history


If you wait long enough to read one of the classics, maybe it’ll be conveniently forgotten. Or maybe you’ll just pick it up anyway. I just finished Vol. 1 of Edward Gibbon’s Decline and Fall of the Roman Empire, the hot bestseller of 1781. This volume covers the period from AD 180 to 395, in 956 closely printed pages.

emperor-julian

Julian. Not accidental that he’s depicted in philosopher’s robes

Should you read a history written 237 years ago? Well, sure, if you want to. Gibbon is old-school history, which means it’s all about the Great Men and the far more numerous Not Great Men. But he’s quite readable, he relies closely on primary sources, and it’s pretty hard to make this swath of history dull. Not only were the emperors a motley crew of heroes, tyrants, and perverts (sometimes all of the above), but the topic of disaster never loses its allure.

I can’t say how much Gibbon has held up as history– he’s probably pretty good at what he does, which is retelling the major wars and events of each reign. Look at a more modern history, like this one from Adrian Goldsworthy, for more of a social and administrative overview.

What does Gibbon think went wrong? Well, he’s big on the influence at the top: there were too many timid, tyrannical, or cruel buffoons in charge. And he’s big on the morale of a society– he thinks Republican Rome was a lovely combination of martial vigor, civic virtue, law, and manliness. (One of his worst epithets is “effeminate”.) Yet these are probably only old-fashioned ways of saying what Goldsworthy pointed out: the empire was fatally weakened by internal strife and an out-of-control army long before the barbarians took over.

Gibbon is, by the way, horribly and casually racist. He can’t resist calling the Persians effeminate (and prone to luxury and tyranny), the Jews anti-social and narrow, the Africans ineffectual and stupid, the steppe nomads as ugly and lazy. (They’re lazy because they don’t grow crops, you see. Adam Smith made the same mistake, not realizing that some regions just can’t support agricultural states.) Yet by his own account the Romans were despotic, often faithless and cruel, and not “manly” at all. The racism is completely gratuitous– he’s perfectly capable of soberly describing the respectable Persian religion and recognizing the virtues of their armies.

He’s also completely in favor of empire, Roman or British; manly nations should just spread out over the globe as far as they can, though again, by his own showing, no one has ever made these huge empires last too long without falling apart.

He also has a rather parochial kind of aristophilia, in that he naturally prefers and argues for whatever most resembles the British kingdom of his own day. He doesn’t like democracy or too much power in the hands of the people; he doesn’t much like absolute monarchy; it’s evident that he expects and wishes the Roman Senate would act like the British aristocrats of his day: rule the country in a more or less benign way, consult with each other, support a congenial ruler though holding the ultimate upper hand, and serving as the officers of both military and civil administration. I doubt the Republic was really what he imagined it was, and the imperial-era Senate certainly wasn’t. He clearly understands both why the Emperors needed to be generals, and why the Roman state was ultimately weakened because of military rule.

For much of the last 200 years, the book has had a slight tincture of scandal, because of his treatment of Christianity. I’d had the vague impression, in fact, that he was an atheist. Not at all; in fact he goes out of his way to talk about the Deity and Providence and how all the heretics were wrong; there’s really nothing here that a Christian could really object to. What earlier generations hated, of course, was that Gibbon wrote as a historian and not as a partisan. He downplays the persecution of Christianity (really, most emperors ignored it; only Diocletian really cracked down on it, and for a relatively brief period); he is not impressed with the Christians’ doctrinal squabbles or fearsome counter-prosecution of pagans; and he’s quite sympathetic to Roman religion. (Though he really hates Nordic religion.) He criticizes the luxury and venality of the 4C bishops, and is just a bit sarcastic about the miracles of the ecclesiastical sources. (He points out that if the sun really darkened during the Crucifixion, it’s rather surprising that Roman naturalists never mentioned it.)

An unexpected hero of the book, in fact, is the emperor Julian, who reigned just from 361-3, and received the title “the Apostate” because he reversed his uncle Constantine’s imperial embrace of Christianity and attempted to restore paganism. His apostasy is more excusable when you learn that the people who taught him were the same people who murdered most of his family. He had a natural leaning toward philosophy and loved hanging around with Neo-Platonist teachers; but he turned out to have an aptitude for war and statecraft as well. He turned back some Germanic invasions, reluctantly was acclaimed emperor by his troops, was personally abstemious and workaholic, and won the East by accident, when the emperor Constantius died. He advanced into Persia with some remarkable victories, inspiring his soldiers and dashing about the battlefield like a second Alexander… and then took a Persian javelin in his liver. Oops! The Romans kind of fell apart, extricating themselves from Persia only at the price of a significant loss of territory.

An alternative history where Julian lived longer would be interesting. It was probably too late for paganism– but the fact that most of his army flip-flopped from Christian to pagan and then back again, as his career waxed and suddenly ended, shows that the religious struggle was far more chancy than later events made it look.

Gibbon goes on, perhaps too much, about the politics of the intra-Christian squabbles, but doesn’t really bother to explain the theological problems. He simply assumes that the later-orthodox position is obviously right. This does a disservice to his own story, since in this period Arianism was actually dominant, and he can’t really explain why. It doesn’t seem to occur to him that if it weren’t for a few historical accidents, one of the “heretic” sects would be orthodoxy and the other would be obviously wrong.

Another curious topic: the extension of Roman citizenship. The Greek attitude toward citizenship was like Trump’s: make it as hard to get as possible. The Romans extended citizenship first to their Italian allies, then to more and more subjects, and finally (in 212) to all non-slaves within the Empire. Gibbon more or less disapproves of this: he’s all about the manliness, and obviously the city of Rome had lost its martial abilities and then its pre-eminence, well before the barbarians started causing trouble. But (say) Colin McEvedy thinks that this was one of Rome’s great strengths. The city itself could afford to decline because more and more people were willing to fight and die for the Roman name and civilization. (To the end, the Greek “Byzantine Empire” called itself and its people Romans.) If it had kept citizenship as a prize for itself, its empire would be as short-lived as those of Athens or Macedonia.

I’m not sure if I’ll go on to Volume 2… in many ways Vol. 1 tells you all you need to know. It ends just as the Germans are invading and the Huns aren’t far behind; the actual fall of the Western Empire in the next 80 years is just anticlimax.

A little linguistic note: you have to watch out for a few words that have changed meaning in 237 years. E.g. of one Gothic leader Gibbon says “the love of rapine and the hatred of Rome seconded, or even prevented, the eloquence of his ambassadors.” This could easily be taken as the opposite of what he means. We’d say that these things endorsed or preceded his diplomacy.

(Perhaps you’re wondering if a Rome Construction Kit is in the future? That would be fun, not least because I’d love to improve my Latin. And ooh, the world needs a history that puts all the macrons back on the Latin names. But no, this is just side reading for now.  Maybe later…)

 

 

Advertisements

In your first essay on Asimov’s Psychohistory, you wrote:

Discussions of psychohistory usually turn into debates on the role of the individual: can one person significantly affect the course of history or not? We all have our pet cases proving one point of view or the other. I have a strong opinion on the issue– but I’m going to suppress it.

Ok, now what if you don’t suppress your strong opinion on the issue? What’s your take?

—Raphael

king-court-cards

That refers to the Great Man theory, most clearly articulated by Thomas Carlyle. the opposite poles of the debate:

  • History is made by  Great Men, and all you need to study in history is the sequence of great men– mostly kings and religious leaders, though to appear cultured we can throw in a writer now and then.
  • History is made by grand social forces, from the raw and specific (who has the oil or the silver) to the abstract (a widespread desire for national rebirth). Looking at Great Men is simplistic hero worship; social forces produce them, and if one dude didn’t come forward, another would have.

Very roughly, we might call these “old-fashioned” and “modern” ways of writing history. An old-style history was the story of one king after another. A modern history looks at a far wider range of actors, tries to find underlying causes, concentrates not on how leaders differ but on how societies do.

My position isn’t very exciting after all; it’s that both poles are obviously wrong. Or both true, if you prefer.

In general, the Great Man theory is silly. If you have a question like “Why did Europe spill out over the whole globe after 1500?”, then looking at key figures is virtually a waste of time. Even key abstract factors are subject to furious debate. But it’s hard to seriously maintain that that whole process would have proceeded entirely differently if a different set of leaders had won out.

In science and invention, it’s especially evident that very often an idea is just in the air, and we over-fetishize the question of who got it first. Newton and Leibniz both invented calculus; the steam engine was a collaboration of a whole series of British and French inventors; the US and USSR were both in a position to develop atomic weapons and spaceships. The development of the Roman Empire, of capitalism, of the industrial revolution, of anti-colonialism, of the civil rights movement, would have gone about the same even if some of their particular founders were hit by a bus.

Plus, I do prefer modern histories! If I read about Ming China, I’d feel cheated by an account of the lives of each of the Zhu rulers.  I want to know about how the laws changed, why they sent out treasure fleets and why they stopped, how well the examination system worked, how the economy was developing, why Neo-Confucianism was so attractive, how administration differed from previous dynasties, how the environmental situation was growing more serious, how women and minorities were faring.

Yet, it still seems obvious to me that certain people change history. Most of Carlyle’s list— Muhammad, Shakespeare, Luther, Rousseau, Pericles, Napoleon, Wagner— I’d actually throw out, except for one: Muhammad. Though he had intriguing forerunners, notably Zaid ibn Amr, there was no historical inevitability to a monotheistic religion appearing just then, uniting all of Arabia, and then bursting out to take over territory from Spain to Indonesia.

People can and have speculated endlessly about the US Civil War. I think an excellent case can be made that the Northern victory was not inevitable, but was largely due to three men: Henry Halleck, Ulysses Grant, and Abraham Lincoln. To wit: the war showed that in post-Napoleonic war, defense was far stronger than anyone imagined. The North had far more resources, but struggled for years to put them to effective use. The public, and most generals, believed in huge victories won by frontal assault, something that was simply not possible. Most generals could not comprehend or implement Halleck’s “anaconda strategy” of strangling the South’s production capacity, till Sherman and Grant did. If the plan had taken two or three years more, very likely the North’s will to pursue it would have faded. Lincoln’s assassination, of course, put the country in far less wise hands. It can be doubted if Lincoln could have charted a far more progressive path, but it seems likely that he’d have done better than Johnson.

In science, I’d suggest Albert Einstein. He was by no means the only thinker who could have come up with relativity and quantum theory, but no one else was likely to have come up with all this by 1905. Plus, his and Szilard’s letter to Roosevelt about the atomic bomb must be one of the most consequential documents in history.

I’m writing about syntax right now, so I have to mention Noam Chomsky. Again, his ideas weren’t unprecedented— Morris Halle had some similar approaches. It’s hard to explain, especially if you’ve actually read Chomsky’s books, but something about his work simply galvanized people. He created a whole field of syntax and has dominated it, for good and ill, for sixty years.

In short… the broad sweep of history would probably be the same without any particular individual. But the identity of entire empires, the spread of entire religions, the success of this or that nation, would be quite different. The timing of scientific discoveries could differ by decades or more.

And of course, once an individual has changed things, that creates a momentum of its own. Once an Islamic empire existed, that had immense impacts on Europe, the Middle East, and South Asia, and that affected everything from the rediscovery of Aristotle to the spread of coffee drinking.

Stories, of course, can hardly avoid the Great Man syndrome. Probably no one wants to hear how Sauron was defeated by the superior industrial resources of Gondor and the greater appeal of elven ideology. They want to hear about how Aragorn and Gandalf and Frodo did it.

Asimov, whatever he was trying to do, couldn’t help reinforcing the Great Man theory although psychohistory was, in principle, its refutation. He keeps building up Hari Seldon and later R. Daneel Olivaw; he manages to capture the inevitable failure of the Empire without making the rise of the Foundation similarly inevitable.

 

 

 

 

This turned into a mini-research project… The chart below shows who had the majority in the Senate and House, and who held the White House, for each of the 115 Congresses of the United States. The main point is to examine when a party has been able to do what it wants in government.

Congress

The colors: beige is “Pro-Administration” (not an actual party); green is Federalist; orange is Democratic-Republican; purple is Whig; blue is Democratic; red is Republican. (White can be taken as “the opposition”— except in 1881, when it means that both parties had the same number of Senate seats.)

The number gives the percentage of seats in the Senate and House held by the majority party.

For Democrats and Republicans, I’ve used two colors: dark when the party can do what it wants; light when it can’t.  The general rule is that it’s light when not all three columns match— that is, government is divided.

However, I’ve modified this for the period 1953-1988.  With Eisenhower and Nixon, this is largely because neither tried to govern in conflict with Congress, at least by today’s standards. With Reagan, I’ve shown Congress as stymied, but not Reagan himself: he was able to implement the major policy shift from liberalism to plutocracy without serious setbacks.

I haven’t tried to graphically depict cases where a party was too divided to get much done— e.g under Carter and Trump.

What emerges, I think, are a number of periods with very different overall structures.

  • 1789-1800: the early years. I don’t know much about the politics of the time, but it’s probably not worth drawing lessons from it as everyone was trying to figure out how things worked and what their disagreements were.
  • 1801-1830: the Era of  Good Feelings.  Well, no wonder things went pretty smoothly: the Democratic-Republicans had a lock on government.
  • 1830-1860: the pre-Civil-war period. A lot more contentious, as a Democratic/Whig system developed. The second half of the period, dominated by the slavery question, shows a high degree of contention.
  • 1860-1932: overall, the Republican Period. This was the old style GOP, of course— the party of Northern business above all. There are a few contentious periods, but overall the number of strong GOP years is striking. Only Cleveland and Wilson had strong Democratic years.
  • 1933-1979: the liberal period. This period was dominated almost as strongly by the Democrats.Congress was so reliably Democratic that GOP presidents had to work with it.
  • 1980 on: the plutocratic period. Very largely a return to Republican rule, but much less solidly. Compare the majorities: where the 19C GOP often had numbers in the 60s or higher, the present-day GOP hasn’t risen above 57%. Divided government is the norm rather than the exception.

The reason I looked at all this was because I was curious how often we’ve had divided government, and the bipartisan courtesies that used to accompany it: infrequent filibusters, accommodating confirmation hearings, a collegial Senate, etc. We often hear people bemoaning increased polarization and wishing that people would just work together somehow across party lines. It’s said that the parties used to be miscellaneous coalitions so that they could pretty easily work together.

I think the general answer can be read from the chat: bipartisanship usually isn’t necessary. In 76 out of 115 Congresses— two-thirds of the time— we’ve had undivided government. That means that one party held the presidency and Congress, and could pretty much do as it wanted. (Again, we’re ignoring intra-party fights for now.) In such times you could be bipartisan if events warranted, but you could also pretty much ignore the other party.

Of course, that leaves another third of the time when we have divided government. Then, of course, it’s useful if both parties can work together. On the other hand, at least two of these periods were highly polarized times when being “moderate” arguably meant being a piece of jelly-like protoplasm:

  • The pre-Civil War period. People looked for decades, but there was really no moral or pragmatic compromise to be found between slavery and abolition.  The compromisers of the time aren’t exactly highly regarded today.
  • The present day, which is a lower-key but just as polarized debate on whether the country should be run for the benefit of its richest 10%, or for everyone. And some other issues, like whether or not we’d like to preserve the planet’s ecosphere and avoid nuclear annihilation. I sympathize with those who “hate politics” and wish that everyone would just get along. But you can’t wish the issues away, and “moderates” are usually deeply delusional about what’s actually happening in the country.

(What happened in the 1875-96 period?  I really don’t know, though now I’m curious. This was the Gilded Age, when the preoccupation was making money. The party lines seem baffling today: the Republicans were protectionist and pro-industry; the Democrats were laissez-faire, anti-tariffs, and associated with small farmers, immigrants, and Southerners. Neither seems to map to todays’ liberal/conservative divide.)

So, when you hear that (say) filibusters used to be uncommon— sure, they were, but look at those majority numbers. Majorities over 60 used to be common. This isn’t to say that the abuse of the filibuster isn’t a problem; the point is that periods of amiable divided government really haven’t ever been the norm.

I just finished Massacre at the Palace, by Jonathan Gregson, which focuses on the 2001 massacre of the royal family of Nepal by the crown prince, but retells the entire history of the Shah dynasty.  And good lord, the massacre is only of a piece with Nepali royal history.

The story starts in 1742 with the accession of Prithvi Narayan Shah to the kingdom of Gorkha. This was only one of sixty independent kingdoms in what is now Nepal, and by no means one of the major ones. Yet over the next quarter century, Prithvi ran a remarkable campaign of conquest, culminating in his overrunning the much more powerful kingdoms of the Kathmandu Valley in 1768. He and his successors kept on till they controlled the present-day territory of Nepal and quite a bit more.

In 1814-16, Gorkha ran afoul of the British, who defeated it and required it to take a British ambassador, and no others. Other than that, Gorkha retained its independence, and took on the role of Enthusiastic Ally. The British were impressed by the fighting spirit of the kingdom’s warriors, and recruited “Gurkhas” (their version of the name of the country) into their army. They were instrumental in putting down the 1857 revolt and served in large numbers in both world wars.

After that, the Shah dynasty had a big problem: minor kings.  For half a century after Prithvi’s death in 1775, there was almost never an adult king. That left regents in charge, and invited the family to indulge in some intense Game of Thrones style intrigue. The queens were particularly involved– not least because if their children didn’t win the throne, they could be forced to commit suicide.

By the 1830s, power was divided between king Rajendra, crown prince Surendra, and Rajya Laxmi, one of the king’s wives (not Surendra’s mother). Surendra was not popular, as he had a cruel streak: he liked to order subjects to jump down a well or ride a horse off a cliff, just to see if they’d die.

One relatively minor incident: the chief minister, a supporter of the queen, decided to switch his support to Surendra. Laxmi ordered a retainer, Jung Bahadur Konwar, to kill him– which he did, intensifying the palace intrigue. The next move was the king’s: he had his wife’s lover (another state minister) killed.

Laxmi was incensed, and summoned all the senior officers of the realm to an assembly ground known as the Kot, one night in 1846.  Konwar took the precaution of arriving with his brothers as well as a backup force.  Laxmi demanded to know who had been responsible for killing her minister; when no one replied she accused some wretch of doing it and ordered him immediately executed.  When people balked at this, she ran at him herself with a sword, but Konwar restrained her and escorted her back to the balcony. (The king slipped out and escaped the country.)

Once she was safely there, Konwar’s men opened fire on the assembled nobles.  Over thirty were killed, and an unknown number of soldiers and retainers.

The queen rewarded him with the position of chief minister and commander in chief. She expected that in return her own son would be named crown prince, but Konwar refused. She attempted to have him assassinated, but the plot was discovered; Konwar killed another couple dozen of her supporters and exiled her.  With both Laxmi and Rajendra out of the country, he could have the incapable Surendra proclaimed king.  More importantly, he could assume absolute power himself. He was granted a semi-royal title, Rana, and made the prime ministership hereditary.  The Ranas governed for the next century… not without an intra-dynastic shakeup or two of their own. The Shah family was essentially confined as prisoners in their own palace.

So things stood till 1950.  (The country began to be called Nepal in the 1930s, by the way. Previously this had been a name for the Kathmandu Valley only.)  Nepal remained one of the most regressive and poorest countries in Asia, but there was a new factor: there were now three embassies in Kathmandu: the UK, the US, and newly independent India.

King Tribhuvan saw an opportunity, and it was carefully negotiated by his sons, who had more freedom of movement. He requested from the Rana prime minister permission to hold an outdoor picnic. This was granted– as the army would accompany him, it seemed harmless.  The king and his sons each drove their own cars. As the motorcade passed the Indian Embassy, the doors opened and they drove in. It happened so fast that the army escort had no chance to react.  Immediately the king applied for political asylum.

In brief, the Rana ministers were now put in an impossible position, and had to negotiate a return to royal rule.  This was supposed to be democratic, but the Shah kings rarely had much patience for parliamentary rule, and things were only slightly better than under the Ranas. In the 1990s, a Maoist insurgency rose up in the countryside and soon controlled a quarter of the country.

The 2001 massacre was dramatic, but seems more an instance of insanity than power politics. The crown prince, Dipendra, wanted to get married; in a typical instance of arrogant royal interference, his mother refused to let him marry his chosen partner. That, at least, seems to be the underlying grievance.  Dipendra also enjoyed guns and had quite a collection of automatic rifles; he also had an alcohol and drug problem.

In June 2001 he snapped– or saw his opportunity. He was host for the royal family’s weekly dinner together.   He behaved strangely throughout the evening, at one point passing out.  He returned with a gun and shot up his family: his parents, his siblings, some aunts and uncles.  One wonders if he had some idea of bullshitting his way through to the throne– but if so, he reconsidered it, and instead shot himself.

One uncle survived, and became the new king. But he was never very popular, and the public seems to have finally had enough of royal rule. He was forced to return to parliamentary rule, and then, in 2008, parliament declared an end to the monarchy. Since then Nepal has had one of the most unusual political landscapes in the world: power has alternated between two communist parties (one Maoist, one Marxist-Leninist) and a center-left one.

All this makes a great story, but I should emphasize, the moral of the story is that kings suck. I’m reminded of a terrible passage in C.S. Lewis’s The Horse and His Boy, where a king explains that the lot of a king is one of service and hardship and is nothing to be envied… bullshit, C.S.  Where kings have real power, they are absolute bastards… not least because if they aren’t, they will be the puppets of someone who is.

The usual (bare) justification for monarchy is that it avoid succession struggles: you don’t have a civil war upon the death of each leader.  Even this low standard is violated in large swaths of history (see: the Roman Empire).  Though reflecting on Nepal’s history, perhaps a modified version of this claim could be defended: monarchy doesn’t avoid succession disputes, but it does make it a little more likely that they will be handled by nasty and murderous political intrigue, rather than by civil war. Even the Kot massacre was better than all-out war.

Still, the tradeoff is pretty terrible. The Ranas and the Shahs made out well, but the country remained miserably poor and undeveloped, and unequipped to deal with modern problems. (And the British deserve some share of the blame as well.  They were perfectly happy with Nepal as a backwards buffer state on their border, and they implicitly supported Rana misrule for over a century.)

Oh, I guess I should say something about Gregson’s book, eh?  Well, it’s really good, not least because he has such rich material to work with.  It’s well told, and it’s not a bad introduction to recent Nepalese history as well.

 

 

 

 

 

Just finished The Silk Roads: A New History of the World, by Peter Frankopan (2015)– an ambitious, disappointing book.

At times I tried to imagine the author’s elevator pitch. It doesn’t match the subtitle: it starts with Alexander the Great, so it’s already leaving out half of history. It barely covers Africa or the Americas. It’s very roughly about “East-West relations”, mostly involving trade, though it’s not very strong on China or India. It more or less focuses on the countries at the crossroads of Eurasia: the Middle East, Persia, Central Asia– only it never really tells their stories coherently. It sort of promises to retell European history with a focus on how it involved those regions, but then it has long detours into pretty traditional European history and contemporary US politics.

The last chapter talks about sudden evidence of wealth and grandiose architecture in Central Asia… but doesn’t bother to explain where it came from. The previous chapters were a quick retread of recent history in Iraq, Afghanistan, and Iran. He states that ancient history from the Silk Road on illuminates present concerns… but falls far short of demonstrating how. It is relevant to understand the early history of Islam, and he does go over that, but earlier chapters on, say, early Christianity east of Syria don’t tell us much about why they’re building spectacular airports in Astana, besides the wan truisms that trade is important and the lifestyle of rich countries affects people thousands of miles away.

There was probably a better book buried in here, but it needed a lot more focus and a more consistent theme. An out-and-out history of Persia and Central Asia, for instance, probably would have covered what he wanted to talk about, with far more coherence and depth. It can certainly be argued that Westerners could learn more about this part of the world… but for long chapters he ignores it himself, instead giving resumes of Viking raids, or Hitler’s mountain retreat, or the Spanish conquest of Mexico, or Zheng He’s expeditions.

This isn’t to say it’s terrible. Any traipse through history is likely to turn up something new, and he does have some interesting stories and theories. I did find the bits about early Christianity interesting; the link between the EIC and the American Revolution is a good point for my book; he also mentions that the Islamic concern with the direction of Mecca stimulated advances in geometry and astronomy. Which is a good reminder for conworlders: seemingly trivial bits of doctrine can have unexpected and unintended secular effects.

If you don’t know much about early Islam, this would probably be a good introduction… though there are better ones.

A couple more complaints, though.  One, the maps are less than helpful. He likes maps with lots of arrows showing movements of things, and the results are hard to read.

Plus, I think he’s too credulous about reports of riches and high living. Whether today or millennia ago, big buildings and the lifestyle of the rich get a lot of attention. But these are perfectly compatible with near-starvation for the 9/10 of the population that works the fields. Azerbaijan, whose airport so impresses Frankopan, and which has significant oil reserves, has a per capita income less than that of Peru. He also talks about the luxuries of ancient Rome (most of them imported from the east). But other books I’ve read emphasize that, the mass of people lived on the edge of disaster, and urban life never put forth deep roots anywhere west or north of Italy– which is why the west couldn’t survive the shocks of civil war and barbarian wandering. Similarly, his accounts of Silk Road traders neglect to mention that the actual number of merchants and the amount of goods privately traded was pretty small.

 

 

 

As promised, here’s a review of that hot mess, the Mānava dharmaśāstra, commonly called the Laws of Manu. I don’t have a picture of Manu, who was mythical anyway, so here is a picture of a brahmin teaching.

brahmin

The tame lion is a nice touch

Background

Two thousand years ago, the Indians wrote manuals (śāstra) for everything: metallurgy, theater, grammar, and so on. Some of the most important were those dedicated to the three drives of human life: dharma (righteousness, merit, law), artha (worldly success, ambition, politics), and kāma (love, desire). Thus the Dharmaśāstra (treatise on virtue), Arthaśāstra (treatise on success / statecraft), and Kāmasūtra (book on love).

There are several Dharmaśāstras, the best known are attributed to the sage Yājñavalkya and to the first man / first king, Manu. For convenience I’ll call the author Manu (especially as we have no other name to give him). The book is also known as the Manusmriti, but that’s a newer term.  Manu was one of the first Sanskrit books known in the West— it was translated in 1794 by William Jones (most famous for his Indo-European quote).

The British rather unfortunately took it as an actual law code and attempted to base Hindu law on it. This is a bit like taking Plato’s Republic as your constitution. As Patrick Olivelle (the translator of the modern version I read) points out, Manu (and Kauṭilya) were writing in a time when northern India was frequently ruled by śūdras (the lower class), by Buddhists, or by out and out mlecchas (barbarians).  Their description of a dominant brahmin class which even the kṣatriya kings deferred to, and where “heretics” could be forced to live outside the town walls, was an archaizing fantasy.

The book itself

Of the three books— the Dharmaśāstra, Arthaśāstra, and Kāmasūtra— the latter is by far the most appealing to modern tastes. There’s an awful lot of sex in it, of course, but its portrait of the idle rich man-about-town (nagaraka) is something we can recognize today, and it’s surprisingly fair to women.

And Manu is by far the least appealing. The book is not a law code at all; it’s a manual of morality for brahmins. It starts with a hefty cosmological introduction, then proceeds to the meat: six chapters of detailed rules for the life of a brahmin, from birth to death. There’s one chapter on kings (assumed to be kṣatriyas), and two on law proper.  Finally there’s a chapter on complications of class, and one on penances.

Oh, by the way, it’s all in verse— which is one of the reasons the book was cited and read for centuries. In Indian culture, poetry was more authoritative and more memorable. I’m happy however that the translation is in prose.

 

From a distance of thousands of yojanas and two millennia, it’s hard to say how realistic a text is, but just based on the level of detail, it’s evident that Manu knows his brahmin procedures, but little about statecraft. His section on kings is far inferior to Kauṭilya’s; it’s mostly a collection of vague, unworldly encouragements:

When kings fight each other in battle with all their strength, seeking to kill each other and refusing to turn back, they go to heaven. When he is engaged in battle, he must never slay his enemies with weapons that are treacherous, barbed, laced with poison, or whose tips are ablaze with fire.

In contrast Kauṭilya will very frankly tell you when to fight, when to negotiate, when to undermine with spies, and when to surrender; and give you recipes for poisons and how to find spies to apply them.

Strikingly, though there is an awful lot about brahmins and kṣatriyas, but the section addressed to vaiśyas (merchants and farmers) is half a page, and that for śūdras (servants) is one paragraph, and it just tells them to obey happily. (The first three classes are all dvijas or twice-born; the second birth is a ceremony where they receive a sacred thread. Dvija men are entitled to study the Vedas and are generally on top in society.)

In earlier times there was some fluidity in class, but by Manu’s time it was strictly hereditary. You could lose class but never rise.

Now, Kauṭilya accepts the basic system, but never puts great emphasis on it, and almost never gives supernatural sanction to his laws. Manu is a believer and a defender, and everything has a religious reason for it. There is a panicky edge to Manu’s treatment of śūdras; as Olivelle says, for him they’re the Enemy. The Nanda and Maurya dynasties— the first empires in India— were said to be śūdras, which seemed to the Manus of the times as a horrible inversion of how things should be. (It’s not hard to see a parallel in racist horror at having a black president.)

Most societies have class systems, but few have theologized them so completely. All evils can be blamed on past lives. Unattractively, Manu calls the mentally retarded, the blind, the deaf, and the deformed “despised by good people”— they have these handicaps because of their sins in previous lives.

Just as bad is Manu’s horrible misogyny.  For him, women have an unquenchable lust: “Whether he is handsome or ugly, they make love to him with the single thought, ‘He is a man!’”  Women are never supposed to be independent; even if they are married to a villain they should “worship him as a god”.  They are not allowed to hear the Vedas. Their very nature is “lust, hatred, behavior unworthy of an Ārya, malice, and bad conduct.”

On the plus side, Manu is a window into a different worldview. Perhaps the most attractive feature of his ethics is the rejection of power and comfort as the supreme goals. Though in his ideal world the brahmins had special legal protections and should be supported by the state, he does not really give them secular power. They are supposed to study, teach the other twice-born, offer sacrifices, and generally be holy.  Ideally they should not even serve in government. They are supposed to be calm and not arrogant, generous, and deferent to their own teachers. When they retire— when their sons have sons— they are supposed to give up all their possessions and live as an ascetic in the forest. (At the same time, the ideal is not entirely ascetic: a man is supposed to be a “householder” for most of his life, happily married and earning a living.)

Every society has a “default class”, whose interests are assumed to be identical to that of the nation. For medieval Europe it’s the aristocrat; for America it’s the businessman; for imperial China it was the scholar-official. And for ancient India it was the brahmin. (Of course, the default class is never actually typical or ideal. But it says something about the society to look at its norms. You can also try to read between the lines and picture the counter-norms: these defaults are always erected in contrast to a less-trusted Other.)

If all you want is a review, you can stop here. I’m going to go through my marginal notes and point out things I found interesting.

Infodump

If you are interested in ritual and everyday practice, Manu is the book for you. For instance:

The feet of his brother’s wife of the same class, he should clasp every day; but the feet of the wives of his paternal and maternal relatives, only after returning from a journey.

This is in the epics, too: touching the feet as a gesture of respect. In the Rāmāyaṇa, when Sītā is kidnaped, Rāma and his brother Lakṣmaṇa find her shoes. Lakṣmaṇa makes a point of mentioning that he knows what Sītā’s feet (and footwear) look like, but not her face— a nice point of idealized etiquette.

“It is the very nature of women to corrupt men.” Just what a moralist would say; but the context is how to treat the young wife of one’s guru. Seems like an indirect stab at the guru!

Manu is quite finicky about wives for brahmins:

He must not marry a girl who has red hair or an extra limb; who is sickly; who is without or with too much bodily hair; who is a blabbermouth or jaundiced-looking; who is named after a constellation, a tree, a river, a very low caste…

There is a somewhat strange classification (also found in Kauṭilya) of types of marriage:

  1. Brāhma: a man gives a girl to a “man of learning and virtue”
  2. Divine: a man gives his daughter to a priest as a reward for officiating a sacrifice
  3. Seer: a man gives his daughter in return for the gift of a steer and cow
  4. Prājāpatya: a man gives a girl merely with an exhortation
  5. Asura (antigod): a man acquires a bride by paying her and her family
  6. Gāndharva (celestial being): a man and woman have sex and then get married (out of love)
  7. Rakṣasa (demon): a man abducts a woman
  8. Paisāca (ghoul): a man rapes a sleeping or drugged woman

Manu rules out 5 and 8. Brahmins are supposed to rely on 1-4; 6 and 7 are lawful for  kṣatriyas. For what it’s worth, Kauṭilya describes 7 as more of an abduction which is all right if everything is smoothed out with the woman and her parents; Manu describes it in blood-curdling terms (a man “abducts a girl from her house as she is shrieking and weeping, by causing death, mayhem and destruction”).  Kauṭilya also has no problem with bride-price, which Manu finds immoral. (The cattle in 3 are OK.)  Manu but not Kauṭilya forbids remarriage, and Manu doesn’t even mention the possibility of a women divorcing her husband.

Manu lists “entering a king’s service” as a source of disrepute and ruin, along with neglecting the Vedas, engaging in trade, and having sons only with śūdra wives. However, when he comes to advising kings on picking counselors, he wants him to choose a “sagacious and distinguished Brahmin”!

After an offering, you signal to your guests that it’s time to leave by saying “Please, stay around.”  A nice example of paradoxical politeness!

Many of the rules are hard to fathom. A good brahmin is not supposed to look at your reflection in water, or run in the rain. He should never dance or play an instrument. If he sees a rainbow, he should not point it out to other people. He should not urinate on ashes. He cannot give a śūdra leftovers or teach him the law; more bafflingly, he is not to give him advice. No twice-born should eat onions, leeks, garlic, or mushrooms, or sell meat, lac, or salt, on pain of losing his class.

Brahmins at this time could eat food as part of a sacrifice. If you get the urge to eat meat and no sacrifice is at hand, Manu advises making a fake animal out of butter or flour.

The ideal retirement:

He should roll on the ground or stand on tiptoes all day; spend the day standing and the night seated… surround himself with the five fires int he summer; live in the open air during the rainy season; and wear wet clothes int he sinter— gradually intensifying his ascetic toil.

When you’re done with life, you could walk northeast, subsisting on nothing but water and air, till you dropped dead. To help motivate your detachment, he provides a meditation on the body:

Constructed with beams of bones, fasted with tendons, plastered with flesh and blood, covered with skin, foul-smelling, filled with urine and excrement, infested with old age and sorrow, the abode of sickness, full of pain, covered with dust, and impermanent— he must abandon this dwelling place of ghosts.

A king, however, should “meet his death in battle.”

Where Kauṭilya says that a treasure trove is shared with the king, Manu says this is only true for non-brahmins— because the world belongs to them.

A rare improvement on Kauṭilya: a son is not obliged to pay his father’s debts if they were due to gambling or drinking.

If a śūdra “hurls grossly abusive words” at a dvija, his tongue should be cut off.  And if he hears the Vedas being recited, hot metal is to be poured in his ears.  It’s permitted to simply “seize property” from a śūdra.  Yeesh.

There was a custom of levirate marriage: if a man dies without sons, his wife could sleep with his brother, and any son born would be attributed to her husband. Manu accepts this custom but he doesn’t like it; he says the brother-in-law should have sex with her only once a month, and only till she bears a son. An alternate method for a sonless man was to designate a daughter as a “female-son”, so that her son becomes his heir.

A king should exile all heretics, gamblers, entertainers, and liquor sellers. (The unreality for this rule is shown by the fact that Kauṭilya offers rules for regulating all of these… not to mention employing some of them as spies.)

For some reason, the ancient writers really really dislike goldsmiths. Manu says that a dishonest goldsmith should be cut to pieces with knives. A man who steals precious gems will be reborn as a goldsmith.

Though agriculture was lawful for vaiśyas, and for brahmins if they had no other work, it was ethically dubious: “the plough with an iron tip lacerates the ground as well as creatures living in it.” Of course, you needed these people to have something to eat, but at least you could keep them at arm’s length.

A brahmin or kṣatriya should not lend money at interest. However, it’s permitted to do so if the recipients are “evil men”. Due diligence on this must have been interesting.

At one point Manu describes homosexuality as causing a man to lose class— but at another he prescribes a relatively simple penance for it: subsisting for one day only on cow’s products— ghee, milk, urine, and dung. (It’s not clear if you have to consume them all, or you get a choice, but heck, it’s only one day.)

There is a section which mentions castes per se— jāti. They are described as the result of various inter-class marriages— which is entirely absurd as history, but can be taken as an attempt as classification or hierarchy.  Even so, he only describes a handful of castes, not the several thousand that exist today.

The penance section is weird. He often gives excruciating penances— then adds a much easier alternative.  E.g. if a twice-born man drinks liquor, he can drink boiling-hot liquor. Or drink boiling cow urine until he dies. Harsh. Or he can simply eat broken grain or oil-cake at night for a year.  If he has sex with an elder’s wife, he can kill himself by lying on a hot metal bed or by castrating himself.  Or live on gruel and sacrifice-food for three months. In both cases a further alternative is simply to recite certain Vedic hymns. I guess the technique is similar to the Christian doctrine of presenting the wages of sin as death and torment in hell— then remarking that you avoid all that by Christ’s sacrifice. Ritual is there for taming a frightening world.

There’s a rather amusing list of what animals you’ll be reborn as for various thefts. If you steal linen, you will be a frog. If you steal household utensils, you will be a wasp.  Stealing salt leads to life as a cricket.

 

 

Time for our last traipse through the Arthaśāstrawhich started here and continued here.

Statecraft

Congratulations, you’ve become king of a small ancient Indian state. Your first question: how to choose ministers? This is an important enough question that Kauṭilya does a literature review: he summarizes the opinion of various authorities before giving his own. You should not pick your classmates or family retainers (they won’t respect you as a king), nor sycophants (they are devoted by not intelligent), nor “new persons” (who are inexperienced). You should choose men of “high family and possessed of wisdom… ministerial appointments shall purely depend on qualifications.” This sounds hard to disagree with, but it’s worth pointing out that most premodern states were aristocratic and not meritocratic. (And this was long before China’s examination system developed.)

Early governments are often pictured with a small staff. E.g. I was just reading in Mary Beard that Pliny the Younger was appointed governor of a fairly large province and had precisely two  officeholders beneath him. Beyond that, he had to use his own servants, co-opt native (non-Roman) authorities, or use the legions. Chinese magistrates might govern a million citizens with no staff paid by the central government. But the Arthaśāstra describes what sounds like a pretty large and thorough bureaucracy.  Here’s the main offices described:

  • Chamberlain (responsible for treasury and storehouses)
  • Collector general (of taxes)
  • Superintendent of accounts
  • … of the treasury
  • … of (manufacturing) metals
  • … of the mint
  • … of gold
  • … of the storehouse
  • … of commerce
  • … of forest produce
  • … of the armoury
  • … of weights and measures
  • … of tolls
  • … of weaving
  • … of agriculture
  • … of liquor
  • … of the slaughterhouse
  • … of prostitutes
  • … of cows
  • … of horses
  • … of elephants
  • … of chariots
  • … of passports

He also mentions the chief priest, the officer in charge of the harem, the magistrate, the king’s council, and governors of cities, forts, boundaries, and villages.

Kauṭilya writes as if the king could regulate and manage everything. There’s no bright line between public and private. It’s clear there was private activity, but the state also carried on a lot of economic activity on its own. The king also wanted his tax share of everything. There is even a rule that the state should supply dice to gamblers.

A warning on secrecy: counsels have been divulged by parrots, mynah birds, and dogs. (Was this warning literal? But then we say “The walls have ears.”)

The vices of a king are hunting, gambling, women, and drinking. Of these, Kauṭilya concludes that drinking and gambling are the worst. Drinking causes loss of money, corpselike appearance, loss of the Vedas, pain, loss of friends, and addiction to music. For Kauṭilya that’s pretty harsh.

Using confederates, princes should be terrified into avoiding all four. This can be done by drugging his liquor, defrauding him at gambling, accosting his hunting party in the guise of bandits, and showing him “impure women”.

A forest for the king may be set up with wild animals whose claws and teeth have been removed. (This is presumably for relaxation; other forests could be set up for hunting.)

Although there is much advice about how to serve the king, the life of a courtier is described as “living in fire.”

Kings should follow their subjects in dress, customs, language, and religion. (Again, Kauṭilya wrote in a period when kings were often foreign and/or non-Hindu, so this may be a complaint against the times.)

There are suggestions on how a minister can seize power. However, Kauṭilya advises against this; rather, a young prince should be set up as a puppet.

Spies

If Kauṭilya has one word for the king, that word is spies. Spies should check on government officials, attempt to corrupt them (so you learn which are corruptible), listen for dissidents, eliminate the seditious. They spread out into neighboring countries to bring information and sow division. Good covers for spies include religious disciple, ascetic, householder, merchant, prostitute, and mendicant woman. Poisoners and assassins are also needed.

If three different spies produce the same story, it can be believed.  If they frequently differ, they are probably making things up and should be dismissed.

Suspicious places to check on: vintners; sellers of cooked rice and meat; gambling houses; houses of heretics. Merchants and physicians are expected to report suspicious clients.

Entrapment is recommended. One neat idea: pretend to have supernatural powers, such as great speed, invisibility, causing sleep, opening locked doors.  See who signs up for lessons. (You can use confederates to pretend to sleep in order to demonstrate your powers.)  Arrest those who then attempt to commit crimes.

A spy can incite the brother of a seditious person to kill him. Then you kill the brother for fratricide.

You can set up traps in a temple, e.g. a wall that falls on your enemy as he enters.

A spy can pretend to be a long-lived ascetic and make friends with an enemy king. The spy claims that he takes a new body every hundred years, and invites the enemy to see the rite. If he shows up, he can be killed.

Spies can pretend to be gods and converse with the king, so the people think the king regularly has divine visitors.

War

Though kings were expected to rule with wisdom, they were also expected to conquer. “Whoever is superior in power shall wage war.”

It’s presumed that all the king’s neighbors are enemies. But by the same token, the king in back of your enemy might be your friend. The rules for dealing with enemies, friends, and neutrals are pretty complex, and frequently cynical. (If you need to double-cross your enemy, he tells you how to do it.)

Fighting to the end is not wise; better to surrender. Typically a surrendered king was allowed to administer his own territory.

If you have to give children as hostages, it’s best to give princesses, because they “cause troubles” for the court that receives them. Unfortunately he doesn’t explain what troubles!

Is it better to attack a strong but wicked king, or a weak but righteous one?  The wicked king, because his own subjects will refuse to support him.

Is it better to have a small army of bold men, or a large army of effete men?  The latter: there is always work for the weaklings, and numbers terrify the enemy. Besides, you can train the effete men to be more spirited.

You could use an “army of traitors” to look weak and invite attack.

A look-alike for the king should supervise the arrangement of troops.

An untrained army can march one yojana a day (5.5 miles)— the best armies could do twice that. (Other sources on ancient warfare suggests 20 miles a day… but at this period north India still had lots of forest, so Kauṭilya probably knows what he’s talking about.)

Ways to cross a river: a line of elephants; planks spread over pillars; bridges and boats; masses of bamboo; baskets covered with skins.

You shouldn’t harass a defeat army, because it will become reckless and dangerous.

Elephants can be used not only to charge the enemy, but to break into forts, to clear the path, to protect your flank, to ford streams, to quench fires, to carry the treasury.  However, elephants are only good when there’s plenty of water: in dry hot country they become obstinate, or catch leprosy.

The four branches of the army are infantry, elephants, horses, and chariots.  However, it’s clear that the number of chariots is small: a few dozen make up the chariot arm.

Three men can oppose a horse; fifteen are needed to oppose a chariot or an elephant.

 

 

 

 

 

 

Next Page »