After Tamerlane: The Rise and Fall of Global Empires 1400 – 2000 by John Darwin (2007)

Empires exist to accumulate power on an extensive scale…
(After Tamerlane: The Rise and Fall of Global Empires 1400 – 2000 page 483)

Why did the nations of Western Europe rise through the 18th and 19th centuries to create empires which stretched around the world, how did they manage to subjugate ancient nations like China and Japan, to turn vast India into a colonial possession, to carve up Africa between them?

How did white European cultures come to dominate not only the territories and peoples who they colonised, but to create the modern mindset – a vast mental framework which encompasses capitalist economics, science and technology and engineering, which dominates the world right down to the present day?

Why did the maritime states of Europe (Britain, France, the Dutch, Spanish and Portuguese) end up either settling from scratch the relatively empty places of the world (America, Australia), or bringing all the other cultures of the world (the Ottoman Empire, Hindu India, Confucian China and Shinto Japan) under their domination?

For a hundred and fifty years politicians, historians, economists and all kinds of academics and theoreticians have been writing books trying to explain ‘the rise of the West’.

Some attribute it to the superiority of the Protestant religion (some explicitly said it was God’s plan). Some that it was something to do with the highly fragmented nature of Europe, full of squabbling nations vying to outdo each other, and which spilled out into unceasing competition for trade, at first across the Atlantic, then along new routes to India or the Far East.

Some credit the Scientific Revolution, with its proliferation of new technologies from compasses to cannons, an unprecedented explosion of discoveries and inventions. Some credit the slave trade and the enormous profits made from working to death millions and millions of African slaves to create the profits which fuelled the industrial revolution and paid for the armies which subjugated India.

Lenin thought it was the unique qualities of European capitalism which had perfected techniques to exploit the proletariat in the home countries and then to subjugate less advanced nations, which would inevitably lead to a global capitalist war once the whole world was colonised.

So John Darwin’s book, which sets out to answer all these questions and many more, is following an extremely well-trodden path. BUT it does so in a way which feels wonderfully new, refreshing and exciting. This is a brilliant book. If you were only going to read one book about imperialism, this is probably The One.

For at least three reasons:

1. Darwin appears to have mastered the enormous revisionist literature generated over the past thirty years or more, which rubbishes any idea of innate European superiority, which looks for far more subtle and persuasive reasons – so reading this book means you can feel yourself reaping the benefits of hundreds of other more detailed & specific studies. He is not himself oppressively politically correct, but he is on the right side of all the modern trends in historical thought (i.e. is aware of feminist, BAME and post-colonial studies).

2. Darwin pays a lot more attention than is usual to all the other cultures which co-existed alongside Europe for so long (Islam, the Ottoman Empire, the Mughal Empire, the Safavid Empire, the Chinese Empire, Japan, all are treated in fascinating detail and given almost as much space as Europe, more, in the earlier chapters) so that reading this book you learn an immense amount about the history of these other cultures over the same period.

3. Above all, Darwin paints a far more believable and plausible picture than the traditional legend of one smooth, consistent and inevitable ‘Rise of the West’. On the contrary, in Darwin’s version:

the passage from Tamerlane’s times to our own has been far more contested, confused and chance-ridden than the legend suggests – an obvious enough point. But [this book places] Europe (and the West) in a much larger context: amid the empire-, state- and culture-building projects of other parts of Eurasia. Only thus, it is argued, can the course, nature, scale and limits of Europe’s expansion be properly grasped, and the jumbled origins of our contemporary world become a little clearer.

‘Jumbled origins’, my God yes. And what a jumble!

Why start with Tamerlane?

Tamerlane the Eurasian conqueror died in 1405. Darwin takes his death as marking the end of an epoch, an era inaugurated by the vast wave of conquest led across central Asia by Genghis Khan starting around 1200, an era in which one ruler could, potentially, rule the entire Eurasian landmass.

When Tamerlane was born the ‘known world’ still stretched from China in the East, across central Asia, through the Middle East, along the north African shore and including Europe. Domination of all of China, central Asia, northern India, the Middle East and Europe was, at least in theory, possible, had been achieved by Genghis Khan and his successors, and was the dream which had inspired Tamerlane.

Map of the Mongol Empire created by Genghis Khan

But by the death of Tamerlane the political situation across Eurasia had changed. The growth in organisation, power and sophistication of the Ottoman Empire, the Mamluk state in Egypt and Syria, the Muslim sultanate in north India and above all the resilience of the new Ming dynasty in China, meant this kind of ‘global’ domination was no longer possible. For centuries nomadic tribes had ravaged through Eurasia (before the Mongols it had been the Turks who emerged out of Asia to seize the Middle East and found the Ottoman Dynasty). Now that era was ending.

It was no longer possible to rule the sown from the steppe (p.5)

Moreover, within a few decades of Tamerlane’s demise, Portuguese mariners had begun to explore westwards, first on a small scale colonising the Azores and Canary Islands, but with the long-term result that the Eurasian landmass would never again constitute the ‘entire world’.

What was different about European empires?

Empires are the oldest and most widespread form of government. They are by far the commonest way that human societies have organised themselves: the Assyrians, Babylonians, Egyptians, Persians, the Greek and Roman Empires, the Aztec Empire, the Inca Empire, the Mali Empire, Great Zimbabwe, the Chinese empire, the Nguyễn empire in Vietnam, the Japanese Empire, the Ottoman empire, the Mughal empire, the Russian empire, the Austro-Hungarian empire, to name just a few.

Given this elementary fact about history, why do the west European empires come in for such fierce criticism these days?

Because, Darwin explains, they were qualitatively different.

  1. Because they affected far more parts of the world across far more widespread areas than ever before, and so ‘the constituency of the aggrieved’ is simply larger – much larger – than ever before.
  2. Because they were much more systematic in their rapaciousness. The worst example was surely the Belgian Empire in the Congo, European imperialism stripped of all pretence and exposed as naked greed backed up by appalling brutality. But arguably all the European empires mulcted their colonies of raw materials, treasures and of people more efficiently (brutally) than any others in history.

The result is that it is going to take some time, maybe a lot of time, for the trauma of the impact of the European empires to die down and become what Darwin calls ‘the past’ i.e. the realm of shadowy past events which we don’t think of as affecting us any more.

The imperial legacy is going to affect lots of people, in lots of post-colonial nations, for a long time to come, and they are not going to let us forget it.

Structure

After Tamerlane is divided up into nine chapters:

  1. Orientations
  2. Eurasia and the Age of Discovery
  3. The Early Modern Equilibrium (1750s – 1800)
  4. The Eurasian Revolution (1800 – 1830)
  5. The Race Against Time (1830 – 1880)
  6. The Limits of Empire (1880 – 1914)
  7. Towards The Crisis of The World, 1914 – 42
  8. Empire Denied (1945 – 2000)
  9. Tamerlane’s Shadow

A flood of insights

It sounds like reviewer hyperbole but there really is a burst of insights on every page of this book.

It’s awe-inspiring, dazzling, how Darwin can take the elements of tremendously well-known stories (Columbus and the discovery of America, or the Portuguese finding a sea route to India, the first trading stations on the coasts of India or the unequal treaties imposed on China, or the real consequences of the American Revolution) and present them from an entirely new perspective. Again and again on every page he unveils insight after insight. For example:

American Take the fact – which I knew but had never seen stated so baldly – that the American War of Independence wasn’t about ‘liberty’, it was about land. In the aftermath of the Seven Years War (1756 – 63) the British government had banned the colonists from migrating across the Appalachians into the Mississippi valley (so as to protect the Indians, and because policing this huge area would be ruinously expensive). The colonists simply wanted to overthrow these restrictions and, as soon as the War of Independence was (after the British gave up in 1783), set about opening the floodgates to colonising westward.

India Victorian apologists claimed the British were able to colonise huge India relatively easily because of the superiority of British organisation and energy compared with Oriental sloth and backwardness. In actual fact, Darwin explains it was in part the opposite: it was because the Indians had a relatively advanced agrarian economy, with good routes of communication, business hubs and merchants – an open and well-organised economy, which the British just barged their way into (p.264).

(This remind me of the case made in The Penguin History of Latin America by Edwin Williamson that Cortés was able to conquer the Aztec and Pissarro the Incas, not because the Indians were backward but precisely because they were the most advanced, centralised and well organised states in Central and South America. The Spanish just installed themselves at the top of a well-ordered and effective administrative system. Against genuinely backward people, like the tribes who lived in the arid Arizona desert or the swamps of Florida or hid in the impenetrable Amazon jungle, the Spanish were helpless, because there was no one emperor to take hostage, or huge administrative bureaucracy to take over – which explains why those areas remained uncolonised for centuries.)

Cultural conservatism Until about 1830 there was still a theoretical possibility that a resurgent Ottoman or Persian empire, China or Japan, might have reorganised and repelled European colonisers. But a decisive factor which in the end prevented them was the intrinsic conservatism of these cultures. For example, both Chinese and Muslim culture venerated wisdom set down by a wise man (Mohammed, Confucius) at least a millennium earlier, and teachers, professors, civil servants were promoted insofar as they endorsed and parroted these conservative values. At key moments, when they could have adopted more forward-looking ideologies of change, all the other Eurasian cultures plumped for conservatism and sticking to the Old.

Thus, even as it dawned on both China and Japan that they needed to react to the encroachments of the Europeans in the mid-nineteenth century, both countries did so by undertaking not innovations what they called restorations – the T’ung-chih (‘Union for Order’) restoration in China and the Meiji (‘Enlightened rule’) restoration in Japan (p.270). (Darwin’s description of the background and enactment of both these restorations is riveting.)

The Western concept of Time Darwin has a fascinating passage about how the Europeans developed a completely new theory of Time (p.208). It was the exploration of America which did this (p.209). America gave the Europeans an entirely new understanding of human Time. Because here they encountered, traded and warred with Stone Age people who used bows and arrows and (to start with) had no horses or wheeled vehicles and never developed anything like a technology. This led European intellectuals to reflect that maybe these people came from an earlier phase of historical development. In fact, maybe societies evolve and change and develop.

European thinkers quickly invented numerous ‘systems’ suggesting how societies progressed from the x age to the y age and then on to the z age – but they all agreed that the native Americans (and even more so, the Australian aborigines) represented the very earliest stages of society, and that, by contrast, Western society had evolved through all the intervening stages to reach its present state of highly evolved ‘perfection’.

And once you have created mental models like this, it is easy to categorise the other cultures you encounter (Ottomans, Hindus, China, Japan, Siam, Annamite etc) as somewhere definitely lower or backward on these paths or stages of development. And being at the top of the tree, why naturally that gave white Europeans the right to intervene, invade, conquer and administer all the other people of the world in order to ‘raise’ them to the same wonderful level of civilisation as themselves.

18th and 19th I’ve always been a bit puzzled by the way that, if you read accounts of then European empires, there is this huge difference between the 18th century and the 19th century. Darwin explains why: in the eighteenth century there were still multiple European players in the imperial game: France was the strongest power on the continent, but she was balanced out by Prussia, Austria and also Spain and Portugal and the Dutch. France’s position as top dog in Europe was admittedly damaged by the Seven Years War but it wasn’t this, it was the Napoleonic Wars which in the end abolished the 18th century balance of power in Europe. Britain emerged from the Napoleonic Wars as the new top dog, with a navy which could beat all-comers, which had hammered the French at the Battle of the Nile and Trafalgar, and which now ruled the waves.

The nineteenth century feels different because Britain’s world-encompassing dominance was different in kind from any empire which ever preceded it.

Africa If I have one quibble it’s that I’d like to have learned more about Africa. I take the point that his book is focused on Eurasia and the Eurasian empires (and I did learn a huge amount about Persia, the Moghul empire, China and Japan) and that all sub-Saharan Africa was cut off from Eurasia by the Sahara, but still… it feels like an omission.

And a woke reader might well object to the relative rareness of Darwin’s references to the African slave trade. He refers to it a few times, but his interest is not there; it’s in identifying exactly where Europe was like or unlike the rival empires of Eurasia, in culture and science and social organisation and economics. That’s his focus.

Russia If Africa is disappointingly absent, an unexpected emphasis is placed in each chapter on the imperial growth of Russia. I knew next to nothing about this. A quick surf on Amazon suggests that almost all the books you can get about the Russian ’empire’ are about the fall of the Romanovs and the Bolshevik Revolution and then Lenin or Stalin’s creation of a Bolshevik empire which expanded into Eastern Europe after the war. That’s to say it’s almost all about twentieth century Russia (with the exception of a crop of ad hoc biographies of Peter the Great or Catherine the Great).

So it was thrilling to read Darwin give what amounts to a sustained account and explanation of the growth of the Kingdom of Muscovy from the 1400s onwards, describing how it expanded west (against Poland, the Baltic states, Sweden), south towards the Black Sea, south-west into the Balkans – but most of all how Russian power was steadily expanded East across the vast inhospitable tundra of Siberia until Russian power reached the Pacific.

It is odd, isn’t it, bizarre, uncanny, that a nation that likes to think of itself as ‘European’ has a huge coastline on the Pacific Ocean and to this day squabbles about the ownership of small islands with Japan!

The process of Russian expansion involved just as much conquering of the ‘primitive’ tribal peoples who hunted and trapped in the huge landmass of Siberia as the conquest of, say, Canada or America, but you never read about it, do you? Can you name any of the many native tribes the Russians fought and conquered? No. Are there any books about the Settling of the East as there are thousands and thousands about the conquest of the American West? Nope. It is a historical black hole.

But Darwin’s account of the growth of the Russian Empire is not only interesting as filling in what – for me at any rate – is a big hole in my knowledge. It is also fascinating because of the role Russian expansion played again and again in the game of Eurasian Risk which his book describes. At key moments Russian pressure from the North distracted the attention of the Ottoman Empire from making more offensive thrusts into Europe (the Ottomans famously encroached right up to the walls of Vienna in 1526 and then again in 1683).

When the Russians finally achieved one of their territorial goals and seized the Crimea in 1783, as a result of the Russo-Turkish War, it had the effect, Darwin explains, of cracking the Ottoman Empire open ‘like an oyster’. For centuries the Black Sea had been an Ottoman lake and a cheaply defensible frontier. Now, at a stroke, it became a massive vulnerability which needed costly defence (p.175).

And suddenly, seeing it all from the Russian perspective, this sheds new light on the timeworn story of the decline of the Ottoman Empire which I only know about from the later 19th century and from the British perspective. For Darwin the role of Russian expansionism was vital not only in itself, but for the hemming in and attritional impact it had on the other Eurasian empires – undermining the Ottomans, making the Chinese paranoid because Russian expansion around its northern borders added to China’s sense of being encircled and endangered, a sense that contributed even more to its risk-averse policy of doubling down on its traditional cultural and political and economic traditions, and refusing to see anything of merit in the Westerners’ technology or crude diplomacy. A policy which eventually led to complete collapse in the Chinese Revolution of 1911.

And of course the Russians actually went to war with imperial Japan in 1905.

Numbered lists

Darwin likes making numbered lists. There’s one on almost every page. They rarely go higher than three. Here are some examples to give a flavour of his careful, forensic and yet thrillingly insightful way of explaining things.

The 18th century geopolitical equilibrium The geopolitical revolution which ended the long equilibrium of the 18th century had three major effects:

  1. The North American interior and the new lands in the Pacific would soon become huge extensions of European territory, the ‘new Europes’.
  2. As a result of the Napoleonic war, the mercantile ‘zoning’ system which had reflected the delicate balance of power among European powers was swept away and replaced with almost complete control of the world’s oceans by the British Navy.
  3. Darwin gives a detailed description of why Mughal control of North India was disrupted by invasions by conquerors from the north, first Iran then Afghanistan, who weakened central Indian power at just the moment the British started expanding from their base in Bengal. Complex geopolitical interactions.

The so-called stagnation of the other Eurasian powers can be characterised by:

  1. In both China and the Islamic world classical, literary cultures dominated the intellectual and administrative elites – the test of intellectual acumen was fitting all new observations into the existing mindset, prizes went to those who could do so with the least disruption possible.
  2. Cultural and intellectual authority was vested in scribal elites backed up by political power, both valuing stasis.
  3. Both China and the Islamic world were profoundly indifferent and incurious about the outside world.

The knowledge revolution Compare and contrast the East’s incuriosity with the ‘West’, which underwent a cognitive and scientific revolution in which merit went to the most disruptive inventors of new theories and technologies, and where Darwin describes an almost obsessive fascination with maps. This was supercharged by Captain Cook’s three huge expeditions around the Pacific, resulting in books and maps which were widely bought and discussed, and which formed the basis of the trade routes which followed in his wake, and then the transportation of large numbers of convicts to populate Australia’s big empty spaces (about 164,000 convicts were transported to the Australian colonies between 1788 and 1868).

Traumatic impact of the Napoleonic Wars I hadn’t quite realised that the Napoleonic Wars had such a traumatising effect on the governments of the main European powers who emerged in its aftermath: Britain, France, Prussia, Austria and Russia. Very broadly speaking there was peace between the European powers between the 1830s and 1880s. Of course there was the Crimean War (Britain, France and Turkey containing Russia’s imperial expansion), war between Austria and Prussia (1866) and the Franco-Prussian War. But all these were contained by the system, were mostly of short duration and never threatened to unravel into the kind of general conflict which ravaged Europe under Napoleon.

Thus, from the imperial point of view, the long peace had four results:

  1. The Royal Navy’s policing of all trade routes across the Atlantic and between Europe and Asia kept trade routes open throughout the era and kept costs down for everyone.
  2. The balance of power which the European powers maintained among themselves discouraged intervention in either North or South America and allowed America to develop economically as if it had no enemies – a rare occurrence for any nation in history.
  3. The post-Napoleonic balance of power in Europe encouraged everyone to tread carefully in their imperial rivalries.
  4. Geo-political stability in Europe allowed the growth across the continent of something like a European ideology. This was ‘liberalism’ – a nexus of beliefs involving the need for old-style autocratic power to be tempered by the advice of representatives of the new middle class, and the importance of that middle class in the new technologies and economics unleashed by the industrial revolution and in founding and administering the growing colonies abroad.

Emigration Emigration from Europe to the New World was a trickle in the 1830s but had become a flood by the 1850s. Between 1850 and 1880 over eight million people left Europe, mostly for America.

  1. This mass emigration relieved the Old World of its rural overcrowding and transferred people to an environment where they could be much more productive.
  2. Many of the emigrants were in fact skilled artisans. Moving to an exceptionally benign environment, a vast empty continent rich in resources, turbo-charged the American economy with the result that by the 1880s it was the largest in the world.

Fast His chapter The Race Against Time brings out a whole area, an entire concept, I’ve never come across before, which is that part of the reason European colonisation was successful was it was so fast. Not just that Western advances in military technology – the lightning advances in ships and artillery and guns – ran far ahead of anything the other empires could come up with – but that the entire package of international finance, trade routes, complex webs sending raw materials back home and re-exporting manufactured goods, the sudden flinging of railways all across the world’s landmasses, the erection of telegraphs to flash knowledge of markets, prices of goods, or political turmoil back from colonies to the European centre – all of this happened too quickly for the rival empires (Ottoman, Japan, China etc) to stand any chance of catching up.

Gold rushes This sense of leaping, hurtling speed was turbo-charged by literal gold rushes, whether in the American West in the 1840s or in South Africa where it was first gold then diamonds. Suddenly tens of thousands of white men turned up, quickly followed by townships full of traders and artisans, then the railway, the telegraph, the sheriffs with their guns – all far faster than any native American or South African cultures could hope to match or even understand.

Shallow And this leads onto another massive idea which reverberates through the rest of the book and which really changed my understanding. This is that, as the spread of empire became faster and faster, reaching a kind of hysterical speed in the so-called Scramble For Africa in the 1880s (the phrase was, apparently, coined by the London Times in 1884) it meant that there was something increasingly shallow about its rule, especially in Africa.

The Scramble for Africa

Darwin says that most radical woke historians take the quick division of Africa in the 1880s and 1890s as a kind of epitome of European imperialism, but that it was in fact the opposite, and extremely unrepresentative of the development of the European imperialisms.

After all the Scramble happened very quickly – unlike the piecemeal conquest of Central, Southern of North America, or India, which took centuries.

The Scramble took place with almost no conflict between the European powers – in fact they agreed to partitions and drew up lines in a very equable way at the Congress of Berlin in 1885. Other colonies (from the Incas to India) were colonised because there were organised civilisations which could be co-opted, whereas a distinctive feature about Africa (‘historians broadly agree about one vital fact’ p.314) was that people were in short supply. Africa was undermanned or underpeopled. There were few organised states or kingdoms because there simply wasn’t the density of population which lends itself to trading routes, settled farmers and merchants – all the groups who can be taxed to create a king and aristocracy.

Africans hadn’t progressed to centralised states as humans had in Eurasia or central America because there weren’t enough of them. Hence the poverty and the lack of resistance which most of the conquerors encountered in most of Africa.

In fact the result of all this was that most of the European governments weren’t that keen on colonising Africa. It was going to cost a lot of money and there weren’t the obvious revenue streams that they had found in a well-established economy like India.

What drove the Scramble for Africa more than anything else was adventurers on the ground – dreamers and fantasists and ambitious army officers and business men and empire builders who kept on taking unilateral action which then pitched the home government into a quandary – deny their adventurers and pass up the opportunity to win territory to a rival, or reluctantly support them and get enmeshed in all kinds of messy responsibilities.

For example, in the mid-1880s a huge swathe of West Africa between the desert and the forest was seized by a buccaneering group of French marine officers under Commandant Louis Archinard, and their black rank and file. In a few years these adventurers brought some two million square miles into France’s empire. The government back in Paris felt compelled to back them up which meant sending out more troops, police and so on, which would cost money.

Meanwhile, modern communications had been invented, the era of mass media had arrived, and the adventuring soldiers and privateers had friends and boosters in the popular press who could be counted on to write leading articles about ‘the white man’s burden’ and the torch of civilisation and ask: ‘Isn’t the government going to defend our brave boys?’, until reluctant democratic governments were forced to cough up support. Modern-day liberals often forget that imperialism was wildly popular. It often wasn’t imperialist or rapacious governments or the ruling class which prompted conquest, but popular sentiment, jingoism, which couldn’t be ignored in modern democracies.

Darwin on every page, describes and explains the deep economic, trade and financial structures which the West put in place during the nineteenth century and which eventually underpinned an unstoppable steamroller of annexation, protectorates, short colonial wars and long-term occupation.

The Congress of Berlin

The Congress of Berlin helped to formalise the carving up of Africa, and so it has come to be thought of as evil and iniquitous, particularly by BAME and woke historians. But once again Darwin makes you stop and think when he compares the success of the congress at reaching peaceful agreements between the squabbling European powers – and what happened in 1914 over a flare-up in the Balkans.

If only Bismarck had been around in 1914 to suggest that instead of rapidly mobilising to confront each other, the powers of Europe had once again been invited for tea and cake at the Reichstag to discuss their differences like gentlemen and come to an equable agreement.

Seen from this perspective, the Berlin Congress is not so much an evil colonialist conspiracy, but an extremely successful event which avoided any wars between the European powers for nearly thirty years. Africa was going to be colonised anyway because human events have a logic of their own: the success was in doing so without sparking a European conflagration.

The Scramble for China The Scramble for China is not as well known as its African counterpart,  the competition to gain ‘treaty ports’ on the Chinese coast, impose unfair trading terms on the Chinese and so on.

As usual, though, Darwin comes at it from a much wider angle and makes one massive point I hadn’t registered before – which is that Russia very much wanted to seize the northern part of China to add to its far eastern domains; Russia really wanted to carve China up, but Britain didn’t. And if Britain, the greatest trading, economic and naval power in the world, wasn’t onside, then it wouldn’t happen. There wasn’t a genuine Scramble for China because Britain didn’t want one.

Why not? Darwin quotes a Foreign Office official simply saying, ‘We don’t want another India.’ One enormous third world country to try and administer with its hundreds of ethnic groups and parties growing more restive by the year, was quite enough.

Also, by the turn of the century, the Brits had become paranoid about Russia’s intentions to conquer Afghanistan and march into North India. If they partitioned China with Russia, that would mean policing an even longer frontier even further way against an aggressive imperialist power ready to pounce the moment our guard was down.

Summary

This is an absolutely brilliant book. I don’t think I’ve ever come across so many dazzling insights and revelations and entirely new ways of thinking about a time-worn subject in one volume.

This is the book to give anyone who’s interested not just in ‘the rise of the West’ but how the whole concept of ‘the West’ emerged, for a fascinating description not just of the European empires but of all the empires across Eurasia – Ottoman, Persian, Moghul, Chinese and Japanese – and how history – at this level – consists of the endless juggling for power of these enduring power blocs, the endless and endlessly

complex history of empire-, state- and culture-building. (p.490)

And of course it all leads up to where we are today: a resurgent Russia flexing its muscles in Ukraine and Crimea; China wielding its vast economic power and brutally oppressing its colonial subjects in Tibet and Xinkiang, while buying land, resources and influence in Africa. And both Russia and China using social media and the internet in ways we don’t yet fully understand in order to undermine the West.

And Turkey, keen as its rulers of all colours have been since the Ottoman days, to keep the Kurds down. And Iran, as its rulers have done for a thousand years, continually seeking new ways to extend its influence around the Gulf, across Syria and to the Mediterranean, in eternal rivalry with the Arab world which, in our time, means Saudi Arabia, against whom Iran is fighting a proxy war in the Yemen.

Darwin’s books really drives home the way the faces and the ideologies may change, but the fundamental geopolitical realities endure, and with them the crudeness and brutality of the tools each empire employs.

If you let ‘morality’, especially modern woke morality, interfere with your analysis of this level of geopolitics, you will understand nothing. At this level it always has and always will be about power and influence, dominating trade and ensuring raw resources, and behind it all the never-ending quest for ‘security’.

At this level, it isn’t about following narrow, English notions of morality. Getting hung up on that only gets in the way of grasping the utterly amoral forces at play everywhere in the world today, just as it’s always been.

Darwin stands up for intelligence and insight, for careful analysis and, above all, for a realistic grasp of human nature and human society – deeply, profoundly flawed and sometimes pitiful and wretched though both routinely are. He takes an adult view. It is absolutely thrilling and a privilege to be at his side as he explains and analysis this enormous history, with such confidence, and with so many brilliant ideas and insights.


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The Nightmare of Reason: The Life of Franz Kafka by Ernst Pawel – part one (1984)

‘What do I have in common with the Jews? I hardly have anything in common with myself and should stand very quietly in a corner, content that I can breathe.’
(Franz Kafka, 8 January 1914)

This is a hugely enjoyable biography of Franz Kafka, chiefly because it is itself so unKafkaesque, so informative and logical and entertaining.

Although the subject matter and settings of Kafka’s novels and short stories vary, what all Kafka’s works have in common (well, apart from the really short stories) is the long-winded and often convoluted nature of his prose which seeks to reflect the over-self-conscious and over-thinking paranoia, anxiety and, sometimes, terror of his protagonists, narrators or characters.

Pawel’s book, by contrast, is a wonderfully refreshing combination of deep historical background, penetrating psychological insights, fascinating detail about the literary and cultural world of turn-of-the-century Prague, and hair-raising quotes from Kafka’s diaries, letters and works, all conveyed in brisk and colourful prose. Pawel is about as variedly entertaining as prose can be, which came as a huge relief after struggling through the monotone grimness of a story like The Burrow.

Three ethnicities

If you read any of Kafka’s works it’s difficult to avoid blurbs and introductions which give away the two key facts of his biography – 1. his lifelong fear of his father, Herrmann, and 2. how he spent his entire working life in a state insurance company, itself embedded in the elephantine web of Austro-Hungarian bureaucracy.

The Workmen’s Accident and Insurance Institute for the Kingdom of Bohemia was an integral part of the pullulating Austro-Hungarian bureaucracy that, like a giant net of near-epic intricacy, covered the entire Hapsburg domain. (The Nightmare of Reason, page 183)

Between them these two facts can be used as the basis of entry-level commentaries on Kafka’s stories, interpreting them as being about either:

  1. anxiety and dread of some nameless father figure who inspires an irrational sense of paralysing guilt
  2. or (as the two famous novels do) as unparalleled descriptions of vast, impenetrable bureaucracies which the helpless protagonists can never understand or appeal to

So far, so obvious. What I enjoyed most in this biography was all the stuff I didn’t know. First and foremost, Pawel gives the reader a much deeper understanding of the history, the politics and, especially, the ethnic make-up of Bohemia, where Kafka was born and lived most his life, and of its capital city, Prague – and explains why this mattered so much.

What comes over loud and clear is the tripartite nature of the situation, meaning there were three main ethnic groups in Bohemia, who all hated each other:

1. The majority of the population of Prague and Bohemia was Czech-speaking Czechs, who became increasingly nationalistic as the 19th century progressed, lobbying for a nation state of their own, outspokenly resentful of the Austrian authorities and of their allies in the German-speaking minority.

2. A minority of the population, around 10 to 15%, were ethnic Germans. They regarded themselves as culturally and racially superior to the Czechs, who they thought of as inferior ‘slavs’. The Germans were bolstered 1. by their proximity to Germany itself, with its immense cultural and literary heritage, and 2. because they spoke the same language as the Austrians who ruled the Austro-Hungarian Empire. Most schools in Bohemia taught German as the official language, resulting in a state of civil war between the two languages and low level conflict between the two cultures – Pawel describes it as an ‘abyss’ (p.140).

Kafka, for example, although he was complimented on his spoken Czech, never considered himself fluent in it, and was educated, preferred to speak and wrote in German. In reference books he is referred to as a master of German prose.

3. And then there were the Jews. Pawel goes into great detail and is absolutely fascinating about the position of Jews in the Austro-Hungarian Empire and Bohemia in particular. He goes back to the Emperor Joseph II’s 1781 Patent of Toleration, which allowed Jews and Protestants for the first time to practice their religion in the Empire, and the charter for religious freedom granted the Jews of Galicia in 1789. From these statutes dated a series of other laws enacted throughout the nineteenth century designed to ’emancipate’ the Jews from a range of medieval laws which had placed huge restrictions on how they could dress, where they could go, what jobs they could hold.

But this so-called emancipation was a double-edged sword, because it also abolished the communal autonomy which the Jews had enjoyed, it forbad the wearing of traditional Jewish clothes, and it enforced the Germanisation of Jewish culture.

The effect of all this was that, through the 19th century, successive generations of Jews tried to break out of the squalor and poverty of their predominantly rural settlements, emigrated to the big cities of the Empire, dropped their traditional clothing and haircuts, learned to speak German better than the Germans, and in every way tried to assimilate.

Both [Kafka’s] parents belonged to the first generation of assimilated Jews. (p.54)

Unfortunately, this ‘aping’ of German culture mainly served to breed resentment among ‘true’ Germans against these cultural ‘impostors’, with the net result that, the more the Jews tried to assimilate to German culture, the more the Germans hated them for it.

Thus, in a bitter, world-historical irony, an entire generation of urbanised, secular Jews found themselves in love with and practicing a Germanic culture whose rightful ‘owners’, the Germans, hated them with an unremitting anti-semitism (pp.99, 149).

And these hyper-intelligent Jews were totally aware of the fact, bitterly reminded of it every time another anti-semitic article was published in their newspapers or anti-semitic ruit took place in their towns. And so it helped to create a feeling that if only they weren’t Jews everything would be alright. It helped to create the phenomenon known as Jewish self-hatred, a condition Pawel thinks Kafka suffered from, acutely, all his life (p.108).

(Though not as much as the journalist Karl Kraus. In a typically fascinating digression, Pawel devotes an excoriating passage to Kraus, a secular Jew born into a wealthy industrialist family, who became a leading satirical writer and journalist, and devoted his flaming energies to protecting the ‘purity’ of the German language, and – according to Pawels – castigating ‘the Jews’ for importing provincial jargon and Yiddishisms. Kraus was, in Pawel’s view, ‘the quintessential incarnation of Jewish self-hatred’ (p.226).)

And don’t forget that, all the while they were the subject of German anti-semitism, the Jews also got it in the neck from the other side, from the nationalist Czechs, the more Germanic the Jews strove to become, the more the Czech nationalists hated them for sucking up to their oppressors. The Jews got it from both directions.

I knew about Austrian anti-semitism, not least from reading biographies of Freud. But I didn’t know anything about the distinctive dynamic of Czech anti-semitism.

The emancipation of the Jews

Pawel describes all this in such depth and detail because it explains the impact on Kafka’s own biography – namely that Franz’s father, Herrmann, was one of that generation of Jews who, in the mid-nineteenth-century, escaped from the grinding poverty of the rural shtetl, migrated to the city, and finagled the money to set himself up in business, to try to rise in the world.

One of the best-known things about Kafka is how he lived in abject fear of his father, who instilled a permanent sense of terror and anxiety in him, but Pawel explains brilliantly how Kafka senior was a highly representative figure, just one among a great wave of Jews of his generation who escaped rural poverty, migrated to the city, became more or less successful businessmen and… sired sons who despised them.

He wasn’t alone. Pawel shows how it was a pattern repeated across educated Jewry (p.98).

Seen from this historical perspective, Sigmund Freud (born 1856 in Příbor in what is now the Moravian province of the Czech Republic) is a kind of patron saint of his and the slightly later generation (Kafka was born in 1883) for Freud’s father, Jakob, was the son of devout Hasidic Jews, who, in the classic style, moved from his home district to the big city of Vienna where he struggled to run a business as a wool merchant, rejecting along the way all the appurtenances of the rural Judaism which were so associated with poverty and provincialism. It was as a result of Jakob’s deracination, that his son decisively broke with any religious belief, and became the immensely successful and highly urbanised founder of psychoanalysis.

Same or something similar with a whole generation of Jewish-German writers artists and composers – Kafka, Brod, Hermann Broch, Wittgenstein, Karl Kraus, Walter Benjamin, Gustav Mahler, Arnold Schoenberg and so on (pp.98, 99). It was a world of staggering artistic brilliance – this was the generation which contributed to and helped define the whole idea of Modern Art. But it was all built on a volcano, the fierce hatred of ‘genuine’ Germans for the ‘cosmopolitan’ Jews who (they thought) were appropriating their culture.

This was the atmosphere of Kafka’s world, dense with hate. (p.44)

Judaism is replaced by literature

A further consequence emerges from Pawel’s historical approach which is that this generation, the first generation of truly urbanised Jews, which had largely lost its religious faith in the process, nonetheless continued, like their rabbinical forefathers, the Jewish obsession with the written word.

Only instead of devoting their lives to interpreting the Holy Scriptures as their Hasidic forefathers, rabbis and holy men had – these largely irreligious urbanites now nagged and worried about secular types of writing – namely literature and philosophy and criticism and aesthetics. God may have been declared dead and words no longer used to pray and worship – but instead, the endless finagling of rabbis and commentators was now applied to existence itself, to a scrupulous cross-examination of modern life in the hurly-burly of hectic cities.

The Jewish intelligentsia on the whole remained isolated, inbred and inward looking…Theirs was a paradoxically communal shtetl of cantankerous individualists huddled in the warrens of their self-absorption, with literature as their religion and self-expression their road to salvation. (p.153)

As Pawel puts it with typically colourful rhetoric:

Kafka’s true ancestors, the substance of his flesh and spirit, were an unruly crowd of Talmudists, Cabalists, medieval mystics resting uneasy beneath the jumble of heaving, weatherbeaten tombstones in Prague’s Old Cemetery, seekers in search of a reason for faith. (p.100)

The same intense scrutiny the forefathers paid to every word and accent of the Talmud, their heirs now devoted to the production of texts exploring the experience of the modern world which boiled down, again and again, in the hands of its most dogged exponents, to an investigation of language itself.

And so we find Kafka in December 1910 making one of the hundreds and hundreds of diary entries he devoted obsessively to the subject of writing, of words, of prose, of literature:

I cannot write. I haven’t managed a single line I’d care to acknowledge; on the contrary, I threw out everything – it wasn’t much – that I had written since Paris. My whole body warns me of every word, and every word first looks around in all directions before it lets itself be written down by me. The sentences literally crumble in my hands.

‘Every word first looks around in all directions before it lets itself be written down by me’! In Kafka’s hands, even language itself is gripped by fear.

Kafka’s diet

Kafka was a lifelong hypochondriac who also happened to suffer from actual illnesses and conditions. From early in adulthood he experimented with a variety of cures from surprisingly silly quack doctors. He became obsessed with diet, first becoming a vegetarian, and then implementing an increasingly complicated regime of diets, which Pawel describes in detail.

But once again Pawel uses this to make the kind of socio-psychological point for which I really enjoyed this book, when he points out the following: In the Jewish tradition, strict adherence to kashrut or traditional Jewish dietary law linked the individual to the community, made him one with a much larger people and their heritage – whereas the dietary rituals Kafka made for himself completely cut him off not only from the Jewish tradition, but even from his own family, and ultimately his own friends. Later in life Kafka:

gradually got into the habit of taking all his meals by himself and intensely disliked eating in anyone’s presence. (p.209)

Like everything else in his life, even eating became a source of anxiety and dread and shame.

Hermann Kafka and his family

Although Pawel records the lifelong terror and feeling of humiliation which Herrmann inculcated in his over-sensitive son, he injects a strong dose of scepticism. As you read Franz’s Letter to his Father, the sustained thirty-page indictment of Herrmann which poor Franz wrote at the age of 36, you can’t help beginning to feel sorry a bit sorry for Herrmann. It wasn’t his fault that he emerged from grinding poverty all but illiterate and had to work hard all his life to support his family. Whereas Franz enjoyed 16 years of education and wangled a cushy job at the Workers Insurance Company thanks to a well-connected uncle. From one point of view, Franz is the typically ungrateful, spoilt son.

And in a subtle reinterpretation of the traditional story, Pawel wonders if it wasn’t Kafka’s mother, Julie, who did most damage to her son. How? By being totally aware of young Franz’s hyper-sensitive nature, but doing nothing about it – by effectively ignoring his hyper-sensitive soul in order to suck up to her bullying husband.

Because, as Pawel points out, Kafka gave the notorious Letter to His Father to his mother to read and then pass on to the family ‘tyrant’. She certainly did read it but never passed it on, returning it to Franz after a week and, well… Franz could easily have handed it over to his father by hand – or posted it. But he chose not to. That, Pawel speculates, is because the letter had in fact achieved its purpose. Not to address his father at all, but successfully implicating his mother in his childhood and teenage trauma. After all:

All parents fail their children, and all children weave their parents failure into the texture of their lives. (p.82)

As this all suggests, Kafka’s story was very much a family affair, a psychodrama played out in the claustrophobic walls of the Prague apartment he shared with his mother, father and three sisters.

Indeed it is a little staggering to read Pawel’s description of the apartment the family moved to in 1912, whose walls were so thin that everyone could hear everyone else cough or sneeze or open a window or plump a book down on a table – let alone all the other necessary bodily functions. What a terrible, claustrophobic environment it was (and we know this, because we have hundreds of diary entries made by Franz moaning about it) and yet – he didn’t leave.

More than once Pawel suggests there is something very Jewish about this smothering family environment and the way that, although he could easily have left once he had a secure job, Kafka chose to remain within the bosom of his smothering family.

It’s aspects of Kafka’s psychology and life like this which drive Pawel’s frequent comparisons and invocations of Freud, dissector and analyst of the smothering turn-of-the-century, urban, Jewish family, investigator of the kind of family lives that the young women of his case studies made up hysterias and neuroses, and the young men made up violent animal fantasies, to escape from.

But here, as in other ways, Kafka stands out as taking part in a recognisable general trend – but then going way beyond it – or moulding it to his own peculiar needs – because at some level, deep down, he needed to be smothered.

Anti-Semitism and Zionism

And all around them, surrounding the anxieties of family life, were the continual ethnic tensions which regularly broke out into actual violence. Sometimes it was Czech nationalists rioting against their Austro-German overlords in the name of Czech nationalism – as they did in the so-called Prague Pogrom of 1897 when Czech nationalists started off by ransacking well-known German cultural and commercial establishments, but ended up devoting three days to attacking Jewish shops and synagogues and anyone who appeared to be a Jew.

Slowly, over his lifetime, Kafka noted the situation getting steadily worse. Fifteen years later, the 60th anniversary of the accession of the Emperor Franz-Joseph led to violent attacks organised by the Czech National Socialists on German properties, which led to troops being sent in and the imposition of martial law (p.298).

But whether it was the Germans or the Czechs, and whether it was the journalistic or bureaucratic attacks of the intelligentsia, or crude physical attacks on the street (and street fighting occurring on an almost weekly basis, p.205):

The extremist demagogues prevailing in both camps were equally vocal in their common hostility to the Jews.

This pervasive fearfulness among Jews helps explain the origins of Zionism, first given theoretical and practical expression by Theodor Herzl, another urbanised and ‘assimilated’ Jewish son of poorer, more rural parents, from the same generation as Freud (Herzl was born a year later, in 1860).

In 1896, deeply shocked by the anti-semitism revealed by the Dreyfus Affair in France (1894-1906), Herzl published Der Judenstaat, in which he argued that anti-semitism in Europe couldn’t be ‘cured’ but only avoided altogether, by leaving Europe and founding a state solely for Jews.

The theme of Zionism looms large in Kafka’s life. Many of his school and university friends became ardent Zionists – including his good friend and literary executor, Max Brod, who managed to escape Prague on the last train before the Nazis arrived, and successfully made it to Palestine. Zionism it was one of the big socio-political movements of the time, along with socialism, anarchism, and Tolstoyan pacifism. (pp.61, 290)

And it was a practical movement. The Bohemian Zionists didn’t just campaign for the establishment of a foreign homeland; closer to home they organised the community, publishing a weekly magazine named Self Defence edited by Kafka’s friend Felix Weltsch (one of the many writers, journalists, critics and poets who Pawel tells us about).

Above all, they preached the idea that all the Jewish hopes for ‘assimilation’ were a fantasy: the Jews who worshipped German culture were adulating their abuser. There could never be full assimilation and the sooner the Jews realised it and planned for their own salvation the better. Tragically, the Zionists were to be proved entirely right.

So from Kafka’s twenties onwards, Zionism was one of the half dozen cultural and political themes of the day. Late in life Kafka encouraged his sisters to develop agricultural skills preparatory to emigrating to Palestine. It was a constant possibility, or dream of his, mentioned in diaries and letters although, being Kafka, he knew it was not a dream he would ever live to fulfil.

Multiple reasons to be afraid

Thus it is that Pawel’s book brilliantly conveys the multiple levels or sources of Kafka’s terror.

  1. He was born over-sensitive and anxious and would have had a hard time adapting to real life anywhere. He was painfully shy and morbidly self-aware.
  2. His father was a philistine bully who ridiculed his son’s weakness and intellectual interests, exacerbating the boy’s paranoia and anxieties in every way.
  3. In newspapers and even in lectures at the university he attended, Kafka would routinely read or hear the most blistering attacks on the Jews as enemies of culture, emissaries of poverty and disease from pestilent rural slums, Christ-killers and followers of an antiquated anti-Enlightenment superstition.
  4. And then, in the streets, there would be periodic anti-Jewish riots, attacks on individual Jews or smashing up Jewish shops.

In the midst of explaining all this, Pawel makes a point which it is easy to miss. He notes that in Kafka’s surviving correspondence with Max Brod or with his three successive girlfriends, Kafka rarely if ever actually alludes to anti-semitism, or to the street violence, clashes, public disorders and growing power of the anti-semitic nationalist parties in Prague. Pawel makes what I thought was a really powerful comment:

It was only in his fiction that he felt both safe and articulate enough to give voice to his sense of terror. (p.204)

An insight I thought was really worth pondering… something to do with the way fiction, or literature, can be a way of controlling and ordering the otherwise chaotic and overwhelming, the personally overwhelming and the socially overwhelming…

Anyway, that’s a lot of sources of fear and terror to be getting on with, before you even get into Franz’s more personal anxieties – not least about sex and everything sexual, which sent him into paroxysms of self-disgust.

Sex

I had no idea that Kafka was such an habitué of brothels. I mean not now and then. I mean routinely and regularly, as well as having sexual escapades with all sorts of working class girls, serving girls and servants and waitresses and barmaids and cleaning women in the many hotels he stayed at on his business trips. We know this because it is all recorded in the copious diaries he kept, and in his extensive correspondence with Max Brod and he even mentions it in letters to his various fiancées.

The subject prompts another one of Pawel’s wide-ranging cultural investigations which I found so fascinating, this time a lengthy description of the way the madonna-whore dichotomy experienced a kind of ill-fated, decadent blossoming in turn of the century Austro-Hungary – in the Vienna we all know about with its Klimt and Schiele paintings, but also in Germanic Prague.

Sex… was the sinister leitmotif dominating literature, drama, and the arts of the period. And beyond the poetic metaphors loomed the brutal real-life affinity of sex and death – botched abortions, childbed fever, syphilis, suicides. (p.77)

All his friends were at it, they all slept with prostitutes: we learn that Max Brod’s marriage got into trouble because he simply refused to carry on sleeping with every woman he could. The women – we learn – came in different grades, from professionals in brothels, to semi-pros in doorsteps, to amateurs – cleaners and suchlike – who would give you a quick one for cash.

All of which exacerbated the aforementioned Madonna-Whore complex, whereby women were divided into two categories – the generally working-class whores you paid to have dirty sex with – and the pure, high-minded and chaste young ladies you accompanied to concerts and were expected to marry (p.180).

To an astonishing extent, Kafka was a fully paid-up member of this club and had an extraordinary number of casual sexual partners – innumerable encounters which he then followed up with the predictable paroxysms of self-loathing and self-hatred. In this respect he was surprisingly unoriginal.

There is a lot more to be said about the relationship between Kafka’s intense but guilt-ridden sex life and the peculiar relations his two key protagonists have with women (in The Trial and The Castle) but that’s for others to write about. I’m interested in history, and language.

The Workmen’s Accident and Insurance Institute for the Kingdom of Bohemia

It is a revelation to discover that Kafka was good at his job in this insurance company. Not just good, vital. His quick intelligence and pedantic attention to detail were just what was needed. He was tasked with auditing safety regulations about a whole range of industrial processes, a job which required him to travel extensively around the country, staying in hotels (shagging chambermaids if possible) and visiting a huge range of factories and workplaces.

His annual reviews still survive and glow with praise from his superiors and colleagues. He started work at the company’s offices in 1908, was promoted within a year, given full civil service tenure in 1910, advanced to Junior Secretary in 1913, to Secretary in 1920, and senior Secretary in 1922. His immediate superior, Chief Inspector Pfohl, wrote that without him the entire department would collapse. He was a model employee, prompt, intelligent, diligent and polite, as all the testimony from his colleagues confirms.

Fourteen years of following bureaucratic procedures in an institute which was itself part of the wider bureaucratic Empire. And of writing official reports in the tone and style of a senior bureaucrat. You’d have to be quite dense not to link these factors with a) the visions of a vast topless bureaucracy which form the core of the two great novels, and b) with the parody of official, academic-bureaucratic style which is so omnipresent, especially in the later stories.

Kafka’s officialese

Commenting on the contradiction between Kafka the florid hypochondriac and Kafka the smartly turned-out insurance inspector, a contemporary Prague’s literary circle, Oskar Baum, is quoted about how the mental or intellectual structures of the workplace, of its official and stern prose, mapped very handily onto Kafka’s intensely personal obsessions with writing.

By nature he was a fanatic full of luxuriating fantasy, but he kept its glow in check by constantly striving toward strict objectivity. To overcome all cloying or seductive sentimental raptures and fuzzy-minded fantasising was part of his cult of purity – a cult quasi-religious in spirit, though often eccentric in its physical manifestation. He created the most subjective imagery, but it had to manifest itself in the form of utmost objectivity (quoted on page 133)

It’s easy to overlook, but this is a profoundly distinctive aspect of Kafka’s art which is easy to overlook: that all these delirious and often visionary stories are told in very formal and precise prose, and in a style which, in the later stories, becomes really heavily drenched in bureaucratic or academic or official rhetoric.

Pawel’s lurid style

So I found the way Pawel’s factual information about the social, economic and political changes in Bohemia leading up to Kafka’s birth – specifically the changing role of Jews in Bohemian culture – and then his detailed account of Franz’s family life and how that was woven into the complicated social and intellectual currents of the time, really built up a multi-layered understanding of Kafka’s life and times.

But curiously at odds with all this is Pawel’s own very uneven style. One minute he is describing statistics about industrial production or the percentage population of the different ethnicities in the tone of a government report or Wikipedia article:

Prague’s German-speaking minority was rapidly dwindling in proportion to the fast-growing Czech majority, from 14.6 percent in 1880, when the first language census was taken, to 13.6 percent in 1889, Kafka’s first school year. The city’s population totaled 303,000 at the time; of these, 41,400 gave German as their first and principal language. (p.31)

Or:

Between 1848 and 1890, Bohemia’s share in the total industrial output of the monarchy rose from 46 to 59 percent. By 1890, Bohemia and Moravia accounted for 65 percent of Austria’s industrial labour force. (p.37)

The next, he is writing wild and extravagant similes which seem to belong to another kind of book altogether. Here he is describing one of Kafka’s teachers:

Gschwind, author of several studies in linguistics, was rightfully regarded as an eminent classicist, and one can only speculate on the reasons that led him to waste his scholarly gifts and encyclopedic knowledge on a gang of recalcitrant teenagers who, as a group, progressed in classical philology with all the speed and enthusiasm of a mule train being driven up a mountain. (p.73)

Here he is describing Kafka’s anxiety about his end-of-school exams:

The prospect of those apocalyptic trials turned the final school years into a frenzied last-ditch effort to shore up the crumbling ramparts of knowledge, retrieve eight years of facts and figures, and prepare for a bloodbath. (p.76)

Once he starts engaging with Kafka’s stories, Pawel often adopts their phraseology, or at least their worldview, in over-the-top descriptions which could have been penned by Edgar Allen Poe.

Kafka’s impulse was basically sound – that of a trapped, starving animal wanting to claw its way out and sink its teeth into a solid food. (p.114)

Here he is describing the ferociously competitive literary world of Edwardian Prague:

In their panic it was every man for himself, a wild stampeded of gregarious loners grappling with monsters spawned in their own bellies. (p.155)

Or describing the detailed and self-punishing diaries Kafka kept all his adult life.

These so-called diaries assumed many forms and functions, from the writer’s version of the artist’s sketchbook to a tool for self-analysis; they were a fetishistic instrument of self-mutilation, a glimpse of reason at the heart of madness, and an errant light in the labyrinth of loneliness. (p.213)

In fact you can watch Pawel’s style go from sensible to overblown in just that one sentence.

I’ve read criticisms of the book which ridicule Pawel’s purple prose and certainly, from a po-faced academic point of view, much of his writing can sound a bit ludicrous. But as a reader I found it deeply enjoyable. It made me smile. Sometimes it was so over the top it made me laugh out loud.

I liked it for at least two reasons: after struggling with the long-winded and often very official and bureaucratic prose of late Kafka, reading Pawel’s juicy similes and purple paragraphs was like going from black and white to colour.

Secondly, it matches Kafka’s own hysteria. Kafka really was a very, very weird person. His letters abound in the most extreme language of paralysing fear and inchoate terror and crippling anxiety.

My fear… is my substance, and probably the best part of me.

He describes not being able to stand up for fear, not being able to walk for fear, not being able to face people or say anything because of the terror it caused him.

This craving I have for people which turns to fear the moment it reaches fulfilment (letter of July 1912)

– all symptoms of what Pawel calls his ‘near-pathological sensitivity’.

Kafka describes the way words crumble at his touch, his heart is going to explode, his head is too heavy to carry. He talked and wrote regularly about suicide (except that, in typical Kafkaesque fashion, he wrapped it round with paradoxes and parables).

Always the wish to die, and the still-just-hanging on, that alone is love (Diary, 22 October 113)

In other words, much of Pawel’s lurid and melodramatic writing, while not in the same league as Kafka’s, while much more obvious and pulpy and sometimes quite silly – nevertheless is not an unreasonable way to try and catch the permanent atmosphere of extremity and hyperbole which Kafka lived in all the time. I thought it was a reasonable attempt to translate Kafka’s own worldview from Kafkaese into phraseology which is easier for you and me to process and understand.

Fear, disgust, and rage were what this recalcitrant bundle of taut nerves, brittle bones, frail organs and coddled flesh had aroused in him from earliest childhood.

And sometimes Pawel’s phrases are so colourful and exaggerated that they’re funny. And humour, real laugh-out-loud humour, is in short supply in this story.


Related links

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Dates are dates of composition.

This is Manga – The Art of Urasawi Naoki @ Japan House

This weekend is your last chance to see a comprehensive and FREE exhibition of work by the leading contemporary Japanese manga artist, Urasawa Naoki.

A montage of Urasawa Naoki’s manga characters which he created specially for this exhibition © URASAWA Naoki / Studio Nuts. Featuring: ‘Pineapple ARMY’ KUDO Kazuya ‘PLUTO’ NAGASAKI Takashi, Tezuka Productions, ‘MASTER KEATON’ KATSUSHIKA Hokusei, NAGASAKI Takashi, ‘MASTER KEATON ReMASTER’ NAGASAKI Takashi, ‘BILLY BAT’ NAGASAKI Takashi

The Japan House

Come out of High Street Kensington tube station, turn right, walk a hundred yards and you are at the entrance to the Japan House. Opened just last year, it is funded by Japan’s Ministry of Foreign Affairs.

Inside it feels like a very classy boutique and most of the ground floor is, in fact, a shop, selling exquisite and carefully chosen specimens of Japanese fabrics, jewellery, books and so on, each one an example of the Japanese passion for monozukuri, meaning craftsmanship. Kitchenware, art accessories – brushes and paper and lots more, all chosen with exquisite taste and ranged in clean, precise displays.

Interior of the Japan House. Photo by the author

There is a stand-up coffee and tea bar. At the back of the shop (at the top left of this photo) is an area devoted to tourism, which features all kinds of maps of Japan, its cities and regions. As well as the ground floor boutique, there’s a stylish Japanese restaurant – AKIRA – on the first floor.

Taking the lift down to the basement, the visitor discovers there are three spaces here:

  • a lecture theatre which also doubles as a movie house and can host a range of events
  • a library display (basically a smallish room with carefully chosen books about all aspects of Japanese culture)
  • and the main exhibition space

The Art of Urasawi Naoki

It’s a surprisingly big room and contains a surprisingly large amount of material.

What comes over immediately is that URASAWA Naoki is a kind of rock start among mangaka. Born in 1960, he is considered a direct heir of Tezuka Osamu, the founder of modern manga. He has been hugely successful with over 100 million books sold in more than 20 countries. He made his debut in 1983 with BETA! and has gone on to create and/or draw a host of hugely successful manga characters.

There are about ten big stands in the exhibition, each of which introduces one of the lead characters which has made Urasawa’s name. Each one gives a longish explanation of the lead character and their main storylines and then display 20 or so pages taken from one of the episodes which shows the character in action.

This is Manga – The Art of Urasawa Naoki @ Japan House. Photo by the author

This display gives you a complete biography of Master Keaton, full name Taichi Hiraga-Keaton, son of a Japanese father and a British mother, an Oxford graduate and former Special Air Services officer. The various plotlines have followed Keaton across Europe as he ‘solves difficult cases, fighting criminal organisations and touching people’s lives’.

The same detailed treatment, with a full biography of the character, and then a sequence of characteristic strips, is given to all his other creations:

  • YAWARA!
  • MONSTER
  • 20th Century Boys
  • MASTER KEATON ReMASTER (Story by Takashi Nagasaki)
  • PLUTO (Story by Osamu Tezuka, co-authored by Takashi Nagasaki, Supervised by Macoto Tezka, with the cooperation of Tezuka Productions)
  • BILLY BAT (Story Co-creator : Takashi Nagasaki)
  • MUJIRUSHI (‘The Sign of Dreams’, with the cooperation of Fujio Productions)

In addition there are some massive full-colour blow-ups of various characters and scenes, dominating the walls. Some of these are deliberately designed for visitors to pose in front of and take selfies against.

Installation view of This is Manga – The Art of Urasawa Naoki @ Japan House. Photo by the author

Behind the art of Urasawi Naoki

In the photo above you can see, over on the right, that there are flat display cases in front of some of the colour blow-ups. These display Urasawa’s early sketches and ideas for characters and scenes, and offer a real insight into the creative process. You can see sketches evolving into almost complete pages, then with words and dialogue bubbles positioned over the drawings – and then the final, finished pages as printed. One of the display cases shows the very earliest sketches and cartoons Urasawa made at school. In fact there are over 400 original drawings and storyboards on display! If you’ve heard of him, and like his style, this really is a fabulous opportunity to immerse yourself in the great man’s work.

Why is Urasawa so famous, why is his manga so distinctive? I must confess, I couldn’t really see why. Having recently visited the big, noisy manga exhibition at the British Museum, I feel overwhelmed with the sheer amount of manga there is in the world. I have no idea where to start, and no idea how to make sense of the tens of thousands of stories produced by the thousands of artists for the scores of publishers, which keep on expanding in number every week.

Rather than make any attempt to explain Urasawa’s appeal I’ll copy out how the curators describe it.

Urasawa Naoki is considered a modern master in dynamic storytelling, with a unique approach to panel layout and cinematic sense of framing and rhythm. But even more so, he is considered a true master of character design. Each of his worlds hosts a wide variety of distinct, fully-rendered personas. His instantly recognisable faces come to life on the page with a wide range of expression. This talent can be witnessed on his storyboards, referred to as nēmu (‘name’) in Japanese, which reveal characters with expressions more precise and detailed than most manga artists. In this way, Urasawa defies convention to depict the diversity and sensitivity of the human race through his two-dimensional drawings.

Maybe I’m stupid, maybe I’m obtuse and imperceptive, maybe I just haven’t properly entered into the world of manga and its conventions, but I just couldn’t see this. Most of the faces, figures and characters I saw, particularly in the large blown-up images, looked very very similar to all the other manga characters I saw at the British Museum.

Here’s a typical display case of sketches with a blown-up figure behind it. I just couldn’t see that this image had a ‘cinematic’ sense of framing or a ‘distinct, fully-rendered persona’. I liked the detail of her hat and jacket and t-shirt, but I had the overwhelming sense that I’ve seen thousands of other images like this one, big-eyed, small-nosed, fresh-faced teens.

Installation view of This is Manga – The Art of Urasawa Naoki @ Japan House. Photo by the author

The most novel feature of the exhibition was a kind of tent Urasawa has made from fabric strips running from the floor up to a central spine to create a ‘tent’ which visitors can walk through, getting very up close to a range of his characters.

Installation view of This is Manga – The Art of Urasawa Naoki @ Japan House. Photo by the author

There was some variety of characterisation. In fact, the variety of faces reminded me of the panels you get inside the hardback editions of Tintin books, where you’re presented with a gallery of all the characters from all the Tintin stories. When I was a boy I used to love trying to identify them all.

But still. There were a lot of faces on the tent which seemed, to me, to be elementary, basic, entry level, manga faces. Wide-eyed children with tiny noses, mouths agape at some wonder.

Installation view of This is Manga – The Art of Urasawa Naoki @ Japan House. Photo by the author

Probably I’m missing the point. Looking at some of the specific storylines, you could see how Urasawi had in fact created distinctive-looking individuals to be Master Keaton or the 20th Century Boys or the hero of PLUTO, and that there is a range of, especially older characters who are drawn with the individuality I associate with Tintin or Lucky Luke.

And when I looked at the display frames explaining the strip MONSTER these brought out the importance of Urasawi’s clever / innovative / imaginative use of screentones, the layering of shades or stippling or dots to create depth and atmosphere in the backgrounds.

Unfortunately, MONSTER – despite its enormous success (the first fully-fledged mystery story in manga, it sold over 21 million copies and became an anime TV series) – is about a serial killer and the pages the curators had chosen to display showed a series of people just shooting each other in the head, and I was so repelled that I turned away, without paying much attention to the backgrounds.

Installation view of This is Manga – The Art of Urasawa Naoki @ Japan House, showing the protagonist of MONSTER, highlighting his modern ‘street’ styling (a bit Keanu Reeves), and the use of screentones to give cinematic depth to the image

As I strolled between recognisable, almost clichéd images of fresh-faced kids, and the altogether grittier style of something like MONSTER, I admit I was confused. Maybe I’m just putting into the words the difficulty I, a non-Japanese, who didn’t grow up on manga, have in really understanding the finer points and distinctions which seem to be extremely obvious to aficionados and fans.

More study required!!

A broader history of manga

Talking of study, alongside all the panels and display cases devoted to Urasawi Naoki, his biography, achievements, style and characters, and the detailed looks at the visual worlds he has created for individual strips – was another series of information panels about the broader history of manga, which I found in many ways easier to process, because they were dealing with straightforward facts, figures, dates and names.

Thus, in addition to what I had already picked up at the British Museum, I learned that:

  • Manga evolved from picture book styles developed in the post Edo period of the late 19th century
  • the modern form of manga was pioneered after World War Two by Tezuka Osamu, who is sometimes referred to as the god of manga
  • Tezuka introduced modern narrative techniques, complex characters and themes, and a visual language derived from cinema
  • His 1947 manga The New Treasure Island sold a huge number of copies and helped to crystallise the style and content of the new genre

But probably the biggest impression these information panels made on me was in conveying the scale and the speed of manga production, and the combination of extreme skill, with inventiveness, and prolific production rates, accompanied by a consistent style and level of quality, which is required for this high-pressure, high-profile and very demanding profession.

  • manga artists (mangaka) need to produce approximately twenty pages of strips every few days for magazines published on a monthly or weekly basis
  • typical mangaka work in a small studio with a few assistants under the supervision of a creative editor
  • if the series is successful it may be republished in a trade paperback named a tankōbon
  • it might also be turned into a TV series, a live action or animated movie

Further information panels gave good explanations of the visual codes which have evolved to convey emotion and meaning, the role of framing and the way the selection and framing of images creates a rhythm, the social context of manga immediately after the war and how successive generations of artists have added layers of sophistication, characterisation and, above all, an ever-expanding range of subjects to the empire of manga.

Summary

It’s FREE. It offers an in-depth understanding of the work and practice of one of the leading contemporary manga artists at work today. And the Japan House itself is a place of beauty to admire and wander round. And it closes at the end of tomorrow.

Get your skates on!


Related links

Upcoming events at Japan House

Other reviews about Japanese history or art

A Brief History of Time: From the Big Bang to Black Holes by Stephen Hawking (1988)

The whole history of science has been the gradual realisation that events do not happen in an arbitrary manner, but that they reflect a certain underlying order. (p.122)

This book was a publishing phenomenon when it was published in 1988. Nobody thought a book of abstruse musings about obscure theories of cosmology would sell, but it became a worldwide bestseller, selling more than 10 million copies in 20 years. It was on the London Sunday Times bestseller list for more than five years and was translated into 35 languages by 2001. So successful that Hawking went on to write seven more science books on his own, and co-author a further five.

Accessible As soon as you start reading you realise why. From the start is it written in a clear accessible way and you are soon won over to the frank, sensible, engaging tone of the author. He tells us he is going to explain things in the simplest way possible, with an absolute minimum of maths or equations (in fact, the book famously includes only one equation E = mc²).

Candour He repeatedly tells us that he’s going to explain things in the simplest possible way, and the atmosphere is lightened when Hawking – by common consent one of the great brains of our time – confesses that he has difficulty with this or that aspect of his chosen subject. (‘It is impossible to imagine a four-dimensional space. I personally find it hard enough to visualise three-dimensional space!’) We are not alone in finding it difficult!

Historical easing Also, like most of the cosmology books I’ve read, it takes a deeply historical view of the subject. He doesn’t drop you into the present state of knowledge with its many accompanying debates i.e. at the deep end. Instead he takes you back to the Greeks and slowly, slowly introduces us to their early ideas, showing why they thought what they thought, and how the ideas were slowly disproved or superseded.

A feel for scientific change So, without the reader being consciously aware of the fact, Hawking accustoms us to the basis of scientific enquiry, the fundamental idea that knowledge changes, and from two causes: from new objective observations, often the result of new technologies (like the invention of the telescope which enabled Galileo to make his observations) but more often from new ideas and theories being worked out, published and debated.

Hawking’s own contributions There’s also the non-trivial fact that, from the mid-1960s onwards, Hawking himself has made a steadily growing contribution to some of the fields he’s describing. At these points in the story, it ceases to be an objective history and turns into a first-person account of the problems as he saw them, and how he overcame them to develop new theories. It is quite exciting to look over his shoulder as he explains how and why he came up with the new ideas that made him famous. There are also hints that he might have trodden on a few people’s toes in the process, for those who like their science gossipy.

Thus it is that Hawking starts nice and slow with the ancient Greeks, with Aristotle and Ptolemy and diagrams showing the sun and other planets orbiting round the earth. Then we are introduced to Copernicus, who first suggested the planets orbit round the sun, and so on. With baby steps he takes you through the 19th century idea of the heat death of the universe, on to the discovery of the structure of the atom at the turn of the century, and then gently introduces you to Einstein’s special theory of relativity of 1905. (The special theory of relativity doesn’t take account of gravity, the general theory of relativity of 1915, does, take account of gravity).

Chapter 1 Our Picture of the Universe (pp.1-13)

Aristotle thinks earth is stationary. Calculates size of the earth. Ptolemy. Copernicus. In 1609 Galileo starts observing Jupiter using the recently invented telescope. Kepler suggests the planets move in ellipses not perfect circles. 1687 Isaac newton publishes Philosophiæ Naturalis Principia Mathematica (Mathematical Principles of Natural Philosophy) ‘probably the most important single work ever published in the physical sciences’, among many other things postulating a law of universal gravity. One implication of Newton’s theory is that the universe is vastly bigger than previously conceived.

In 1823 Heinrich Olbers posited his paradox which is, if the universe is infinite, the night sky out to be as bright as daylight because the light from infinite suns would reach us. Either it is not infinite or it has some kind of limit, possibly in time i.e. a beginning. The possible beginning or end of the universe were discussed by Immanuel Kant in his obscure work A Critique of Pure Reason  (1781). Various other figures debated variations on this theme until in 1929 Edwin Hubble made the landmark observation that, wherever you look, distant galaxies are moving away from us i.e. the universe is expanding. Working backwards from this observation led physicists to speculate that the universe was once infinitely small and infinitely dense, in a state known as a singularity, which must have exploded in an event known as the big bang.

He explains what a scientific theory is:

A theory is just a model of the universe, or a restricted part of it, and a set of rules that relate quantities in the model to observations that we make… A theory is a good theory if it satisfies two requirements: it must accurately describe a large class of observations on the basis of a model that contains only a few arbitrary elements, and it must make definite predictions about the results of future observations.

A theory is always provisional. The more evidence proving it, the stronger it gets. But it only takes one good negative observation to disprove a theory.

Today scientists describe the universe in terms of two basic partial theories – the general theory of relativity and quantum mechanics. They are the great intellectual achievements of the first half of this century.

But they are inconsistent with each other. One of the major endeavours of modern physics is to try and unite them in a quantum theory of gravity.

Chapter 2 Space and Time (pp.15-34)

Aristotle thought everything in the universe was naturally at rest. Newton disproved this with his first law – whenever a body is not acted on by any force it will keep on moving in a straight line at the same speed. Newton’s second law stats that, When a body is acted on by a force it will accelerate or change its speed at a rate that is proportional to the force. Newton’s law of gravity states that every particle attracts every other particle in the universe with a force which is directly proportional to the product of their masses and inversely proportional to the square of the distance between their centres. But like Aristotle, Newton believed all the events he described took place in a kind of big static arena named absolute space, and that time was an absolute constant. The speed of light was also realised to be a constant. In 1676 Danish astronomer Ole Christensen estimated the speed of light to be 140,000 miles per second. We now know it is 186,000 miles per second. In the 1860s James Clerk Maxwell unified the disparate theories which had been applied to magnetism and electricity.

In 1905 Einstein published his theory of relativity. It is derived not from observation but from Einstein working through in his head the consequences and shortcomings of the existing theories. Newton had posited a privileged observer, someone outside the universe who was watching it as if a play on a stage. From this privileged position a number of elements appeared constant, such as time.

Einstein imagines a universe in which there is no privileged outside point of view. We are all inside the universe and all moving. The theory threw up a number of consequences. One is that energy is equal to mass times the speed of light squared, or E = mc². Another is that nothing may travel faster than the speed of light. Another is that, as an object approaches the speed of light its mass increases. One of its most disruptive ideas is that time is relative. Different observes, travelling at different speeds, will see a beam of light travel take different times to travel a fixed distance. Since Einstein has made it axiomatic that the speed of light is fixed, and we know the distance travelled by the light is fixed, then time itself must appear different to different observers. Time is something that can change, like the other three dimensions. Thus time can be added to the existing three dimensions to create space-time.

The special theory of relativity was successful in explaining how the speed of light appears the same to all observers, and describing what happens to things when they move close to the speed of light. But it was inconsistent with Newton’s theory of gravity which says objects attract each other with a force related to the distance between them. If you move on of the objects the force exerted on the other object changes immediately. This cannot be if nothing can travel faster than the speed of light, as the special theory of relativity postulates. Einstein spent the ten or so years from 1905 onwards attempting to solve this difficulty. Finally, in 1915, he published the general theory of relativity.

The revolutionary basis of this theory is that space is not flat, a consistent  continuum or Newtonian stage within which events happen and forces interact in a sensible way. Space-time is curved or warped by the distribution of mass or energy within it, and gravity is a function of this curvature. Thus the earth is not orbiting around the sun in a circle, it is following a straight line in warped space.

The mass of the sun curves space-time in such a way that although the earth follows a straight line in four-dimensional pace-time, it appears to us to move along a circular orbit in three-dimensional space. (p.30)

In fact, at a planetary level Einstein’s maths is only slightly different from Newton’s but it predicts a slight difference in the orbit of Mercury which observations have gone on to prove. Also, the general theory predicts that light will bend, following a straight line but through space that is warped or curved by gravity. Thus the light from a distant star on the far side of the sun will bend as it passes close to the sun due to the curvature in space-time caused by the sun’s mass. And it was an expedition to West Africa in 1919 to observe an eclipse, which showed that light from distant stars did in fact bend slightly as it passed the sun, which helped confirm Einstein’s theory.

Newton’s laws of motion put an end to the idea of absolute position in space. The theory of relativity gets rid of absolute time.

Hence the thought experiment popularised by a thousand science fiction books that astronauts who set off in a space ship which gets anywhere near the speed of light will experience a time which is slower than the people they leave behind on earth.

In the theory of relativity there is no unique absolute time, but instead each individual has his own personal measure of time that depends on where he is and how he is moving. (p.33)

Obviously, since most of us are on planet earth, moving at more or less the same speed, everyone’s personal ‘times’ coincide. Anyway, the key central implication of Einstein’s general theory of relativity is this:

Before 1915, space and time were thought of as a fixed arena in which events took place, but which was not affected by what happened in it. This was true even of the special theory of relativity. Bodies moved, forces attracted and repelled, but time and space simply continued, unaffected. It was natural to think that space and time went on forever.

the situation, however, is quite different in the general theory of relativity. Space and time are now dynamic quantities. : when a body moves, or a force acts, it affects the curvature of space and time – and in turn the structure of space-time affects the way in which bodies move and forces act. Space and time not only affect but also are affected by everything that happens in the universe. (p.33)

This view of the universe as dynamic and interacting, by demolishing the old eternal static view, opened the door to a host of new ways of conceiving how the universe might have begun and might end.

Chapter 3 The Expanding Universe (pp.35-51)

Our modern picture of the universe dates to 1924 when American astronomer Edwin Hubble demonstrated that ours is not the only galaxy. We now know the universe is home to some hundred million galaxies, each containing some hundred thousand million stars. We live in a galaxy that is about one hundred thousand light-years across and is slowly rotating. Hubble set about cataloguing the movement of other galaxies and in 1929 published his results which showed that they are all moving away from us, and that, the further away a galaxy is, the faster it is moving.

The discovery that the universe is expanding was one of the great intellectual revolutions of the twentieth century. (p.39)

From Newton onwards there was a universal assumption that the universe was infinite and static. Even Einstein invented a force he called ‘the cosmological constant’ in order to counter the attractive power of gravity and preserve the model of a static universe. It was left to Russian physicist Alexander Friedmann to seriously calculate what the universe would look like if it was expanding.

In 1965 two technicians, Arno Penzias and Robert Wilson, working at Bell Telephone Laboratories discovered a continuous hum of background radiation coming from all parts of the sky. This echoed the theoretical work being done by two physicists, Bob Dicke and Jim Peebles, who were working on a suggestion made by George Gamow that the early universe would have been hot and dense. They posited that we should still be able to see the light from this earliest phase but that it would, because the redshifting, appear as radiation. Penzias and Wilson were awarded the Nobel Prize in 1987.

How can the universe be expanding? Imagine blowing up a balloon with dots (or little galaxies) drawn on it: they all move apart from each other and the further apart they are, the larger the distance becomes; but there is no centre to the balloon. Similarly the universe is expanding but not into anything. There is no outside. If you set out to travel to the edge you would find no edge but instead find yourself flying round the periphery and end up back where you began.

There are three possible states of a dynamic universe. Either 1. it will expand against the contracting force of gravity until the initial outward propulsive force is exhausted and gravity begins to win; it will stop expanding, and start to contract. Or 2. it is expanding so fast that the attractive, contracting force of gravity never wins, so the universe expands forever and matter never has time to clump together into stars and planets. Or 3. it is expanding at just the right speed to escape collapsing back in on itself, but but so fast as to make the creation of matter impossible. This is called the critical divide. Physicists now believe the universe is expanding at just around the value of the critical divide, though whether it is just under or just above (i.e. the universe will eventually cease expanding, or not) is not known.

Dark matter We can calculate the mass of all the stars and galaxies in the universe and it is a mystery that our total is only about a hundredth of the mass that must exist to explain the gravitational behaviour of stars and galaxies. In other words, there must a lot of ‘dark matter’ which we cannot currently detect in order for the universe to be shaped the way it is.

So we don’t know what the likely future of the universe is (endless expansion or eventual contraction) but all the Friedmann models do predict that the universe began in an infinitely dense, infinitely compact, infinitely hot state – the singularity.

Because mathematics cannot really handle infinite numbers, this means that the general theory of relativity… predicts that there is a point in the universe where the theory itself breaks down… In fact, all our theories of science are formulated on the assumption that space-time is smooth and nearly flat, so they break down at the big bang singularity, where the curvature of space-time is infinite. (p.46)

Opposition to the theory came from Hermann Bondi, Thomas Gold and Fred Hoyle who formulated the steady state theory of the universe i.e. it has always been and always will be. All that is needed to explain the slow expansion is the appearance of new particles to keep it filled up, but the rate is very low (about one new particle per cubic kilometre per year). They published it in 1948 and worked through all its implications for the next few decades, but it was killed off as a theory by the 1965 observations of the cosmic background radiation.

He then explains the process whereby he elected to do a PhD expanding Roger Penrose’s work on how a dying star would collapse under its own weight to a very small size. The collaboration resulted in a joint 1970 paper which proved that there must have been a big bang, provided only that the theory of general relativity is correct, and the universe contains as much matter as we observe.

If the universe really did start out as something unimaginably small then, from the 1970s onwards, physicists turned their investigations to what happens to matter at microscopic levels.

Chapter 4 The Uncertainty Principle (pp.53-61)

1900 German scientist Max Planck suggests that light, x-rays and other waves can only be emitted at an arbitrary wave, in packets he called quanta. He theorised that the higher the frequency of the wave, the more energy would be required. This would tend to restrict the emission of high frequency waves. In 1926 Werner Heisenberg expanded on these insights to produce his Uncertainty Principle. In order to locate a particle in order to measure its position and velocity you need to shine a light on it. One has to use at least one quantum of energy. However, exposing the particle to this quantum will disturb the velocity of the particle.

In other words, the more accurately you try to measure the position of the particle, the less accurately you can measure its speed, and vice versa. (p.55)

Heisenberg showed that the uncertainty in the position of the particle times the uncertainty in its velocity times the mass of the particle can never be smaller than a certain quantity, which is known as Planck’s constant. For the rest of the 1920s Heisenberg, Erwin Schrödinger and Paul Dirac reformulated mechanics into a new theory titled quantum mechanics. In this theory particles no longer have separate well-defined positions and velocities, instead they have a general quantum state which is a combination of position and velocity.

Quantum mechanics introduces an unavoidable element of unpredictability or randomness into science. (p.56)

Also, particles can no longer be relied on to be particles. As a result of Planck and Heisenberg’s insights, particles have to be thought of as sometimes behaving like waves, sometimes like particles. In 1913 Niels Bohr had suggested that electrons circle round a nucleus at certain fixed points, and that it takes energy to dislodge them from these optimum orbits. Quantum theory helped explain Bohr’s theory by conceptualising the circling electrons not as particles but as waves. If electrons are waves, as they circle the nucleus, their wave lengths would cancel each other out unless they are perfect numbers. The frequency of the waves have to be able to circle the nucleus in perfect integers. This defines the height of the orbits electrons can take.

Chapter 5 Elementary Particles and Forces of Nature (pp.63-79)

A chapter devoted to the story of how we’ve come to understand the world of sub-atomic particles. Starting (as usual) with Aristotle and then fast-forwarding through Galton, Einstein’s paper on Brownian motion, J.J. Thomson’s discovery of electrons, and, in 1911, Ernest Rutherford’s demonstration that atoms are made up of tiny positively charged nucleus around which a number of tiny positively charged particles, electrons, orbit. Rutherford thought the nuclei contained ‘protons’, which have a positive charge and balance out the negative charge of the electrons. In 1932 James Chadwick discovered the nucleus contains neutrons, same mass as the proton but no charge.

In 1965 quarks were discovered by Murray Gell-Mann. In fact scientists went on to discover six types, up, down, strange, charmed, bottom and top quarks. A proton or neutron is made up of three quarks.

He explains the quality of spin. Some particles have to be spin twice to return to their original appearance. They have spin 1/2. All the matter we can see in the universe has the spin 1/2. Particles of spin 0, 1, and 2 give rise to the forces between the particles.

Pauli’s exclusionary principle: two similar particles cannot exist in the same state, they cannot have the same position and the same velocity. The exclusionary principle is vital since it explains why the universe isn’t a big soup of primeval particles. The particles must be distinct and separate.

In 1928 Paul Dirac explained why the electron must rotate twice to return to its original position. He also predicted the existence of the positron to balance the electron. In 1932 the positron was discovered and Dirac was awarded a Nobel Prize.

Force carrying particles can be divided into four categories according to the strength of the force they carry and the particles with which they interact.

  1. Gravitational force, the weakest of the four forces by a long way.
  2. The electromagnetic force interacts with electrically charged particles like electrons and quarks.
  3. The weak nuclear force, responsible for radioactivity. In findings published in 1967 Abdus Salam and Steven Weinberg suggested that in addition to the photon there are three other spin-1 particles known collectively as massive vector bosons. Initially disbelieved, experiments proved them right and they collected the Nobel Prize in 1979. In 1983 the team at CERN proved the existence of the three particles, and the leaders of this team also won the Nobel Prize.
  4. The strong nuclear force holds quarks together in the proton and neutron, and holds the protons and neutrons together in the nucleus. This force is believed to be carried by another spin-1 particle, the gluon. They have a property named ‘confinement’ which is that you can’t have a quark of a single colour, the number of quarks bound together must cancel each other out.

The idea behind the search for a Grand Unified Theory is that, at high enough temperature, all the particles would behave in the same way, i.e. the laws governing the four forces would merge into one law.

Most of the matter on earth is made up of protons and neutrons, which are in turn made of quarks. Why is there this preponderance of quarks and not an equal number of anti-quarks?

Hawking introduces us to the notion that all the laws of physics obey three separate symmetries known as C, P and T. In 1956 two American physicists suggested that the weak force does not obey symmetry C. Hawking then goes on to explain more about the obedience or lack of obedience to the rules of symmetry of particles at very high temperatures, to explain why quarks and matter would outbalance anti-quarks and anti-matter at the big bang in a way which, frankly, I didn’t understand.

Chapter 6 Black Holes (pp.81-97)

In a sense, all the preceding has been just preparation, just a primer to help us understand the topic which Hawking spent the 1970s studying and which made his name – black holes.

The term black hole was coined by John Wheeler in 1969. Hawking explains the development of ideas about what happens when a star dies. When a star is burning, the radiation of energy in the forms of heat and light counteracts the gravity of its mass. When it runs out of fuel, gravity takes over and the star collapses in on itself. The young Indian physicist Subrahmanyan Chandrasekhar calculated that a cold star with a mass of more than one and a half times the mass of our sin would not be able to support itself against its own gravity and contract to become a ‘white dwarf’ with a radius of a few thousand miles and a density of hundreds of tones per square inch.

The Russian Lev Davidovich Landau speculated that the same sized star might end up in a different state. Chandrasekhar had used Pauli’s exclusionary principle as applied to electrons i.e. calculated the smallest densest state the mass could reach assuming no electron can be in the place of any other electron. Landau calculated on the basis of the exclusionary principle repulsion operative between neutrons and protons. Hence his model is known as the ‘neutron star’, which would have a radius of only ten miles or so and a density of hundreds of millions of tonnes per cubic inch.

(In an interesting aside Hawking tells us that physics was railroaded by the vast Manhattan Project to build an atomic bomb, and then to build a hydrogen bomb, throughout the 1940s and 50s. This tended to sideline large-scale physics about the universe. It was only the development of a) modern telescopes and b) computer power, that revived interest in astronomy.)

A black hole is what you get when the gravity of a collapsing star becomes so high that it prevents light from escaping its gravitational field. Hawking and Penrose showed that at the centre of a black hole must be a singularity of infinite density and space-time curvature.

In 1967 the study of black holes was revolutionised by Werner Israel. He showed that, according to general relativity, all non-rotating black holes must be very simple and perfectly symmetrical.

Hawking then explains several variations on this theory put forward by Roger Penrose, Roy Kerr, Brandon Carter who proved that a hole would have an axis of symmetry. Hawking himself confirmed this idea. In 1973 David Robinson proved that a black hole had to have ‘a Kerr solution’. In other words, no matter how they start out, all black holes end up looking the same, a belief summed up in the pithy phrase, ‘A black hole has no hair’.

What is striking about all this is that it was pure speculation, derived entirely from mathematical models without a shred of evidence from astronomy.

Black holes are one of only a fairly small number of cases in the history of science in which a theory was developed in great detail as a mathematical model before there was any evidence from observations that it was correct. (p.92)

Hawking then goes on to list the best evidence we have for black holes, which is surprisingly thin. Since they are by nature invisible black holes can only be deduced by their supposed affect on nearby stars or systems. Given that black holes were at the centre of Hawking’s career, and are the focus of these two chapters, it is striking that there is, even now, very little direct empirical evidence for their existence.

(Eerily, as I finished reading A Brief History of Time, the announcement was made on 10 April 2019 that the first ever image has been generated of a black hole –

Theory predicts that other stars which stray close to a black hole would have clouds of gas attracted towards it. As this matter falls into the black hole it will a) be stripped down to basic sub-atomic particles b) make the hole spin. Spinning would make the hole acquire a magnetic field. The magnetic field would shoot jets of particles out into space along the axis of rotation of the hole. These jets should be visible to our telescopes.

First ever image of a black hole, captured the Event Horizon Telescope (EHT). The hole is 40 billion km across, and 500 million trillion km away

Chapter 7 Black Holes Ain’t So Black (pp.99-113)

Black holes are not really black after all. They glow like a hot body, and the smaller they are, the hotter they glow. Again, Hawking shares with us the evolution of his thinking on this subject, for example how he was motivated in writing a 1971 paper about black holes and entropy at least partly in irritation against another researcher who he felt had misinterpreted his earlier results.

Anyway, it all resulted in his 1973 paper which showed that a black hole ought to emit particles and radiation as if it were a hot body with a temperature that depends only on the black hole’s mass.

The reasoning goes thus: quantum mechanics tells us that all of space is fizzing with particles and anti-particles popping into existence, cancelling each other out, and disappearing. At the border of the event horizon, particles and anti-particles will be popping into existence as everywhere else. But a proportion of the anti-particles in each pair will be sucked inside the event horizon, so that they cannot annihilate their partners, leaving the positive particles to ping off into space. Thus, black holes should emit a steady stream of radiation!

If black holes really are absorbing negative particles as described above, then their negative energy will result in negative mass, as per Einstein’s most famous equation, E = mc² which shows that the lower the energy, the lower the mass. In other words, if Hawking is correct about black holes emitting radiation, then black holes must be shrinking.

Gamma ray evidence suggests that there might be 300 black holes in every cubic light year of the universe. Hawking then goes on to estimate the odds of detecting a black hole a) in steady existence b) reaching its final state and blowing up. Alternatively we could look for flashes of light across the sky, since on entering the earth’s atmosphere gamma rays break up into pairs of electrons and positrons. No clear sightings have been made so far.

(Threaded throughout the chapter has been the notion that black holes might come in two types: one which resulted from the collapse of stars, as described above. And others which have been around since the start of the universe as a function of the irregularities of the big bang.)

Summary: Hawking ends this chapter by claiming that his ‘discovery’ that radiation can be emitted from black holes was ‘the first example of a prediction that depended in an essential way on both the great theories of this century, general relativity and quantum mechanics’. I.e. it is not only an interesting ‘discovery’ in its own right, but a pioneering example of synthesising the two theories.

Chapter 8 The Origin and Fate of the Universe (pp.115-141)

This is the longest chapter in the book and I found it the hardest to follow. I think this is because it is where he makes the big pitch for His Theory, for what’s come to be known as the Hartle-Hawking state. Let Wikipedia explain:

Hartle and Hawking suggest that if we could travel backwards in time towards the beginning of the Universe, we would note that quite near what might otherwise have been the beginning, time gives way to space such that at first there is only space and no time. Beginnings are entities that have to do with time; because time did not exist before the Big Bang, the concept of a beginning of the Universe is meaningless. According to the Hartle-Hawking proposal, the Universe has no origin as we would understand it: the Universe was a singularity in both space and time, pre-Big Bang. Thus, the Hartle–Hawking state Universe has no beginning, but it is not the steady state Universe of Hoyle; it simply has no initial boundaries in time or space. (Hartle-Hawking state Wikipedia article)

To get to this point Hawking begins by recapping the traditional view of the ‘hot big bang’, i.e. the almost instantaneous emergence of matter from a state of infinite mass, energy and density and temperature.

This is the view first put forward by Gamow and Alpher in 1948, which predicted there would still be very low-level background radiation left over from the bang – which was then proved with the discovery of the cosmic background radiation in 1965.

Hawking gives a picture of the complete cycle of the creation of the universe through the first generation of stars which go supernova blowing out into space the heavier particles which then go into second generation stars or clouds of gas and solidify into things like planet earth.

In a casual aside, he gives his version of the origin of life on earth:

The earth was initially very hot and without an atmosphere. In the course of time it cooled and acquired an atmosphere from the emission of gases from the rocks. This early atmosphere was not one in which we could have survived. It contained no oxygen, but a lot of other gases that are poisonous to us, such as hydrogen sulfide. There are, however, other primitive forms of life that can flourish under such conditions. It is thought that they developed in the oceans, possibly as a result of chance combinations of atoms into large structures, called macromolecules, which were capable of assembling other atoms in the ocean into similar structures. They would thus have reproduced themselves and multiplied. In some cases there would have been errors in the reproduction. Mostly these errors would have been such that the new macromolecule could not reproduce itself and eventually would have been destroyed. However, a few of the errors would have produced new macromolecules that were even better at reproducing themselves. They would have therefore had an advantage and would have tended to replace the original macromolecules. In this way a process of evolution was started that led to the development of more and more complicated, self-reproducing organisms. The first primitive forms of life consumed various materials, including hydrogen sulfide, and released oxygen. This gradually changed the atmosphere to the composition that it has today and allowed the development of higher forms of life such as fish, reptiles, mammals, and ultimately the human race. (p.121)

(It’s ironic that he discusses the issue so matter-of-factly, demonstrating that, for him at least, the matter is fairly cut and dried and not worth lingering over. Because, of course, for scientists who’ve devoted their lives to the origins-of-life question it is far from over. It’s a good example of the way that every specialist thinks that their specialism is the most important subject in the world, the subject that will finally answer the Great Questions of Life whereas a) most people have never heard about the issues b) wouldn’t understand them and c) don’t care.)

Hawking goes on to describe chaotic boundary conditions and describe the strong and the weak anthropic principles. He then explains the theory proposed by Alan Guth of inflation i.e. the universe, in the first milliseconds after the big bang, underwent a process of enormous hyper-growth, before calming down again to normal exponential expansion. Hawking describes it rather differently from Barrow and Davies. He emphasises that, to start with, in a state of hypertemperature and immense density, the four forces we know about and the spacetime dimensions were all fused into one. They would be in ‘symmetry’. Only as the early universe cooled would it have undergone a ‘phase transition’ and the symmetry between forces been broken.

If the temperature fell below the phase transition temperature without symmetry being broken then the universe would have a surplus of energy and it is this which would have cause the super-propulsion of the inflationary stage. The inflation theory:

  • would allow for light to pass from one end of the (tiny) universe to the other and explains why all regions of the universe appear to have the same properties
  • explain why the rate of expansion of the universe is close to the critical rate required to make it expand for billions of years (and us to evolve)
  • would explain why there is so much matter in the universe

Hawking then gets involved in the narrative explaining how he and others pointed out flaws in Guth’s inflationary model, namely that the phase transition at the end of the inflation ended in ‘bubble’s which expanded to join up. But Hawking and others pointed out that the bubbles were expanding so fat they could never join up. In 1981 the Russian Andre Linde proposed that the bubble problem would be solved if  a) the symmetry broke slowly and b) the bubbles were so big that our region of the universe is all contained within a single bubble. Hawking disagreed, saying Linde’s bubbles would each have to be bigger than the universe for the maths to work out, and counter-proposing that the symmetry broke everywhere at the same time, resulting in the uniform universe we see today. Nonetheless Linde’s model became known as the ‘new inflationary model’, although Hawking considers it invalid.

[In these pages we get a strong whiff of cordite. Hawking is describing controversies and debates he has been closely involved in and therefore takes a strongly partisan view, bending over backwards to be fair to colleagues, but nonetheless sticking to his guns. In this chapter you get a strong feeling for what controversy and debate within this community must feel like.)

Hawking prefers the ‘chaotic inflationary model’ put forward by Linde in 1983, in which there is no phase transition or supercooling, but which relies on quantum fluctuations.

At this point he introduces four ideas which are each challenging and which, taken together, mark the most difficult and confusing part of the book.

First he says that, since Einstein’s laws of relativity break down at the moment of the singularity, we can only hope to understand the earliest moments of the universe in terms of quantum mechanics.

Second, he says he’s going to use a particular formulation of quantum mechanics, namely Richard Feynman’s idea of ‘a sum over histories’. I think this means that Feynman said that in quantum mechanics we can never know precisely which route a particle takes, the best we can do is work out all the possible routes and assign them probabilities, which can then be handled mathematically.

Third, he immediately points out that working with Feynman’s sum over histories approach requires the use of ‘imaginary’ time, which he then goes on to explain.

To avoid the technical difficulties with Feynman’s sum over histories, one must use imaginary time. (p.134)

And then he points out that, in order to use imaginary time, we must use Euclidean space-time instead of ‘real’ space-time.

All this happens on page 134 and was too much for me to understand. On page 135 he then adds in Einstein’s idea that the gravitational field us represented by curved space-time.

It is now that he pulls all these ideas together to assert that, whereas in the classical theory of gravity, which is based on real space-time there are only two ways the universe can behave – either it has existed infinitely or it had a beginning in a singularity at a finite point in time; in the quantum theory of gravity, which uses Euclidean space-time, in which the time direction is on the same footing as directions in space it is possible:

for space-time to be finite in extent and yet to have no singularities that formed a boundary or edge.

In Hawking’s theory the universe would be finite in duration but not have a boundary in time because time would merge with the other three dimensions, all of which cease to exist during and just after a singularity. Working backwards in time, the universe shrinks but it doesn’t shrink, as a cone does, to a single distinct point – instead it has a smooth round bottom with no distinct beginning.

The Hartle-Hawking no boundary Hartle and Hawking No-Boundary Proposal

The Hartle-Hawking no boundary Hartle and Hawking No-Boundary Proposal

Finally Hawking points out that this model of a no-boundary universe derived from a Feynman interpretation of quantum gravity does not give rise to all possible universes, but only to a specific family of universes.

One aspect of these histories of the universe in imaginary time is that none of them include singularities – which would seem to render redundant all the work Hawking had done on black holes in ‘real time’. He gets round this by saying that both models can be valid, but in order to demonstrate different things.

It is simply a matter of which is the more useful description. (p.139)

He winds up the discussion by stating that further calculations based on this model explain the two or three key facts about the universe which all theories must explain i.e. the fact that it is clumped into lumps of matter and not an even soup, the fact that it is expanding, and the fact that the background radiation is minutely uneven in some places suggesting very early irregularities. Tick, tick, tick – the no-boundary proposal is congruent with all of them.

It is a little mind-boggling, as you reach the end of this long and difficult chapter, to reflect that absolutely all of it is pure speculation without a shred of evidence to support it. It is just another elegant way of dealing with the problems thrown up by existing observations and by trying to integrate quantum mechanics with Einsteinian relativity. But whether it is ‘true’ or not, not only is unproveable but also is not really the point.

Chapter 9 The Arrow of Time (pp.143-153)

If Einstein’s theory of general relativity is correct and light always appears to have the same velocity to all observers, no matter what position they’re in or how fast they’re moving, THEN TIME MUST BE FLEXIBLE. Time is not a fixed constant. Every observer carries their own time with them.

Hawking points out that there are three arrows of time:

  • the thermodynamic arrow of time which obeys the Second Law of Thermodynamics namely that entropy, or disorder, increases – there are always many more disordered states than ordered ones
  • the psychological arrow of time which we all perceive
  • the cosmological arrow of time, namely the universe is expanding and not contracting

Briskly, he tells us that the psychological arrow of time is based on the thermodynamic one: entropy increases and our lives experience that and our minds record it. For example, human beings consume food – which is a highly ordered form of energy – and convert it into heat – which is a highly disordered form.

Hawking tells us that he originally thought that, if the universe reach a furthest extent and started to contract, disorder (entropy) would decrease, and everything in the universe would happen backwards. Until Don Page and Raymond Laflamme, in their different ways, proved otherwise.

Now he believes that the contraction would not occur until the universe had been almost completely thinned out and all the stars had died i.e. the universe had become an even soup of basic particles. THEN it would start to contract. And so his current thinking is that there would be little or no thermodynamic arrow of time (all thermodynamic processes having come to an end) and all of this would be happening in a universe in which human beings could not exist. We will never live to see the contraction phase of the universe. If there is a contraction phase.

Chapter 10: The Unification of Physics (pp.155-169)

The general theory of relativity and quantum mechanics both work well for their respective scales (stars and galaxies, sub-atomic particles) but cannot be made to mesh, despite fifty of more years of valiant attempts. Many of the attempts produce infinity in their results, so many infinities that a strategy has been developed called ‘renormalisation’ which gets rid of the infinities, although Hawking conceded is ‘rather dubious mathematically’.

Grand Unified Theories is the term applied to attempts to devise a theory (i.e. a set of mathematical formulae) which will take account of the four big forces we know about: electromagnetism, gravity, the strong nuclear force and the weak nuclear force.

In the mid-1970s some scientists came up with the idea of ‘supergravity’ which postulated a ‘superparticle’, and the other sub-atomic particles variations on the super-particle but with different spins. According to Hawking the calculations necessary to assess this theory would take so long nobody has ever done it.

So he moves onto string theory i.e. the universe isn’t made up of particles but of open or closed ‘strings’, which can join together in different ways to form different particles. However, the problem with string theory is that, because of the mathematical way they are expressed, they require more than four dimensions. A lot more. Hawking mentions anywhere from ten up to 26 dimensions. Where are all these dimensions? Well, strong theory advocates say they exist but are very very small, effectively wrapped up into sub-atomic balls, so that you or I never notice them.

Rather simplistically, Hawking lists the possibilities about a complete unified theory. Either:

  1. there really is a grand unified theory which we will someday discover
  2. there is no ultimate theory but only an infinite sequence of possibilities which will describe the universe with greater and greater, but finite accuracy
  3. there is no theory of the universe at all, and events will always seems to us to occur in a random way

This leads him to repeat the highfalutin’ rhetoric which all physicists drop into at these moments, about the destiny of mankind etc. Discovery of One Grand Unified Theory:

would bring to an end a long and glorious chapter in the history of humanity’s intellectual struggle to understand the universe. But it would also revolutionise the ordinary person’s understanding of the laws that govern the universe. (p.167)

I profoundly disagree with this view. I think it is boilerplate, which is a phrase defined as ‘used in the media to refer to hackneyed or unoriginal writing’.

Because this is not just the kind of phrasing physicists use when referring to the search for GUTs, it’s the same language biologists use when referring to the quest to understand how life derived from inorganic chemicals, it’s the same language the defenders of the large Hadron Collider use to justify spending billions of euros on the search for ever-smaller particles, it’s the language used by the guys who want funding for the Search for Extra-Terrestrial Intelligence), it’s the kind of language used by the scientists bidding for funding for the Human Genome Project.

Each of these, their defenders claim, is the ultimate most important science project, quest and odyssey ever,  and when they find the solution it will for once and all answer the Great Questions which have been tormenting mankind for millennia. Etc. Which is very like all the world’s religions claiming that their God is the only God. So a) there is a pretty obvious clash between all these scientific specialities which each claim to be on the brink of revealing the Great Secret.

But b) what reading this book and John Barrow’s Book of Universes convinces me is that i) we are very far indeed from coming even close to a unified theory of the universe and more importantly ii) if one is ever discovered, it won’t matter.

Imagine for a moment that a new iteration of string theory does manage to harmonise the equations of general relativity and quantum mechanics. How many people in the world are really going to be able to understand that? How many people now, currently, have a really complete grasp of Einsteinian relativity and Heisenbergian quantum uncertainty in their strictest, most mathematical forms? 10,000? 1000,000 earthlings?

If and when the final announcement is made who would notice, who would care, and why would they care? If the final conjunction is made by adapting string theory to 24 dimensions and renormalising all the infinities in order to achieve a multi-dimensional vision of space-time which incorporates both the curvature of gravity and the unpredictable behaviour of sub-atomic particles – would this really

revolutionise the ordinary person’s understanding of the laws that govern the universe?

Chapter 11 Conclusion (pp.171-175)

Recaps the book and asserts that his and James Hartle’s no-boundary model for the origin of the universe is the first to combine classic relativity with Heisenberg uncertainty. Ends with another rhetorical flourish of trumpets which I profoundly disagree with for the reasons given above.

If we do discover a complete theory, it should in time be understandable in broad principle by everyone, not just a few scientists. Then we shall all, philosophers, scientists, and just ordinary people, be able to take part in the discussion of the question of why it is that we and the universe exist. If we find the answer to that, it would be the ultimate triumph of human reason. (p.175)

Maybe I’m wrong, but I think this is a hopelessly naive view of human nature and culture. Einstein’s general theory has been around for 104 years, quantum mechanics for 90 years. Even highly educated people understand neither of them, and what Hawking calls ‘just ordinary people’ certainly don’t – and it doesn’t matter. 

Thoughts

Of course the subject matter is difficult to understand, but Hawking makes a very good fist of putting all the ideas into simple words and phrases, avoiding all formulae and equations, and the diagrams help a lot.

My understanding is that A Brief History of Time was the first popular science to put all these ideas before the public in a reasonably accessible way, and so opened the floodgates for countless other science writers, although hardly any of the ideas in it felt new to me since I happen to have just reread the physics books by Barrow and Davies which cover much the same ground and are more up to date.

But my biggest overall impression is how provisional so much of it seems. You struggle through the two challenging chapters about black holes – Hawking’s speciality – and then are casually told that all this debating and arguing over different theories and model-making had gone on before any black holes were ever observed by astronomers. In fact, even when Hawking died, in 2018, no black holes had been conclusively identified. It’s a big shame he didn’t live to see this famous photograph being published and confirmation of at least the existence of the entity he devoted so much time to theorising about.


Related links

Reviews of other science books

Chemistry

Cosmology

The Environment

Genetics and life

Human evolution

Maths

Particle physics

Psychology

The Beardsley Generation @ the Heath Robinson Museum

This small but entrancing exhibition explores the impact that a radical new photographic means of reproduction (process engraving) had on the art of illustration at the end of the 19th century.

Through 50 or so drawings and 20 or so illustrated books and magazines, the exhibition brings together a treasure trove of images from what many consider the golden age of illustration which lasted from around 1890 to the early 1900s.

The Pilgrim stretched both of his hands up towards Heaven by Charles Robinson (1900)

The Pilgrim stretched both of his hands up towards Heaven by Charles Robinson (1900)

Informative

As always the exhibition is in just the one room at the Heath Robinson Museum and looks small, but there are now fewer than 20 wall panels, some quite lengthy and packed with technical, historical and biographical information, so that reading all of them almost feels like reading a small book.

A brief history of Victorian illustration techniques

In the early Victorian era, book illustrations were mostly produced from steel engravings. Artists such as George Cruikshank (some of whose prints I was looking at earlier this week, in the Guildhall Art Gallery) and Hablot Browne were expert at etching on steel. However the process was expensive, requiring the illustrations to be printed on different paper separate from the text and then bound in with the rest of the book.

By the 1850s publishers preferred to use wood engravings, with the result that master wood-engravers developed large workshops which employed many engravers. The artist presented his picture on paper or on a whitened woodblock and would hand it over to the skilled engraver. The engraver then converted the picture into a woodcut, carving away the areas that were to appear white on the final print, leaving the raised lines which would take the ink, be applied to paper, and produce the print.

Thus the engraver played a major role in interpreting the artist’s work, sketch or intention, often superimposing his own character and style on the image.

Still, it did mean you could make illustrations without having to be a skilled etcher and among the first artists to take advantage of the new medium were the pre-Raphaelites, led by Dante Gabriel Rossetti and John Everett Millais.

They were followed by a second school of artists, sometimes called the ‘Idyllic School’, which included G.J. Pinwell and Arthur Boyd Houghton, who infused their essentially realistic works with intensity and emotion.

Job's Comforters by Arthur Boyd Houghton (c.1865)

Job’s Comforters by Arthur Boyd Houghton (c.1865)

There followed in the 1870s and ’80s what the curators call ‘a period of dull realism’ which is not dwelt on. It was at the end of the 1880s that the technical innovation which the exhibition is concerned with came in, and transformed the look of British illustrations.

Process engraving

In the late 1880s process engraving replaced wood engraving. An artist’s drawing was transferred to a sheet of zinc so that areas to be printed in black were given an acid-resistant coating and white areas left exposed. The plate was then dipped in acid so that the white areas were eaten away. The plate was then attached to a block of wood which could be inserted into the block holding the type, so that illustration and text were generated together by the same printing process.

This new process required that the artist’s image be in pure blacks and whites without the kind of fine lines which had flourished in etching on steel or in wood engraving. Moreover, the artist could be confident that the line he drew would be exactly what would be presented to the reader, without the involvement of a wood engraver to enhance or (possibly) detract from it.

At a stroke, the older generation of artists who had relied on master wood-engravers to work up their rough sketches for publication was swept away and replaced by a new young generation of penmen who relished the clarity of line and space encouraged by the new technique.

The most dramatic proponent of the new look, who exploded onto the art scene like a small atom bomb, was Aubrey Beardsley (b.1872)

How La Beale Isoud Wrote to Sir Tristram from the Morte d'Arthur by Aubrey Beardsley (1892)

How La Beale Isoud Wrote to Sir Tristram from the Morte d’Arthur by Aubrey Beardsley (1892)

Beardsley was an illustrator of genius who had created an entirely new and personal visual world by the incredibly young age of 20. There are four prints and two drawings by him here, plus three book covers and books laid open to show his illustrations in situ. What a genius.

Having explained this major new development in print technology, the exhibition also explains several other influences which were swirling round at the time and contributed to the development of the ‘new look’. These included:

  • Japanese art
  • European Symbolism
  • Venetian and Renaissance art
  • with a dash of Dürer thrown in

Japanese

After the Harris Treaty of 1858 reopened trade links between the West and Japan, one of the many consequences was a flood onto the Western art market of Japanese woodblock prints.

Known in Japan as ukiyo-e or ‘pictures of the floating world’, the Japanese style was notable for not using perspective to add depth, or light and shade to create a sense of volume and space in the images. Instead the Japanese used ‘dramatic boundary lines’, i.e. clear, distinct, black lines – to create images – and then used colour, again not to create depth, but decoratively, filling in the shapes created by the lines with plain washes.

Japanese art had a profound influence on Western artists at a time when they were looking for ways to revive what had become tired traditions and to combat the rising challenge of photography.

Setting a Japanese print (in this case Nakamura Shikan II as Benkai by Utagawa Kunisada) next to the works by Beardsley allows you to immediately see the liberating impact that the Japanese habit of stylising the image has had for the European – allowing him to abandon almost all conventions of perspective and depth.

Actor Nakamura Utaemon Iii As Mitsugi’s Aunt Omine by Utagawa Kunisada (1814)

Beardsley’s best images float in an indeterminate space, bounded by extremely precise and clear lines which give his best images a wonderful clarity and dynamism. But Beardsley wasn’t alone. A greater or lesser element of simplification and stylisation characterises most of the artists working in the ‘new look’.

The last fancy of the contemporary buck for Pall Mall magazine by Edmund J. Sullivan (1900)

The last fancy of the contemporary buck for Pall Mall magazine by Edmund J. Sullivan (1900)

Symbolism

Symbolism was an art movement which swept northern Europe in the 1880s and, although its techniques remained largely realistic, in some case hyper-realistic, it applied these approaches to subject matter which was infused with obscure and semi-religious feelings.

Symbolism took images of death, yearning, loss and mystery, and showed them, no longer in the bright light of nineteenth century rationalism and optimism, but brooded over by a more modern sensibility and psychology. A drawing of Salomé by Gustave Moreau is used to exemplify the Symbolist effect.

Its influence can be seen in an illustration like this one by Charles Ricketts, which takes the well-worn subject of Oedipus and the Sphinx but drenches it in arcane symbolism – inexplicable figures and flowers adding to the sensual, erotic yet mysterious atmosphere.

Oedipus and the Sphinx (1891) by Charles Ricketts

Oedipus and the Sphinx (1891) by Charles Ricketts

Hypnerotomachia Poliphili

The exhibition lists and explores other influences including the impact of a classic printed book from Venice titled Hypnerotomachia Poliphili or The Strife of Love in a Dream, published by Albertus Manutius in 1499, and regarded as a masterpiece of typography and design by collectors.

A Garden Scene from 'Hypnerotomachia Poliphili' attributed to Francesco Colonna (c.1499)

A Garden Scene from ‘Hypnerotomachia Poliphili’ attributed to Francesco Colonna (c.1499)

Copies of Hypnerotomachia Poliphili became available in England in 1888 and influenced Edward Burne-Jones, Walter Crane, Charles Ricketts, Aubrey Beardsley and Robert Anning Bell.

List of artists in the exhibitions

The exhibition includes works by all of those illustrators and more. I counted:

  • Aubrey Beardsley – 4 prints, 2 drawings and three book and magazine covers or pages
  • Alice B. Woodward – 2 drawings
  • Louis Fairfax Muckley – 1
  • Herbert Granville Fell – 2 drawings and a watercolour
  • Alfred Garth Jones – 2
  • Thomas Sturge Moore – 1
  • Laurence Housman – 5
  • Charles de Sousy Ricketts – 2
  • Paul Vincent Woodroffe – 1
  • H.A. Eves – 1
  • Harold Edward Hughes Nelson – 1
  • Byam Shaw – 1
  • Edgar Wilson – 1
  • Cyril Goldie – 1
  • Henry Ospovat – 1
  • Robert Anning Bell – 2
  • Philip Connard – 1
  • Jessie Marion King – 3
  • James Joshua Guthrie – 2
  • Edmund Joseph Sullivan – 2
  • Charles Robinson – 3
  • William Heath Robinson – 3
  • Arthur Boyd Houghton – 1
  • Walter Crane – 1

Books on display

  • Le Morte d’Arthur illustrated by Beardsley
  • Midsummer Night’s Dream ill. by Robert Anning Bell
  • The Kelmscott Chaucer ill. by Burne-Jones
  • Poems of Edgar Allen Poe ill. by William Heath Robinson
  • Poems of John Keats ill. by Robert Anning Bell
  • Poems of John Milton ill. by Garth Jones
  • The Faerie Queene ill. by Walter Crane
  • plus illustrated versions of Shakespeare’s Sonnets, the Book of Job, the Yellow Book, and more

All the works were worth looking at closely, studying and mulling in order to enjoy the play of line and form. Many of the prints are wonderfully drawn and warmly evocative. Every one is accompanied by a wall label, and the twelve or so most important artists merit bigger wall labels which give you their full biography along with influences and major works to set them in context.

These biographical notes help you to make connections between different artists linked by having a common publisher, or working on a common publication or magazine, or who knew each other and encouraged, helped or shared ideas. The exhibition really does give you a sense of an entire generation excitedly inventing a whole new style of art.

Nostalgia

I think at least in part I respond so warmly to so many of the images is because, as a boy growing up in the 1960s, lots of the old books in my local library and the children’s books which my parents bought for me, contained just this kind of late-Victorian / Edwardian illustrations.

Looking at almost any of them creates a warm bath of half-forgotten memories of curling up in a corner and totally immersing myself in thrilling stories of Greek heroes and mermaids and pirates and pilgrims.

Tailpiece by Edgar Wilson (date unknown)

Tailpiece by Edgar Wilson (date unknown)

This is another wonderful, heart-warming and highly informative exhibition from the Heath Robinson Museum.


Related links

Other exhibitions at the Heath Robinson Museum

Socialism: Utopian and Scientific by Frederick Engels (1880)

Modern Socialism is, in its essence, the direct product of the recognition, on the one hand, of the class antagonisms existing in the society of today between proprietors and non-proprietors, between capitalists and wage-workers; on the other hand, of the anarchy existing in production. (Opening sentence)

I bought my copy of Socialism: Utopian and Scientific in a cheap Chinese edition from the Marxist bookshop under Brixton railway arches in the 1980s. It cost 45p. Neither the Chinese editions nor the bookshop exist any more.

Prefaces

A feature of the texts by Marx and Engels is the way they come festooned with prefaces and introductions. This is because:

  1. The societies they were describing in such detail, kept evolving and changing: the Europe of 1848 for which the Communist Manifesto was written had changed a lot by 1868, and out of all recognition by 1888.
  2. More subtly, socialism itself kept changing, in the hands of socialist and communist parties spread right across the continent, some of which were banned, some of which (e.g. in Germany) entered Parliament, some of which (e.g. in England) were tempted to join forces with the increasingly well-organised trades unions who weren’t interested in overthrowing capitalism at all; they wanted to keep it in place, but with better pay and conditions for their members.

And thus Marx and Engels found themselves having to tag new introductions and prefaces to all their works in order to keep up with the changing realities of European society, and also the changing nature of socialist belief, which included the continual eruption of new and heretical brands of socialism.

This text has a foreword by Marx, two prefaces by Engels and then an introduction by Engels which is nearly as long (30 pages) as the original text (56 pages).

Origins and impact

Socialism: Utopian and Scientific is such a short text because it is an extract from a longer work Engels wrote in 1878, entitled Herr Eugen Dühring’s Revolution in Science or the Anti-Dühring, as it became known.

During the 1870s the German philosopher, positivist, economist, and socialist Eugen Karl Dühring (1833–1921) published a sequence of books in which he enunciated a ‘positivist’ philosophy, on which he based a form of ‘ethical communism’, along with an economic theory which suggested there would eventually be a harmony of the interests of capitalists and labourers. Things, in other words, could only get better. Dühring’s extensive erudition across numerous fields, and his ‘soft’ form of communism, made his ideas influential in left-wing circles.

Marx and Engels were naturally alarmed because Dühring’s views undermined their insistence on the necessity of class warfare, and the inevitability of a violent revolution in which the radicalised proletariat would overthrow bourgeois capitalism. Dühring denied all this.

Also, it happened that both Marx and Engels had for some time being mulling over the fact that Marx’s great masterwork, Capital, was impenetrable to ordinary readers and that they should probably write a more accessible summary of their philosophical, political and economic theories for the man in the street.

Thus the need for a handy summary of Marxism combined with the urge to refute Dühring’s views inspired Engels to write his lengthy Anti-Dühring – and then to extract three chapters of it into the present work.

Socialism: Utopian and Scientific went on to become probably the most influential single work written by either Marx or Engels. It was quickly translated into over ten European languages, and widely distributed. It became the main vehicle publicising their socialist ideas in the key decades from 1890 to 1910.

In his epic biography of Marx, Gareth Stedman Jones quotes contemporaries testifying to its impact. According to the communist David Riazanov, founder of the Marx-Engels Institute in Moscow after the revolution (and then a high-profile victim of Stalin’s show trials in the 1930s):

Anti-Dühring was epoch-making in the history of Marxism. It was from this book that the younger generation, which began its activity during the second half of the 1870s, learned what was scientific socialism, what were its philosophical premises, what was its method… all the young Marxists who entered the public arena in the early 1880s – Bernstein, Kautsky, Plekhanov – were brought up on this book.

And Karl Kautsky, the Czech communist and torch bearer of orthodox Marxism between Engels’ death in 1895 and the outbreak of the Great War in 1914, said:

Judging by the influence that Anti-Dühring had upon me, no other book can have contributed so much to the understanding of Marxism. Marx’s Capital is the more powerful work, certainly. But it was only through Anti-Dühring that we learned to understand Capital and read it properly. (quoted in Jones, p.560)

Structure

Overall the book aims to distinguish Marx’s communism from all other previous and current versions of socialism, which Engels dismisses as ‘utopian’. Those other theories were or are based on morality – on moral feelings of outrage, sympathy for the oppressed, appeals to ‘justice’, and so on and so on.

Marx’s communism alone was scientific in the sense that Marx claimed to have uncovered the economic laws which underpinned the development of human civilisation and to have shown that a communist revolution will come regardless of anyone’s feelings or intentions.

Marx’s sociology had revealed that all previous societies have been based on class conflict. More than this, Marx had shown how societies evolve through the process of Dialectical Materialism, namely that at any given epoch there is a master narrative or ideology which, of necessity, contains within it the seeds of opposition and of its eventual overthrow. Within the slave society of ancient Rome lay the seeds of the feudal system. Within the feudal system lay the guilds and the seeds of the mercantilism which superseded it. Within mercantilism lay the seeds of the more organised, competitive capitalism.

And the capitalist system now triumphing in the West contained within itself the seeds of its own destruction. For, by concentrating more and more wealth and power in the hands of the bourgeoisie, the system inevitably, and unstoppably, created a larger and larger and larger class of powerless, impoverished, immiserated people – the proletariat – which sooner or later, must inevitably realise their superior strength, rise up and overthrow their capitalist masters and thus give rise to the communist society where everyone carries out productive labour, as they wish, and where everyone is equal.

This process was reinforced by the fundamental instability of capitalism – this was caused by the endless clash of rival companies and their products, an economic chaos which created day to day social anarchy, led inevitably to regular financial crashes and depressions and, at its highest level, gave rise to wars between rival capitalist empires fighting over raw materials and new markets in the third world.

This ‘system’, Engels explains, is simply not sustainable and will sooner or later crash under the weight of its own ‘contradictions’.

Chapter one

Engels begins the book by describing the thought of some characteristic ‘utopian’ socialists, starting with Saint-Simon, before going on to Charles Fourier and Robert Owen. He shows how their versions of socialism contained many insights but, at bottom, merely reflected the personal opinions of the authors.

Saint-Simon had the genius as early as 1802 to enunciate the principle that ‘all men must work’; to realise that the French Revolution had been a struggle not only between the aristocracy and the bourgeoisie but also the propertyless poor; and by 1815 was predicting that politics would soon boil down to issues of production: politics, in other words, would morph into economics – ‘the administration of things and the guidance of the processes of production’.

Fourier declared that humanity had progressed through four stages – savagery, patriarchy, barbarism and civilisation – each of which, including the bourgeois society of his time, partaking of the same tensions and stresses.

Robert Owen set up a model cotton factory at New Lanark in Scotland where he made the workers work shorter hours, and not the then customary seven days a week, provided hygienic accommodation and invented the infant school for the children. With the result that there was no drunkenness, no crime – and yet his investors still made sizeable returns on their money. Owen developed the idea that the wealth the working class produced ought to be retained by the working class instead of being siphoned off to support the aristocracy and the endless war against Napoleon. As his attacks on private property, religion and marriage became more strident, so Owen was dropped by his initial supporters.

According to Engels, each of these three political thinkers had valid and sometimes insightful contributions – but mixed up with hobby horses, personal views and experiences. The net effect was to contribute to a confused and confusing mish-mash of opinions welling up from the obvious injustices of society, and a thousand different schemes to put them right.

By contrast ‘scientific socialism’ derives from the close study of reality. It is based on a materialist conception of human history, and on the premise that the most important feature of any society is its level of technological achievement. The technology, and the economic system which derives from it, are the basis of the classes into which any given society is based, and underpin the ideology which is the collective value and belief system of that society.

  • The economic basis of society.
  • The instability of the capitalist system, constantly forced to seek out greater profits, new markets, resulting in periodic gluts and recessions.
  • The inevitability of class conflict between factory owners and workers.
  • The unstoppable triumph of the proletariat.

Chapter two

This is a short but genuinely interesting attempt to explain what dialectical materialism is.

Engels starts by asking you to reflect on your own experience and thoughts, how they are a constant flood of impressions and mental leaps and connections. Similarly, a moment’s reflection suggests that all organisms, people, objects, are in a constant state of flux. The Greeks knew this. They called it the dialectic, the acceptance of flow and change.

It was only from about the 16th century that western philosophers began to develop what became the natural sciences, whose central methodology is to isolate and define entities. This led to the triumph of Newtonian cosmology, which was reflected in the eighteenth century effort to define and categorise everything into static categories. Fixed entities. Unchanging mechanisms. The opposite of flow and change.

Engels sees the philosophy of Hegel as a rebellion against this mechanistic view of the universe and people. Hegel wanted to re-establish the impermanence of all entities and of all thought as the central feature of existence.

Engels goes on to claim that, as the 19th century had progressed, all the sciences had tended to prove Hegel right. We now know that planets and solar systems and even galaxies aren’t static, but come into and out of existence. The very landscape of the earth has changed out of all recognition over billions of years and is continually changing. Charles Darwin had proved that species are in a permanent state of flux. Even biology had proved that individual human beings – and all life forms – consist of cells which are continually dying, being sloughed off and replaced.

We are all of us, at the same time, something and not something. We are all processes.

This is the rebirth of dialectical thinking based on up-to-date science. This is a dialectic of matter. This is dialectical materialism, a worldview based on the idea that all things are in a state of flux, including humans and including human societies.

There is no such thing as a static society, there are no such things as static social ‘values’. A scientific study of history (such as the kind Marx and Engels claimed to have pioneered) shows that all previous societies have been in states of flux, always changing and evolving.

What Marx has proven in Capital and other writings is that these changes are not random, but the product of certain historical laws – laws which show that:

  • all societies are based on the technology of the day
  • the technology is owned and exploited by a ruling class which is always pitted against those it exploits, whether slaves or serfs or workers
  • the ruling classes produce an ‘ideology’ which contains the ideas used to justify and bolster their power – ‘religion’, ‘morality’, ‘the sanctity of marriage’ etc

But each era has not only had a dominant class, but contains within itself seeds of the opposing class which will rise up and overthrow it.

From that time forward, Socialism was no longer an accidental discovery of this or that ingenious brain, but the necessary outcome of the struggle between two historically developed classes – the proletariat and the bourgeoisie. Its task was no longer to manufacture a system of society as perfect as possible, but to examine the historico-economic succession of events from which these classes and their antagonism had of necessity sprung, and to discover in the economic conditions thus created the means of ending the conflict. But the Socialism of earlier days was as incompatible with this materialist conception as the conception of Nature of the French materialists was with dialectics and modern natural science. The Socialism of earlier days certainly criticized the existing capitalistic mode of production and its consequences. But it could not explain them, and, therefore, could not get the mastery of them. It could only simply reject them as bad. The more strongly this earlier Socialism denounced the exploitations of the working-class, inevitable under Capitalism, the less able was it clearly to show in what this exploitation consisted and how it arose.

Lacking a proper understanding of a) dialectical thinking i.e. the constant process of becoming, and b) the material basis of society and human nature, the reformers Engels mentioned in chapter one – Saint-Simon, Fourier and Owen – certainly had ‘inspired moments’, but were unable to effect any real change.

The theory of surplus labour

Added to this philosophical breakthrough is another insight, just as important, in the field of economics, which is Marx’s discovery of how capitalism works.

Capitalism works through squeezing out of each worker the ‘surplus value’ of his labour. Vampire-like, capitalism accumulates wealth by stealing the worker’s productive labour.

The more strongly this earlier Socialism denounced the exploitations of the working-class, inevitable under Capitalism, the less able was it clearly to show in what this exploitation consisted and how it arose. For this it was necessary to present the capitalistic mode of production in its historical connection and its inevitableness during a particular historical period, and therefore, also, to present its inevitable downfall; and to lay bare its essential character, which was still a secret.

This was done by the discovery of surplus-value.

It was shown that the appropriation of unpaid labour is the basis of the capitalist mode of production and of the exploitation of the worker that occurs under it; that even if the capitalist buys the labour power of his labourer at its full value as a commodity on the market, he yet extracts more value from it than he paid for; and that in the ultimate analysis, this surplus-value forms those sums of value from which are heaped up constantly increasing masses of capital in the hands of the possessing classes. The genesis of capitalist production and the production of capital were both explained.

These two great discoveries, the materialistic conception of history and the revelation of the secret of capitalistic production through surplus-value, we owe to Marx. With these discoveries, Socialism became a science.

Chapter three

Applies Marx and Engels’s materialist view to history.

The materialist conception of history starts from the proposition that the production of the means to support human life and, next to production, the exchange of things produced, is the basis of all social structure; that in every society that has appeared in history, the manner in which wealth is distributed and society divided into classes or orders is dependent upon what is produced, how it is produced, and how the products are exchanged. From this point of view, the final causes of all social changes and political revolutions are to be sought, not in men’s brains, not in men’s better insights into eternal truth and justice, but in changes in the modes of production and exchange. They are to be sought, not in the philosophy, but in the economics of each particular epoch.

This passage introduces a lengthy description of the way capitalist production arose out of medieval, feudal production, of how individual cottage producers gave way to workshops and then to factory owners who could produce goods cheaper than individual artisans and craftsmen, who drove them to of business, and forced them to become wage-slaves working in their factories.

But, remember – according to Hegel’s dialectic, any system is always changing, always contains within itself the seeds of its own overthrow.

For example, the capitalist, by creating a huge labour force of hundreds, sometimes thousands, of workers – creates the very force that will overthrow him, a huge mass of exploited workers who are capable, because of their new proximity to each other, of discussing and understanding their plight, of organising and educating and, eventually, of rising up and ending their exploitation.

The joy of paradoxes

Marx and Engels enjoy paradoxes. In fact their argument often proceeds by paradoxical reversals rather by than strict logic. For example, there’s a long, involved passage where Engels explains that new technology and new machinery – which ought to make everyone’s lives more pleasant – is twisted by the capitalist system (i.e. the ravenous competition between capitalists, the need to keep costs down) into the very thing which oppresses the worker. For the spread of new technology leads to the laying off of workers, who then create a pool of unemployed labour, ready and willing to be re-employed and the cheapest rates, which allows the capitalist to reduce wages to his existing staff.

Thus it comes about, to quote Marx, that machinery becomes the most powerful weapon in the war of capital against the working-class; that the instruments of labor constantly tear the means of subsistence out of the hands of the laborer; that the very product of the worker is turned into an instrument for his subjugation.

This is given as an example of dialectical thinking, although to the literary-minded it could also be interpreted as a love of ironic reversals and paradoxes, a love of binaries which Marx and Engels again and again collapse into their opposites.

But the chief means by aid of which the capitalist mode of production intensified this anarchy of socialized production was the exact opposite of anarchy. It was the increasing organization of production, upon a social basis, in every individual productive establishment

Accumulation of wealth at one pole [among capitalists] is, therefore, at the same time accumulation of misery, agony of toil, slavery, ignorance, brutality, mental degradation, at the opposite pole, i.e., on the side of the [workers].

In the trusts, freedom of competition changes into its very opposite – into monopoly.

The rise of monopolies

Engels points to a number of trends in contemporary capitalist society where, he claims, you can see the dialectical opposite of capitalist production already appearing.

For example, there is a tendency to monopoly in a number of industries e.g. railways or telegraphs. By an irony the tendency of a handful of big companies to buy up all the smaller ones repeats on a higher level the way early capitalists drove out small, cottage producers. Now it’s a lot of the capitalists who are turned into a ‘reserve army’ with nothing much to do all day except count their dividends.

At first, the capitalistic mode of production forces out the workers. Now, it forces out the capitalists, and reduces them, just as it reduced the workers, to the ranks of the surplus-population…

One step further along this line, in many European countries the state has bought out the monopoly capitalists, nationalising the railways and some other industries. This move is at one and the same time the peak of capitalist monopoly control but also – a forerunner of the way the state run by the workers will abolish all companies and run everything themselves.

The capitalist relationship is not abolished, rather it is pushed to the limit. But at this limit it changes into its opposite.

There is something powerful, slick, and magically persuasive about this rhetoric, like the famous phrases in The Communist Manifesto which describe the constructive/destructive impact of capitalism:

All fixed, fast-frozen relations, with their train of ancient and venerable prejudices and opinions, are swept away, all new-formed ones become antiquated before they can ossify. All that is solid melts into air, all that is holy is profaned…

It is a very effective way of thinking and makes for a powerful rhetoric.

The communist utopia

Having explained why previous socialist thinkers were mere rootless dreamers, having explained how Hegel’s theory of the dialectic can be allied with modern science to generate a theory of how things change, having explained how a materialist view of history throws out all fancy talk about God and Sin and Justice and focuses on the changing nature of production and the class antagonisms this throws up – and having looked in detail at why capitalist production is so unstable and gives rise to regular crises and recessions – Engels has prepared his reader for a vision of what a communist state should look like.

Namely that the means of production should not be used to enslave people and to create an unregulated chaos of competition – but brought into the ownership of the state, a state acting on behalf of everyone, so as to plan work and production, so as to maximise human life, health and happiness.

This solution can only consist in the practical recognition of the social nature of the modern forces of production, and therefore in the harmonizing with the socialized character of the means of production. And this can only come about by society openly and directly taking possession of the productive forces which have outgrown all control, except that of society as a whole. The social character of the means of production and of the products today reacts against the producers, periodically disrupts all production and exchange, acts only like a law of Nature working blindly, forcibly, destructively. But, with the taking over by society of the productive forces, the social character of the means of production and of the products will be utilized by the producers with a perfect understanding of its nature, and instead of being a source of disturbance and periodical collapse, will become the most powerful lever of production itself.

And the state, which has hitherto all through history been nothing more than the legal instrument through which the oppressing class dominates society – once it is identified with the great mass of the oppressed class, once it becomes truly representative of all of society – will die out. The state will wither away. Because its repressive function is no longer required in a society where production is controlled and planned by the whole population.

Insofar as the (repressive) government of persons is replaced by the (fair and just) administration of things. of the products of industry – so the entity which repressed people (the state) will simply vanish 🙂

It is here!

Engels has one last point to make, which is that the time for revolution is now, not because this, that or the other activist thinks so: but because it is objectively the case in the economic development of the West. In the early industrial revolution the amount produced by factories was barely enough to maintain subsistence living among the immiserated proletariat. But in the past forty years the amount of output, the wealth and variety and richness of industrial products, have reached new heights.

The socialized appropriation of the means of production does away, not only with the present artificial restrictions upon production, but also with the positive waste and devastation of productive forces and products that are at the present time the inevitable concomitants of production, and that reach their height in each new economic crisis.

Further, it sets free for the community at large a mass of means of production and of products, by doing away with the senseless extravagance of the ruling classes of today, and their political representatives.

The possibility of securing for every member of society, by means of socialized production, an existence not only fully sufficient materially, and becoming day-by-day more full, but an existence guaranteeing to all the free development and exercise of their physical and mental faculties – this possibility is now, for the first time, here. It is here.

With the seizing of the means of production by society, production of commodities is done away with, and, simultaneously, the mastery of the product over the producer. Anarchy in social production [i.e. chaotic competition between capitalists which leads to regular crises] is replaced by systematic, definite organization.

The struggle for individual existence disappears. Then, for the first time, man, in a certain sense, will finally be marked off from the rest of the animal kingdom, and emerge from mere animal conditions of existence into really human ones.

The whole sphere of the conditions of life which environ man, and which have hitherto ruled man, will now come under the dominion and control of man, who for the first time becomes the real, conscious lord of nature, because he has now become master of his own social organization.

The laws of his own social action, hitherto standing face-to-face with man as laws of Nature foreign to, and dominating him, will now be used with full understanding, and so mastered by him.

Man’s own social organization, hitherto confronting him as a necessity imposed by Nature and history, will now become the result of his own free action.

The extraneous objective forces that have, hitherto, governed history, will pass under the control of man himself.

Only from that time will man himself, more and more consciously, make his own history – only from that time will the social causes set in movement by him have, in the main and in a constantly growing measure, the results intended by him.

It is the ascent of man from the kingdom of necessity to the kingdom of freedom.

Thoughts

Wow. This is mind-blowing rhetoric, a heady, drunken mix of German philosophy, English economics, underpinned by the latest scientific theories and brought to bear on the great social issues of the age.

You can see why scads of people, from illiterate workers to highly educated intellectuals, would be roused and inspired by this vision. It is, at the end of the day, a wish for a better society, a wish every bit as utopian as the wish of Saint-Simon or Owen – but it is dressed up in a battery of ‘scientific’ and philosophical and economic arguments which pummel the brain like a heavyweight boxer.

Without doubt Marx brought an incredible rigour and thoroughness to left-wing thought across Europe, and then around the world, and his insights into how capitalism works, why it seems condemned to periodic crises, and into the way a culture’s ‘ideology’ masks the true nature of class conflict or exploitation of the poor by the rich, all these remain fertile insights right down to our own time.

But the entire prophetic and practical aspect of his creed failed. The most advanced economies – America, Britain and Germany – instead of experiencing a millennial revolution, managed to co-opt the workers into the fabric of bourgeois society by offering them the benefits of a welfare state – shorter hours, better working conditions, health benefits, pensions.

Exploitation continued, strikes and riots continued and the entire fabric of the West came under strain during periods of depression and seemed to many to have completely collapsed during the Great Depression, and yet…  even amid this ruinous failure of capitalism, the promised communist uprising never took place.

Instead, the revolution occurred in the most economically and socially backward society in Europe, Russia, and even then, less as a result of the inevitable triumph of capitalism magically morphing into its opposite – the process so beguilingly described by Engels in this entrancing pamphlet – but by straightforward social collapse brought about by prolonged war and starvation.

A political vacuum in which Lenin and his zealots were able to carry out a political and military coup, which then took years of civil war and immense suffering to settle down into the kind of prolonged totalitarian dictatorship which would have horrified Marx and Engels.


Related links

Related blog posts

Karl Marx

Communism in Russia

Communism in China

Communism in Vietnam

Communism in Germany

Communism in Poland

  • Warsaw 1920 by Adam Zamoyski (2008) How the Polish army stopped the Red Army from conquering Poland and pushing on to foment revolution in Germany.
  • The Captive Mind by Czesław Miłosz (1953) A devastating indictment of the initial appeal and then appalling consequences of communism in Poland: ‘Mass purges in which so many good communists died, the lowering of the living standard of the citizens, the reduction of artists and scholars to the status of yes-men, the extermination of entire national groups…’

Communism in France

Communism in Spain

  • The Battle for Spain by Antony Beevor (2006) Comprehensive account of the Spanish civil war with much detail on how the Stalin-backed communist party put more energy into eliminating its opponents on the left than fighting the fascists, with the result that Franco won.
  • Homage to Catalonia by George Orwell (1938) Orwell’s eye-witness account of how the Stalin-backed Spanish communist party turned on its left-wing allies, specifically the Workers’ Party of Marxist Unification which Orwell was fighting with, leading to street fighting in Barcelona and then mass arrests which Orwell only just managed to escape arrest, before fleeing back to England.

Communism in England

Battle Cry of Freedom: The Civil War Era (2) by James M. McPherson (1987)

In mid-19th century America there was a caste of people who were professional slave hunters. Hold that thought… People whose job it was to reclaim the lost ‘property’ of a southern slave owner.

1854 advert for a runaway slave

1854 advert for a runaway slave

In 1850 the US Congress passed the Fugitive Slave Act as part of the Compromise of 1850 between Southern slave-holding interests and Northern Free-Soilers (a short-lived political party which took part in the 1848 and 1852 presidential races with the sole aim of preventing slavery being expanded into the new western states).

The law required that all escaped slaves, upon recapture, be returned to their masters, and that the officials and citizens of free states had to cooperate with this. Many northern states opposed the law and passed personal liberty laws which used various strategies to try and to block the Fugitive Slave Act – by insisting that captured suspects get a fair trial, or by forbidding state authorities from collaborating with the federal agents tasked with recapturing runaway slaves.

Almost every case brought under the new act caused explosions of outrage on both sides of the argument. Many northern states took advantage of jury ‘nullifications’, where a jury refused to convict because they believed the entire basis of a federal law was unjust.

Northern cities set up Vigilance Committees which could mobilise lawyers to defend a captured runaway, and/or mobs to surround gaols where they were being held. On numerous occasions this resulted in fighting, often with guns, as northern mobs stormed gaols to free slaves held by Federal authorities.

Southerners believed northerners wanted to abolish the entire notion of property, which was a founding concept of American freedom (a circular definition in which freedom is defined as the ability to own property, and the ownership of property confers the independence from poverty which underlies the notion of personal freedom).

The clash between the pro-slavery Federal law and the anti-slavery strategies taken by various northern states made almost every case of a runaway slave being recaptured into a show trial.

Imagine being a freed black person, going about your business in Boston or New York, and suddenly being set upon by a gang of men and hustled along to a gaol. And then – if you’re lucky – standing in the dock while lawyers argue whether you are a human being or a piece of property!

The law had a noticeable cultural impact. For northerners, the country’s law for the first time made them accomplices in the institution of slavery – forced them at the risk of a hefty fine or possible imprisonment, to aid federal marshals in arresting, imprisoning and returning runaway slaves to the south, no matter how much they didn’t want to.

It was a flavour of slavery and the slave state, forced right into northerners’ faces. And it forced the more conscientious of them to choose between obeying an unjust law or their consciences. It created martyrs not only among the poor captured runaway blacks, but among their white supporters, especially in the church. McPherson quotes a number of clergy who wrote publicly announcing that they were prepared to go to gaol to defend the liberty of runaway slaves.

The intrusion of slave violence into the free north inspired Harriet Beecher Stowe, the ‘daughter, sister and wife of Congregational churchmen’, to write Uncle Tom’s Cabin, an anti-slavery story told with moral passion. The book was published in monthly serials in an antislavery magazine before being published in book form in 1852. It went on to become the most popular novel of the 19th century, second only to the Bible in book sales in the States and abroad. Extraordinarily, Stowe wrote it in the evenings after completing all the household chores and putting her six children to bed. I wish I had that much energy.

Implementation of the Fugitive Slave Act reinforced the importance of the so-called Underground Railway, escape routes of safe houses and sympathetic helpers who could ferry blacks north through the free states and on, ultimately, to Canada – much like the networks which shot-down Allied airmen used in Nazi-occupied Europe a century later.

An estimated three thousand blacks fled to Canada in the last three months of 1850 alone. During the 1850s the black population of Ontario doubled.

There are records of slaves committing suicide rather than be caught. McPherson quotes the story of a runaway slave mother who tried to cut the throats of her own children as the slave catchers broke in, rather than let them be taken back to a lifetime of servitude and abuse.

Leap of the Fugitive Slave

Leap of the Fugitive Slave

And yet, during the entire decade of the 1850s, some 332 slaves were returned and only 11 declared free. Odd that such a relatively small number had such a seismic cultural impact on both the north (disgusted) and the south (outraged that the north tried to steal their ‘property’), compared to the fact that there were some four million slaves in the south.

Meditating on the stories McPherson prints, it’s hard to see how anyone brought up in these communities, and in this country, could recover from the trauma. Easy to imagine the aftershock lasting down through generations and never, really, being healed…


Related links

Other posts about American history

Symbolist Art by Edward Lucie-Smith (1972)

Symbolist art does not depict nature as it actually exists, but brings together various impressions received by the mind of the artist, to create a new and different world, governed by its own subjective mood. (p.151)

Although this book is 45 years-old, I picked it up in a second-hand bookshop to compare and contrast with Michael Gibson’s account of Symbolism. Gibson’s massive books is packed with brilliant full-colour reproductions but, as I read it, I did increasingly find myself wondering where ‘Symbolism’ ended and where the simply fantastic or morbid or sensationalist began. So I read this book to further explore whether Symbolism was really a movement in a narrow definable way – or is just the word given to a kind of mood or feeling of other-worldliness apparent in a huge range of artists between about 1880 and 1910.

The World of Art series

Symbolist Art is a typical product of Thames and Hudson’s renowned ‘World of Art series’ in that, although there are 185 illustrations, only 24 of them are in colour. So you’re not buying it for the pictures, which can be better seen, in full colour, in numerous other books (or online); you’re buying it for the text.

Edward Lucie-Smith

Lucie-Smith was born in 1933 and is still alive (aged 84). Public school, Oxford, the RAF during the war, then freelance poet, art critic, essayist, author and curator, he has written over 100 books. His book comes over as significantly more learned and informative than Gibson’s.

Symbolism in Renaissance painting

He starts with a basic consideration of symbols in art starting back in the Renaissance. Renaissance art is packed with symbols – classical gods and goddesses are accompanied by their attributes, kings and queens are shown in allegorical paintings accompanied by war or peace or the triumph of the arts and so on.

To get the most out of Renaissance art you undoubtedly have to have a good eye for its religious, political and cultural symbolism. For example, spot the symbolism in this masterpiece by Rubens.

(In this picture the portrait of Marie de’ Medici – daughter of the Grandduke of Tuscany – is being presented to Henry IV, the king of France, and her future husband. The gods of marriage and love – Hymen and Amor (Cupid), to the left and right – hover in midair. From up in heaven the king and queen of the gods, Jupiter and Juno, look down in approval. Jupiter’s symbol, the eagle of war, clutching lightning bolts in his talons, is literally being squeezed out of the picture, to the left, while Juno’s symbols, the peacocks of love and peace strut (the male) and look down at the scene of love (the female). A pink ribbon symbolising their marriage binds them together. The chariot the peahen sits in bears a gold relief on the front showing Cupid standing on/triumphing over (another) eagle, and holding a garland (symbol of marriage). Behind Henry stands the personification of France, wearing French blue silk embroidered with gold fleur-de-lys (the coat of arms of the French monarchy). She is reassuring Henry that it is a good match for the nation. The burning town in the distance and the dark clouds to the left of the picture, beneath the eagle, symbolise War, as do the helmet and shield at the foot of the painting. These must all be abandoned so that Henry can concentrate on the lighter, feminine arts of peace, subtly emphasised by the light source for the whole scene coming from the right, the side of the Future, peace and harmony.)

Lucie-Smith draws the distinction between ‘closed’ and ‘open’ symbolism.

Open symbolism is the use of publicly available and traditional imagery. All of the symbolism in the Rubens picture is ‘open’ in the sense that any educated person could spot it.

Closed symbolism refers to ‘secret’ knowledge, available only to ‘initiates’. Renaissance and post-Renaissance art features numerous painters who included closed symbolism in their works: some has been investigated and explicated by later scholars; some remains obscure to this day.

Watteau

In other words, symbolism as a strategy or technique, is absolutely intrinsic to the Western artistic tradition.

What Lucie-Smith brings out is the strand of artists over the past few hundred years who brought something extra to the idea: who incorporated open symbolism or straightforward allegory (where x stands for y, where, for example, an hourglass stands for ‘Time’), but something else as well.

He takes an example from the wonderful Jean-Antoine Watteau (1684-1721). On the face of it Watteau was painting fashionable fête galantes for the French aristocracy, scenes of dressing up and carefree flirtations in an idealised classical setting, thus:

Yet (apart from the fabulous rhythmic compositions, the draughtsmanship of the figures, the wonderful use of colour) what makes Watteau ‘magical’ is the sense he achieves of a deeper meaning which somehow diffuses a mysterious influence around itself. According to Lucie-Smith, Watteau:

had already abandoned conventional allegory in favour of a use of symbolism which was more pervasive, more powerful and more mysterious. (p.21)

Something else is conveyed above and beyond the ostensible subject and its over symbolism. Somehow it achieves a sense of mystery.

The Romantic roots of Symbolism

There follows a chapter about Romanticism, a movement which I, personally, find boring, maybe because I’ve read too much about it and seen too many times the same old paintings by Fuseli (The Nightmare), Goya (The sleep of reason produces monsters) or Caspar David Friedrich (The Cross in the mountains).

Lucie-Smith’s purpose is to show that ‘Romanticism’ is (quite obviously) the godfather to modern Symbolism – in its use of obscure but meaningful images, nightmares and dreams, scary women and looming monsters – in the use of pseudo-religious imagery which has lost its literal meaning but acquired a spooky, Gothic, purely imaginative resonance.

Victorian symbolists

The next chapter looks at symbolist currents in British art during the 19th century, starting with the self-taught mythomane, William Blake. It then moves on to consider the group of artists who claimed to be his followers and called themselves ‘the Ancients’, including Edward Calvert and the wonderful Samuel Palmer, with his strange visionary depictions of rural Kent (Coming from Evening Church).

Then we arrive at the pre-Raphaelites. Lucie-Smith identifies Dante Gabriel Rossetti as the most ‘symbolist’ of these young idealistic painters, not least because his technique was quite limited. Rossetti wasn’t very good at perspective or realistic settings and so his mature paintings often have a vague, misty background which helps to emphasise the ‘timeless other-worldliness’ of the main subject (generally cupid-lipped, horse-necked ‘stunners’ [as the lads used to call them] as in Astarte Syriaca).

Astarte Syriaca by Dante Gabriel Rossetti (1877)

Astarte Syriaca by Dante Gabriel Rossetti (1877)

Burne-Jones and Watts

Lucie-Smith credits Edward Burne-Jones (1833-98) with developing the medieval and dream-like elements of pre-Raphaelitism to their fullest extent and in so doing creating a stream of late works devoted to expressionless women moving through heavily meaningful landscapes.

Burne-Jones exhibited at the Paris Universal Exhibition in 1889, where he won a first-class medal. (Intriguing to think the Impressionists were almost entirely excluded from this show and forced to mount an exhibition at the nearby Café Volpini – as described in in Belinda Thompson’s book about the Post-Impressionists.)

French symbolist artists were well aware of Burne-Jones’s work. But the most overtly ‘symbolist’ of the late Victorian artists was George Frederick Watts. He was quite clear about his intentions and his own words give quite a good summary of the symbolist impulse:

I paint ideas, not things. I paint primarily because I have something to say, and since the gift of eloquent language has been denied me, I use painting; my intention is not so much to paint pictures which shall please the eye, as to suggest great thoughts which shall speak to the imagination and to the heart and arouse all that is best and noblest in humanity. (quoted page 47)

His many contemporary fans and supporters considered Watts a ‘seer’ and suggested his work be hung in a temple not a gallery (an ambition which sort of came true with the dedication of his final home and studio in the village of Compton, Surrey, to his work, a venue you can now visit – the Watts Gallery).

The dweller of the innermost by Watts (1886)

The dweller of the innermost by Watts (1886)

‘The dweller of the innermost’ is obviously someone important, and something very meaningful is going on in this painting – but who? and what?

Symbolism

All this background is covered in the first 50 pages of this 220-page book in order to get us to the Symbolist movement proper.

Symbolism in the narrow sense was a literary movement, embodied in the poetry of Paul Verlaine and Stéphane Mallarmé in the 1870s and 1880s. They used real world images but set in shimmering, vague and allusive contexts. By the late 1880s this kind of literary worldview overlapped strongly with a revival of a so-called ‘decadent’ style, in both writing and painting. It was largely to distinguish between the two outlooks that the minor poet Jean Moréas in 1886 wrote the essay which introduced the term ‘symbolist’ and ‘symbolism’.

According to Moréas, both symbolism and decadence turned away from the oppressive mundaneness of the everyday bourgeois world but whereas the symbolists emphasized dreams and ideals, the Decadents cultivated heavily ornamented or hermetic styles and morbid subject matter.

Lucie-Smith asserts that the first phase of symbolism lasted from Moréas’s 1886 essay until he himself rejected the name in 1891. Its central figure was the poet Mallarmé. Lucie-Smith lists the qualities of Mallarmé’s poetry, and points out how they can also be found in the symbolist painters of the day:

  • deliberate ambiguity
  • hermeticism (i.e. closed to easy interpretation)
  • use of the symbol as catalyst i.e. to prompt a reaction in the soul of the beholder
  • the idea that art exists in a world separate and apart from the everyday one
  • synthesis not analysis i.e. while the Impressionists analysed light and its effects, the symbolists brought together elements of the real world – from tradition, myth and legends – into strange and new combinations or syntheses

An important element of synthesis was not only the unexpected combination of real-world elements, but the notion that all the arts could and should borrow from each other. Symbolism always hovered around the idea of a ‘total work of art’ which combines music, dance, art, even smells and touches. Everyone in the 1880s was entranced by Wagner’s massive operas which aspired to just this condition of being Gesamtkunstwerks or ‘total works of art’. The idea was very powerful and lingered through to the First World War – the Russian composer Scriabin composed works deliberately designed to evoke colourful fantasias and artists like Wassily Kandinsky in the 1900s theories about the closeness of painting and music.

Here’s a Symbolist depiction of the hero of one of Wagner’s massive operas, the pure and holy knight Parsifal.

Gustave Moreau (1826-98)

Moreau is the painter most associated with the first phase of Symbolism. He developed an ornate jewel-studded style of treating subjects from the Bible or classical legend.

Jupiter and Semele by Gustave Moreau (1895)

Jupiter and Semele by Gustave Moreau (1895)

Reviewing the Salon of 1880, the novelist Joris-Karl Huysmans singled out Moreau’s work for being mysterious and disturbing. Four years later in his classic novel A Rebours, which describes a decadent aristocrat who retires to his country house to cultivate sensual pleasures and experiences, Huysmans singled out Moreau as the patron painter of his decadent lifestyle, using a lexicon of late-19th century decadent terms: Moreau’s art is ‘disquieting… sinister… sorrowful symbols of superhuman perversities’ and so on.

Of his own painting Jupiter and Semele, Moreau wrote:

It is an ascent towards superior spheres, a rising up of superior beings towards the Divine – terrestrial death and apotheosis in Immortality. The great Mystery completes itself, the whole of nature is impregnated with the ideal and the divine, everything is transformed. (quoted page 66)

That gives you a strong sense of Symbolist rhetoric.

Odilon Redon (1840-1916)

Huysmans also includes Redon in his short list of artists favoured in the country sensorium of his decadent hero, Des Esseintes. Redon seems to me by far the more symbolist painter of the two, and the polar opposite of Moreau. Whereas Moreau paints relatively conventional mythical subjects in a super-detail-encrusted fashion, Redon strips away all detail to portray the subject in a genuinely mysterious and allusive simplicity.

Redon wrote of his own work:

The sense of mystery is a matter of being all the time amid the equivocal, in double and triple aspects, and hints of aspects (images within images), forms which are coming to birth according to the state of mind of the observer. (quoted page 76)

Pierre Puvis de Chavannes (1824-98)

Puvis wanted to revive the academic tradition and his compositions of figures in landscapes in one way hearken back to the posed landscapes of Nicolas Poussin (1594-1661). But he did so in a strange dreamlike way which pointed forward, towards the semi-abstraction of Cézanne. He wrote to a friend that he preferred low skies, solitary plains, bad weather – a temperament which resulted in melancholy often mysterious paintings.

I don’t like Puvis because of what I take to be his rather ropey draughtsmanship – his figures seem angular and uncomfortable, especially the faces.

Eugène Carrière (1849-1906)

Lucie-Smith doesn’t like Carrière much because he developed one subject – family members, especially mother and baby – and painted them over and over again, in a very distinctive way, as if seen through a thick brown mist. I can see how this would quickly grow tiresome, but in brief selections Carriere comes over as a powerful element of the symbolist scene.

At about this point in the book it struck me that a quick way of distinguishing between post-Impressionist and Symbolist painters is that the former were experimenting with ways of depicting reality, whereas the latter are experimenting with ways to try and depict what lies behind reality. Of the former, contemporary critics asked, ‘What is it meant to be depicting?’, of the latter they would ask, ‘I can see what it’s depicting – but what does it mean?’

Paul Gauguin and the Pont-Aven school

Gauguin the post-Impressionist is included? Yes, because in the several summers he spent painting at Pont-Aven in Brittany, Gauguin attracted young disciples who both inspired him to become more abstract and ‘primitive’, but also came back to Paris to spread his influence.

The young Paul Sérusier organised a group of like-minded young artists at the private art school of Rodolphe Julian, which included Pierre Bonnard, Édouard Vuillard, and Maurice Denis – and christened them the ‘Nabis’ (Hebrew for ‘prophets’). Without really intending to, Gauguin found himself being lauded as a prophet to the Symbolists. When he set off for the Pacific he was given a going-away party by the Symbolists, presided over by Mallarmé himself.

Here’s a work from Gauguin’s South Sea period.

Lucie-Smith says it is symbolist work because it has mystery, ambiguity and is clearly an invitation to seek some deeper meaning lying beneath the surface. Well, yes… I find several works by other Nabis more convincingly symbolist:

Lucie-Smith devotes a chapter to the Salon of the Rose+Cross founded by Joséphin Péladan in 1892, which held a series of six exhibitions from 1892 to 1897 at which they invited Symbolist painters to exhibit. Featured artists included Arnold Böcklin, Fernand Khnopff, Ferdinand Hodler, Jan Toorop, Gaetano Previati, Jean Delville, Carlos Schwabe and Charles Filiger.

The Salon combined rituals and ideas from Medieval Rosicrucianism with elements of Kabbala and other aspects of esoteric lore. Charming and distracting though much of this arcane knowledge may be to devotees, it is also, at bottom, a profoundly useless waste of time and intellect. However, the Salon of the Rose+Cross’s practical impact was to bring together and promote a wide range of painters who shared the symbolist mindset:

More impressive are Soul of the Forest by Edgar Maxence (1898) and:

Orpheus by Jean Delville (1893)

Orpheus by Jean Delville (1893)

Aubrey Beardsley (1872-98)

An illustrator who created line drawings in black ink, Beardley’s big breakthrough came in 1894 when Oscar Wilde’s play, Salome, was published in a version with Beardsley’s woodcuts and caused a succès de scandale. Well aware of fashionable taste, Beardsley tackled favourite Symbolist themes like the medieval dreamworld of King Arthur, the femme fatale, Wagner’s operas, and pretty risqué pornography, as in his illustrations to the classic play, Lysistrata.

Beardsley’s clarity of line and hard-edged arabesques make him one of the founders of Art Nouveau.

Symbolists in other countries

This summary only takes us up to half way through the book which beings to risk – like Gibson’s book – turning into simply a list of relevant painters with a paragraph or so on each.

Part of this is because Symbolism was so thoroughly international a style, with offshoots all across Europe. Lucie-Smith makes the point that it was a little like the Mannerism of the end of the 16th century – the product of a unified and homogenous culture, and of a social and artistic élite determined to emphasise the gap between itself – with all its sensitivity and refinement – and the ghastly mob, with its crude newspapers and penny-dreadful entertainments.

Later chapters describe the Symbolist artists of America, Holland (Jan Toorop, Johan Thorn Prikker),  Russia (Diaghilev, Bakst and the World of Art circle), Italy (Giovanni Segantini, Gaetano Previati), Czechoslovakia (Franz Kupka), Germany-Switzerland (Arnold Böckin, Max Klinger, Otto Greiner, Alfred Kubin, Ferdinand Hodler, Franz von Stuck).

The kiss of the Sphinx by Franz von Stuck (1895)

The kiss of the Sphinx by Franz von Stuck (1895)

I particularly liked:

The books ends with extended sections devoted to James Ensor, Edvard Munch (who Lucie-Smith considers the most avant-garde painter working anywhere in the mid-1890s) and Gustav Klimt.

Modernists who had symbolist phases

Like Gibson, Lucie-Smith points out that a number of the great Modernists first passed through identifiable symbolist phases before finding their final styles.

Two great examples are Wassily Kandinsky, whose pre-abstract paintings are admittedly influenced by Fauve and Divisionist techniques but as, Lucie-Smith points out, depict undeniably Arthurian and medieval subject matter, and so qualify for the symbolist team.

The other is Piet Mondrian, the Dutchman nowadays known for his black-lined grids of white squares and rectangles, enlivened with the occasional yellow or red exception. But before he perfected the style that made him famous (about 1914), Mondrian had gone through a florid Symbolist period in the 1910s – in fact he was a keen theosophist (member of a spiritual movement akin to Rosicrucianism).

In a final, surprise move, Lucie-Smith makes a claim for Picasso to have gone through a Symbolist phase, before becoming the father of modern art.

He quotes Evocation, which does look remarkably like something by Odilon Redon (Picasso was only 19 at the time) and whose subject is a characteristically fin-de-siecle one of suicide and death. Or take Life, which uses a handful of meaningful figures to address this rather large topic, not unlike the confessional approach of Edvard Munch just a few years earlier.

Life by Pablo Picasso (1903)

Life by Pablo Picasso (1903)

Finale

As with Michael Gibson’s book, I felt that Lucie-Smith pulled in so many outriders and fringe symbolists that he watered down the core vision and essence of Symbolism.

Beardsley? Gauguin? Whistler? Ye-e-e-s… but no. Beardsley is an illustrator who anticipates Art Nouveau design. Gauguin is a post-Impressionist. Whistler is a type of Impressionist with little or no interest in ‘religion’ or ‘the beyond’…

But that is the difficulty with the Symbolism as an-ism, it is extremely broad and covers themes, topics, ideas which spilled over from earlier movements, spilled into contemporary movements, which touched artists (and illustrators and designers) of all types and genres. At its broadest, it was the spirit of the age. All we can say with complete certainty is that the Great War utterly destroyed it, and ushered in a new, anti-spiritual age, in literature, poetry, music and the visual arts.

And, turning back to the immense and beautifully illustrated Gibson coffee-table book, I’d say that if you were only going to own one of these books, Gibson’s is the one: Lucie-Smith’s text is thorough and informative but Gibson’s illustrations are to die for.


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Impressionists by Antonia Cunningham (2001)

This is a small (4½” x 6″) but dense (256 high-gloss pages), handily pocket-sized little overview of the Impressionist movement.

The ten-page introduction  by Karen Hurrell is marred by some spectacular errors. In the second paragraph she tells us that Paris was ‘in the throes of the belle epoque‘ when the 19-year-old Monet arrived in town in 1859 – whereas the Belle Époque period is generally dated 1871 to 1914. She tells us that Napoleon Bonaparte had commissioned the extensive redesign of the city – when she means Louis-Napoléon Bonaparte, the great man’s nephew and heir, more commonly known as Napoleon III, who reigned as Emperor of the French from 1852 to 1870.

Thus cautioned to take any other facts in the introduction or the picture captions with a touch of scepticism, nonetheless we learn some basic background facts about the Impressionists:

  • Monet was inspired by the French landscape painter Eugène Boudin (1824-98)
  • Success in the art world was defined as acceptance of your work into the biannual exhibition of the Paris Salon
  • Reputable artists were expected to train at the Académie des Beaux-Arts which was dominated by the classical painter Jean-Auguste-Dominique Ingres (1780-1867), who insisted on training in draughtsmanship, copying the Old Masters, using a clear defined line.
  • Edgar Degas (1834-1917) enrolled in the Beaux-Arts as did Pissarro.
  • Monet attended the Académie Suisse where he met Pissarro, then entered the studio of Charles Gleyre: here he met Pierre-Auguste Renoir (1841-1919). Alfred Sisley (1839-99) and Frédéric Bazille (1841-70).
  • Older than the others and really from a different generation was their inspiration, Édouard Manet (1832-83). He sought academic success in the traditional style, attaining Salon success in 1861.
  • In 1863 the Salon refused so many contemporary painters that Napoleon III was asked to create a separate show for them, the Salon des Refusés. Manet stole the show with his The lunch on the grass showing a naked woman in the company of two fully dressed contemporary men.
  • The 1865 Salon show included works by Degas, Manet, Pissarro, Renoir, Berthe Morisot (1841-95).
  • From 1866 Manet began to frequent the Café Guerbois, and was soon joined by Renoir, Sisley, Caillebotte and Monet, with Degas, Henri Fantin-Latour (1836-1904), Paul Cézanne (1839-1906) and Pissarro also dropping by, when in town. They became known as the Batignolles Group after the area of Paris the cafe was in.
  • Paris life of all kinds was disrupted by the catastrophic Franco-Prussian War and then the disastrous rising of communists during the Paris Commune, which was only put down by the official government with great bloodshed and destruction (July 1870-May 1871). All the artists who could afford to fled the city, many to England and London – an event which was the basis of the Tate Britain exhibition, Impressionists in London.
  • From April to May 1874 this group held an independent art exhibition in the gallery of the photographer Nadar. The critic Louis Leroy took exception to Monet’s painting Impression: Sunrise (1872), satirising the group’s focus on capturing fleeting impressions of light instead of painting what was there, but the name was taken up by more sympathetic critics and soon became a catch-phrase the artists found themselves lumbered with.
  • It’s interesting to note that Degas was a driving force behind this and the subsequent Impressionist shows, single-handedly persuading artists to take part. He himself was not really an impressionist, much of his subject matter, for example, being indoors instead of painting out of doors, en plein air, as Impressionist doctrine demanded. Similarly, whereas the other experimented with creating form through colour i.e. using colour alone to suggest shape and form, Degas was to the end of his life a believer in extremely strong, clear, defining lines to create shape and form and texture.
  • In 1876 the group exhibited again, at the gallery of Paul Durand-Ruel. The role played by Durand-Ruel in sponsoring and financing the Impressionists was chronicled in the national Gallery exhibition, Inventing Impressionism.
  • There were eight Impressionist exhibitions in total: in 1874, 1876, 1877, 1879, 1880, 1881, 1882, 1886. The eight Impressionist exhibitions

From this point on we begin to follow the differing fortunes and styles of the group. Monet developed his mature style in the first half of the 1870s, letting go of any attempt to document reality, instead developing ‘a new vocabulary of painting’ in blobs and dashes of often unmixed primary colours in order to capture the essence of the scene. In 1880 Monet organised a solo show and submitted two works to the Salon. Degas called him a sell-out, but he was trying to distance himself from the group.

Renoir developed a unique style of portraying the gaiety of contemporary Parisian life in realistic depictions of people dancing and drinking at outdoor cafés, with broad smiles, the whole scene dappled with light. He was to become the most financially successful of the group and you can see why: his uplifting works are popular to this day. In the 1880s he took to nudes and portraits rather than landscapes. He was always interested in people.

Degas resisted being called an Impressionist – he painted mostly indoor scenes and never abandoned his hard outlines – but certainly was influenced by the Impressionist emphasis on the effect of light captured in loose brushstrokes. During the 1870s he began to produce the hundreds of oil paintings and pastels of ballet dancers which were to be a key subject.

The American artist Mary Cassatt (1844-1926) saw a Degas in a dealer’s window and realised these were her people. She lightened her palette, adopted the modern attitude towards light and exhibited at the successive Impressionist exhibitions.

Sisley became dependent on Durand-Ruel. When the latter fell on hard times, Sisley and his family led a tough, hard-up, peripatetic life. Arguably he is the only one who never developed but carried on working in the same, pure Impressionist way.

Pissarro and Cézanne became firm friends, painting the same scenes side by side.

Even at the time commentators could see the difference with Cézanne applying paint in broad, heavy brushstrokes, and becoming ever more interested, less by light than by the geometric forms buried in nature, increasingly seeing the world as made of blocks and chunks and rectangles and rhomboids of pure colour – paving the way for Cubism and much modern art. His style diverged from the group just as Impressionism was becoming more accepted, by critics and public. He resigned from the group in 1887.

Neo-impressionism is the name given to the post-impressionist work of Georges Seurat (1859-91), Paul Signac (1863-1935) and their followers who used contemporary optical theory to try to take Impressionism to the next level. Seurat developed a theory called Divisionism (which he called chromoluminarism) the notion of creating a painting not from fluid brush strokes but from thousands of individual dots of colour. Seurat used contemporary colour theory and detailed colour wheels to work out how to place dots of contrasting colour next to each other in order to create the maximum clarity and luminosity. The better-known technique of pointillism refers just to the use of dots to build up a picture, without the accompanying theory dictating how the dots should be of carefully contrasting colours.


There follow 120 very small, full colour reproductions of key paintings by the main members of the movement (and some more peripheral figures). Each picture is on the right hand page, with text about the title, date, painter and a one-page analysis on the page opposite. Supremely practical and useful to flick through. Here’s a list of the painters and the one or two most striking things I learned:

  • Eugène Boudin (1) The landscape painter Monet credited with inspiring him to paint landscapes.
  • Manet (15) I love Manet for his striking use of black, for his use of varying shades of white but he is not a totally convincing painter. His two or three masterpieces are exceptions. I struggle with the perspective or placing of figures in Dejeuner sur l’herbe, particularly the woman in the lake who seems bigger and closer than the figures in the foreground and is a giant compared to the rowing boat, and the way the lake water is tilting over to the left. He was awful at painting faces – Inside the cafe, Blonde woman with bare breasts. The body of the Olympia is sensational but her badly modelled head looks stuck on. In 1874 he began experimenting with the Impressionists’ technique i.e. lighter tones and out of doors, not that convincingly (The barge).
  • Frederic Bazille (2) studied with Monet, Renoir and Sisley but on this showing never quit a highly realistic style – Family reunion.
  • Monet (16) without a doubt the god of the movement and the core practitioner of Impressionism, produced hundreds of masterpieces while slowly fascinatingly changing and evolving his technique. The big surprise was an early work, Women in the garden (1867) which shows what a staggeringly good realistic artist he could have been: look at the detail on the dresses! Of all the impressionist works here I was most struck by the modest brilliance of the water and reflections in The bridge at Argenteuil (1874).
  • Alfred Sisley (6) was the English Impressionist. Always hard up, he persisted in the core Impressionist style. I was struck by Misty morning (1874) and Snow at Louveciennes (1878).
  • Camille Pissarro (14) Ten years older than Monet, he quickly took to the Impressionist style (an open-mindedness which led him, in the 1880s, to adopt Seurat’s new invention of pointillism). Pissarro is the only one of the group who exhibited at all 8 Impressionist exhibitions. I was bowled over by Hoar frost (1873). I too have walked muddy country lanes in winter where the ridges of churned up mud are coated with frost and the puddles are iced over, while a weak bright winter sun illuminates the landscape.
  • Renoir (15) Everyone knows the depictions of happy Parisians dancing at outdoor cafés under a dappled summer light. Set next to the landscapes of Monet, Sisley and Pissarro you can see straightaway that Renoir was fascinated by the human figure and was an enthusiastic portrayer of faces. I like Dance in the country (1883) for the extremely strong depiction of the man, an amazing depiction of all the shades of black to be found in a man’s black suit and shoes. I was startled to learn that, in the mid-1880s, dissatisfied with Impressionism, he took trips abroad and returned from Italy determined to paint in a more austere classical style. The plait (1884) anticipates 20th century neo-classicism, and is not at all what you associate with Renoir.
  • Armand Guillaumin (2) from a working class background, he met the others at art school, exhibited in the Salon des Refusés show, but never had a large output.
  • Edgar Degas (17) Having visited and revisited the Degas exhibition at the National Gallery, I am convinced Degas was a god of draughtsmanship. It’s interesting that he lobbied hard for the Impressionists and organised the critical first exhibition, but always denied he was one. Skipping over the obvious masterpieces I was struck by the faces, especially the far left face, of The orchestra at the opera (1868). It shows his characteristic bunching up of objects. And the quite fabulous Blue dancers (1897).
  • Gustave Caillebotte (3) a naval engineer turned artist. The only link with the Impressionist style I can make out is his frank depiction of contemporary life. But the dabs and rough brushwork, leaving blank canvas, obsession with sunlight and creating form out of colour alone – none of that seems on show here. Street in Paris in the rain (1877). Very striking and distinctive but I’m surprised to find him in the same pages as Sisley or Pissarro.
  • Berthe Morisot (6) on the evidence here, painted lots of women in quiet domestic poses. Young girl at the ball (1875)
  • Mary Cassatt (5) More scenes of quiet domestic life, some of which eerily prefigure the same kind of rather bland domestic style of the early 20th century. Young mother sewing (1900)
  • Paul Cézanne (16) Yesterday I visited the exhibition of Cézanne Portraits at the National Portrait Gallery, so those 50 or so portraits are ringing in my memory, along with knowledge of how he painted subjects in series, the style he developed of painting in kinds of blocks or slabs of colours, which bring out the geometric implications of his subjects, and his playing with perspective i.e. the three or four components of even a simple portrait will be depicted as if from different points of view, subtly upsetting the composition – The smoker (1890). Among the brown portraits and orangey still lifes, a dazzling riot of green stood out – Bridge over the pond (1896) though it, too, is made out of his characteristic blocks of (generally) diagonal brushstrokes, clustered into groups which suggest blocks or ‘chunks’, giving all his mature works that odd ‘monumental’ look, almost as if they’ve been sculpted out of colour more than painted smoothly.
  • Seurat (2) 19 years younger than Monet (born in 1859 to Monet’s 1840), Seurat was not an Impressionist, but exhibited with them in 1886. His highly intellectual theory of Divisionism divided the group, causing big arguments. Seurat produced some highly distinctive and classic images before dying tragically young, aged 31.

This is a very handy survey, a useful overview of 120 works which remind the reader a) how varied the Impressionists were b) who were the core flag-wavers (Monet, Sisley, Pissarro) c) who were the outriders (Manet, Degas) and above all, d) what scores and scores of wonderful, enduring masterpieces they created.


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