 Sacheverell, Henry , 19 4 Sagasta, Praxedes , 25 6 Sakharov, Andrei , 41 4 Saladin (Sala h al-Din) , sultan , 109 , 116 , 13 1 Salamis, battl e of , 4 2 Salazar, Antoni o de Oliviera , 26 0 Salic law , 124 , 25 6 Salitis, 1 7 Salmon, Edwar d Togo , 6 6 Samnites, 5 5 Samuel, Firs t Boo k of, 25 , 28 ; judge, 25 , 26 , 32 Samuel, tsar , 9 2 Sanchez Cerro , Luis , colonel , 40 0 San Martin , Jos e de , colonel , 378-7 9 Santa Cruz , Andres , 38 6 Santander, Francisc o d e Paula , 38 3 Saragat, Giuseppe , 26 5 Sardinia, 214 , 216 , 231 , 261-6 3 Sargon II , king , 3 0 Sargon o f Akkad, 1 2 Sarmiento, Domingo , 39 0 Sarney, Jose , 40 8 Saudi Arabia , 413 , 41 4 Saul, king , 25 , 26 , 3 2 Sava, Saint , 11 4 Savonarola, Girolamo , 160-6 1 Saxons o r Saxony , 73 , 84 , 8 8 Scaevola, Quintu s Mucius , 5 9 Scandinavia, 87 , 110 , 111 , 126-27 , 146-47 , 170-71, 180 , 187 , 219-21 , 232 , 266-69 Schacht, Hjalmar , 25 1 Schaerer, Edward , 39 1 Schleicher, Kur t von , general , 25 1 Schmidt, Helmut , 25 4 Schonerer, Georg , 24 3 Schumacher, Pete r (Coun t Griffenfeld) , 22 1

456 Index Schuschnigg, Kur t von , 24 4 Scipio Aemilianus, 56 , 5 7 Scipio Africanus, P . Cornelius , 56 , 58 , 6 0 Scotland, 8 , 84 , 101 , 108 , 121 , 124 , 153-56 , 168, 187 , 192 , 193 , 22 8 Sebiiktigin, 34 5 Sejm, 172 , 180 , 222 , 309 , 310 , 31 3 Sekigahara, battl e of , 36 6 Seleucids, 3 2 Seleucus, 5 2 Selim I th e Grim , sultan , 13 1 Selim III , sultan , 33 4 Senate: Roman , 54 , 60 , 61 , 62, 64 , 65 , 67 , 69 ; Byzantine, 77 , 78 ; U.S. , 211 , 29 6 Sennacherib, king , 1 9 Septimius Severus , emperor , 69-7 0 Sequoya, 29 2 Serbs an d Serbia , 91 , 92, 114 , 127-29 , 147 , 175, 224 , 264 , 315-18 , 321-25 , 327 . See also Yugoslavs an d Yugoslavi a Sertorius, Quintus , 6 0 Servus Tullius , 5 3 Sesostris III , king , 1 7 Seton-Watson, Hugh , 326 , 328 , 33 1 Severus Alexander , emperor , 70 , 7 1 Seymour, Horatio , 29 0 Shafer, Rober t Jones , 382 , 385 , 400 , 40 8 Shaftesbury, Anthon y Ashle y Cooper , 1s t ear l of, 18 9 Shah Jahan , emperor , 34 6 Shakespeare, William , 7 2 Shalmaneser III , king , 1 9 Shari'ah, 96 , 35 2 Shastri, La i Bahadur , 35 3 Shevchenko, Taras , 31 1 Sh'ia Muslims , 94 , 96 , 97 , 130 , 17 6 Shintoism, 36 2 Shishak, king , 2 9 Shomu, emperor , 36 3 Shotoku, prince , 362 , 36 3 Shuisky, Vasily , tsar , 17 8 Shultz, George , 1 , 2 , 5 Shu-Sin, king , 1 5 Sicilian Vespers , 12 8 Siedentop, L . A. , 7 6 Sigismund I I Augustus , king , 17 3 Sigismund III , king , 173 , 17 4 Sigismund, emperor , 142 , 14 4 Simeon, 2 5 Singapore, 37 0 Singh, V . P. , 35 3 Singhal, D . P. , 35 3

Siquieros, Davi d Alfaro , 39 6 Siraj ud-Dawlah , 34 7 Sivaji, emperor , 34 6 Slavs, 89 , 90-9 1 Slovaks. See Czechs an d Czechoslovaki a Smeral, Bohumir , 32 5 Smith, Alfre d E. , 30 2 Smith, Thomas , 15 3 Snefru, king , 1 6 Soares, Mario , 260-6 1 Socrates, 4 7 Soden, Wolfra m Th . von , 1 8 Solomon, king , 12 , 22 , 29 , 32 , 3 3 Solon, 3 8 Solzhenitsyn, Alexander , 34 0 Sophia, electress , 191 , 193-9 4 Sophists, 46-4 7 Sophocles, 4 6 South Africa , 3 , 9 Spain an d Spaniards , 8 , 98 , 116-17 , 124-26 , 144-45, 162-65 , 172 , 180 , 183 , 207 , 213-14 , 231, 255-61 , 262 , 280 , 282 , 295 ; in Lati n America, 372-79 , 382-91 , 394-40 5 Sparta, 36 , 37-38 , 42 , 43 , 44 , 45 , 4 6 Spartacus, 6 1 Spencer, Herbert , 38 4 Speransky, Michael , count , 233 , 336 , 33 7 Spinoza, Baruch , 8 , 18 5 Srivishaya empire , 8 1 Staaff, Karl , 26 7 Stalin, Iosi f V. , 58 , 258 , 265 , 314 , 331 , 340-4 1 Stamboliiski, Aleksandur , 331-3 2 Stambolov, Stefan , 32 2 Starcevic, Ante , 32 4 Stavisky, Serge , 23 8 Stein, Heinric h vom , baron , 23 9 Stephen, St . an d king , 111-12 ; crown of , 22 4 Stephen Nemanya , prince , 11 4 Stephen th e First-Crowned , king , 11 4 Stephen th e Great , prince , 14 8 Stephen II , pope , 8 3 Stevenson, Adla i E. , 30 5 Stoicism, 50 , 58 , 6 8 Stolypin, Pete r A. , 338-3 9 Strafford, Thoma s Wentworth , ear l of , 15 5 Strasbourg, oath s of , 83 , 8 9 Stresemann, Gustav , 250 , 25 1 Stroessner, Alfredo , general , 404- 5 Strossmayer, Josip , bishop , 32 4 Struensee, Joh n Frederick , 22 1 Sturzo, Do n Luigi , 26 4 Sucre, Jos e Antonio, 379 , 38 6

Index 45 7 Suffrage, 8 Suger, abbot , 10 6 Suleiman th e Magnificent , sultan , 158 , 168 , 175, 17 6 Sulla, Lucius , 59-60 , 6 1 Sully, Maximilie n d e Bethune , duk e of , 15 9 Sumeria, 4 , 6 , 7 , 12-15 , 3 2 Sunni Muslims , 96-97 , 13 0 Sun Yat-sen , 359-60 , 36 1 Suriname, 3 Svehla, Antonin , 32 6 Sviatoslav, gran d prince , 9 2 Sweden, 102 , 110 , 111 , 126-27 , 130 , 146 , 170 71, 219-21 , 225 , 228 , 266-69 , 41 4 Switzerland, 120 , 166 , 168 , 170 , 205 , 210 , 24 1 Sylvester I I (Gerber t o f Aurillac), pope , 8 5 Symeon, tsar , 9 2 Symphonia, 10 3 Syria, 98 , 109 , 11 3 Tacitus, 6 8 Taft, Willia m Howard , 29 8 Tai-p'ing rebellion , 35 9 Taiwan, 37 0 Tannenberg, battl e of , 120 , 143 , 17 1 Tanucci, Bernardo , 21 4 Tarquins, kings , 5 3 Tenchi, emperor , 36 2 Teresa o f Avila, St. , 16 3 Terra, Gabriel , 40 5 Teutonic Knights , 130 , 143 , 166 , 167 , 171 , 172, 17 4 Thailand, 9 , 81 , 37 0 Thales, 39 , 4 6 Thatcher, Margaret , 27 9 Thebes, 37 , 39 , 45 , 4 6 Themistocles, 4 2 Theodora, empress , 93 , 11 2 Theodore o f Studios , 9 0 Theodosius I , emperor , 72 , 7 5 Thiers, Adolphe , 234 , 23 6 Thomas, Norman , 302 , 30 3 Thucydides, 5 , 5 0 Thurmond, ] . Strom , 30 5 Thutmose III , 2 2 Tiberius, emperor , 6 7 Tienanmen Squar e massacre , 2 , 36 1 Tiglath-pileser III , king , 1 9 Tilden, Samue l J. , 29 0 Timur o r Tamerlane , 100 , 137 , 147 , 34 5 Tisza, Istvan , count , 244 , 24 5 Tisza, Kalman , 24 4

Tito, Josi p Broz, 329-3 0 Titus, emperor , 6 7 Tiv, 8 2 Tocqueville, Alexi s de, 28 5 Tokugawa Ieyasu , 36 6 Tomic, Radomir , 40 2 Toussaint-Louverture, 37 6 Trajan, emperor , 6 8 Transylvania, 136 , 151 , 168 , 175 , 216 , 222 , 223, 32 5 Trireme, 39 , 4 4 Trotsky, Leo n D. , 33 9 Truman, Harr y S. , 30 5 Tsankov, Aleksandur , 33 2 Tughril, 9 8 Tukhachevsky, Mikhail , general , 31 2 Tunisia, 9 7 Tupac Amaru , 375 , 405 ; Tupamaros, 40 5 Turgot, Ann e Rober t Jacques , baro n de l'Aulne, 20 1 Turkey an d Turks , 9 , 95-96 , 97 , 98 , 117 ; Seljuqs, 92 , 98 , 101 , 116 ; Ottomans, 100 , 114 , 129, 130 , 131 , 137 , 147-48 , 167-68 , 175-76 , 215, 222 , 223 , 224 , 225 , 229 , 315-24 , 332 ; Turkish Republic , 332-3 5 Turner, Frederic k Jackson , 29 1 Tuscany, 21 5 Tutankhaton (Tutankhamen) , 2 2 Tver, 17 7 Twelve Tables , La w o f the , 5 5 Twelve-Tablet poem , 1 9 Tyler, John , 28 5 Tyler, Wat , leade r o f Peasants ' Revolt , 13 9 Tyranny, 3 6 Tz'u-hsi, empress , 35 9 Ukraine an d Ukrainians , 173 , 226 , 31 0 Ulbricht, Walter , 25 4 Uljaitu Khodabanda , 13 0 Umar, caliph , 9 4 Umar II , caliph , 9 5 Unamuno, Migue l de , 25 7 Union o f Sovie t Socialis t Republic s (USSR , So viet Union) , 254 , 258 , 304 , 305 , 306 , 331, 414; an d Poland , 312-1 5 Unitarianism, 151 , 17 5 United Nations , 30 5 United State s o f America, 9 , 208-12 , 220 , 227 28, 251 , 280-306, 369 , 376 , 381 , 397 , 41 4 Ur, 13 , 1 4 Urban II , pope , 105 , 10 9 U'Ren, Willia m S. , 29 6

458 Index Uriburu, Jos e general , 40 3 Ur-nammu 13 , 1 5 Urquiza, Just o Jose de , 389-9 0 Uruguay, 378 , 385 , 388 , 391 , 405 Uru'inimgina, 12 , 13 , 1 5 Usages o f Barcelona , 12 5 Utrecht: Treat y of , 194 , 213 , 214 ; Unio n of , 184 Valdemar I , king , 11 1 Valdemar I I th e Conqueror , king , 111 , 12 6 Valdemar IV , king , 12 6 Valencia, 126 , 14 5 Valerian, emperor , 7 0 Van Buren , Martin , 285-8 6 Vandals, 72 , 73 , 80 , 8 2 Vargas, Getulio , 406- 7 Varna, battl e of , 14 8 Varus, Quinctilius , 6 5 Vasconcelos, Jose , 395-9 6 Vassalage, 8 7 Vatican City , 26 4 Velasco Alvarado, Juan , general , 40 1 Velasco Ibarra , Jos e Maria , 400 , 40 9 Velbuzhd, battl e of , 12 7 Venezuela, 373 , 376 , 381 , 383 , 397-98 , 40 9 Venice, 79 , 112 , 129 , 148 , 161 , 214, 26 3 Venizelos, Eleutherios , 323 , 332-3 3 Vercingetorix, 6 2 Verres, Gaius , 6 1 Versailles, Treat y of , 30 1 Verus, Lucius , emperor , 6 8 Vespasian, emperor , 65 , 6 7 Victor Amadeu s II , king , 21 4 Victoria, queen , 273 , 275 , 34 9 Vikings, 84 , 110 , 114 . See also Normans Villa, Pancho , 394-9 5 Villele, Jean-Baptist e de , 23 3 Vindiciae contra tyrannos, 182 Visigoths, 72 , 73 , 80 , 84 . See also Ostrogoths Vitellius, emperor , 6 7 Vitoria, Francisc o de , 16 3 Vittorio Emanuel e I , king , 261 , 26 3 Vittorio Emanuel e II I (Victo r Emmanuel) , king, 33 4 Vives, Luis , 16 3 Vladimir I , St . an d gran d prince , 114-15 , 14 9 Vladimirescu, Tudor , 31 6 Vladimir Monomakh , gran d prince , 115 , 14 9 Vlasov, Andrei , general , 32 7 Vollmar, Geor g von, 24 8 Voltaire (Francoi s Mari e Arouet) , 218 , 33 5

Waldemar IV , king , 14 6 Waldensians, 15 1 Wales, 84 , 108 , 2 1 Walesa, Lech , 314-1 5 Wallace, Henr y A. , 30 5 Walpole, Si r Robert , 195-96 , 198 , 20 7 Walter, Hubert , archbishop , 10 8 Wang An-shih , 356-5 7 Wang Mang , 35 6 Wang Yang-ming , 35 8 Waqf, 9 9 War o r Wars : Peloponnesian , 43-44 , 50 ; Punic , 49, 55-56 , 58 , 64 ; of th e Roses , 141 , 151, 180; Onin, 365 ; Thirty Years' , 158 , 160 , 165, 168 , 171 , 174 , 175 , 183 , 229 ; of th e Spanish Succession , 193 , 213 , 214 , 216 , 375 ; of th e Austria n Succession , 201 , 217, 347 ; of the Polis h Succession , 214 , 222 ; Seve n Years', 196 , 201 , 207, 217 , 347 , 375 ; Frenc h and Indian , 207 ; Napoleonic. See Napoleon I and Napoleoni c Cod e an d Wars ; Crimean , 319, 320 , 337 ; of Paraguay , 391 , 409; of th e Pacific, 386 , 409 ; Russo-Turkish , 321 ; Spanish-American, 397 ; Boer, 275 ; Sino-Japanese , 368; Russo-Japanese , 311 , 368; World Wa r I, 229 , 244 , 245 , 248 , 260 , 267 , 269 , 276 , 300-301, 312 , 324-25 , 331 , 339 , 350 , 368 , 387; Chaco , 409 ; World Wa r II , 57 , 238 , 244, 245 , 252-53 , 260 , 268 , 269 , 304-5 , 315 , 327, 329 , 331-33 , 340 , 351 , 369 , 396 ; Korean, 305 , 369 ; Vietnam, 30 6 Washington, George , 210-12 , 28 0 Waugh, W . T. , 138 , 139 , 145 , 16 6 Weaver, Jame s B. , 29 4 Weber, Max , 35 6 Webster, Daniel , 284-8 5 Welcker, Kar l Theodor , 24 0 Wellington, Arthu r Wellesley , 1s t duke of , 25 5 Wen, duk e o f Ch'in , 35 5 Wenceslas IV , king , 14 2 Wentworth, Peter , 15 3 Wesley, John , 27 1 Westphalia, Peac e of , 7 , 160 , 164 , 170 , 175 , 183, 21 5 Whigs, 4 ; "Whi g interpretatio n o f history, " 4 White, Lynn , Jr. , 7 7 White Mountain , battl e of , 16 9 Wielopolski, Alexander , marquis , 31 0 Wilkes, John , 19 6 Wilkie, Wendell , 30 4 William I th e Conqueror , kin g of England , 86 , 87, 105 , 10 7

Index 45 9 William III , kin g of England , 190-94 , 22 8 William IV , kin g of England , 27 1 William th e Silent , prince , 18 4 William I , kin g of th e Netherlands , 23 2 William I , kin g of Prussi a an d empero r o f Ger many, 241-42 , 24 6 William II , empero r o f Germany , 246 , 24 7 Williams, Roger , 20 6 Wilson, Harold , 27 9 Wilson, Woodrow , 298-301 , 303 , 325 , 394-9 5 Winstanley, Gerard , 15 6 Witan, 10 7 Wittfogel, Kar l A. , 21 , 99, 107 , 132 , 354 , 413 Woman suffrag e an d women' s rights , 297 , 302 , 369, 401 , 403, 405 , 40 7 Wordsworth, William , 22 9 Wu Ti , 35 6 Wycliffe, John , 142 , 15 1 Xavier, Francis , St. , 36 5 Xenophon, 4 5 Xerxes I , king , 42 , 4 3 Yapp, Malcol m Edward , 33 4

Yaroslav th e Wise , gran d prince , 115 , 14 9 Ypsilanti, Alexander , 31 6 Yrigoyen, Hipolito , 390-91 , 40 3 Yu, 35 4 Yuan Shih-k'ai , 359 , 36 1 Yugoslavs an d Yugoslavia , 315 , 325 , 327-30 , 333 Zabern affair , 24 8 Zajaczek, Jozef , 30 8 Zama, battl e of , 5 6 Zamiatin, Evgeni , 41 3 Zapata, Emiliano , 394-9 5 Zasulich, Vera , 34 0 Zedekiah, king , 3 1 Zemskii Sobo r (Assembl y o f th e Land) , 178 , 224-25 Zeno, 5 8 Zerubbabel, king , 3 1 Zhivkov, Todor , 33 2 Zia ul-Haq , 35 2 Zoe, empress , 9 3 Zog I , kin g (Ahme t Zogu) , 33 3 Zollverein, 240-4 2 Zoroaster an d Zoroastrians , 40 , 9 4

About the Author

DONALD W . TREADGOLD , Professo r o f History , Jackso n Schoo l o f Interna tional Studies , Universit y o f Washington , i s autho r o f The West in Russia and China. Professo r Treadgol d ha s bee n bot h edito r o f th e Slavic Review and Presi dent of the American Associatio n fo r th e Advancement o f Slavic Studies.