Occidentalism: A Short History of Anti-Westernism by Ian Buruma and Avishai Margalit (2004)

The dehumanising picture of the West painted by its enemies is what we have called Occidentalism. It is our intention in this book to examine this cluster of prejudices and trace their historical roots.
(Occidentalism: A Short History of Anti-Westernism, page 6)

Some features of Occidentalism

Many groups have queued up to hate ‘the West’ over the past 200 years, for many reasons, claiming that:

  • the West is a purveyor of ‘poisonous materialism’
  • Westernism is a disease of the spirit
  • the Western mind splits human knowledge into soulless specialisms
  • Westernism promotes alienated individualism over communal belonging
  • Western science destroys religious belief and faith
  • Western media are decadent and pornographic
  • Western culture is shallow and materialist so destroys spiritual values
  • Western society is capitalist, greedy, exploitative
  • Westernism is a ‘machine civilisation’ (compared to hand-made rural arts and crafts)
  • resentment / hatred of Western imperialism
  • of Western colonialism
  • of Western (particularly American) global power and selfish foreign policy
  • Western civilisation is associated with huge, degraded, corrupt cities (compared with organic rural life)
  • the West represents ‘rootless cosmopolitanism’ and multiculturalism (compared with homogeneous native traditions)

These are the accusations and stereotypes which the authors set out to analyse and investigate, going much further afield than the contemporary Middle East, and much further back in time than the past few troubled decades, to do so.

The authors

Ian Buruma (born 1951, aged 72) is a Dutch writer and editor who lives and works in the US. Much of his writing has focused on the culture of Asia, particularly that of China and 20th-century Japan.

Avishai Margalit (born 1939, aged 83) is an Israeli professor emeritus in philosophy at the Hebrew University of Jerusalem. From 2006 to 2011 he was George F. Kennan Professor at the Institute for Advanced Study in Princeton.

Both were contributors to The New York Review of Books during the 1990s and in fact this book grew out of an article published in that magazine in 2002, less than 12 months after the 9/11 attacks on New York shook the world of international affairs.

The background: Edward Said’s Orientalism

Buruma and Margalit don’t mention Edward Said in the text but they explicitly state that their concept of ‘Occidentalism’ is conceived as a mirror image of the notion of Orientalism which Said was instrumental in defining and popularising.

The view of the West in Occidentalism is like the worst aspects of its counterpart, Orientalism, which strips its human targets of their humanity. Some Orientalist prejudices made non-Western people seem less than fully adult human beings; they ha the minds of children and could thus be treated as ‘lesser breeds’. Occidentalism is at least as reductive; its bigotry simply turns the Orientalist view upside down. [It reduces] an entire society or civilisation to a mass of soulless, decadent, money-grabbing, rootless, faithless, unfeeling parasites… (p.11)

Prior to Said’s book, Orientalism had been the value-neutral name given to a perfectly respectable academic discipline, the study of the languages, peoples and societies of ‘the East’ (loosely defined as lands from the Middle East to Japan) until Said published his landmark study, Orientalism in 1978.

Orientalism was a long, thorough, polemical attack on the entire discipline, claiming that from its earliest beginnings it 1) drew up a clear unbridgeable distinction between ‘The East’ and ‘The West’, 2) invented stereotypes of ‘the Oriental’, ‘the Arab’, ‘the Muslim’ and 3) attributed to them and their world a shopping list of negative qualities, the stereotypical ‘Oriental’ being lazy, irrational, dominated by a simple-minded religion, corrupt, sensual, and so on.

Orientalism was intended to be a comprehensive demolition of an entire academic field which Said proved by showing that the same mental structures underpinned, and the same demeaning stereotypes and clichés appeared in, almost all Orientalist writing, from the late eighteenth century right up to the present day.

This would all have been fairly academic, in the narrow sense – academics squabbling over the epistemological foundations of a particular academic field – but for the real bite of the book which is its highly political approach.

This has two elements. Firstly Said claims that the entire field of research into the languages, culture, religions, society and so on of ‘the Orient’ enabled and justified imperial control of the region. Knowledge is power, and the ever-more comprehensive and intrusive studies done of the countless peoples, religions and cultures of this vast area enabled Western imperial control over them. Orientalist academic studies served colonial power.

The Palestinian issue

This by itself would have been a fairly controversial conclusion, but there’s a second, really inflammatory element to Said’s critique. This is his attempt to show the discredited assumptions and degrading attitudes of Orientalism played, and continue to play, an important role in determining attitudes across western culture and politics to the Problem of Palestine.

This, as every educated person knows, is one of the most contentious issues in international affairs. In 1917 the British Home Secretary, Arthur Balfour, declared that Britain would support the Jews of Europe in their wish to create a homeland in the Biblical Lands of Palestine. Between the wars increasing numbers of Jewish immigrants fled Europe and settled in Palestine, buying land from its Arab owners. Tensions between incomers and natives erupted into regular bouts of violence which the British authorities, given a ‘mandate’ to run the area after the First World War, struggled to contain. After the Second World War, an exhausted, impoverished Britain tried to hold the ring between increasingly violent Jewish and Arab nationalist political parties and militias, until, in 1948, they effectively gave up and withdrew.

The well-organised and well-armed Jewish settlers promptly declared the existence of the independent state of Israel and the neighbouring Arab countries promptly attacked it, seeking to strangle it at birth. The Israeli army successfully defended its country and amid, much bloodshed, hundreds of thousands of Palestinians fled, or were expelled, into neighbouring countries, especially Jordan.

In 1967 a joint force of Arab countries led by Egypt was mobilising for another attack when Israel launched a lightning pre-emptive strike, crushing the Egyptian army and forcing the Arabs to sign an armistice after just six days. As a result Israel seized the Jordanian-annexed West Bank (including East Jerusalem), and Egypt’s Sinai Peninsula as well as the Egyptian-occupied Gaza Strip.

As many as 325,000 Palestinians and 100,000 Syrians fled or were expelled from the West Bank and the Golan Heights, respectively, creating a humanitarian crisis.

In 1973 the Arabs launched a surprise attack on October 6, the Jewish holy day of Yom Kippur. Once again Israel faced numerically overwhelming forces but fought them off in what was effectively the Third Arab-Israeli War. In the aftermath of the war the Israelis realised that they couldn’t rely on fighting off Arab armies indefinitely, and so they began to put out feelers for some kind of peace treaty, which was to lead to the 1978 Camp David Accords under which Israel return the entire Sinai Peninsula to Egypt.

Orientalist attitudes to the Palestinian problem

The point of this long digression is that Said was a Palestinian. Both his parents were of Palestinian heritage, he was born in Palestine and raised in Egypt, attending English-language schools in Jerusalem and then Alexandria. Said’s father had served with US Army during the Great War and so earned US citizenship so, when he was expelled from his Egyptian private school for being a troublemaker he was sent to a private boarding school in Massachusetts, USA. Thus began his career as an academic in America (in New York).

But as he progressed through the academic hierarchy, as well as his purely academic publications about comparative literature, Said became known for his ‘outspoken’ opinions about the Palestinian issue, namely speaking up for the plight of the hundreds of thousands of Palestinian refugees, calling for the government of Israel to moderate its policies in the occupied territories and so on.

This, as you might have expected in polarised politicised America, drew down on his head the wrath of numerous journalists, commentators, Jewish groups and so on, many of which didn’t refrain from employing exactly the kinds of denigratory stereotypes he had listed in Orientalism against Said himself and the Palestinians he spoke up for.

In the Introduction to Orientalism Said explains that the motivation to write the book was partly driven by his own personal experience of Orientalist tropes. In New York academia he found himself extremely isolated as almost the only Palestinian and Arab working in an academic and publishing environment dominated by white liberals or Jews sympathetic to Israel and its policies.

So his own personal experience of having anti-Arab, anti-Palestinian and anti-Muslim slurs directed at himself, his writings and his opinions was a big motivation behind the years of research and labour of love which Orientalism amounts to.

This explains why the huge book, with its mountains of evidence, all work one way, criticising ‘the West’, Western attitudes, Western academia, Western imperialism, Western racism and so on.

In the Introduction Said explicitly says that he is not interested in exploring ‘the Arab Mind’ or ‘the Islamic World’ and so on. That would have doubled or quadrupled the length of the book, plus which he wasn’t professionally qualified to take on such huge subjects. His interest is solely in a deep investigation of how Western attitudes against ‘the Orient’ were created and proliferated throughout Orientalist studies, fiction and so on.

9/11

A lot happened in the real world between Orientalism‘s publication in 1978 and the publication of Occidentalism in 2002, but in the world of academia, magazines and publishing Said’s critique of Western attitudes had become very widespread among bien-pensant liberals. In the academy and liberal journals Said’s view that ‘the West’ continually sees the Middle East, the Arab world and Islam through simplistic, racist ‘Orientalist’ stereotypes, had become very widely accepted.

The 9/11 attacks on the World Trade Centre in New York, the Pentagon and (possibly) the White House (the fourth plane that came down in Washington) galvanised and transformed the culture, shocking and terrifying people around the Western world. It led numerous commentators and analysts to claim that we had entered a new era of war between ‘the West’ and ‘Islam’ or ‘Islamic terrorism’ or ‘Islamofascism’ etc, an inflammatory rhetoric which translated into actual war when, within a month of the 9/11 attacks, in October 2001, US forces invaded Afghanistan to overthrow the Taliban regime there.

Occidentalism

This is where Buruma and Margalit come in. They readily concede that 9/11, like the First Gulf War before it, led to an explosion throughout the media of just the kind of Orientalist racist stereotypes which Said had dedicated his life to uncovering and critiquing. But they point out that there was a gap in the whole discussion. If ‘the West’ could be accused of deploying Orientalist stereotypes against ‘the East’, ‘the Arab world’ etc, what about the stereotypes of the West which could be found in the media and political and terrorist discourse of the East? Didn’t Arab and Palestinian and Muslim leaders regularly rail against ‘the West’, didn’t an endless stream of news footage show enraged mobs burning the American flag and shouting ‘Down with America’, and wasn’t this anti-western rhetoric routinely associated with a predictable shopping list of negative stereotypes? Short answer, yes.

So what are these anti-Western tropes and where did they come from?

The West and ‘the Modern’

Right at the start Buruma and Margalit made a fundamental conceptual decision which underpins everything that follows: this is to identify anti-Western discourse with anti-Modernism. They argue that when nationalist commentators and activists in the rest of the world attack ‘the West’, they almost always conflate ‘the West’ with every aspect of the modern world which they dislike, despise or fear, everything from industrialisation, secularism, capitalism, rationalism through to cultural products such as pop music and pornography.

What many of the anti-Western nationalist movements of the past 100 or 150 years, whether in India or China or Japan, in the Middle East or across Africa, have in common is that they want to turn the clock back. They dream of an era which preceded the arrival of the West with its monstrous attributes of godless science, nation states, brutal capitalism, cultural hegemony and so on, they dream of an era when their countries were untainted by western influence, untainted by godless capitalism, when everyone lived in small rural communities and shared the same simple faith and devoutness.

At the roots of much anti-Western feeling is a deeper resentment at all these aspects of the modern world and a passionate desire to turn the clock back to simpler, more spiritual times. This leads them to a counter-intuitive conclusion:

Anti-westernism is a western product

The first people to loathe and hate modernism i.e the rise of a secular, godless, liberal, pluralistic society based on industrial capitalism, with the uprooting or rural populations and their herding into monster cities which became sinks of immorality and degeneracy etc, were westerners themselves.

It is one of our contentions that Occidentalism, like capitalism, Marxism, and many other modern isms, was born in Europe before it was transferred to other parts of the world. (p.6, emphasis added)

The main opponents to the birth and spread of industrial capitalist society were inhabitants of that society itself. Marx is the obvious epitome of this trend, but there had been plenty of opponents to the rise of godless rationalism and capitalist industrialisation for generations before him, and loads of theoreticians who tried to cling onto older ideas of pre-industrial societies bound together by a common religion

To put it simply, Western society has, for well over 200 years, contained a large number of intellectuals who fear, hate and loath their own western society, and who have developed an extensive set of concepts and vocabulary to express that hatred in.

Communist anti-westernism

The Bolshevik revolution of 1917 appeared, at a stroke, to validate the enormous, world-reaching rhetoric of Marxist analysis, to prove the inevitable collapse of capitalism and of communist revolution, and the Soviet regime spent the next 70 years energetically spreading its anti-western ideas and rhetoric around the world.

Fascist anti-westernism

But the Bolsheviks triggered an equal and opposite reaction in the extreme nationalist movements which developed into totalitarian fascism in Italy, then Germany and the other European governments who fell prey to authoritarian or fascist regimes between the wars.

And the fascist, anti-modern rhetoric developed by these regimes and their numerous intellectual defenders and propagandists, continued long after the Second World War, helping to justify and underpin semi-fascist military regimes in, for example, Franco’s Spain, Salazar’s Portugal, the Greece of the generals, or right-wing regimes in South America such as Pinochet’s Chile (1973 to 1990) or the military government in Argentina (1976 to 1993).

So this is the most fundamental thing about the book – Buruma and Margalit’s decision to expand its frame of reference faaaar beyond a consideration of anti-western rhetoric in the Middle East, in the Arab world or as expressed by Islamic terrorists like Osama bin Laden, and to turn it into an investigation of anti-Western thought in its widest possible definition.

Scope

In their introduction, on page 11, Buruma and Margalit briefly consider taking a chronological approach to the subject, tracing the origins of anti-western feeling all the way back to the Counter-Reformation, through the Counter-Enlightenment, before exploring the roots of the various types of socialist, communist and fascist opposition to the modern world.

Mercifully, maybe, instead of the kind of exhaustive multi-volume study this would have turned into, they decide to take a thematic approach. They will look at certain key images or symbols of the decadent, greedy, rootless etc West, and sketch out their origins in (mostly) Western discourse. This helps explain why the book is a light and frolicsome 149 pages long, although some of the explication is so dense and compressed that it sometimes feels like longer…

Contents

Accordingly, the text is divided into six chapters. The headings are neat and logical but I found the text they contain often very digressive, in the sense that it hops between quite disparate topics, times and places and then, just as unpredictably, returns to what they were originally discussing. On the upside this means the text is often as interesting for the sidelights or incidental observations it throws out as for the central points.

1. War Against The West

Introduction, as summarised above.

2. The Occidental City

Contrary to received opinion, people who hold strong Occidentalist views tend to be educated, or at least educated enough to be familiar enough with the values of the West to hate them. Taking the view that ‘Western values’ are undermining this or that set of traditional native values requires you to have a pretty good theoretical understanding both of what your native values are, what Western values are, and how the latter is ‘poisoning’ the former.

Far from being a dogma favoured by downtrodden peasants, Occidentalism more often reflects the fears and prejudices of urban intellectuals, who feel displaced in the world of mass commerce. (p.30, emphasis added)

Re. the 9/11 attacks on hi-tech buildings, Osama bin Laden trained as a civil engineer. the ringleader of the hijackers, Mohamed Atta, studied architecture at Cairo University and went on to do a Masters in urban planning at the Hamburg University of Technology. He hated modern architecture. He thought the concrete high-rise buildings built in Cairo and across the region in the 1960s and 1970s ruined the beauty of old neighbourhoods and robbed their people of privacy and dignity.

The tower of Babel

Tall buildings have been a focus of anxieties and symbols of ill omen from at least as long ago as the Bible. The Old Testament or Jewish Bible has barely got going before, in chapter 11, we are told about Nimrod who built the Tower of Babel with a view to making a name for themselves. God and, it appears, his angels, feared what they might do next, so afflicted the workers on it with different languages so they couldn’t understand each other, and then dispersed them across the face of the earth.

I visited New York in the 1980s and went to the top of the South Tower of the World Trade Centre which had an observation deck on the 107th floor and an outdoor viewing platform. It was 1,377 feet above street level. You could feel the building moving under your feet since it was designed to have a certain amount of ‘give’. I have acute vertigo and was terrified.

Cities as sinks of iniquity

Throughout recorded history, cities in every culture have been associated with corruption, greed, exploitation of the poor by the rich, decadence and immorality.

It is a universal story, this clash between old and new, authentic culture and metropolitan chicanery and artifice, country and city. (p.27)

Western sources

Regarding the authors’ focus on western texts, they live down to my expectations. In just the first part of this chapter they quote the Bible, Juvenal, the Goncourt brothers, William Blake (Dark Satanic mills), T.S. Eliot (The Rock), Richard Wagner (despised the frivolity of Paris), Voltaire (admired the liberty of eighteenth century London), Theodor Fontane (disliked London’s materialism), Friedrich Engels (horrified by the poverty of Manchester) and not a single Arab or Muslim voice.

It feels like a fairly obvious sixth form selection of obvious cultural figures (Blake, Eliot, Wagner). I’d so much have preferred an explanation of Islamic traditions about ‘the city’.

Antisemitism

They then move onto antisemitism, long associated with cities, cosmopolitan i.e. non-native culture, money-lending and capitalism etc, citing (again) Eliot, Pierre-Joseph Proudhon, Marx. The Nazis incorporated late-nineteenth century tropes of seeking to escape the city for a healthier life in the country into their fascist propaganda about racial purity, despising a checklist of big capitalism, cosmopolitan crowds, decadence (nightclubs and jazz), corruption of good Aryan women into prostitution and, of course, managed to blame all of this on ‘the Jews’.

A lot of these concerns and the language they were expressed in were picked up by other nativist nationalists, in Japan (about which Buruma knows a lot and which developed its own form of fascism during the 1930s) and in the Arab Middle East, developing its anti-colonial, anti-western rhetoric (many nationalist Arab leaders allied with Nazi Germany on the twin bases that a) my enemy (Britain)’s enemy is my friend and b) shared antisemitism).

Sayyid Qutb

They make a brief mention of Sayyid Qutb (1906 to 1966), widely considered the father of modern Islamic fundamentalism, to address not his writings, but his miserable alienation when he moved to New York to study in the 1940s and was repelled by absolutely everything about American life, its soulless materialism, its obsession with capitalist consumerism, its degraded immorality. Maybe they felt obligated to wedge him in somewhere, but Qutb’s importance to the development of Islamism or Islamic fundamentalism or Islamic terrorism isn’t developed at all. A paragraph on him before swooping back to Europe and…

The French Revolution

Surprisingly, maybe, they then move to the French Revolution. The French Revolution crystallised Enlightenment trends against medieval monarchs and aristocrats, the rule of the Church, traditions of all sorts, which needed to be torn up and thrown away, replaced by the cult of Reason, modern laws for modern enlightened citizens.

Antisemitism was implicit in Christianity from the beginning, with the Jews being blamed for insisting on the crucifixion of Jesus by the earliest Church Fathers. Buruma and Margalit attribute the birth of modern antisemitism to the French Revolution. Traditional upholders of the monarchy, the aristocracy and the Catholic Church were easily persuaded that the whole thing was a Jewish conspiracy, and so was born a whole modern antisemitic way of thinking about the world, which was to flourish and become steadily more toxic in the heart of Europe as the nineteenth century progressed.

The German Volk

Soon after the revolution, France invaded Germany, or the German states. Ideological opposition to the teachings of the French Revolution became mixed up with patriotic fervour. This all happened to the first generation of German Romantics. France came to represent the modern, godless, cosmopolitan city, riddled with over-clever philosophers and money-grubbing Jews, which was trying to conquer and obliterate the values of the Volkisch, spiritual German town, the German landscape of sturdy peasants, wise artisans and soulful poets. The authors cite the German folklorist Gottfried von Herder (1744 to 1803) as an example of this view.

Japan and China struggle to adopt Western culture

But western ideas of democracy, industrialism, capitalism and so forth were undeniably effective. They provided the underpinnings for the astonishing spread of Western imperialism. The question for rulers in countries from Morocco to Japan was which ideas from the West it would be profitable to accept, and which they needed to reject in order to maintain their culture and traditions, protect their nations from ‘spiritual pollution’ i.e. Western liberal ideas. Tricky.

Japan and China in different ways tried to adopt Western techniques without changing the core of their culture. Japan was much more successful, maybe because its centralised administration was stronger: it imported Western industrialisation while managing to keep a strong sense of national culture. By contrast the Chinese political system had become corrupt and inefficient so it failed to import Western industrialisation but instead found itself infected with all kinds of Western ideas about republics and democracy and the individual etc, ideas which led to the overthrow of the monarchy in 1911.

The appeal of Marxism to anti-colonial nationalists

For the central 70 years of the twentieth century many developing countries thought that Marxism offered a way forward. It was modern, industrial, scientific but rejected the soulless materialism, corruption and imperialist mindset of the Western capitalist societies. hence its attraction for many developing countries, especially in the decades after independence in the 1940s and 50s.

Unfortunately it was the dream which failed. The failure of the secular socialist nationalism promoted by the likes of President Nasser of Egypt, Gaddafi in Libya, Saddam in Iraq, Assad in Syria led to a wave of disillusion across the Arab world and opened the cultural space for Islamists who promoted a radical solution, a return to a world before any kind of modernity existed, back to the pure, unsullied, pious and unified world of the early Caliphate.

Mao and the war against the city

The authors devote 4 or 5 pages to Chairman Mao, ruler of China from 1949 to 1976. They see Mao as the biggest exponent in all world history of the war of the country against the city. The corrupt westernised city was epitomised for Chinese communists like Mao by Shanghai, administered by westerners and packed with a cosmopolitanism, capitalism and corruption. Mao thought such places needed to be purged in the name of a peasant communism.

Mao’s promotion of peasant values promised an escape route from Western capitalism, from urban alienation, decadence and corruption, and a return to integrated rural communities, where life and work would have proper, deep human meaning and purpose.

And so during the 1950s he unleashed the Great Leap Forward which involved rounding up and shooting hundreds of thousands of members of the urban bourgeoisie, those who survived being sent to huge rural labour camps. It was, he boomed, in countless speeches, a good thing ‘to exterminate the bourgeoisie and capitalism in China’ (p.42).

The Khmer Rouge 1975 to 1979

This is the mindset which went on to guide the horrific Khmer Rouge regime in Cambodia, 1975 to 1979. Most of Pol Pot’s soldiers were illiterate peasants, often only boys. When they took the capital, Phnom Penh, they were staggered by the wealth, the size, the swarming multinational population, the coffee shops and fleshpots. All these were ruthlessly emptied and its inhabitants either shot on the spot, or dragged off to be tortured, or marched off to labour camps in the countryside. Only by exterminating the urban bourgeoisie could the country be restored to purity and truth and correct living. It was a kind of logical end point of centuries of anti-city rhetoric.

The Taliban 1996

Same with the Taliban, illiterate peasants in flipflops armed with weapons seized from the fleeing Soviets or donated by America. After a ruinous civil war they took the capital of Afghanistan, Kabul, in 1996. First they butchered the leader of the pro-Soviet regime, Mohammad Najibullah, then they banned everything to do with modern life, which they associated with the hated West, in a bid to return society to the ‘purity’ of the earliest days of the Muslim Caliphate.

All music was banned, along with television, soccer, and most forms of socialising. Women had to cover themselves from head to foot and were not allowed out without a chaperone. Kabul was ruled by a six-man shura not one of them from Kabul, not one of them had ever lived in a city.

The Khmer Rouge and the Taliban represented the triumph of ‘authentic’ rural values over the corrupt, decadent modern city.

Germania

The authors then take a characteristic leap in subject, concluding with a page describing a different way of triumphing over the chaotic modern western city: this was to demolish it and build a totalitarian alternative.

Hitler hated Berlin and planned to rebuild it as a totalitarian capital, its alleys and slums replaced by broad boulevards designed for marching armies, its swarming cosmopolitan crowds replaced by the unified adoring Aryan crowd. All the messy attributes of the decadent West – civil liberties, free market economies, democracy, individualism – would be replaced by one Folk, one Reich, one Führer and one Capital City.

The Hitler regime was overthrown before building got very far but other countries have made the experiment. The authors cite Pyongyang, capital of North Korea, as what Germania might have looked like, a neoclassical testament to untrammeled, totalitarian power.

Lastly, they reference the steel and glass cities of coastal China which have mushroomed in the last twenty years, which represent a kind of defiant triumph over the less impressive, shop-soiled cities of the West. We can do it bigger, better and shinier than you, say high rises such as the Burj Khalifa in the United Arab Emirates, Merdeka 118 in Kuala Lumpur, the Shanghai Tower in Shanghai, the Abraj Al-Bait Clock Tower in Mecca, the Ping An International Finance Centre in Seoul and so on.

These are not so much anti-Western, as supra-western, denying old ideas of Western supremacy by outdoing it.

3. Heroes and Merchants

Werner Sombart

This focuses on the roots of Germany’s sustained sense of being different from ‘the West’, which German intellectuals defined as soulless mercantile Britain and godless revolutionary France.

The authors zero in on a book written in 1915 by a German sociologist named Werner Sombart and titled Händler und Helden or Merchants and Heroes. In the book Sombart contrasted the commercial civilisation of Britain and the liberty, equality, fraternity culture of France with the heroic culture of Germany. The Western bourgeois is satisfied with ‘comfort’ (in German Komfortismus) and the soporific sports of the British. By contrast the German welcomes death as the ultimate sacrifice he can make for the Volk.

Similar ideas were shared by the historian Oswald Spengler and the warrior-author Ernst Jünger. Happy happy Germany to have such ideologues of the glory of war. The fundamental trahison des clercs (‘treason of the intellectuals’) is to promote exciting ideas about glory and sacrifice which lead hundreds of thousands of young men to their death. ‘The young must shed their blood,’ write Thomas Abbt (p.58). Other young men, obviously. You need to stay safe in your study in order to produce such intellectual masterworks.

The authors make a direct link between the widespread contempt for bourgeois Komfortismus described by numerous right-wing German intellectuals, and the attitude of the jihadi fighter interviewed early in the 2001 Afghan who said that the Islamists would triumph because ‘You [the West] love life, but we love death’.

Personally, taking a materialist Darwinian evolutionary view of Homo sapiens, it seems unlikely that impatience to make live heroic lives and die in a noble cause, particularly among zealous young men ‘ardent for some desperate glory’, will ever die out. It has been so ubiquitous throughout all human history, in all cultures, that it appears to be hard-wired into the species. I’ve recently read a suite of books about the problems of African society and prominent among them is what to do about disaffected, unemployed youths, hanging round, looking for a cause to redeem their alienated lives…

Military death cults in Japan

The authors go on to trace how German hyper-nationalism and Occidentalism went on to become surprisingly influential in intellectual circles in the Middle East and Japan. The same valuing of a heroic ideal of nationhood which led Hitler to sacrifice an entire generation of German youth, was the one that made the Japanese fight to the death, island by island and send waves of kamikaze pilots in 1944.

Buruma has a counter-intuitive interpretation of Japanese suicide warriors. The phenomenon was considered at the time as being somehow specifically Japanese, but Buruma says the surviving farewell letters of many of the kamikaze pilots (and drivers of the less well-known suicide torpedoes) indicate that most were highly educated students studying the humanities at leading universities, and that a surprising number of them were well read in German literature and philosophy. They dressed up their feelings in tropes about the Samurai and cherry blossom but their fundamental ideas about the diseased decadence of the West and the need for heroic sacrifice are actually Western ideas.

Buruma gives a potted summary of the way Japanese politicians and intellectuals in the mid-nineteenth century cobbled together a patchwork copy of Western intellectual, economic, political, military and religious life, not least in the cobbling together of a state religion, Shinto, which they thought would echo the Christianity which seemed to be such a central part of European life. Ditto the transition of the emperor from a remote and powerless figure in Kyoto, who was moved to Tokyo to become a combination of kaiser, generalissimo, Shinto pope, and highest living deity. People talk (dismissively) about the British inventing many of their ‘traditions’ in the nineteenth century (Christmas trees, the kilt) but the Japanese did the same with knobs on.

Regarding the development of a cult of heroic sacrifice Buruma says an important source was the Imperial Rescript to Soldiers and Sailors of 1882 which the armed forces learned by heart and included a passage commanding the ultimate sacrifice for the emperor.

A practical consequence of this Occidentalism were that, when Western forces surrendered, as at Singapore in 1942, the Japanese viewed surrendering forces as dishonourable cowards who preferred to save their skins rather than fight on to the death i.e. the exact opposite of Japanese martial values.

As a result the Japanese regarded the surrendering British forces as less than human and treated them accordingly, working them to death in brutal labour camps. My best friend at school’s dad was in the army in Burma at the end of the war. He saw the state of soldiers repatriated from the Japanese camps. As a result he refused to have anything Japanese in the house.

The Rashtriya Swayamsevak Sangh

The authors then move on to India for a quick description of the Rashtriya Swayamsevak Sangh (RSS) which means the ‘National Volunteer Organisation’. Founded in 1925 this was a far-right, Hindu nationalist paramilitary organisation which aimed to instil ‘Hindu discipline’ in order to unite the Hindu community and establish a Hindu Rashtra (Hindu nation). Like the Nazis they aimed to create a new society based on racial purity, military discipline and sacrifice.

Osama bin Laden

Then, in this whistlestop tour, we are on to your friend and mine, the demon figure of the first decade of the 21st century, Osama bin Laden. The authors give quotes from an interview bin Laden gave after the 1996 al-Khobar Tower attack in Saudi Arabia. They say the language bin Laded uses of self-sacrifice, of suicide attacks, is emphatically not part of the Islamic mainstream tradition. In mainstream Islam dying in battle against the infidel is what creates justified martyrs; blowing yourself up along with unarmed civilians is something quite different, feared and despised by many Muslims as much as by Westerners.

They slightly contradict themselves by then describing the death cult of the Assassins, created in the 13th century for reasons which are still debated, and the pattern they set for being prepared to die for Islam in taking out an infidel opponent.

Anyway, whatever the precise roots there’s no denying that throughout the nineteenth century Muslim leaders called for jihad against western colonists and their godless capitalism, against their Jewish agents, and against native leaders who had been corrupted by their infidel ways.

Assassination

When I read this I immediately thought of President Anwar Sadat of Egypt. He was assassinated in 1981 by members of Egyptian Islamic Jihad for signing a peace treaty with Israel and instigating a crackdown on Islamic extremists, and so was painted as ‘a traitor to Islam’.

Sadat’s fate raises a general principle of Occidentalism which is that often opponents of the West aren’t actually opposed to the distant West, which they had never visited and of which they knew relatively little, so much as against the westernisers in their own society, political or social leaders who they blame for importing Western secular values. So they kill them.

Historically, the main embodiment of Muslim resistance to westernisation was the Muslim Brotherhood, founded in 1928 with the following manifesto:

‘God is our objective; the Qu’uran is our constitution; the Prophet is our leader; Struggle is our way; and death for the sake of God is our highest aspiration.’

Then, in another leap, the authors tell us that Japanese kamikaze tactics were adopted by the Hezbollah in the Lebanon with the 1983 Beirut barracks bombings which killed 241 US and 58 French military personnel.

Buruma and Margalit wrote this book before the US invaded Iraq in March 2003, an occupation which triggered an epidemic of suicide bombings by Sunni and Shias against the occupying forces.

Weimar

They conclude with a simple but crucial message. The Weimar Republic didn’t die because it was liquidated by Nazis, big business and the Army. It died because too few people were prepared to defend it. See the books on the subject by Peter Gay and Walter Laqueur. Passionate young men from the Right and the Left conspired to attack and undermine it at every opportunity. Nobody stood up for the boring, unromantic business of liberal democratic political life.

4. Mind of the West

Russian anti-westernism

Occidentalists accuse the West of being effective, technologically adroit, economically triumphant, and yet lacking the soul, depth, spirit and godliness which the critics, of course, pride themselves on having. I particularly despise the long tradition in Russian culture of belittling the frivolity and superficiality of France or Britain compared to the Great Russian Soul and its vast capacity for Noble Suffering. Tolstoy. Dostoyevsky. Occidentalists.

Dostoyevsky despised the West because it sought happiness and comfort whereas it should have been seeking salvation. And the route to salvation is via suffering. Only suffering brings wisdom. The West is afraid of suffering. The West can never be wise. Only a people devoted to suffering can be genuinely holy. The Russian soul welcomes and endures great suffering. Thus it is superior to everyone else’s.

Dostoyevsky and the propagandists for Russian suffering prepared the way (or just accurately reported the mindset) of the great Soviet barbarism of the twentieth century, the horrific civil war, the mass famines of Stalin, the huge gulags, total repression of civil society, the incredible death toll of the Great Patriotic War caused by Stalin’s ineptitude (and having massacred all his leading army officers) and Russian military readiness to sacrifice soldiers by the hecatomb in ways the Western Allies couldn’t believe. Still. Spiritual superiority, that’s what counts.

The line continues all the way through to Vladimir Putin. Putin sits in the main line of Russian cultural thought in despising, like Tolstoy, like Dostoyevsky, the decadence of Western liberalism, whose rapid end he has confidently predicted in numerous speeches.

Meanwhile, while he wastes his nation’s resources on a stupid nationalist war, the population of Mother Russia is going into decline as people flee Putin’s dictatorship or just die of ill health due to its wretched health problems.

Russia has the world’s 11th-largest economy but ranks 96th in life expectancy. Life expectancy for Russian men is 67, lower than in North Korea, Syria or Bangladesh. Still. Spiritual superiority, that’s what counts, eh.

The authors spend a long section describing ‘the love affair of Russians with their own soul’ and the achievement of nativist thinkers, loosely termed ‘Slavophiles’.

Anti-westernism’s German roots

In fact, counter-intuitively, Buruma and Margalit attribute Slavophilia, like so much anti-westernism, to German roots, specifically German Romanticism. Humiliated by Napoleon’s victories over them, conscious of their political backwardness (fragmented into scores of little princedom and dukedoms) German intellectuals, in a massive case of sour grapes, said worldly success didn’t matter, what mattered was what was in your soul. They compensated for their economic, social, political backwardness by asserting the supremacy of their spiritual life.

A spectrum

It occurs to me that there was a spectrum in the moving west to east across Europe in the nineteenth century. At the western extreme was Britain, economic powerhouse of the world but almost bereft of genuine art, philosophy or religion (sure it had the oppressive Church of England but this had little or no spiritualist tradition). Then came France, nearly as economically diverse as Britain, a good deal more artistic and philosophical. Then Germany, economically and politically backward but packed with ‘deep’ philosophers and its great musical tradition. Poland, which is never taken account of by anybody in these kinds of surveys. And finally Russia, the most economically and socially backward of European nations and, accordingly, possessed of a self-congratulatory sense of its immense spiritual superiority over everyone else.

In the authors’ view, to be blunt, it’s all the Germans’ fault. Extremely resentful of the military, economic and artistic success of Napoleon’s France, German Romantics compensated for national humiliation by working out the theory of the superior spiritual value of Das Volk and the nobility of dying for it.

Isaiah Berlin on German Romanticism

No less an authority than Isaiah Berlin thought this was the case and, moreover, thought the model the Germans worked out became a template which could be exported to all peoples who feel mocked and humiliated. The template was copied by the Russians during the nineteenth century and, as we’ve seen, adopted by Arab and Indian nationalists between the wars.

Buruma and Margalit summarise Berlin’s model. The German Romantic movement was the Counter-Enlightenment. It valued intuition and spirit over reason and calculation. It preferred heroes to shopkeepers. It looked back to a lost era of national and religious unity and looked forward to its glorious restoration.

On this view Nazism, Japanese fascism and Islamic fundamentalism are all the heirs to the original German Romantic anti-Westernism.

Russian Orthodox Christianity

The authors tell me things about Russian Christianity I didn’t know. They describe the messianic conviction that Moscow is a second Rome and only home to true Christianity. They explain that Russian Orthodox Christianity is far less interested in theology than Greek or Roman Christianity and far more concerned with custom and practice. Icons are more important than intellectual debate.

Intellectualism is suspect. And any kind of change is not needed. The thousand year old tradition of the Russian church suffices. Innovation tends to come from outside, representing threat and betrayal.

The authors give a potted history of Russia, with Peter the Great and Catherine the Great realising they had to import Western technology and ideas. Throughout the nineteenth century Russian intellectuals split into westernising and slavophile parties. They give potted biographies of individual westernisers. And they explain that for these men, the West meant Germany and its succession of Romantic philosophers.

As with Orientalism, all these Russian thinkers worked out their theories and defined themselves against the Other, the Other being a highly simplistic, stereotyped view of The West, a West which was materialistic, godless, mechanical, superficial, divided, corrupt and decadent, which lacked the soulfulness and the unity of people and purpose which characterised Mother Russia.

The triumph of will over reason

One major aspect of Occidentalism is the valorising of will over reason. Timid reason calculates the best course of action, tots up the pros and cons, a shopkeeper mentality. All this contrasts with the will which acts instinctively, in large glorious romantic causes. Following the footsteps of Friedrich Nietzsche, Hitler and the Nazis famously praised the Triumph of the Will over pettifogging rationalism. And so did nineteenth century Russians.

Konstantin Leontiev

The Russian Nietzsche was Konstantin Leontiev (1831 to 1891). He wrote a big book, Russia and Europe, which made a big splash. He was one of hundreds of late-nineteenth century philosophers and commentators who worked up an ‘organic’ theory of history i.e. that societies are like organisms which have a birth, a youth, a maturity and then a decay.

Surprise, surprise, Leontiev thought that the West with its decadent liberal democracy was in the last stages of decay. Exactly what Vladimir Putin thinks today, 150 years later. Continuities like this demonstrate that this is not a rational belief based on evidence, it is a prejudice, an unchanging tenet of anti-western bigotry, of Occidentalism.

The authors end the chapter with a brief history of the word nihilism which came to prominence, in Russia, in Ivan Turgenev’s novel Fathers and Sons. The chapter ends with more evidence of Dostoyevsky’s fanatical hatred of the West and fear that it’s godless, scientistic values were undermining the noble soul of Mother Russia.

5. The Wrath of God [Muslim fundamentalism]

 Buruma and Margalit draw a distinction between religious Occidentalism and secular Occidentalism. 

They say that Islamism is the form Occidentalism is taking in our time. What is new or unique is Islamism’s view that the West is guilty of barbarous idolatry and proceed to explain what this means, starting with a definition of idolatry.

They give a pocket history of the concept of idolatry which stems from the Jewish Bible. Here God is depicted as a jealous husband who is hurt when his Chosen People whore after strange gods. But obviously it has a deeper charge than that. God is also king of the universe, master of creation, source of existence. Denying God is the worst kind of blasphemy imaginable. In the Old Testament numerous kings and rulers are depicted as behaving as if they were as powerful as, or more powerful than, their creator, and demanding the veneration which is due to God.

So idolatry is giving to men the devotions and worship which are due to god. They discuss the meaning of Arab terms such as tajhiljahiliyya and jahili. jahiliyyahas been used to describe the religious ignorance which prevailed in Arabia before the advent of the Prophet Mohammed but also, more metaphorically, as the notion of barbarism, in the same way the ancient Greeks used it to refer to everyone who wasn’t Greek. At school I was told it was a joke term for people whose unGreek languages made them sound like they were saying ba-ba-ba-ba.

To summarise, the use of the term jahiliyya in Islamist discourse can be interpreted as referring to a new barbarism (godless idolatry) which originates from the West and is infecting the Muslim world.

The authors have a digression into the history of Manicheism, first as an actual belief system propounded by the Iranian prophet Mani (216 to 277 AD) then as the strand in most religions which posits an absolute divide between God and Evil. Then they show how ‘evil’ in most religious traditions is associated with the body, with its weakness, tendency to degrade and die, its distracting appetites, worst of which is, as we all know, sex. The body is contrasted with the soul which is taken to be immortal and the part of a human body which can approach or commune with god.

Ali Shari’ati

They discuss Ali Shari’ati (1933 to 1977), an Iranian Shia Muslim revolutionary and opponent of the westernising regime of the Shah. Shari’ati thought the best way for developing countries to fight back against the infection of godless western materialism was by rallying around their religious beliefs and traditions, in his case, Islam. He explicitly linked the influence of the West as encouraging Muslims to idolatry i.e. diverting worship away from God and towards the godless things of man i.e. money, consumer goods.

The industrial revolution made the West rich but it led to what sociologist Max Weber called ‘the disenchantment of the world’. It lost its magic and spirits. It lost God. And so all its goods and products are tainted by this tendency to disenchant and divert men’s worship from God to things. Idolatry.

Sayyid Qutb

The authors tell us about Islamic radical thinkers who fought back against the forces of secularism, for example Muhamed Taleqani in Iran, before returning to Sayyid Qutb, first mentioned in chapter 2.

For Qutb the whole world, from decadent Cairo to New York, was in a state of jahiliyya. He saw the West as a gigantic brothel, steeped in animal lust, greed and selfishness. Human thought, in the West, was ‘given the status of God.’ Material greed, immoral behaviour, inequality and political oppression would end only once the world was ruled by God and by His laws alone. The opportunity to die in a holy war would allow men to overcome selfish ambitions and corrupt oppressors (p.117)

One of the appeals of Islam is its egalitarianism: all men really are equal in the eyes of God in a way they rarely have been in the Christian West, and the Islamic dream is of a society where all men worship God, all laws derive from God, all behaviour is godly, and so it is literally impossible for large disparities in wealth or for corrupt immoral rulers ever to arise.

Qutb is given more space this time around, with a thumbnail biography describing the two years he spent in America to improve his English and which turned him into a West-hating Occidentalist. He also became a ferocious antisemite, literally believing in the famous forgery, The Elders of Zion and the ‘worldwide Jewish conspiracy’ and associating the global nature of finance capital with ‘Jewish bankers’ and so on. Schoolboy antisemitism.

To look at it another way, Qutb thought he was developing an approach which saved the noble and godly in human nature. The West wasn’t just godless, it actively worshipped the things of the body, the West is a cult of physical appetites, valuing food, drink, sex, holidays, fast cars, thus degrading human nature, instead of uplifting it through things of the soul by focusing solely on God. jahiliyya is the culture of animals or, worse, of humans who have thrown away their human attributes in a mad rush to become animals.

So, if Westerners have deliberately denied their humanity and turned themselves into animals, then they can be treated like animals, as worse than sub-humans. It’s this development of a train of thought which led him to consider all Westerners as sub-human which makes Qutb, as Buruma and Margalit out it, ‘the high priest of Occidentalism’ (p.121).

More, the world is in a state of war, between those who seek the righteousness of Islam and the rest. Even Islamic countries have been tainted to some extent by Western or secular innovations, and so jihad must be fought to overthrow idolatrous leaders. This is, obviously enough, an incitement to permanent warfare. You can see why it would appeal to zealous young men disgusted by the West, such as Mohamed Atta and so it explains the never-ending supply of young men prepared to take up arms to defend and assert radical Islam. But it just as easily explains why those societies, Islamic societies, will never be at peace with themselves. Libya, Egypt, Yemen, Syria, Iraq. Permanent war.

Abu-l-A’la Maudadi

Then we are introduced to Abu-l-A’la Maudadi (1903 to 1979) Islamic scholar, Islamist ideologue, Muslim philosopher, jurist, historian, journalist and activist, who is described (on his Wikipedia page) by Wilfred Cantwell Smith as ‘the most systematic thinker of modern Islam’.

The thing about all these Islamic thinkers is it’s hard to remember them because they all appear to have had the same pretty simple idea: Islam needed to reject the corruption of the West, purged of Western corruption, in order to become pure. Then everyone will live happy godly lives.

In practice Maudadi opposed Indian nationalism because it was Hindu, and democracy because it would impose majority Hindu values on Muslims. He said in a speech that anyone who voted would be a traitor to the Prophet and to God. He wanted to revive the early Caliphate (what Islamic fundamentalist doesn’t?).

Maudadid founded the Jamaat I-Islami Party which went on to be influential in the politics of the new country formed at the Partition of India, of Pakistan.

Tawhid and Muhammed Iqbal

Tawhid is the doctrine of the Unity of God. One of its proponents was Muhammed Iqbal (1877 to 1938) writer, philosopher and politician, considered by many to be ‘the spiritual father of Pakistan’. In his view human society should practice unity, harmony and justice in order to reflect the Unity of God. Against this settled social background each individual should be able to develop their individuality or khudi.

So, Buruma and Margalit ask, what was it that made Qutb an Occidentalist and Iqbal not? Partly it was personal psychology; Qutb was overwhelmed and disgusted by everything he experienced in America, whereas Iqbal enjoyed his British education and took a degree at Cambridge.

But basically Iqbal was tolerant. He thought there were many ways to God; the best way is Islam but there might be others for men of good faith. Qutb, by contrast took a fiercely Manichean view: there was the world of Islam and then everything else, which was full of sub-human barbarians. Qutb wrote:

Any society that is not Muslim is jahiliyya

And true believers need to take up jihad to enforce the rule of God in their nations. Permanent war.

Protestantism and liberalism

The authors then shift their ground to explain that the Reformation i.e. rebellion against the grip of the Roman Catholic Church, began the long process whereby religion and the personal sphere were separated out, in the Protestant countries of the West. The separation of church and state. The right to freedom of conscience, of belief, of religion.

And this is anathema to Islamists who insist there is not, there cannot be, a divide between religion and private belief or morality. Everyone must believe and worship the same, follow the same morality. This is why some critics of political Islam liken it to fascism. More accurately it might be likened to totalitarianism. Mussolini said: ‘Everything in the State, nothing outside the State, nothing against the State.’ Swap ‘Islam’ for state. Note the Morality Police in Saudi Arabia and Iran.

Women in Islam

Buruma and Margalit finally get around to the hugely contentious subject of women in Islam. They claim that many Muslims yearn for a return to traditional and community values. Islamic fundamentalism draws its support from a nostalgia for a return to proper Muslim values, which are associated with tradition beliefs and customs.

One of the central areas is the role and behaviour of women because in a patriarchal culture like Islam, the behaviour of women directly reflects on the honour of their menfolk, in a way most of us in the West just don’t understand.

Countless visitors to Muslim countries in the eighteenth and nineteenth centuries observed the strict segregation of the sexes, the way women were completely invisible in many rural communities, or else were covered from head to foot in towns.

They zero in on the issue of the veil. The veil for women appears to have existed way before Islam there are depictions of it in pictures from the first century. Maybe Muslims copied it from the Byzantine Empire. It came to signify that the owner did not do manual labour i.e. became a status symbol.

During the independence struggle in Algeria many women took the veil as a proud assertion of their Islamic heritage and defiance of the French colonialists. But 50 years later, in the era of the Taliban, women are to be covered in what are effect shapeless sacks, completely denying their physicality, the assumption being that the merest glimpse of female flesh will cause an outbreak of ungodly fleshly thinking among surrounding men. In this respect ‘the veil’ is a symbol of a Manichean tension between the Spirit and the Body.

Wisely the authors don’t propose to delve deeper into the symbolism, meaning and all the debates raging around ‘the veil’, as fully explicating the history and then trying to find quotes in the Koran or the hadith to back up all the different opinions would keep us here till Doomsday.

Their book is not about Islamic beliefs and customs, it has the narrower focus of being about Muslim opinions about the West, in this case, Eastern views about Western women.

Islamic fundamentalists (and, the authors emphasise, Orthodox Jews) regard women’s dress and behaviour in the West as little better than prostitutes’. Here we’re back to Sayid Qutb’s opinion that Western immorality isn’t just bad, but degrades human beings to a level lower than animals. Animals don’t know any better, but humans do, and to reject what they know (of God’s demands for respect and morality) means they forfeit their humanity.

Also, in a patriarchal society, a woman is the ‘protected jewel’ in the crown of a man’s honour. Which means that how a man protects and defends his woman is a large part of his honour or identity. And here’s the point: Western men who relate to Western women as if they were just other citizens without any of the respect due to them in a Muslim country, show that they lack even the most basic sense of honour.

Wahhabism and Saudi Arabia

Three packed little pages which describe the alliance in the eighteenth century of fiercely puritanical preacher Muhammad Ibn Abd al-Wahhab and warlord Muhammad Ibn Saud. The warlord adopted the puritanical beliefs of the preacher and together they conquered the Holy Places. Then a lot of history as first the Ottomans and then the British took control of the Saudi peninsula, but by shrewd manoeuvring the family of the Sauds took control of the new kingdom and imposed an extremely fierce version of Islam on their population.

Then came the discovery of oil and these phenomenally strict Puritans found themselves among the richest people in the world. The result, say Buruma and Margalit, is an uneasy form of ‘officially sanctioned hypocrisy’, where the Saudi authorities impose a strict morality in public but live like Roman emperors in the privacy of their own palaces, or in their mansions in London and New York.

Saudi ‘hypocrisy’ would be of limited interest or importance if it weren’t for the fact that in the last decades of the twentieth century the Saudis began to export their form of intolerant Islam. As of 2004 the authors thought that:

Saudi Arabia is now the prime source of fundamentalist, puritanical ideology affecting Muslims everywhere, from North Africa to Indonesia. Oil money is used to promote religious radicalism around the world… (p.136)

That was 20 years ago, the trend has only increased since then, with Saudi involved not only in the Arab Spring uprisings and aftermaths, funding groups in Tunisia, Libya and Egypt, but also bankrolling sides in the ruinous civil wars in Syria and Yemen; and that’s before accounting for their promotion of their particularly virulent purist form of Islam in Muslim countries across North Africa and central Asia and into the Far East, in countries like Indonesia and Malaysia. And part of the package is a virulently anti-Western Occidentalist message.

6. Seeds of Revolution

A 12-page chapter on how the main venom of Occidentalism falls, even more than on distant America, on Israel. Eccentrically, they tackle this vast bottomless subject via a little known, unimportant novel published by the Theodor Herzl (1860 to 1904), the Austro-Hungarian Jewish journalist who was the father of modern political Zionism.

The Encyclopedia Britannica defines Zionism as a Jewish nationalist movement, originating in central and eastern Europe, that had for its goal the creation of a Jewish national state in Palestine, the ancient homeland of the Jews.

The novel was titled Altneuland which was translated into English as ‘The Old New Land’ when it was published in 1902. It’s apparently a huge text but the core of it is a vision of what Palestine will look like twenty years hence i.e. in 1922, after Palestine has been successfully occupied by Jews. The place has become a technological and economic miracle, the previously barren desert blooming, the previously rundown ports now full of cranes and ships, the rundown towns transformed into European-style cities with wide boulevards and cafes. Religion there is some, but hollowed out to become little more than the civic holidays of a mostly secular European culture.

Visitors to this brave new Jewish world marvel at the gleaming cities and high technology but find time to ask the one Arab in the book what he thinks, and he is overjoyed. Palestinian land-owners sold to the Jews for good prices, Palestinians are employed in all the new works, even the poor are lifted up by the rising standard of living. It’s win-win-win.

Of course it didn’t turn out that way and the modern state of Israel has become the number one hate figure for Arab politicians and Islamists throughout the region, a running sore in the Middle East which will, probably, never go away.

Anyway, the authors don’t really scratch the surface of the issue before proceeding to their rather rushed conclusion: this is that most of the nationalist responses to western imperialism borrowed western ideas to fight it with, whether they be the liberty-equality-fraternity of the French Revolution, the scientific positivism of Comte, the communism of Karl Marx, the anti-Enlightenment tropes of the German Romantics.

They move from Margalit’s home territory (Jerusalem/Israel) back to Buruma’s, Japan. He explains how the samurai leaders of Japan who realised in the 1860s that they needed to carry out a wholesale modernisation of their nation did so by importing selected Western ideas but also sparked a nativist nationalist backlash. But even this, although dressed in Japanese costume, borrowed ideas on how to run society from European fascists and the Nazis in particular.

They conclude that no Occidentalist can be free of ideas from the Occident. The modernisation of Japan gave rise to an anti-modern backlash which borrowed ideas and technology of the modern world in their effort to reject it. Same, they suggest, with Islamic fundamentalists. They loathe and fear western materialism, but communicate using laptops and mobile phones.

On almost the last page the authors start discussing the Ba’ath Party, which gained power in post-independence Syria and Iraq, and how it was forged in the 1930s from a combination of nostalgia for a holistic Arab community and ideas taken from European fascism. One of its theoreticians, Sati’ Husri, was a keen student of German Romantic theorists like Fichte and Herder who rejected the French Enlightenment by promoting the notion of the organic, völkisch nation united by blood and soil. This was translated by Husri into the Arab word asabiyya or (Arab) blood solidarity

The end of the book feels rushed and hurried. Only here do they make the big point that Arab ‘nationalist’ leaders have killed far more of their fellow Arabs than all the colonialists and Zionists put together, witness Saddam Hussein and Hafez al-Assad, who everyone thought was a cruel mass murderer until the Syrian civil war broke out in 2011 and we all discovered that his son, Bashar al-Assad, is even viler. Over half a million Arabs have died in the Syrian civil war.

What not to think

 Buruma and Margalit conclude with some very rushed thoughts. For a start they predict that the war against terror will mostly be fought within Arab states, against extremists. 

Secondly, they say the conflict is against a worldwide, loosely affiliated underground movement. (Presumably they mean al-Qaeda, though they don’t say so.)

As to the first prediction, now, in 2023, 20 years after the book was written, we know that America went ahead with its idiotically badly conceived invasion of Iraq, which on the face of it was an invasion by a foreign power, but that this triggered the collapse of Iraq into prolonged civil war and ethnic cleansing. The ‘within states’ thesis was more dramatically proven by the Arab Spring which led to the disintegration of the states of Libya and Syria, turmoil in Egypt, and a cruel civil war in Yemen. Presumably al-Qaeda and all its affiliates wanted to create pure Islamic states or restore the Caliphate, but they’ve turned out to be part of a process which has destabilised and wrecked much of the Arab world. My view is that it’s their culture, they’re their countries, we’ve interfered enough in that part of the world (and too many other parts of the world, too). Let them sort it out.

Buruma and Margalit say we shouldn’t be paralysed by ‘colonial guilt’ but I think we’re way beyond that now. Every time we intervene we make things worse. We turned Iraq into an abattoir. The Yanks spent a trillion dollars in Afghanistan over 20 years and look at it now: still the poorest country in the world and back to being ruled by the Taliban.

The West intervened in Libya to prevent Gaddafi massacring protesters in Benghazi but didn’t follow it through by leading and uniting the opposition which, instead, collapsed into regional factions, so that twelve years later, Libya has no one central government.

Total intervention, as in Iraq or Afghanistan, failed.

Partial intervention, as in Libya, failed.

I suggest the only viable policy is complete non-intervention as the West, in effect, is doing in Syria.

If Arabs and Muslims want to spend decades massacring each other, it’s not so much that we don’t want to intervene, or don’t have a moral duty or whatever to intervene; it’s more that we’ve tried intervening, in different countries in different ways, and almost always we make it worse. Non-intervention seems to me the only responsible policy.

This book was written when the Western world was reeling from the 9/11 attacks which everybody felt turned the world on its axis and introduced a whole new era. There was felt to be an urgent need for commentary and analysis, not least explanations of what Islamic fundamentalism was and why the terrorists hated us so much. This book was an interesting attempt to fill that gap.

By the end, although it contains lots of references to specific writers and theories, it feels somehow rushed and superficial. Buruma and Margalit’s thesis, which they repeat half a dozen times, is that German Romantic writers of the early nineteenth century developed a worldview opposing the rational scientific values of the French Enlightenment and Revolution, and this template for opposing all the forces of ‘modernity’ was then taken up by intellectuals in other countries which resented the way the godless materialism of Britain and France seemed to be destroying traditional values, in countries as far afield as Russia, China, Japan and India, and, in the twentieth century got mixed into the anger, resentment and humiliation of a number of Arab and Muslim theorists and theologians.

Their basic idea is that opposition to the West, and the negative stereotypes which its enemies use to characterise it which the authors call Occidentalism, began in the West and always carries the spoor of its Western origins.

However, it’s a long time since 9/11. Now, in 2023, it feels like a lot of the excitement, paranoia and hyperbole of that era has drained away. The Arab Spring, then the Arab Winter, then the collapse of Libya, Syria and Yemen, changed the landscape. Up till then Arab nationalists and radical Islamists believed that all they had to do was overthrow the ageing dictators who in one way or another had imposed Western ideas (nationalism, socialism, science) onto their peoples, and the purified, communal, traditional Islam of the good old days would rush back in to restore the Caliphate. Instead , when the dictators were overthrown, first in Iraq, then Tunisia, Libya, Egypt, with the vain attempt to do so in Syria, the result wasn’t the Unity of Islam but chaos and massacre.

Al Qaeda affiliates across North Africa continue to terrorise their countrymen but they will never be able to seize power; all they do is create the chaotic conditions in which warlords and mercenaries like the Wagner group thrive (in places like Chad, Mali or the Central African Republic or the wretched failed state of Somalia), while political and military leaders with no principles overthrow each other in naked bids for power, as in the utterly pointless Sudanese Civil War.

Piled onto all this is the relentless degradation of the environment of the Arab world, which is only going to get hotter and hotter, with evermore water shortages and the loss of evermore agricultural and even pasturing land. A lot of the Arab world is going to become a hellish place to live.

So the situation is massively more screwed up than when Buruma and Margalit wrote this book and their scholarly shuffling through tomes by Herder and Fichte, Schelling and Nietzsche, Dostoyevsky and Tolstoy, feels like bookish trip down memory lane. Then again maybe they were right to stick to the library; their treatment of the role of Israel in all this, approached through Theodor Herzl’s novel and a half page description of modern Jerusalem, feels entirely inadequate.

Either way, ahead lies total chaos in which the Occidentalism they describe and define will seem increasingly irrelevant to an Arab world collapsing into endless civil war and social collapse. The West wasn’t behind the Arab Springs, that was what so excited the protesters, they were entirely homemade, of domestic Arab and Muslim origin. But so was the chaos and collapse they brought in their wake, of entirely Arab and Muslim origin. It’s their countries, their people, their problems. We’ve intervened too many times. We shouldn’t get involved.


Credit

Occidentalism: A Short History of Anti-Westernism by Ian Buruma and Avishai Margalit was published in 2004 by Atlantic Books. References are to the 2005 Atlantic Books paperback edition.

Related reviews

Future of an Illusion and other writings on religion by Sigmund Freud

Note: to avoid misunderstanding, I believe Freud is a figure of huge cultural and historical importance, and I sympathise with his project of trying to devise a completely secular psychology building on Darwinian premises. Many of his ideas about sexuality as a central motive force, about the role of the unconscious in every aspect of mental life, how repressing instinctual drives can lie behind certain types of mental illness, his development of the talking cure, these and numerous other ideas have become part of the culture and underlie the way many people live and think about themselves today. However, I strongly disapprove of Freud’s gender stereotyping of men and women, his systematic sexism, his assumption of Western superiority over ‘primitive’ peoples, and so on. Despite the revolutionary impact of his thought, Freud carried a lot of Victorian assumptions into his theory. He left a huge and complicated legacy which needs to be examined and picked through with care. My aim in these reviews is not to endorse his opinions but to summarise his writings, adding my own thoughts and comments as they arise.

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1. The Future of An Illusion (1927)

Freud posits a parallel between the development of a child and the development of civilisation. In individuals you get a progression through helpless infant, wilful adolescent and mature adult. By an analogous evolution society can be said to develop through stages, from savage tribes with beliefs in all kinds of spirits; to semi-civilised societies who believe in one God; then onto modern society, rational, scientific and atheist.

1. Civilisation is based on, indeed, is to some extent defined as, the amount of instinctual repression it can achieve. Some people (i.e. communists) may wish for a redistribution of wealth so that everyone will work joyfully and creatively together. Unlikely. People don’t like work; people prefer indulging their instincts in pleasurable pursuits. Civilisation means coercing people into wealth-creating work and making them repress their instinctual desires.

2. Society organises instinctual repression. The upper classes repress their instincts in order to provide a ‘moral’ role-model for the workers. The workers are ambivalent towards this model of rational self-repression, partly resenting it because they are clearly not getting as much wealth and power as the upper classes; but allying with their rulers if the latter identify threats from outsiders, for example, the ‘barbarians’ for ancient Greece or Rome, or ‘outsider’ groups such as Jews in 20th century societies (or refugees and immigrants in contemporary Britain). But all sectors of society can be united by certain artistic ideals (in the sense that art is a sublimation of our instinctual wishes). A shared art can help unite people in their ideal.

(N.B. Freud wrote this during the heroic age of Bolshevik propaganda – 1927 – and anticipated many of the aesthetic theories of the Nazis, namely to unite the Volk in worship of high ideals while focusing anti-social energy onto outsider groups like the Jews.)

3. Primitive man is paralysed with fear in face of the horrors of existence, the arbitrariness of disease, famine, catastrophe, death and so on. He peoples the world with spirits who he tries to relate to in the same way he relates to those around him i.e. family, chief, slaves etc. As mankind develops, so does this primitive pantheism, so that the many spirits and their functions become concentrated into a king of the gods and, eventually, into one figure, one God, ruler of a totally controlled Providence, in charge of divine justice, deciding who has been good and will be rewarded etc. Naturally, whoever thought up this monotheism consider themselves to be The One People, the Chosen People (i.e. the Jews).

4. Freud reminds the reader of the theory he outlined in Totem and Taboo 15 years earlier. There he took a hint from Darwin about the possibility that early man lived in hordes, a band of brothers borne by a harem of mothers owned and inseminated by one semi-divine Father. In Freud’s fantasy of ‘primitive’ society the brothers rose up in rebellion, overthrew the ruling Father, killed him and ate him in a communal meal deliberately designed to implicate everyone in the guilt. This ‘historical’ fact is what lies behind the practice found among so many cultures – the worship of a totem animal which is superstitiously revered all year round, except for the one holy day when it is executed and ritually eaten. (In fact, no history or anthropology has come anywhere near confirming Freud’s fantasy of this primal parricide, which is generally discredited.)

Freud then highlights the continuity between his explanation of religion as a protection for the helpless savage from the cruel forces which surround him, and modern-day religious belief.

5. Freud lists the reasons our parents and priests give for believing religion:

  1. it is handed down from time immemorial
  2. there are many proofs
  3. in any case, you’re forbidden to discuss it

In fact 2) is demolished because religious belief is so riddled with contradictions and falsehoods, for example, the contradictions in the Bible, the explosion of the Genesis myths by archaeology and geology and so on. Some Christians say, ‘I believe precisely because it is absurd’ but if that is the case, why not believe any old absurdity and fantasy? The fact is that religious people may differ in details of theology or ritual but overlap considerably in their basic, primeval wishes – to be consoled, protected, assured of life after death.

Spiritualists try and persuade us of the immortality of the soul but how pitiful is the transparent egotism of such a wish, the wish to live forever, to deny the upsetting reality of death and extinction.

6. Religion is an illusion: an illusion is a belief incorporating a large amount of wish-fulfillment. We all want a Big Daddy to hide from us the desolation and heartbreak of reality, to pick us up and dust us off and make things better. Religious beliefs cannot be proved or refuted, and this is clearly what gets Freud’s goat about religious people – they are so dishonest. They have no intellectual discipline but use whatever tools lie to hand – logic till that runs out, absurdity till that won’t serve, the strength of tradition till that is proved to be largely false, and then the testimony of personal experience which can’t be proved or disproved – they will do anything to cling onto their pitifully childish wishes: Yes, I will live forever; Yes, Daddy loves me, totally, completely; Yes, all the injustices I suffer now are recorded and will be set right in the Afterlife.

Even a bunch of ‘savages’ ought to be embarrassed by the childishness of all this, let alone so-called ‘civilised’ men.

7. ‘Ah but’ (says The Voice of The Believer, which Freud invents to play Devil’s advocate), ‘it is:

  1. dangerous to undermine religion since this will lead to anarchy
  2. cruel to deprive people of the illusions that sustain them

Now these are good points which Freud doesn’t really rebut. He concedes that that religion has achieved much, historically, by making civilization possible (i.e. focussing people’s anarchic wishes and fears onto one controllable God) but moves on swiftly to point out how, after thousands of years of its hegemony, just look around at the misery, injustice and inhumanity which still plague us. Far from ensuring moral behaviour, religion has in fact made many scandalous concessions to the weakness of human nature, for example, the rigmarole of confession and penance and masses for dead relatives, and so on.

But fortunately, in Freud’s view, the spirit of Science is now abroad: we live in dangerous times and pretty soon the repressed masses are going to realise that the sanctions against rebellion underpinned by religion have evaporated. So if we want to keep order in society, we have to do something about the fact that religion is collapsing and have to establish a firmer foundation for law and morality than this dying system – solid, secular ethics.

8. By basing the undoubtedly wise injunction ‘Thou Shalt Not Kill’ exclusively on God’s authority, along with a host of other restrictions and laws, we risk the collapse of these injunctions so vital to civilisation when religion itself collapses, as it inevitably will, before the onslaught of science.

Better to be honest. Religion is ‘true’ (just like dreams and neurotic symptoms) insofar as it tells us a psychologically true story in symbolic terms (for example, the central event of the sacrifice and cannibalism of the Father as depicted in Totem and Taboo is psychologically true depiction of the Oedipus Complex which Freud claims every male human experiences). But now, says Freud, it’s time to cast symbols aside and face the facts, to move into the scientific – or adult – phase of civilization.

9. The Voice of the Believer says this is dangerous talk because it is naive to think that Reason can replace Religion as the glue binding Society together. Look at the French Revolution which tried just this and catastrophically failed.

Once again, Freud doesn’t quite refute this good point. Instead he says the reason to be sceptical about any triumph of Reason is because so many people’s adult intellects are weakened, and this is because:

  1. their instinctual sex life is so repressed that they become obsessed and/or ill
  2. as children they are force-fed so much illogical nonsense under threat of hellfire

No, says Freud, we must take the risk, we must draw up a plan for modern education which omits religion. It may take a while for the reform to take affect (he cites the slow progress of Prohibition in the USA, 1920 to 1933) but it will be worth it to build the just, unrepressed, scientific society of the future.

Instead of wasting our energy on vain hopes of an afterlife, let’s build a New Jerusalem on earth ‘by concentrating all our liberated energies into life on earth.’ Freud expresses the ‘hope that in the future science will go beyond religion, and reason will replace faith in God’.

10. The Voice of Religion says:

  1. you are trying to replace a tried and tested illusion with an untried one, and
  2. religion unites all levels of society from labourer to intellectual. What else can do this?

Once again Freud answers his own question unconvincingly by resorting to the relatively small example of the help he has been able to give individual patients in coming to terms with their illnesses. Freud hopes that psychoanalysis can extend that help to society at large.

This is, to put it mildly, quite a big hope…

Thoughts

Given Freud’s lifelong animus against religion, it’s surprising that, when he finally got round to writing a complete book on the subject, it turned out to be such a surprisingly bad and unsystematic text. It trots through various arguments for atheism, buttressed by bits of psychoanalytic theory, but is surprisingly ramshackle and unconvincing.

For me, the Voice of the Believer which he creates in order to dramatise the text, is much more persuasive, especially when you consider that, as Freud was writing, some European nations stood poised to experiment with just the sort of non-religious, ‘scientific’ ideologies to bind society together which Freud appears to recommend: Stalin’s Russia and Nazi Germany.

Obviously, Freud wasn’t a Nazi or a Bolshevik, but both those ideologies claimed to have ‘scientific’ solutions to society’s problems, circa 1927, which just goes to show what a slippery term ‘science’ is, just as liable to ideological manipulation and distortion as the ‘religion’ he so simple-mindedly attacks.

And then, looking back with the benefit of hindsight from 2023, it’s clear that, despite with all the gee whizz technology we in the West have invented, if you look at the world as a whole, religious fundamentalism (Muslim and Hindu, in particular) and irrational nationalisms (Russia, Turkey, Brazil), are on the rise almost everywhere.

It is Freud’s hopes for a rational, secular and scientific future which seem naive and superficial.

2. Oskar Pfister’s The Illusion of A Future: A Friendly Disagreement with Professor Sigmund Freud (1928)

Freud wrote The Future of an Illusion in 1927 partly with his friend and devout Christian, Oskar Pfister, in mind. The following year Pfister wrote a pamphlet refuting Freud’s points, The Illusion of a Future, which Freud welcomed (dissent was OK as long as fundamental allegiance to The Movement remained unquestioned).

Pfister summarises Freud’s critique of religion in The Future of an Illusion, thus:

  1. Religion is a universal obsessional neurosis based on the Oedipus Complex.
  2. Religion comprises a system of wishful illusions together with a disavowal of reality.
  3. Religion is hostile to free thought.
  4. Religion has failed as a guardian of civilisation.

Pfister’s rebuttals

1. Undoubtedly religious belief can include a neurotic component. Undoubtedly early religious systems were based on ‘primitive’ mental states. Undoubtedly religious belief in its earliest phase was bound up with the repression of instinctual drives accompanied by neurotic components. But that doesn’t disprove the validity of belief itself.

Freud oversimplifies to say the same Oedipal complex lies at the bottom of all religious belief. Can such a simple explanation really explain the religion of the totemists, the social-ethical monotheism of the Israelites, the Aten-belief of the Egyptians, the piety of the conquistadors, and so on?

In contrast to the many repressive elements of primitive religious belief, Pfister sets the uniquely unrepressed and liberating belief of reformed Christianity, and above all, the ethical achievement of Jesus’s commandment of Love.

Jesus overcame the collective neurosis of his people according to good psychoanalytic practice in that he introduced love – morally complete love – into the centre of life.

For Pfister, Jesus was the first psychoanalyst. Therefore Freud, insofar as he is following in Jesus’s footsteps, is a good Christian!

Whoever has fought with such immense achievements for the truth and argues for the salvation of love, as you have [Pfister’s book is directly addressed to Freud], is a true servant of God according to Protestant standards.

For Pfister Protestantism is the reverse of Freud’s neurotic, repressed illusion: it is the blossoming of man into his full biological destiny of love.

It is misleading of Freud to write his natural history of the development of religion in such a way as to tar Christian belief with the brush of primitive animism etc. The entire point of Christianity is that Jesus represents a triumph over the irrational compulsions of the Old Law, the superstitious repressions of the Old Testament, and its replacement with a new dispensation of brotherly love and love of God.

2. Undoubtedly there is a large element of wish-fulfilment in much religious experience. Pfister points out that Freud is indebted to the pioneering ideas of Ludwig Feuerbach (1804 to 1872) and his psychologising of religion; it was Feuerbach who first demonstrated that much theology is disguised anthropology and religion a dream.

But, for a start, many atheists are governed just as much by wish-fulfilment as believers; and their compulsion to disbelief, their atheism, is no more than their Oedipal wish to do away with the Father. Wishes are common to all mankind, as psychoanalysis shows. Pfister agrees with Freud that the moral progress of mankind consists of the overcoming of egotistical wishes: where he differs is in insisting that Jesus enjoins the highest form of overcoming egotism.

The gentleness and humility, the self-denial and rejection of the hoarding of wealth, the surrender of one’s life for the highest moral values, in short the whole way of living that he who was crucified at Golgotha demanded of the apostles, is diametrically opposed to the appetites of human nature.

Consider the Lord’s prayer. It embodies the overcoming of everything egotistical. Freud, by implication, is attacking a Judaic, a Mosaic religion, based on the jealous God of the Old Testament and operating through fear. Not Pfister’s God of liberation through love.

Pfister goes onto the attack to say that there is in fact a huge element of wish-fulfilment in science. The history of science is an unceasing struggle against anthropomorphisms. This was being highlighted at the time these books were being written by quantum physics and the splitting of the atom. Now we know that reality is textured and fissured in complicated, sometimes incomprehensible ways: to continue to see colours as colours not frequencies, to see this table as solid and not a buzzing mass of particles, these could be said to be wishes for the world to remain stable and meaningful despite the strict testimony of science.

Science and philosophy have to take into account the experiential, the phenomenological. In order to function in the world we make leaps beyond what science can now prove: this is not wish-fulfilment, it is being human.

Nor is Religion inflexible. After some resistance (and hasn’t psychoanalysis shown that resistance is a common human quality?) religion has adapted to Copernicus and Evolution. And so it will assimilate Freud’s insights as easily.

3. Is religion hostile to thought? No, says Pfister. On the contrary, his brand of Protestantism encourages freedom of thought whenever possible.

We calm frightened persons who are experiencing a crisis of belief with the assurance that God loves the sincere doubter and that a belief made more secure through thought is more valuable than one which has simply been taken over and taught.

Contrary to Freud’s claim that religion has stifled thought, consider the great thinkers who were Christians. Descartes, Newton, Faraday, Pasteur, Leibnitz, Pascal, Lincoln, Gladstone, Bismarck, Kant, Hegel, Goethe et al were all Christians; did belief stop them from thinking new and original thoughts? No. Look at Einstein who, through brilliant scientific achievement, has come to believe that the universe has a design.

4. Freud claims that religion has held the field for thousands of years as a civiliser of mankind and look at the mess we’re still in, so now – says Freud – it’s Science’s turn. Pfister agrees that there is much to abhor in the contemporary world. But it is just silly to blame religion for this. Religion is and always has been: ‘not a police force that conserves, but a leader and beacon toward true civilization from our sham civilization.’

Religion should bring forth the greatest achievements in art and science; should fill the lives of all people, even the poorest, with the greatest treasures of truth, beauty and love; should help to overcome the real stresses of life; should pave the way for new, more substantive and genuine forms of social life, and thus call into being a higher, inwardly richer humanity, which corresponds more closely to the true claims of human nature and of ethics than our much-praised uncivilisation.

Pfister then moves on to the offensive to attack Freud’s scientism (defined as ‘the belief that science and the scientific method are the best or only way to render truth about the world and reality’). Freud (optimistically) writes that Science will steadily reveal the truth of the world to us and that the advance of intellect will in time reconcile us to the hard facts of existence.

We believe that it is possible for scientific work to gain some knowledge about the reality of the world by means of which we can increase our power and in accordance with which we can arrange our life.
(The Future of an Illusion)

Pfister replies that this vision is breath-takingly naive. Freud sidesteps all the epistemological questions which have dogged science, questions about the ‘reality’ of the outside world on which we conduct our experiments, and the nature of the knowledge we acquire about it.

On the one hand Freud’s naive faith in the reality of external appearances has been hugely undermined by recent (1920s) science, which has consisted precisely in dissolving appearances: optics dissolves colour into frequencies, physics dissolves solids into whirling worlds of atoms, and atoms themselves disappear into smaller entities which are both particles and waves, at the same time. So Pfister accuses Freud of being a philosophical novice:

Natural science without metaphysics doesn’t exist. The world is accessible to us only through our intellectual make-up and not through the senses alone. Our categories of thought, whether one considers them according to Kant’s method or some other way, always play a part. Therefore we must engage in criticism of knowledge. We need concepts like cause and effect, although they have been discovered to have their origins in anthropomorphisms, we need molecules and atoms [though they are now realised to be artificial constructs]. Even the measuring and weighing has to do with abstractions for numerical concepts are, like all concepts, abstract. Philosophy, which begins as soon as experience ends, extends into the empirical sciences and whoever doesn’t seriously come to grips with philosophical problems will do so in an amateur confused way.

So, according to Pfister: 1) Freud’s deliberate ignorance of philosophy seriously undermines his understanding of what science is and how it proceeds. But 2) given that Freud’s ‘science’ is a rather simple-minded, uncritical concept, how can we believe Freud’s predictions of a future world ruled by it?

Thus I don’t know through Freud’s generally accessible concept of science how far knowledge extends, what degree of reliability it can establish and what opportunities are allotted to it. How can I know if the extension of power through knowledge means an increase in happiness for humanity?….

Is it unthinkable that a civilisation that is guided only by science will succumb to wild passions after the World War has revealed to us the barbarism lurking in the depths of nations? Has it been settled so definitely that progress in the sciences until now has increased the sum total of human joy in life? Is it certain that we are happier than we were 100 years ago? What will become of the most beautiful characteristics of technology when they are forced into the service of the inhuman hunger for money, of human cruelty, of inhuman dissipation?

(Very prophetic in the light of the uses science was shortly to be put to in the Soviet Union, in Nazi Germany, and in the countries who developed and dropped the atomic bomb.)

Pfister then delivers a sustained assault on the implications of Freud’s narrow scientism: human beings are not just thinking machines, they make and feel and judge. Setting up rational Science as the great shibboleth is throwing out everything which makes human existence glorious and humane: the great achievements in art, in poetry, in philosophy, in architecture; the entire realm of aesthetics and the judgement of beauty; the realm of ethics which must guide us through all the decisions of a lifetime.

Freud seems to think that knowing something gives us control over it and that therefore Science will provide the rational mind with everything it needs to rule its life. This is a demonstrably silly idea. What’s more, it is subverted by the very discoveries Freud himself has made about the vast amount of human behaviour which is subject to irrational determination, to unconscious motivation.

For Pfister Religion, not Science, offers the best means of overcoming these instinctual drives and determinants, of arriving at the full freedom and self-determination offered by Jesus.

A positivistic Science such as Freud promotes cannot begin to offer the foundations for morality, for art, for any sensible guidance on how to live our lives. Psychoanalysis can restore the overdetermined subject to his or her proper autonomy, but the big decisions in life still lay all before them and science alone is nowhere nearly enough of a guide.

Conclusion

Pfister summarises his case: Isn’t Freud’s scientism every bit as much of a wish-fulfilment, of an illusion, as the simple-minded version of faith he ascribes to religious believers?

Freud’s airy visions of the future triumph of his vague, ill-defined ‘Science’ are a limp wish next to the solidity of the science of the human heart which he has developed. And Pfister delivers his punchline: In his social and religious writings, then, Freud is labouring under ‘the illusion of a future’ i.e. a naive, utopian belief in a future where human beings are governed by reason and science – as obvious a wish-fantasy as anything Freud attributes to believers.

3. Psychoanalysis and Faith: The Letters of Sigmund Freud and Oskar Pfister

Oskar Pfister was a Swiss pastor who was introduced to Freud’s writings by Jung in 1909. Freud and Pfister exchanged letters between 1909 and 1937.

Pfister – born in 1873, the same year Freud entered University – was the youngest of four sons of a Swiss pastor. His father died when Pfister was three and he was afflicted with a lifelong sense of loss and a search for love. After attending university he trained in theology and took charge of his first congregation in 1902. Repelled by the word-spinning of traditional theology Pfister looked for a more practical way of helping the souls in his charge. When Jung introduced him to Freud’s work in 1909 he became a convert and from that moment never wavered in his belief in the insights and usefulness of psychoanalysis, writing books on technique, pastoral care and pedagogy up to his death in 1956.

When Jung left Freud in 1913 and then the Swiss psychoanalysts rebelled against the founder, Pfister stayed loyal. But Pfister never wavered either from his Christian faith, and in the letters and in the two pamphlets, Future of an Illusion and Illusion of a Future Freud and Pfister carried out a private and public debate about psychoanalysis’s implications for religion. Only some of their correspondence has been published. In among a good deal of chat about books, congresses and the spread of the Psychoanalytic Movement there are exchanges on religion. Here are some highlights:

Pfister sends Freud an outline of how he treats adolescents. Freud says analysis consists in two stages: the release of tension and the sublimation of instinctual drives. To release tension in his patients is relatively easy and helped, Freud says, by their irreligion and by the analyst’s openness to sexuality. Freud says Pfister is lucky to have religion to help him with the second part of the process.

Freud: ‘In itself, psychoanalysis is neither religious nor non-religious but an impartial tool which both priest and layman can use in the service of the sufferer.’

Pfister says there’s little difference between them in views on sexual morality. The Reformation was, after all, an analysis of Catholic sexual repression, imperfectly carried through. Pfister sees himself now at the forefront of a further evangelical movement towards the liberation of love. He is working for better education, better social conditions, a healthier moral outlook.

Freud agrees with the description of himself as ‘a sexual protestant’.

Freud ironically asks why none of the pious discovered psychoanalysis, why was it left to a godless Jew? Pfister replies that he doesn’t regard Freud as a Jew at all, but in his emphasis on the healing power of love, says of Freud, ‘A truer Christian never was.’ Anna Freud interpreted this as Pfister’s inability to accept Freud’s militant atheism. But then, Anna would say that. You can read Pfister’s Illusion of a Future as a (persuasive) attempt to incorporate Freud into a Christian tradition of love.

Pfister quotes Plato to Freud: ‘The art of healing is knowledge of the body’s loves and he who is able to distinguish between the good and bad kinds, and is able to bring about a change, so that the body acquires one kind of love instead of the other, and is able to impart love to those in whom there is none is the best physicians.’

Freud perceptively points out that psychoanalysis can only catch on in Protestant countries. No surprise that its first foreign conquest was Protestant Switzerland, with son-of-a-pastor Jung and son-of-a-pastor Pfister. Whereas it had hardly made any headway in arch-Catholic Austria. Cf Protestant England where it caught on up to a point, and Puritan America, where it became wildly popular.

Pfister critiques The Future of an Illusion by saying it is too simplistic. If there are contradictions in the religious world-view, why doesn’t Freud refer to the many theologians who have attempted new syntheses?

‘Your substitute for religion is basically the idea of 18th century Enlightenment in proud modern guise.’

How awful if the aim of Freud’s therapy is to bring people into ‘the dreadful icy desolation’ of a godless stoicism. Pfister, by contrast, tries to bring people through therapy to a love of life, a life of love.

Freud replies by saying that he wrote Future of an Illusion as his own opinion; his personal views on religion form no essential part of psychoanalysis (shrewd politics here, from Freud). The book only really contains one argument: religion is a means of sublimating instinctual drives; it is wish-fulfilment.

Freud regards the icy waste of atheism as beyond the reach of most analysands; most will have to sublimate their needs into higher forms – art, religion etc. (Note the implication that Freud’s atheism is in some sense heroic, beyond the reach of most mortals).

Pfister suggests that Freud’s militant atheism is due to his having been brought up round arch-Catholics (not least his Catholic nurse, who terrified the infant Freud with visions of hell and was then sacked for theft, leaving him with an indelibly poor opinion of Catholics).

Pfister assures Freud that Freud’s great god Science is just as full of contradictions as Religion and, what’s worse, it’s continually changing. Moreover, look at the great minds who have been believers – a counterthrust to Freud who had said, ‘Look at the great minds who have been twisted and distorted by religious repression’.

Freud says his one big argument against religion is, ‘How the devil do you reconcile all that we experience and have to expect in this world with your assumption of a moral world order?’ It is a restatement of the age-old, single biggest objection to belief in a caring God, the so-called Problem of Pain. Freud writes:

I do not know if you have detected the secret link between the Lay Analysis and the Illusion. In the former I wish to protect analysis from the doctors and in the latter from the priests. I should like to hand it over to a profession which does not yet exist, a profession of lay curers of souls who need not be doctors and should not be priests.

Pfister replies that it’s wrong to forbid priests to practice psychoanalysis. Psychoanalysis purifies and refines art, philosophy and religion.

Freud: The essence of religion is the pious illusion of a providence and a moral world order, which are in conflict with reason. It becomes clear that Freud’s Number One problem is with the idea of a divine Providence ruling over everything and ensuring its followers peace, health and happiness. For him, this simply does not exist and people who pretend it does are giving in to infantile wishes. Ethics are not based on an external world order but on the inescapable exigencies of human existence.

On receiving a copy of Civilisation and its Discontents Pfister says: Freud is a biological conservative, Pfister a biological progressive. In the biological theory of evolution Pfister sees a progression upwards. Pfister reads Freud’s concept of the Death Drive, Thanatos, as not an instinct but a slackening of the master life-force, Eros. Civilisation aspires upwards.

Freud thinks Mind is special. But, at the end of the day, it is only an infinitesimally small part of Nature. Would Nature really miss ‘Mind’ if it was snuffed out? Only if you argue that Mind is the point, the purpose of Nature i.e. that the world was created as a garden for mankind, either in Christian or Jewish or Muslim belief. Freud looks coldly at the evidence and thinks such a belief is childish.

Pfister tells Freud that just because the ego-ideal (i.e. the ‘conscience’) may be based on an introjection of parental demands doesn’t diminish its value. Just because Freud demonstrates how even the highest products of the mind develop from the basest instincts doesn’t invalidate those highest products – art, religion, morality – in their own terms.

Morality is vital to physical and psychological health. Immoralism leads to anarchy and unhappiness. Morality is a kind of mental hygiene; it seems designed to keep mankind well. Pfister tries to persuade Freud that he himself lives a deeply moral, kind and loving life, despite all his attempts to deny it.

Right to the end of their correspondence, Pfister and Freud seem to be talking at cross-purposes, arguing past each other.

Thoughts

The difference between the two thinkers is they start from different premises. Freud has the panoramic view and Pfister the humanistic. Freud’s imagination roams across all of human history and across all the modern world. Makes you suspect that there is something in the panoramic imagination which predisposes a person to finding the miserable and the wretched aspects of human existence.

On the other hand Pfister, starting from the wishes and desires of the individual, our need for love, our creativity and imagination, produces a far more optimistic world-view.

Maybe all people who view human beings sub specie aeternitatis – possibly the great majority of scholars and intellectuals – are drawn to a pessimistic view,  whereas particularists, people interested in the trials and triumphs of the individual, tend towards a more optimistic view of life. Take the striking example of Bruno Bettelheim who went through Auschwitz but retained a faith in the improvability of ‘the informed heart’.

4. A religious experience (1927)

This an exchange of letters between Freud and an American doctor in 1927.

In the autumn of 1927 G.S Viereck, a German-American journalist who had paid me a welcome visit, published an account of a conversation with me, in the course of which he mentioned my lack of religious faith and my indifference on the subject of survival after death. This ‘interview’ as it was called, was widely read and brought me, among others, the following letter from an American physician:

“… What struck me most was your answer to the question whether you believe in a survival of the personality after death. You are reported as having said: I give no thought to the matter. I am writing now to tell you of an experience that I had in the year I graduated at the university of X.

“One afternoon while I was passing through the dissecting room my attention was attracted to a sweet-faced dear old woman who was being carried to the dissecting-table. This sweet-faced woman made such an impression on me that a thought flashed up in my mind: There is no God; if there were a God he would not have allowed this dear old woman to be brought into the dissecting room.

“When I got home that afternoon the feeling I had had at the sight in the dissecting-room had determined me to discontinue going to church. The doctrines of Christianity had before this been the subject of doubts in my mind. While I was meditating on this matter a voice spoke to my soul that ‘I should consider the step I was about to take’. My spirit replied to this inner voice by saying, ‘If I knew of a certainty that Christianity was truth and the Bible was the Word of God, then I should accept it.’

“In the course of the next few days God made it clear to my soul that the Bible was His Word, that the teachings about Jesus Christ were true, and that Jesus was our only hope. After such a clear revelation I accepted the Bible as God’s Word and Jesus Christ as my personal Saviour. Since then God has revealed Himself to me by many infallible proofs. I beg you as a brother physician to give thought to this most important matter, and I can assure you, if you look into this subject with an open mind, God will reveal the truth to your soul, as He did to me and to multitudes of others.”

I sent a polite answer, saying that I was glad to hear that this experience had enabled him to retain his faith. As for myself, God had not done so much for me. He had never allowed me to hear an inner voice; and if, in view of my age, he did not make haste, it would not be my fault if I remained to the end of my life what I now was – an infidel Jew.

In the course of a friendly reply, my colleague gave me an assurance that being a Jew was not an obstacle in the pathway to true faith and proved this by several instances. His letter culminated in the information that prayers were being earnestly addressed to God that he might grant me faith to believe.

I am still awaiting the outcome of this intercession. In the meantime my colleague’s religious experience provides food for thought. It seems to me to demand some attempt at an interpretation based upon emotional motives; for his experience is puzzling in itself and is based on particularly bad logic. God, as we know, allows horrors to take place of a kind very different from the removal to a dissecting-room of the dead body of a pleasant-looking old woman. This has been true at all times and it must have been so while my American colleague was pursuing his studies. Nor, as a medical student, can he have been so sheltered from the world as to have known nothing of such evils. Why was it, then, that his indignation against God broke out precisely when he received this particular impression in the dissecting-room?

For anyone who is accustomed to regard men’s internal experiences and actions analytically the explanation is very obvious – so obvious that it actually crept into my recollections of the facts themselves. Once, when I was referring to my pious colleague’s letter in the course of a discussion, I spoke of his having written that the dead woman’s face had reminded him of his own mother. In fact these words were not in the letter, and a moment’s reflection will show that they could not possibly have been. But that is the explanation irresistibly forced on us by his affectionately phrased description of the ‘sweet-faced dear old woman’. Thus the weakness of judgement displayed by the young doctor is to be accounted for by the emotion roused in him by the memory of his mother. It is difficult to escape from the bad psychoanalytic habit of bringing forward as evidence details which also allow of more superficial explanations – and I am tempted to recall the fact that my colleague addressed me as a ‘brother-physician’.

We may suppose, therefore, that this was the way in which things happened. The sight of a woman’s dead body, naked or on the point of being stripped, reminded the young man of his mother. It roused in him a longing for his mother which sprang from his Oedipus Complex, and this was immediately completed by a feeling of indignation against his father. His ideas of ‘father’ and ‘God’ had not yet become widely separated; so that his desire to destroy his father could become conscious as doubt in the existence of God and could seek to justify itself in the eyes of reason as indignation about the ill-treatment of a mother-object. It is, of course, very natural for a child to regard what his father does to his mother in sexual intercourse as ill-treatment. The new impulse, which was displaced into the sphere of religion, was only a repetition of the Oedipus situation and consequently soon met with a similar fate. It succumbed to a powerful opposing current. During the actual conflict the level of displacement was not maintained: there is no mention of arguments in justification of God, nor are we told what the infallible signs were by which God proved his existence to the doubter. The conflict seems to have been unfolded in the form of a hallucinatory psychosis: inner voices were heard which uttered warnings against resistance to God. But the outcome of the struggle was displayed once again in the sphere of religion and it was of a kind predetermined by the outcome of the Oedipus complex: complete submission to the will of God the Father. The young man became a believer and accepted everything he had been taught since his childhood about God and Jesus Christ. He had had a religious experience and had undergone a conversion.

All of this is so straightforward that we wonder whether this case throws any light on the psychology of conversion in general. Our case does not contradict the views arrived at on the subject by modern research. The point it throws into relief is the manner in which the conversion was attached to a particular determining event, which caused the subject’s scepticism to flare up for a last time before being finally extinguished.

This is an excellent example of Freud’s technique of rewriting or over-writing other people’s experiences and beliefs in terms of his own theory. Some patients found and still find it liberating. Others have found it authoritarian and oppressive.


Credit

The history of the translation of Freud’s many works into English forms a complicated subject in its own right. Freud’s works quoted here were translated into English as part of The Standard Edition of the Complete Psychological Works of Sigmund Freud, published throughout the 1950s and into the early 1960s. My quotes are taken from the versions which were included in the relevant volumes of the Pelican Freud Library, published in the 1980s. ‘The Future of an Illusion’ is in volume 12.

I read ‘The Illusion of a Future’ in The International Journal of Psychoanalysis, Volume 74, part 3 (1993), in a translation by Susan Abrams, as edited by Paul Roazen. I can’t remember where the short text ‘A religious experience’ comes from. I’ll add an update when I find the source.

Freud and religion reading list

  • Three Essays on the Theory of Sexuality (1905)
  • Obsessive Actions and Religious Practices (1907)
  • Totem and Taboo (1913)
  • On Transience (1915)
  • A Seventeenth Century Demonological Neurosis (1923)
  • The Future of An Illusion (1927)
  • Civilisation and Its Discontents (1930)
  • Group Psychology (1930)
  • Question of a Weltanschauung (1933)
  • Moses and Monotheism (1939)
  • Freud, A Life For Our Times by Peter Gay (1988)

More Freud reviews

Nacht und Träume by Samuel Beckett (1983)

Nacht und Träume (German for Night and Dreams) is the last television play written and directed by Samuel Beckett. It was written in English in mid-1982 for the German TV channel Süddeutscher Rundfunk, recorded in October 1982 and broadcast on 19 May 1983.

Wordless

Beckett had run out of words, but all is not silence. Although for only a fraction of the time, although only intermittently, the viewer hears the sound of a male voice softly humming, then singing, the last seven bars of Franz Schubert’s song Nacht und Träume and a fragment of the song’s lyrics, ‘Holde Träume, kehret wieder!’ (‘Sweet dreams, come back’). Schubert was one of Beckett’s favourite composers, and this was one of Beckett’s favourite songs.

By this late stage of his career, Beckett aficionados knew that this kind late work would probably dispense with character, plot, realistic setting and all the other conventions of theatre or drama. Instead, it’s better to think about the production as composed from basic elements, or elements of stagecraft reduced to a bare minimum (like the spotlight on the talking mouth in Not I), to the bare minimum of lighting, movement and gesture.

In many respects the late plays or playlets (because they’re generally so short) are more like abstract modernist sculptures except sculptures which exist in time. In his last period Beckett was far more interested in the precision and timing of gestures, movements, lighting effects, than anything remotely resembling character or plot or psychology.

With no characters and no dialogue and no real action, the text for the production really consists of technical instructions. Beckett lists five elements: evening light, the dreamer (A), his dreamt self (B), a pair of dreamt hands and the last seven bars of Schubert’s lied (German for classical art song, pronounced leedt). In fact, they’re so short, why not share the entire text of the instructions?

Full text

Elements

Evening light.
Dreamer (A).
His dreamt self (B).
Dreamt hands R (right) and L (left).
Last 7 bars of Schubert’s Lied, Nacht und Träume.

  1. Fade up on a dark empty room lit only by evening light from a window set high in back wall.
    Left foreground, faintly lit, a man seated at a table.
    Right profile, head bowed, grey hair, hands resting on table.
    Clearly visible only head and hands and section of table on which they rest.
  2. Softly hummed, male voice, last 7 bars of Schubert’s Lied, Nacht und Träume
  3. Fade out evening light.
  4. Softly sung, with words, last 3 bars of Lied beginning ‘Holde Träume…’
  5. Fade down A as he bows his head further to rest on hands. Thus minimally lit he remains just visible throughout dream as first viewed.
  6. A dreams. Fade up on B on an invisible podium about 4 feet above floor level, middle ground, well right of centre. He is seated at a table in the same posture as A dreaming, bowed head resting on hands, but left profile faintly lit by kinder light than A’s.
  7. From dark beyond and above B’s head L appears and rests gently on it.
  8. B raises his head, L withdraws and disappears.
  9. From same dark R appears with a cup, conveys it gently to B’s lips. B drinks, R disappears.
  10. R reappears with a cloth, wipes gently B’s brow, disappears with cloth.
  11. B raises his head further to gaze up at invisible face.
  12. B raises his right hand, still gazing up , and holds it raised palm upward.
  13. R reappears and rests gently on B ‘s right hand, B still gazing up.
  14. B transfers gaze to joined hands.
  15. B raises his left hand and rests it on joined hands.
  16. Together hands sink to table and on them B’s head.
  17. L reappears and rests gently on B’s head.
  18. Fade out dream.
  19. Fade up A and evening light.
  20. A raises head to its opening position.
  21. Lied as before (2).
  22. Fade out evening light.
  23. Close of Lied as before (4).
  24. Fade down A as before (5).
  25. A dreams. Fade up on B as before (6).
  26. Move in slowly to close-up of B, losing A.
  27. Dream as before (7 to 16) in close-up and slower motion.
  28. Withdraw slowly to opening viewpoint, recovering A.
  29. Fade out dream.
  30. Fade out A.

The action

The action begins with a dreamer sitting alone in a dark empty room, his hands resting on the table before him. He is on the left of the screen and we see his right profile. A male voice hums the last seven bars of the Schubert lied. Then, as we hear the same section sung again, the man rests his head on his hands and the light fades until the words ‘Holde Träume’ at which point the light fades up on the man’s dreamt self who is seated on an invisible podium four feet higher and well to the right of him. We see the dreamed man’s left profile, a mirror image of his waking self. The dreamed self is shown in what the directions describe as a ‘kinder light’. The dreamer is still faintly visible throughout though.

A left hand appears out of the darkness and gently rests on B. As the man raises his head it withdraws. The right hand appears with a cup from which B drinks. The right hand vanishes and then reappears to gently wipe the dreamed man’s brow with a cloth. Then it disappears again.

B raises his head to gaze upon the invisible face and holds out his right hand, palm upward. The bodiless right hand returns and rests on B’s right hand. He looks at the two hands together and adds his left hand. Together the three hands sink to the table and B rests his head on them. Finally the left hand comes out of the darkness and rests gently on B’s head.

The dream fades as A awakens but, as in so many Beckett plays, the entire sequence is then repeated – the music is replayed and the sequence recurs, only this time ‘in close-up and slower motion’.

After this repeat, the camera pulls back, leaving us with the image of A ‘recovering’ before the two visual zones fade out, first the dream space on the right, and then the original image of A at his table.

Themes

A number of things are obvious.

1. Wordless It is wordless, and so linked to Beckett’s several mimes from the 1960s. Lacking character, plot or dialogue the ‘play’ relies entirely upon the visual effects and, to a lesser extent, on the few moments of fragmentary music…

2. Personless A and B are almost the last in a long line of Beckett personages who have been deprived of names or identities and reduced to letters, literally to cyphers, algebraic notations rather than people, since at least Rough For Theatre I and II (c.1960) which both feature characters labelled simply A and B, or Play (1963) which features personages referred to simply as M, W1 and W2.

3. Moving It is sad and sombre and moving. A is an old man, moving in slow motion, requiring care. Having read the Beckett biography I know that he spent a lot of time caring for his ailing mother in her last years, and then being with his elder brother Frank during his final illness. Beckett had done a lot of lifting cups to weak lips, stroking the hair of the ill, resting hands together.

4. Repetition Repetition is Beckett’s key strategy at a meta level many of his pieces take place in a first part, and then are repeated, generally with deterioration, in the second. Classic examples are Waiting For Godot and Happy Days, but also the less well-known Play and Quad, part two of the latter, in particular, repeating part one only more slowly and in black and white. Same here. Life is repetition, over and over, while we wait for the end.

5. Old Master Painting I mentioned sculpture earlier, which is one way of thinking about the late pieces, but probably a more obvious analogy is painting. The two images, A at his table, B in his separate space, at numerous points appear like Old Master paintings. Biographer James Knowlson made the link with Beckett’s fascination with Albrecht Dürer’s famous etching of praying hands, a reproduction of which hung in his room at Cooldrinagh as a child (as it did in one of my school corridors). Then again, Beckett was a lifelong devotee of Dutch seventeenth century painting with its immaculate depictions of calm, motionless interiors, and something of the almost complete stillness of the simple domestic scene possibly invokes them…

6. Consolation Freud wrote in a letter that he was unable to give his patients the one thing which, deep down, they all wanted, which was consolation. Similarly, Beckett made a career out of depicting a comfortless universe or, more precisely, the inside of minds which have collapsed, which can barely sustain a narrative of any kind let alone one which provides any kind of comfort.

But all that said, the helping hands which are offered to B, well they are very powerful images of comfort and consolation. When the three hands are conjoined and B lays his head on them, well, there could hardly be a more moving image of support and basic human comfort.

7. Christian imagery The way the figure of A appears behind a screen, the notion of a screen itself, recalls countless big Christian paintings from the Western tradition, and the image of a chalice, cloth and comforting hand are core Christian iconography. Astonishingly, the English cameraman who worked on the German TV production, Jim Lewis, said that:

…at the moment when the drops of perspiration are wiped from the brow of the character, Beckett simply said that the cloth alluded to the veil that Veronica used to wipe the brow of Jesus on the Way of the Cross. The imprint of Christ’s face remains on the cloth.

Wow. This is an astonishing reversion on Beckett’s part to the core Christian iconography of his boyhood in a God-fearing, church attending Protestant household. Why? Well, one interpretation is that it lay to hand. The Wikipedia article on the play quotes Beckett telling actor Colin Duckworth:

Christianity is a mythology with which I am perfectly familiar, so I naturally use it.

The artist works with what he or she has to hand. In theory, this doesn’t mean he or she endorses, the narrative structures, iconography and imagery provide raw materials to work with, clay to be shaped, metal fragments to be arranged into post-modern abstract sculpture.

Yes, but despite all that, it still feels mighty religious, doesn’t it? It feels like an image of hope.

But then again, the way the music appears only as fragments, lost forlorn fragments of an abandoned or ruined civilisation, and the way the action is mechanically repeated with a strong suggestion of steady entropy and decay, those are emphatically not images of hope.

Therefore, we can observe a simple tension between the structure of degradation and decay, against which silent images of consolation are set. A dynamic tension or interaction.

TV production

As far as I can tell, this is the original German TV production. Haunting, though, as so much late Beckett is haunting, is a matter of ghosts and ghostly memories.

Thoughts

Once again I am struck by the contrast, or contradiction, between the way Beckett has evolved a highly avant-garde, experimental, out-on-the-edge approach to a theatrical production, to creating productions which aren’t really plays in any meaningful sense – and the way that what content you can make out is surprisingly old fashioned, conservative. Schubert and Christian imagery, both have been twisted and mashed into something utterly weird and strange, and yet Schubert and Durer are almost as traditional and old school as you can imagine.

As it happens I’ve recently been reading cyberpunk novels by William Gibson, and Gibson’s work just seems to come from another world, a world where there is absolutely no concern or acknowledgement of Western culture, or Christianity, or the classics or icons of either, an internationalised consumer world of shiny chrome surfaces and hi-tech digital gadgets.

The comparison really brings out how Beckett, for all his hyper-modernism, for all his ostensible rejection of it, nonetheless, at his core, derives from an old, conservative, deeply Christian, highly traditional view of Western culture – a slow, sombre, reverential, poignant quality that Nacht und Träume, probably more than any other of his works, feels soaked in.


Related link

Samuel Beckett’s works

An asterisk indicates that a work was included in the Beckett on Film project, which set out to make films of all 19 of Beckett’s stage plays using leading actors and directors. The set of 19 films was released in 2002 and most of them can be watched on YouTube.

The Second World War 1939 to 1945

*Waiting For Godot 1953 Play

Awarded the Nobel Prize for Literature 1969

A Monarchy Transformed: Britain 1603 to 1714 by Mark Kishlansky (1996) 7. James II and the Glorious Revolution

Because King Charles II died in February 1685 without a son and heir – without, in fact, any legitimate children from his marriage to Catherine of Braganza – the throne passed automatically to his brother, James Duke of York, who ascended the throne as King James II.

Catholic

James was a professed Roman Catholic and a zealous reformer. He wished to lift the multiple legal restrictions which had been placed on his fellow Catholics and, as a balancing gesture, to lift legal constraints on the Puritans and non-conforming Protestant sects. However, within three short years he managed to alienate almost every party and profession in the country, and especially the powerful Whig politicians.

The seven bishops

The crisis came to a head over two big issues. First James made the error of trying seven Anglican bishops for seditious libel. To be precise, in April 1688, encouraged by the Quaker leader William Penn with whom he had struck up an unlikely friendship, James re-issued the Declaration of Indulgence first promulgated by his brother, and ordered Anglican clergy to read it in their churches.

When seven Bishops, including the Archbishop of Canterbury, submitted a petition asking the king to reconsider this request, they were arrested and tried for seditious libel, the trial taking place in June 1688. This looked like a full-frontal attack on the Church of England which was, by now, central to almost everybody’s concept of the English political system.

A Catholic son

Secondly, his Catholic wife, Mary of Modena, who he had married in 1673, bore him a Catholic son and heir, James Francis Edward, on 10 June 1688. Now, when James’s only possible successors had been his own two Protestant daughters – Mary and Anne – from his first marriage to Anne Hyde (who had died in in 1671) most Anglicans could put up with James’s pro-Catholic policies in the belief that they were a temporary aberration from what was essentially a Protestant succession. But the young prince’s birth at a stroke made it seem likely that Britain would become a Catholic dynasty and that the unpopular religious policies James was ramming through would become permanent. All kinds of former loyalists began to think again.

The supposititious child

And so did the people. Rumours quickly spread about the baby, irrational sometimes hysterical rumours, the most lurid of which was that the baby proclaimed as the Prince of Wales hadn’t been born to Mary of Modena. The rumour went that the royal couple’s actual baby had been stillborn and so a new baby was smuggled into the Palace in a warming pan, purely to satisfy Jame’s dynastic ambitions. It doesn’t make sense, but it can be seen as a fairly simple piece of wish fulfilment: people just didn’t want it to be true that James had sired a Catholic heir.

Prince William

Channels of communication between English Parliamentarians and nobles who opposed James and the solidly Protestant William, Prince of Orange (a state of the Netherlands) had been open since the 1670s. William was in fact the grandson of Charles I, being the son of Charles’s daughter, Mary and so, before the birth of the baby, had been third in line to the throne. And he had himself married his cousin, James II’s daughter by from his first marriage, another Mary who – until the baby was born – had herself been first in line to the throne. In other words William had close blood ties twice over to the English ruling family. James II was his father-in-law.

For these reasons Protestant William’s position as a possible successor to Charles II, instead of Catholic James, had been widely canvased among Whig politicians during the Exclusion Crisis of 1679-81. In the event the crown passed peacefully in 1685 to James but, as he alienated more and more sectors of British society, William’s name began to reappear in political conversations – not as a direct replacement, but maybe as some kind of regent or protector, nobody was quite sure what.

William the defender

What Kishlansky’s account brings out is that William was totally aware of all these developments in England and their implications for him. And not just for himself, but for his country. Since he turned of age William had played a key role in the Netherlands’ ongoing resistance to King Louis XIV of France’s ambitions to seize its territory. From the Exclusion Crisis onwards he was alert to the possibility that England, with its great wealth, its army and its powerful navy, might, in some form, come under his control. But how? What form would it take?

Thus William had well-placed spies and ambassadors in London who not only kept him informed of events but acted as propagandists for his cause, promoting him as a defender of Protestantism and traditional English liberties against the Francophile, Catholic James.

The Immortal Seven

All these tendencies crystallised in the sending of a letter to William, on 30 June 1688, jointly signed by a group of seven Protestant nobles and clerics which invited the Prince of Orange to come to England with an army. In fact William and the dissidents had been discussing what constitutional or legal forms could be used to justify his invasion since April the previous year. The letter of invitation wasn’t a spontaneous gesture but a carefully calculated contrivance agreed by both sides.

The letter

The letter asked William, who was a nephew and son-in-law of James II, to use military intervention to force the king to make his eldest daughter, Mary, William’s Protestant wife, his heir. The letter alleged that the newborn prince was an impostor. The letter told William that if he landed in England with a small army, the signatories and their allies would rise up and support him. The Invitation reprised the grievances against King James and repeated the widely held claim that the king’s son was ‘supposititious’ (the technical term for fraudulently substituted). The letter then went on to give advice about the logistics of the proposed landing of troops.

The courier

It was symbolic of the widespread disaffection throughout the English military and navy that the message was carried to William in The Hague not by a spy or diplomat but by Rear-Admiral Arthur Herbert (the later Lord Torrington) disguised as a common sailor, and identified by a secret code. It was also importantly symbolic that the seven signatories (who became known as ‘the Immortal Seven’) were not all dyed-in-the-wool opponents: five were Whigs, but two were Tories, traditionally the party of the Court.

Louis offers help

By September it had become clear that William planned to accept the invitation and to ‘invade’ England. Louis XIV could see this, too, and he offered James French support, but James a) thought his own army would suffice b) didn’t want to become even more unpopular by inviting French Catholic troops onto English soil. He also c) couldn’t believe that his own daughter, Mary, would conspire against him.

Defections

What he hadn’t anticipated was that when William did finally arrive with his Dutch army, landing at Brixham in Devon on 5 November 1688, many Protestant officers would defect from his army and join William, as did James’s younger, unmarried daughter, Anne.

James runs away

James had joined his army in Salisbury preparatory to marching south-west to engage William who had made his base at Exeter but, as key commanders and their troops defected, he lost his nerve and took horse back to London. On 11 December James tried to flee to France, first throwing the Great Seal of the Realm into the River Thames. He was captured by local fishermen in Kent hunting for just such fleeing Catholic priests and officials, but released and placed under Dutch protective guard. But William didn’t want to try or officially dethrone James, that would cause all kinds of complications and remind everyone of the execution of Charles I – it was much more convenient to occupy a throne which had been vacated – in other words to create the convenient fiction that James had abdicated of his own free will.

And so William let James escape on 23 December and take ship to France, where he was received by his cousin and ally, Louis XIV, who offered him a palace and a pension.

James’s Catholic crusade

What Kishlansky’s relatively brief chapter on James’s reign brings out, that I’d forgotten, is the astonishing speed and thoroughness with which James tried to recatholicise England.

The Duke of Monmouth’s rebellion

In 1685, soon after Charles’s death, James’s opponents in exile conceived a large-scale invasion of Britain, with a landing in Scotland to raise Protestants who had suffered under the Stuarts, and one in the West Country. The Scottish rising under the Earl of Argyll failed to materialise but Charles II’s oldest and most charismatic son, James Duke of Monmouth, landed in the West Country and raised a large army which gathered support as it marched towards Bristol. James dispatched an army to the West of England which massacred the rebel army at the Battle of Sedgmoor on 6 July 1685. But what Kishlansky emphasises is that James ensured that as many officers as possible in the winning army were Catholics.

It’s a stock A-level history question to ask why the English establishment and army gave James their full support when he crushed the Monmouth rebellion in the summer of 1685 and yet just three years later, abandoned him in droves and let him be overthrown?

Recatholicising policies

The answer is simple. In the summer of 1685 the nation as a whole didn’t yet know what to expect from James, but three short years later, they had learned the scale and thoroughness of his Catholicising ambitions. Just some among James’s many recatholicising policies include that he:

  • allowed the creation of Catholic seminaries in London, sent a message to the pope and supported newly-established Catholic presses in London and Oxford
  • set priests to convert his leading ministers and daughter Anne and sent one to convert Mary in the Netherlands
  • replaced half the royal judges with Catholics
  • appointed four Catholics to the Privy Council and composed an inner council including his Jesuit confessor
  • this council set about trying to retire JPs across the land and replace them with Catholics
  • Catholic officers were drafted into the militia and into the standing army
  • the two universities had Catholic officials imposed on them and when the fellows of Magdelen College Oxford refused to accept a Catholic warden, he had them all sacked and replaced with Catholics
  • he sent the Catholic Tyrconnell to be lieutenant-general of the Irish army and he immediately set about purging the army of Protestants; hundreds of Protestant gentry fled
  • insisted the bishops restrain anti-Catholic preaching by vicars under their charge, and set up a commission to charge Anglican officials who didn’t carry this out

All this by the end of 1686. In 1687:

  • London was stripped of Anglican aldermen, militia captains and members of livery companies
  • all Lords Lieutenant were issued three questions to ask potential JPs which required the latter to support repeal of the Test Acts

The Dissenters do not rally to James

Throughout his aggressive recatholicisation, James had hoped that the many Dissenters and Non-conformists who had been persecuted under Charles’s long reign would welcome change and religious toleration. But they didn’t. The Dissenters James was counting on to help him remained largely silent. He underestimated the strength of their enmity to Catholicism, with its devotion to a foreign pope and its overtones of political absolutism.

The Anglicans are tired of James

James also took it for granted that his Anglican subjects would passively obey him, and so they did, to begin with… but ultimately he miscalculated the extent of their tolerance, building up reservoirs of opposition at every level of the political system.

James tries to engineer a supportive Parliament

Then, in November 1687, the public learned that Mary of Modena was pregnant. James redoubled efforts to set up a compliant parliament by sending commissioners to check the loyalist character of its electors around the country. More Tories were put out of their seats and replaced with Catholics or dissenters. He used whatever expedients he and his ministers could devise to ensure the selection of a parliament compliant to the recatholicising project.

The Declaration of Indulgence

So it was against this background that James reissued the Declaration of Indulgence and ordered it to be read in every Anglican pulpit, that the seven bishops petitioned for this order to reconsidered and James, a man in a tearing hurry, had them tried for seditious libel, an extraordinary proceeding. They were acquitted by a London jury.

Considered in this much detail, it’s hard to see James’s policy as anything other than a thorough and concerted attack on the Church of England and Anglican belief at every single level of society.

William the defender

Meanwhile, Kishlansky goes into just as much detail about William of Orange’s position and aims. William, born in 1650, was a Protestant prodigy whose sole aim in life was to protect the Netherlands from the France of Louis XIV. Ever since he had married James II’s daughter, Mary, in 1677, England had played a part in his diplomatic calculations, and Dutch ambassadors and propagandists had been at work for some time presenting himself as a friend, and possibly saviour, of Protestant England.

William’s awareness

He had watched the political crises at the end of Charles II’s reign, the Popish Plot and Exclusion Crisis, with a canny eye, looking for his best advantage. Thus, as he saw James’s government set about alienating everyone in England and important factions in Ireland and Scotland, William was constantly aware of its impact on him and his wife, and on her and his succession to the throne.

The geopolitical threat

The birth of the Prince of Wales not only pushed him and his wife further down the order of succession, it helped to crystallise the real geopolitical threat the Low Countries faced. Louis XIV was again making belligerent noises and informed sources expected him to make a renewed attack on the Netherlands in 1689. Like his brother before him, James was a confirmed Francophile and was actually on the payroll of Louis XIV, who was subsidising his government.

Thus the situation for William was one of cold political realities: he needed to neutralise England by any means necessary in order to avoid an attack not just by France, but France in alliance with England.

William had been in touch for some time with opponents of James’s regime in England who had developed a network of dissidents and gauged the extent of opposition, not just in political circles but, crucially, in the army and navy – and the birth of the Prince of Wales triggered action on both sides.

William suggests the letter

It was William who actively asked the seven leading British political figures to write him a letter and suggesting the subject, making it an invitation to him to come and investigate a) the circumstances of the birth of James’s son and heir and b) to protect English liberties.

Even so it took four long months for William to mount an amphibious landing on England’s shores, and this period was long enough for James to discover what was being planned.

James suddenly reverses direction

In Kishlansky’s account it is almost comic the way that James, suddenly realising how many people he had alienated, set out on a charm offensive to rebuild his reputation. He suddenly announced that no Catholics would be allowed to sit in the upcoming parliament. He restored the bishop he had suspended and abolished the hated Commission for Ecclesiastical Causes. He restored all the Anglican fellows he’s sacked from Magdelen College. He abrogated all the charters on cities and boroughs since 1679, which had the effect of reinstating Tory Anglican mayors, aldermen and councillors. In the counties Tory lords lieutenant and JPs were reinstated.

William of Orange’s declaration

It was too late. In October William published a declaration in which he announced he planned to come to England in order to preserve and maintain the established laws, liberties and customs’ of the nation. Another plank of William’s strategy was to be claiming to defend the hereditary rights of his wife, Mary, as one in line to the throne, by investigating the alleged ‘supposititious’ birth of the Prince of Wales. In other words, his declaration carefully laid out a suite of arguments designed to appeal to Tories and traditionalists.

William’s invasion fleet

William assembled a huge invasion fleet, 500 ships carrying 20,000 of his best soldiers and 5,000 horses. He warned supporters to expect him on the North or West but let himself be guided by the wind which carried him down the Channel (and kept the English fleet in harbour) making landfall at Brixham in Devon on 5 November, an auspicious day for Protestants. It took two weeks to disembark his army which he marched to Exeter.

James’s army

On 17 November James left London for Salisbury where his own army was encamped. On paper he commanded 25,000 men and could expect local militias to supply at least as many again. On paper, it looked like things were heading towards an epic battle to decide the future of England. But there was no battle.

James panics

As soon as he arrived at Salisbury, James’s nerve broke. He suffered from insomnia and nosebleeds. He decided his army wasn’t large enough. Two of his most senior commanders defected. On 23 November he returned to London to discover his other daughter, Anne, had deserted him and gone to the Midlands, where insurgents for William had already taken major towns. His advisers told him to call a parliament and send envoys for peace and to ‘pardon’ William.

Negotiations

On the short wet December days the envoys struggled to make William an offer. William’s Whig advisers weren’t, in fact, that keen for a parliament to be called since they needed to time to assure their support around the country. While these negotiations were stuttering forward, all sides were astonished by the news that James had fled London. His last acts were to officially disband his army, destroy the writs required to summon a Parliament, then he threw the Great Seal into the Thames i.e. James did everything he could to sabotage the machinery of government.

Anti-Catholic riots

When Londoners learned James had fled there was an outbreak of anti-Catholic violence with rioters attacking and burning Catholic chapels. And it was now that James, in disguise, was captured by local fishermen in Kent hunting for just such fleeing Catholic priests and officials. After he was recognised, James returned to London where at least some of the crowd cheered his arrival.

William orders James to leave

William had begun his march on London and he and his supporters were stymied by this sudden reversal in the situation. After pondering all the alternatives, William sent an order to James to vacate the capital within ten hours, and an escort of Dutch guards to assist him to do so and to accompany him to Rochester.

Second time lucky

The great mystery in all of this is why James didn’t stand his ground and rally whatever patriots he could find against what was clearly a foreign invasion. But he didn’t. He meekly went along with the Dutch guard who were given instructions to let him slip away at the first opportunity and now, for the second time, James made an escape to the Kent coast, and this time successfully took ship to France.

What do we do now?

At this point the situation became humorous with the kind of comedy we find in the history of human affairs again and again, because – Nobody knew what to do. The Tories would certainly not have welcomed William’s invasion if they had thought of it as such, as a conquest by a foreign prince. The Whigs were William’s natural supporters but were themselves divided, some saying William should place Mary on the throne, convene a Parliament to ratify her succession, and then retire to become merely a king-consort. The more full-blooded Whigs wanted William as king. The leading figure of the day, Lord Halifax, pithily summed up the confusion:

‘As nobody knew what to do with him, so nobody knew what to do without him.’
(quoted on page 283)

The Convention Parliament

When he arrived in London, William summoned the Lords Temporal and Lords Spiritual to assemble, and they were joined by the privy councillors on 12 December 1688. On 26 December they were joined by the surviving MPs from Charles’s last Parliament, the one he held in Oxford (none from James’s tainted Catholic Parliaments). This assembly in turn summoned the Convention Parliament, consisting of Lords and Commoners, which recommended setting up of a ‘Convention’ to decide a way forward, which was formally opened on 22 January 1689.

The key fact was that nobody wanted civil war or the outbreak of rebellion in either Scotland or Ireland. The solution had to be fast. And so it was that the knottiest problem in English history was solved by the Convention Parliament in just two weeks!

Lords and Tories

In the House of Lords some, especially the bishops, wanted a simple restoration of James, the rightful king. Other Tories suggested that William and Mary might rule as ‘regents’ until the death of James II, and then Mary would reign as rightful queen thereafter. William, Mary and Anne all let it be known that they opposed this option, the two women deferring to the male monarch.

Whigs

In the House of Commons, Whigs put forward a formula that James had abrogated the contract between a sovereign and his people by abdicating. But 1) the notion that monarchy rested on some kind of voluntary contract between sovereign and people was unprecedented and revolutionary in implication, and 2) it was far from clear that James had, in fact, abdicated. He had been ordered to leave.

Moreover 3) the whole point of a hereditary monarchy is that the throne is never vacant: the moment one monarch dies, his or her heir succeeds. Even if James had abdicated, then his son the Prince of Wales automatically became the rightful heir – but nobody at all wanted rule by a baby (referred to by many of the debaters as ‘the brat’, according to Kishlansky). And 4. the notion that abdication created a sort of vacuum which had to be sorted out by the people implied another revolutionary idea – that the people in some sense elected their monarch. An elective monarchy.

Reluctant acceptance

Nobody wanted to explicitly say this, as it made a mockery of the fixed hierarchical principles on which the whole of English society rested. But nonetheless, this notion of an agreement by the people to choose a sovereign was the formula which was eventually accepted for the simple reason that the alternative – that the king had been overthrown by an armed invasion – was worse. That idea would legitimise the violent overthrow of the rightful monarch and take everyone back to the constitutional chaos of the 1640s.

Arguments

The differing arguments were played out in disagreement between the Commons, which accepted the new reality, and the Lords who held out for significant rewording the Act agreed by the Commons. The deadlock dragged on for days until William, always a busy man, threatened to go back to Holland and leave the English with a broken country.

The Lords capitulated and both Houses passed an Act declaring William and Mary joint King and Queen of Britain.

The Declaration of Rights

While the politicians had been arguing, the nation’s top lawyers had been drafting a Declaration of Rights. Like the Act, the Declaration had to be very careful in its language, ambiguous at a number of key moments in order not to alienate the different groupings of Whigs and Tories.

A compromise

Like many other constitutional documents (the Magna Carta or the American ConstitutionThe Declaration of Rights was less a bold statement of timeless principles than a fix-up designed to be acceptable to the largest number of the political nation. As it progressed through drafts, it evolved into a ringing restatement of old and existing laws and liberties, sweeping away James’s innovations, but not proposing anything new.

Even then, the situation called for equivocation. If William had been forced to agree to the Declaration, he would have become in effect an elected monarch and the monarchy and elective monarchy – something which was anathema to most of the bishops and lords and Tories throughout the land.

A tricky coronation

William’s coronation had to be accompanied by the Declaration but not dependent on it. Hence the peculiar fact that at William’s more-elaborate-than-usual coronation on 11 April 1689, the Declaration was read out before William was crowned, and he referred to it in the speech after his coronation as embodying the principles for which he had entered the country – but it was carefully made clear that his crowning was in no way dependent on accepting the Declaration. And no-one mentioned abdication or contracts or elective monarchies or anything like that. Shhh.

Muddling through

Once again the English had managed their way through a massive constitutional crisis on the basis not of logical principles, but of fudging and mudging, of masking ambiguity and unclarity in robes and orbs and high ceremonial. Was it a triumph of enlightened constitutional principles, or of English pragmatism, or of barely concealed hypocrisy?

However you interpret it, what came to be called ‘the Glorious Revolution’ certainly solved one immediate and pressing problem, but laid up a whole series of longer-term challenges for the future.


More seventeenth century reviews

Charles II: His Life and Times by Antonia Fraser (revised 1993 edition)

Lady Antonia Fraser published her life of Charles II in 1979. 14 years later she published this big hardback version, which is basically a large-format coffee-table book, with the text drastically cut back in order to make room for hundreds of beautiful and fascinating full-colour illustrations.

As I have detailed the political events leading up to the civil wars in other blog posts, this review will focus on snippets and insights into Charles’s private life, seeing the events of this turbulent time from his personal perspective.

Birth Charles was born on 29 May 1630, one year into his father’s Personal Rule i.e. Charles I’s determination to rule without troublesome parliaments.

Heredity Charles had a swarthy complexion. He was nicknamed the Black Boy and this is the origin of hundreds of pubs of the same name across England. Through his father, Charles I, Charles was one quarter Scots, one quarter Danish (his grandfather James I was married to Anne of Denmark); through his mother, Henrietta Maria, he was one quarter French, one quarter Italian. Hence the ‘foreign’ look which many commentators pointed out.

Charles I’s wife, Queen Henrietta Maria, bore nine children, six of whom survived infancy. It was in the marriage contract between Henrietta Maria and Charles I that all their children should be suckled only by Protestant wet-nurses.

Trial of Strafford Charles’s idyllic early childhood was overshadowed by clouds of approaching war. As Prince of Wales, aged just ten, he sat through the entire seven-week trial of Charles I’s adviser, Thomas Wentworth, Earl of Strafford, who’d acquired the nickname of ‘Black Tom Tyrant’. When Parliament passed an Act of Attainder declaring Strafford a traitor sentenced to death, 10-year-old Charles was sent to Parliament with a petition for mercy, which was rejected.

Orange In 1642 Charles’s sister, Mary, aged just nine, was married off to Prince William of Orange, aged 12. Their marriage produced a son who was to become William III of Britain 46 years later.

Wedding portrait of William II, Prince of Orange, and Mary Stuart, daughter of Charles I, future parents of King William III, by Anthony van Dyck

Nottingham As the political crisis deepened Charles I kept his sons, Charles and James, by his side, leaving his other children in London when he fled the capital in 1642. They were with him when Charles raised his standard of war at Nottingham Castle on 22 August 1642.

Edgehill Charles was nearly captured by a troop of Roundheads at the Battle of Edgehill, 23 October 1642. In a much-repeated anecdote, the 12-year-old drew his sword and prepared to fight, before Royalist soldiers came to the rescue. Charles accompanied his father to Oxford where a Royalist Parliament was set up. His youngest siblings, Elizabeth and Henry, had remained in royal nurseries in London, where they were seized by Parliamentarians and given Roundhead governesses.

Hyde Aged 14, early in 1645, Charles was given nominal leadership of the Royalist Western Association and departed Oxford. He was never to see his father again. He was to be supervised by Sir Edward Hyde, a lawyer who had initially attacked Charles’s policies in Parliament, but came round to being an advocate for a new type of constitutional Royalism, became firm friends with Charles I, and then the trusted guardian and mentor of his son for the next 20 years.

Flight The battle of Naseby, 14 June 1645, was the decisive military engagement of the first civil war in which the Royalist army was soundly beaten, followed by further Royalist defeats in the West. Young Charles had moved between Bristol and Bridgewater. Now he clearly needed to flee. His party were pushed by advancing Roundheads down into Cornwall and then took ship to the Scilly Isles. Charles was thrilled by the sea journey and at one point took the tiller himself, whetting an appetite for sea sports which was to resurface after the Restoration.

In Bristol, in Bridgewater, in Cornwall and in the Scillies, argument had raged about where Charles should ultimately flee. Hyde was insistent he remain on British soil, for its symbolic importance. But eventually Charles gave in to the wishes of his mother, Henrietta Maria, who had fled back to her native France in July 1645.

Puritan iconoclasm To give a sense of Roundhead iconoclastic zeal, when Henrietta had fled London, Parliament voted to destroy her private chapel at Somerset House and to arrest the Capuchin friars who maintained it. In March, Henry Marten and John Clotworthy forced their way into the chapel with troops and destroyed the altarpiece by Rubens, smashed many of the statues and made a bonfire of the Queen’s religious canvases, books and vestments.

Charles in Paris King Louis XIV of France was Charles’s cousin (the son of his mother, Henrietta Maria’s, brother) and eight years younger i.e. 8 when the 16-year-old Charles arrived in Paris. Henrietta Maria received a small pension from the French court, but Charles received nothing at all – for political reasons on both sides – and had to ask his mother for maintenance, a situation which led to increasing discord. He was reunited with his boyhood friend, the Duke of Buckingham and they both acquired reputations for laziness and ‘gallantry’.

Holland The next two years were spent among the bickering little court of Royalist exiles around Henrietta Maria. In 1648 a Scottish army invaded England. Charles was invited to put himself at the head of it but was fatally deterred by his advisers and instead sent to Holland where part of the British fleet had mutinied. Here he was reunited with his younger brother James. They sailed in the fleet to Yarmouth, optimistic that the Royalist uprising would soon result in the liberation of Charles I who was in prison on the Isle of Wight.

Preston But young Charles and the invading Scots engaged in the same old argument about whether Presbyterianism would be imposed on England, and during these squabbles Cromwell led an army north and destroyed the Scots forces at the Battle of Preston, 17 August 1648.

Birth of Monmouth So Charles’s little fleet sailed sadly back to Holland where he became dependent on the personal charity of the Prince of Orange, living in the Hague. He took a mistress, Lucy Walter, who on 9 April 1649 bore him a son, James, the future Duke of Monmouth, who was to lead a rebellion against Charles’s brother, his uncle James, in 1685.

Execution of Charles I While the Royalists squabbled amongst themselves, the pace of events in England speeded up. It took a while for news to come through that King Charles was to be put on trial, and even then it took some days for young Charles to realise his father might actually be killed. Henrietta Maria sent a letter to Parliament begging to be with her husband but this was ignored, and lay unsealed and unread for decades. Charles sent an envoy to plead with the Dutch Estates General to send official envoys to intercede, but by the time they arrived in London it was too late.

Legend has it that Charles signed a blank piece of paper to be given to the Roundhead court, indicating that he would agree to any terms at all, so long as his father was spared.

Tearful farewells This is a very personal history and so Fraser dwells on the last meeting between the doomed Charles I and his two youngest children who had been kept in Parliamentarian care since the outbreak of war, 13-year-old Princess Elizabeth and 8-year-old Henry Duke of Gloucester, who both broke down in tears. Accounts of this meeting, plus Charles’s last loving letters to his wife, helped to shape the image of Charles the gentle, saintly martyr, which became so powerful in subsequent royalist propaganda.

The Covenanters In September Charles and advisers sailed back to Jersey, with a view to preparing to raise a Royalist rebellion in Ireland. But while they waited, fretted and argued, Cromwell crushed Irish resistance. The royalist party sailed back to the Netherlands. Scotland remained the only hope. An embassy of Covenanters visited Charles in April 1650, insisting that he agree to impose Presbyterianism on all three kingdoms. Charles set off for Scotland and very reluctantly signed the Covenant, the grand document of the Scottish rebels. However, the army of Scots Covenanters which invaded England was crushed by Cromwell at the Battle of Dunbar on 3 September 1650. In any case, Charles had grown to hate the Covenanters and their narrow, bickering worldview.

King of Scotland Defeated in battle, the Scots Covenanters now realised they had to ally with the Royalist Scots if they were to mount a successful invasion of England. To this end, it was arranged for Charles to be crowned King of Scotland on 1 January 1651. He went on a tour of north and east Scotland to raise support. He turned 21 on 29 May 1651. Divisions continued among the Scots, some of whom refused to join the army being raised to invade England. Again.

Worcester The Scots were defeated at the Battle of Worcester on 3 September 1653. Charles fought bravely, escaped and went on the run. His experience of being hidden in the homes and priest holes of recusant Catholic families was to influence his thinking about this loyal but persecuted minority when he was restored. Maybe as a result of being locked up in various tiny hidey-holes, Charles in later life developed claustrophobia.

At one point Charles was disguised as a servant to Jane Lane, accompanying her on a visit to Bristol. He cut south to Lyme, expecting to rendezvous with a ship but when this didn’t appear, was forced back inland. Fraser tells the story with breathless excitement but then, it was a genuinely exciting adventure.

European travels Eventually Charles took ship from Brighton back to the Continent. His sojourn in Paris is brought to an end when the  French decide they want to ally with Cromwell’s England and Charles was given ten days to pack his bags. He went to Spa in Belgium, then Cologne, then Dusseldorf. He conceived the plan of an alliance with Spain so went to the Spanish Netherlands, settling in Bruges.

The Restoration I have given a detailed account of the negotiations leading up to the Restoration in another blog post. The procession from Dover, wine flowing in the streets, garlands of flowers. The actual coronation the next year, on 23 April 1661. In the same month, the first awards of the Order of the Garter for a generation.

Catherine of Braganza His people and traditionalists expected magnificence but this came at a cost and Charles was soon spending more than the million or so pounds he was awarded by Parliament. Hence betrothal to Catherine of Braganza. The poor woman was 23, had been raised in a convent, and was sold to Charles along with a dowry of two million crowns or £360,000. But almost all this money was mortgaged before she even arrived in the country. She brought Dunkirk as part of her dowry but in 1662 Charles was forced to sell it to the French (at the admittedly impressive price of £400,000).

Infertility When she was introduced to Charles’s mistress, Barbara Villiers, Catherine had a fit, burst out crying and collapsed on the floor. Over time she learned to manage herself and her feelings in the alien court with its alien religion, surrounded by scheming courtiers, and her husband’s open dalliances with various mistresses. And then it turned out she was ‘barren’ (as we used to say), infertile, incapable of having children. She couldn’t get pregnant. She visited Bath and other spas to take the healing waters. No effect. It must have been incredibly hard.

Frances Stuart The traditional image of Britannia is based on the beautiful but maddeningly virtuous Frances Stuart, who Charles became infatuated with.

The cabal I found it interesting that Fraser thinks, or thought, that every schoolchild ought to know that the word cabal is an acronym for the five statesman who administered Charles’s affairs after he had dismissed the unpopular Earl of Clarendon, who was made to take the blame for the unpopular and humiliating Dutch war – namely Clifford, Arlington, Buckingham, Ashley and Lauderdale (p.156). Does every schoolchild know that? Ought they to?

Painting of Charles II in his coronation robes

King Charles II in his coronation robes by John Michael Wright

Sporty Charles was physically restless and interested in all forms of activity. He was notorious for his fast walking pace which wore out younger companions. He played ‘real’ tennis almost every day. He liked swimming in the Thames. He liked fishing. All of these activities might see him rising at 5am to indulge. He was definitely not a lazy slugabed.

Horse racing Charles loved hunting game in the royal forests e.g. the New Forest and Sherwood Forest, which he had restocked. Charles was an excellent horseman, he loved horse-racing, instituted the Epsom Derby, was no mean jockey himself, and regularly visited the racing at Newmarket. A famous stallion of the day which was used to breed a vast progeny was named Old Rowley and some people nicknamed the king Old Rowley for Charles’s similar tendencies.

St James Park Charles threw open St James’s Park to the public and had the lake built, which he liked to swim in. When it froze over Pepys wrote about the new Dutch fashion for skating or ‘sliding’ as it was called. Birdcage Walk is named after Charles’s interest in rare birds and the aviary he had constructed.

Science Charles loved clocks. He had at least seven in his personal rooms, which all kept different time and struck the hour at random, driving his servants crazy. It was part of his general love of gadgets which fed into serious interests in mathematics and the new sciences – the so-called Scientific Revolution which had seen him found the Royal Society in 1662.

Final illness Fraser’s description of Charles’s death is harrowing. He woke in the night, was feverish, struggled through to morning, let out a great shriek while being shaved, and was thereafter subjected to the monstrous interventions of half a dozen doctors, which included letting a staggering amount of blood, administering cantharides, red hot pokers to his shaved skull (!), cups, blistering and so on. The historian Macauley commented 150 years ago, that Charles was killed by his doctors.

Deathbed conversion to Catholicism Even more dramatic is the story of his deathbed conversion to Catholicism, laden with pathos since the priest who received him into the Catholic church was none other than the Father Huddleston who had helped hide Charles in the homes of local Catholics after the crushing defeat at Worcester all those years ago. He was procured and brought in secret to Charles’s bed-chamber by his brother, James. Fraser’s description of the catechism Huddleston administered and Charles’s conversion are very moving. After 45 minutes Huddleston left. Only his brother James and two other hand-picked gentlemen witnessed it. The great throng of nobles and all the Anglican bishops who had assembled, had been pushed out into ante-chambers and had no inkling of what was taking place.

An exemplary death But Charles didn’t die at once, he lingered. In fact, with characteristic politeness, he apologised to the gentlemen surrounding his bed for being so long a-dying. He called his wife and his two final mistresses in to see him. His many children were brought in and he blessed them one by one. It was an exemplary death from a man who had, throughout his life, striven to be noble and decent. A final example of his loyalty to those who helped him, and his confident way with the people who he so easily mixed with, in St James’s Park or Newmarket, sailing or racing, which endeared him to ‘the people’.

Parliaments Fraser’s account leaves you feeling that Charles wanted to be, and had the abilities to be, genuinely the father of his people. It was his Parliaments, the early ones determined on vicious revenge against Puritans and dissenters, the later ones obsessed by the Catholic threat, which poisoned the politics of his reign, especially the last seven or eight years.

If only Henry Duke of Gloucester, Charles I’s youngest son and widely admired as a young man, had not died in 1660, aged just 20, maybe Charles would have accepted the Whig attempts to exclude James II from the succession in favour of Protestant Henry, and all the disruption which followed would have been avoided.

If only Catherine of Braganza had borne him at least one child who would have been raised a Protestant and ensured the Stuart succession.

But Henry died and Catherine could not get pregnant, and so James Duke of York was left as the most legitimate successor to Charles, and so on 6 February 1685 his doomed reign began.


Related links

Restoration art

Restoration comedies

A Monarchy Transformed: Britain 1603 to 1714 by Mark Kishlansky (1996) 3. The reign of Charles I

The reign of Charles I

The 1620s

King James I died on 25 March 1625 and was succeeded by his son, Charles I. A month and a half later Charles married the French Princess Henrietta Maria (sister of King Louis XIII) by proxy in a ceremony in Paris. She was then sent to Kent where they met and spent their marriage night.

Charles was crowned in Westminster in February 1626 but Henrietta’s Catholicism prevented her from being crowned with him and this lack of a formal coronation, along with her overt Catholicism and the stipulation that she be allowed to practice her Catholicism in the royal court, were all to build up popular animosity against her.

In fact, the French stipulation that she be allowed to bring up her children in the Catholic religion lay the seeds of the overthrow of her son James II in 1685. It’s odd that Charles’s advisers didn’t grasp this obvious fact.

With James dead, Charles gave hid father’s former favourite, and his own best friend, the Duke of Buckingham, his head to launch a war against Spain. Yet just like his father, Charles soon found himself stymied.

  1. Brave talk of capturing the annual Spanish treasure fleet coming from South America turned out to be pointless as the fleet had already safely arrived in Spain.
  2. Buckingham led a naval attack on the port of Cadiz which failed to achieve anything.
  3. Ships which the British lent the French to combat the Spanish off the coast of Holland, ended up being used, instead, to attack France’s own Protestant rebels holed up in the Atlantic port of La Rochelle.

Like his father, Charles called a Parliament expecting patriotic enthusiasm and uncritical support, and was taken aback when it promptly launched a series of attacks on him and his favourite adviser.

Instead of voting him the subsidies he wanted, Parliament impeached Buckingham. Charles responded by imprisoning the leaders of the impeachers, which led to predictable outcries about free speech, which Charles ended by shutting Parliament altogether. So much for the Parliament of 1625.

The forced loan

Charles initiated a ‘forced loan’ i.e. the compulsory taxation of his rich subjects, but this led to a storm of protest and Charles found himself having to imprison a whole series of eminent protesters and other officials to carry it through. By this stage relations with France had collapsed – both sides were confiscating each others’ ships – and Charles and Buckingham spent the £200,000 raised by the loan to launch a well-equipped campaign to relieve La Rochelle, the Atlantic port which had become the focus for Protestant resistance to the Catholic king and his chief adviser, Cardinal Richelieu.

The British fleet and army attacked the island of Saint-Martin-de-Ré in order to relieve the Siege of La Rochelle but, for a number of reasons, the siege was a failure, many English lives were lost, and the expedition was eventually forced to withdraw in humiliation.

The 1628 Parliament

Charles was forced to call another Parliament, in May 1628, which immediately began debating the various measures he had taken the preceding year, plus abuses arising from the passing of martial law to organise the troops sent to France. Many aspects of this – for example, billeting soldiers on civilians – had become deeply unpopular.

The Petition of Right

The upshot was that before Parliament voted him more money, it insisted on Charles agreeing to a ‘Petition of Right’. This was drawn up to confirm four traditional liberties:

  • freedom from arbitrary arrest
  • freedom from taxation not approved by parliament aka arbitrary taxation
  • freedom from the billeting of troops
  • freedom from being governed by martial law

Assassination of Buckingham

Charles was careful to specify that these liberties did not affect his own prerogative, and then agreed. Parliament voted him the subsidies he wanted. Buckingham hurried off to Portsmouth to ready the fleet for another attempt to relieve the French Protestants. Then Buckingham was assassinated.

The Duke was stabbed to death on 23 August 1628 at the Greyhound Pub in Portsmouth, where he had gone to organise yet another campaign. According to an eye-witness account, he lived just long enough to jump up, shouting ‘Villain!’ and making to chase after his assailant, but then fell down dead. The assassin was John Felton, an army officer who had been wounded in the earlier military adventure and believed he had been passed over for promotion by Buckingham.

Felton

Buckingham was by now so hated that his assassin, John Felton, was feted as a hero, had poems and pamphlets written about him. He was tried and executed, of course, but when his body was taken back to Portsmouth to be publicly hung up, it became an object of popular veneration. A few months later, in October 1628 La Rochelle finally fell to French Catholic forces.

So his favourite was dead and the policy which had driven his first four years as king had completely failed. Charles needed to regroup. He sought to make peace with both France and Spain, and he knew he needed to call one more Parliament. The first of his reign had refused to grant the traditional tonnage and poundage tax to him for the whole reign. He needed that money. But in the meantime…

Peace

Charles signed peace treaties with France in 1629 and Spain in 1630. Sick to death of confrontations with Parliament he decided – now he no longer needed special funds for war – not to call another one, and so ruled through his council and by exercising the Personal Prerogative. In fact, he wasn’t to call another Parliament until 1640, a period of 11 years which is referred to as the period of his Personal Rule or (by his harshest critics) as the Eleven Years Tyranny.

After the tribulations of the 1620s, Charles tried to make the 1630s a decade of peace and reconciliation. But such was the distrust generated by the opening years of his reign, that everything he did tended to be misinterpreted for the worst, and in four or five main areas of government, he took aggressively centralising decisions which alienated large numbers of his subjects.

Issues of the 1630s

Ship Money

Charles was still chronically short of money and his Chancellors came up with a series of ever-more ingenious ways of mulcting money from his subjects. The most controversial was ship money. This was a traditional and well-accepted tax imposed on coastal communities to pay for ships to be built and crewed to defend coastal towns. Ship money had traditionally been authorised only during wars, and only on coastal regions.

Charles, however, argued that there was no legal bar to collecting the tax for defence during peacetime and throughout the whole of the kingdom. Ship money, paid directly to the Treasury of the Navy, provided between £150,000 to £200,000 annually between 1634 and 1638, after which yields declined. Opposition to ship money steadily grew, but the 12 common law judges of England declared that the tax was within the king’s prerogative, though some of them had reservations. The prosecution of John Hampden for non-payment in 1637–38 provided a platform for popular protest, and the judges only found against Hampden by the narrow margin of 7–5.

Monopolies

Charles also raised money by the granting of monopolies for specific trades. This was despite a statute forbidding such action, which, though inefficient, raised an estimated £100,000 a year in the late 1630s.

Act of Revocation

Charles also raised funds from the Scottish nobility, at the price of considerable acrimony, by the Act of Revocation (1625), whereby all gifts of royal or church land made to the nobility since 1540 were revoked. If the owners wanted to continue in possession of their property, they had to pay an annual rent.

Forest money

In addition, the boundaries of the royal forests in England were extended to their ancient limits as part of a scheme to maximise income by exploiting the land and fining land users within the expanded boundaries for ‘encroachment’.

Sales of Royal lands, especially the large expanses of under-developed Royal forests was another way of raising money. The programme arranged for the sale of forest lands for development as pasture and arable, or in the case of the Forest of Dean, development for the iron industry. This included providing compensation to people using common land, but not for people who had settled illegally. Pushed off land they had been working for some time, many of these rioted. In fact such was the sale of the discontent in the west of England it became known as the Western Rising, with other scattered riots in Feckenham Forest and Malvern Chase.

Despite all these measures, Charles still faced bankruptcy in the summer of 1640. The City of London refused to make any further loans to the king. Pushed to extreme measures, Charles then seized the money held in trust at the mint of the Exchequer in the tower of London. This represented the capital of the merchants and goldsmiths of the city. In August Charles seized all the stocks of pepper held by the East India Company, and sold it off cheap.

You can see how virtually every expedient Charles developed to raise money alienated and embittered large groups of subjects, and especially merchants in the City of London, who came to think of the king as a public menace.

Strafford and Ireland

Another long-term problem for any British king was the situation in Ireland. Throughout the Tudor period, from Henry VIII through Elizabeth, parts of Ireland had been settled by ‘planters’, not without resistance from the native Irish and their traditional lords, who rose in repeated uprisings.

But the so-called ‘Flight of the Earls’ in 1607 had left a lot of the land in north-east Ireland leaderless, and so James I set about organising the Plantation of Ulster, a plan to encourage emigrants from Scotland to settle in what is now known as Ulster, with funding from the City of London.

With the result that Ireland, by Charles’s time, contained about four identifiable groups:

  • the Irish population, mostly rural peasants
  • the Irish leadership – the traditional lords of various lands and estates who, however, a century of negotiating and compromising with their English invaders had split into various parties, some for compromise, some for submission, some burning for rebellion and independence
  • the ‘Old English’ settlers i.e. the originally English families who had been in Ireland for generations and begun to think of themselves as in a sense Irish, appreciated local customs and laws and who were often put out or deprived by the new plantation
  • the ‘New English’ who had arrived in the past generation and who had a vested interest in expanding and consolidating the new plantation

Managing this situation took a firm hand, and Charles was clever in selecting Thomas Wentworth, the Earl of Strafford, to be his Viceroy in Ireland. Strafford brought all sides to heel, though at the cost of uniting them all in hatred of his strong-arm, inflexible approach.

Archbishop Laud and religion

Something similar happened in religion, where Charles appointed Laud as archbishop of Canterbury. Charles wanted order and clarity and beauty in his church. However, religion continued to be a source of discontent among virtually all his subjects.

Arminianism

Charles’s reign saw the spread of Arminianism among Anglican intellectuals. The Dutch Reformed theologian Jacobus Arminius  reacted against the iron predestinationism of Calvin and the Calvinists. According to Calvin, God had already chosen who was saved (the Elect) and who was damned. All we could do was examine our own lives with scrupulous attention and live as purely as possible in the hope we were one of the Elect.

This was in sharp contrast to traditional Catholic teaching which is the more commonsense view that we attain salvation through our works. We may sin and err but we can be forgiven through Church rituals such as confession and the Mass.

Starting in the 1610s, Arminius proposed a sort of middle way, adopting the outlines of Calvinism, and certainly espousing a Christianity much purified of Catholic superstitions (veneration of saints, the Virgin Mary, miracles and so on). But still he modified the harshness of Calvinist theology, asserting that the Atonement of Christ offers each individual some leeway, some freedom, in determining their own salvation or damnation.

To Puritans this was blasphemy, but it was attractive to Charles and his archbishop, Laud. The rise of Arminianism within moderate sections of the Anglican church therefore became a battleground with more radical Puritans.

Buildup to the outbreak of civil war

Thus there were many long-term issues which Charles was struggling with. But the first spark which led to outright violence was his attempt to impose a new prayer book on the Scottish church or Kirk as they called it.

On a visit to Scotland, Charles and Laud had been upset at the variation in church services there, and the scrappy state of many of the churches. Being a devout Christian Charles thought it was his duty as King to renovate and improve the Scottish church. He gave money to repair buildings. But in the same vein he wanted to bring Scottish church practice in line with English. And so he commissioned English clerics to write a new unified prayer book.

When this was first used in a service at Edinburgh in July 1637, it caused a riot. It was seen as an imposition of English values on Scottish religion, and as blasphemously Arminian, or pseudo-Catholic. Religious chauvinism combined with Scottish nationalism. With characteristic arrogance, Charles had held no consultations, either in the Scottish Parliament or in an Assembly of the Kirk.

The protests quickly spread across Scotland, and – as with many religious disturbances – became a handy opportunity for the powerful in the land to push for more independence (and power) from England.

The Scottish National Covenant

Quickly they organised the Scottish National Covenant. In February 1638, at a ceremony in Greyfriars Kirk in Edinburgh, large numbers of Scottish noblemen, gentry, clergy and burgesses signed the Covenant, committing themselves under God to preserving the purity of the Kirk. Copies were distributed throughout Scotland for signing on a wave of popular support. Those who hesitated were often intimidated into signing and clergymen who opposed it were deposed. This was followed in August 1639 by a series of acts passed by the Parliament of Scotland that amounted to a constitutional revolution.

First Bishops’ War

Charles decided to invade Scotland and impose his will. A complicated plan to co-ordinate a land invasion and an amphibious landing failed (remember the long list of military failures which characterised the 1620s). A Scottish army was raised and marched to within a few miles of the English border. Talks were held and a peace treaty signed, but both sides regarded it only as a truce.

Charles called a Parliament, as usual hoping for patriotic support and money but, as usual, the Parliament immediately drew up a list of grievances, notably ship money and the arbitrary behaviour of the feared Star Chamber, and called for the impeachment of many of his advisers, so Charles promptly dissolved it.

Second Bishops’ War

Alexander Leslie, 1st Earl of Leven, had fought in the Thirty Years War. He led a vastly better trained and provisioned Scottish army into England in August 1640, which swept aside the ill-trained English militias and seized Newcastle, main source of coal for London. The Scots were in the driving seat. The Scots insisted on being paid £850 per day maintenance.

The Long Parliament

Charles was forced to call a Parliament to raise the money to pay the Scots. What was to become known as the Long Parliament organised to take revenge on Charles, impeaching his advisers, and demanded the return of Strafford from Ireland. Strafford was tried and executed Strafford in May 1641 and in August the Scots finally evacuated Northern England after the Treaty of London.

The Irish Rising

However, the withdrawal of Strafford, the only man strong enough to balance the conflicting sides in Ireland, turned out to be a disaster. In October 1641 the Irish Rebellion broke out, beginning as an attempted coup d’état by Irish Catholic gentry, who tried to seize control of the English administration in Ireland to force concessions for Catholics, but developing into an ethnic conflict between Irish Catholics on one side, and English and Scottish Protestants on the other. Thousands of English and Scots were forced to flee their homes, amid scare stories of burning and looting and murder and rape.

When news of this arrived in London it transformed the atmosphere from crisis into hysteria. Once again the Protestants felt the deadly paranoia of a Catholic conspiracy. Both Charles and Parliament realised an army needed to be raised quickly to combat the Irish rebels, but neither side trusted the other with such a large force.

And that crux, control of the army raised to put down the Irish rebellion, was the issue which triggered the civil war.


More seventeenth century reviews

The Thirty Years War by S.H. Steinberg (1966)

S.H. Steinberg’s history of the Thirty Years War is one of the ‘Foundations of Modern History’ series. It’s admirably short (128 pages including references and index), quite old (published in 1966) and surprisingly opinionated. The preface claims that Steinberg ‘reorientates and reinterprets’ the familiar story. Steinberg’s ‘reorientation’ makes four central claims:

1. that the phrase Thirty Years War is a misnomer, a ‘figment of collective imagination’ – the phrase doesn’t refer to one ‘thing’, but to a proliferation of separate but interacting conflicts across Europe

2. that the war was only an episode in the far larger and longer-running conflict between the dynastic houses of Bourbon (rulers of France) and Habsburg (rulers of Spain and the Holy Roman Empire) which stretched from 1609 to the end of the Franco-Spanish War in 1659

3. that the German part of this conflict was not a war of religion – as is so often claimed – but the result of constitutional issues within the Empire, namely the efforts of the Holy Roman Emperor to weld his hundreds of little states into a more homogenous unit and at the same time to quell the powers of the ‘Estates’ or local authorities within each one

4. and, lastly, Steinberg very strongly asserts that the war was no more nor less destructive than any other conflict of the same size, and that Germany was not (contrary to received opinion) destroyed or ravaged

Steinberg’s book is divided into three chapters:

Chapter One: Background and Problems

This 23-page section does a very good job indeed of placing the conflict in its full European context. Steinberg takes us on a whistlestop tour of all the European powers, explaining their recent history in the build-up to 1618, and their diplomatic and geopolitical aims and goals.

The nations are Spain, France, the Netherlands, Britain, Denmark, Sweden, Poland, Russia, Hungary, the Ottoman Empire and then, of course, the complicated situation of the Habsburg dynasty itself, divided into two branches – one ruling Spain, its colonies and European territories (most notably in Italy and the Netherlands); the other ruling Austria and holding overlordship over the seven big Electors and the hundreds of states within the Holy Roman Empire.

These 23 pages explained where each of these states was coming from, and what they were looking for, and therefore the potential flashpoints between them, much more clearly than Peter H. Wilson’s epic book on the same subject.

Moreover, and crucially, Steinberg has the ability to sum up key issues in a sentence, which is so lacking in Wilson’s account.

For example, Wilson explains the idea of the so-called ‘Spanish Road’ at great length. This is that, because of hostile French or British or Dutch fleets which might intercept them at sea, it was safer for Spain to send its troops to crush the Netherland revolt, first across the Med to north Italy, and then across the Alps and along a land route between France and the Empire. This land route became known as The Spanish Road.

But it is Steinberg who then gives the reader the vital insight that, the importance of keeping this route open dictated Spanish policy for the next fifty years i.e. every time a duchy or province or state through which the Spanish Road passed threatened to become anti-Spanish, the Spanish were compelled to intervene.

Grasping this basic geopolitical concern of Spain’s makes what at first appear to be all kind of random interventions in faraway states suddenly make sense.

Similarly, Steinberg sums up his discussion of the Netherland’s revolt against Spain by saying that, by the time a truce of 1609 was put in place, Spain had effectively lost the northern Netherlands. The conflict would resume and then continue until 1648, but Spain had lost – it just took them thirty years to realise the fact: and so all their policy based round the aim of retaining the territory was a waste of life and treasure.

In good history writing you need an explanation of the detail, for sure – but at some point you need the author to take a breath, step back from the detail and summarise where we are, what has happened, and what it means. Wilson almost never does that in his vast 850-page book, which is the central factor which makes it so very difficult to read.

Some of Steinberg’s opinions (summarised above) may be controversial or debatable – but his book has the immense virtue that he regularly stops and explains what the situation is, why something was important, why it was a turning point, and what was at stake.

Chapter Two: The European War 1609 to 1660

There’s no denying it’s a very complicated story, and once war breaks out and numerous armies led by umpteen counts, margraves, dukes and archdukes start tramping across Germany and seizing countless towns, cities and territories, it becomes as hard to follow as Wilson’s account of the same material.

Which is precisely why what you could call Steinberg’s ‘pit-stops’ are so invaluable – the bits every two or three pages where he stops and explains what’s happened and where we are.

So, for example, he makes the context of the Bohemian Revolt of 1618 much clearer to me than Wilson does, and also much clearer why it never really stood a chance.

He is much more prepared to pass judgement on the key actors, and it is amazing how just a sentence or two of character description clarifies your understanding of whole swathes of the story. Thus he explains why the leaders of the Bohemian rebellion looked around for a prince to lead them, why the various other candidates were rejected and why they finally settled on Elector Frederick V of the Palatinate. So far so dry and factual. But the text comes to life when Steinberg laconically remarks ‘The Bohemians could not have made a more unfortunate choice‘ (p.38), before proceeding to explain why.

Thus he gives the reader has a key insight to build on, an incisive judgement which puts the couple of pages before and after it into perspective.

Wallenstein

Steinberg’s account makes much clearer to me why the 1629 Edict of Restitution led to the sacking of the Emperor’s best general, Wallenstein, in the war up to that point.

Basically, the Edict handed over to the Emperor a broad range of powers, especially about religion, that the states and their parliaments, the ‘Estates’, had been trying to prevent him acquiring for decades. Persuading him to sack Wallenstein was a way for them to get revenge and also of removing the Emperor’s most feared ‘enforcer’. A way of weakening the Emperor’s power to actually carry out the Edict which almost all the states resented as an intrusion into their affairs.

Another reason is that, wherever he went, Wallenstein was very efficient at extracting ‘contributions’ to pay for his forces from the local authorities, whether the stateholder was Catholic or Protestant, for or against the Emperor – and this had alienated the rulers wherever he and the Imperial army went. Thus it was that, when the Holy Roman Emperor Ferdinand II convened the Electors to award his son (also named Ferdinand) the title ‘King of Rome’ (a bit like the title of dauphin in France or Prince of Wales in Britain, indicating that the elected person is the chosen heir to the throne) the states made it plain they wouldn’t do so unless Wallenstein was sacked. Reluctantly, Ferdinand II had to give in.

Steinberg also explains much more thoroughly than Wilson the true extent of Wallenstein’s power, that he set up his own foundries and war industries in the territory he was awarded, was a genius of industrial organisation and logistics as well as military strategy. Somehow, in a much smaller space, Steinberg gives the reader a much better sense of the magnificence Wallenstein had risen to and why he was and remains to this day such a controversial figure. I didn’t get any of that from Wilson.

All of this background information makes it all the more dramatic when, deprived of its inspiring leader, the imperial army promptly suffered a string of military defeats and the Emperor was forced to restore Wallenstein as generalissimo of the Imperial army – and Wallenstein was not shy about making enormous demands before he agreed to return, demands which in Steinberg’s opinion, almost made him ‘co-emperor’.

But resentment against Wallenstein carried on growing on all fronts – he was, crucially, not interested in currying favour with courtiers and politicians at the Imperial Court – and so, despite winning more victories, Wallenstein was eventually murdered on the orders of the emperor in 1633.

All of these facts, all of these events, are present in Wilson’s account, but not presented so clearly or dramatically. Wilson doesn’t give any of the kinds of judgments and insights which Steinberg provides. It was only by reading Steinberg that for the first time I could see how Wallenstein’s life story could be made to form the basis of not just one, but a series of tragic plays, as the German playwright Schiller was to do in the 1790s.

Compare and contrast with Wilson’s immense but strangely flat and uninvolving account, in which Wallenstein’s murder is only briefly mentioned and no analysed or summarised at all. Instead, as with the deaths of all the other key players, Wilson just moves on with his flood of facts.

Whereas it is typical of Steinberg that he devotes time to reflecting on the impact of such a momentous event. He describes how the dead general’s lands and riches were divided up among the most senior of his fellow generals who had conspired against him, in a fairly standard, expectable way. But then goes on to make the breath-taking point which opens up the long vistas of historical consequences:

Down to 1918 a large part of the Austrian aristocracy lived on these rewards of their ancestors’ loyalty to the house of Habsburg. (p.66)

Wow. What a thought! What amazing vistas of insight and understanding that opens up. There is nothing comparably thought-provoking anywhere in Wilson’s account.

Ferdinand on the back foot

Similarly, when on page 60, Steinberg halts the narrative of events to summarise that ‘The emperor was in a desperate position’ and then goes on to briefly explain why – it sheds light on all the developments leading up to this point, and helps you, the reader, understand much more what the Emperor’s options were and why he did what he did next. Wilson never says that kind of thing.

Death of Gustavus

Wilson was particularly bad at handling the deaths of key figures, often throwing away the deaths of key players in a half-sentence or parenthesis. In complete contrast, Steinberg claims that the death of Gustavus Adolphus in battle in November 1632, just two years into the Swedish invasion of Germany, had drastic consequences:

As far as one man can influence the course of history, the death of Gustavus Adolphus marked a turning point in the history of Europe – it removed the main obstacle in the way of the ascendancy of Richelieu’s France. (p.62)

Just this one sentence provides immense food for thought, and helps you appreciate the really big picture, which is (in Steinberg’s view) that this era saw the steady rise of France and its ruling House of Bourbon, at the expense of the Spanish and Austrian Habsburgs and that Gustavus Adolphus’s death in battle was a key turning point in that long struggle.

An end date of 1660

Steinberg gives credit to the 1648 Treaty of Westphalia for achievements large and small, but doesn’t consider it the end of his story. He ploughs straight on into an account of the Fronde (1648-53), an aristocratic rebellion against the young king of France. Then he describes the machinations between French and Spanish which were eventually resolved at the Peace of the Pyrenees at the very end of 1659.

It is only this – not the 1648 Treaty of Westphalia – which sets the seal on the sequence of events because, in Steinberg’s opinion, it marks a decisive shift in the balance of power towards France:

The Peace of the Pyrenees fulfilled the highest hopes Henry IV had entertained half a century earlier. Spain was reduced to a second-class power, soon to become the pawn in the game of European politics which she had dominated for a century and a half. (p.88)

Steinberg describes the key elements of the two distinct treaties which made up the Peace of Westphalia – a subject treated in depth by Wilson – but also sheds a typically interesting sidelight, a stylish grace note, when he points out that it was the first international treaty not written in Latin — well, the treaties concerning the Emperor were in Latin, he and his Catholic advisers insisted on it — but all the other treaties and related documents were written in French, and French was to become the standard international language of diplomacy down to the Versailles Conference of 1919-20.

It is a fascinating cultural indicator of the eclipse of the late medieval world, the advent of the early modern era, and the Rise of France.

(There’s a fascinating footnote about Cromwell. Steinberg explains that Cromwell tried to do a deal with the Spanish, but demanded two concessions – freedom of religion for Englishmen on Spanish soil, and freedom of trade with the American colonies – both of which the Spanish rejected. And so Cromwell adopted an anti-Spanish policy, seized Jamaica, and gave his support to France. In his small way, Cromwell, also, contributed to the rise of France to European hegemony.)

Chapter Three: The Thirty Years War, Myth and Reality

That title made me smile – it’s so much the kind of book title we had in our school library 40 years ago. You could write a book about more or less any subject in the humanities by simply adding ‘The Man and the Myth’ or ‘Myth and Reality’ after the name of an eminent writer or a famous event, much as all you have to do nowadays is add buzzwords like ‘gender’, ‘race’ and ‘identity’ to an academic book title to get it to sell.

Anyway, Steinberg defends his view that the Thirty Years War was not the unmitigated disaster it is traditionally painted as. He says the experience of two world wars has taught us:

  1. not to believe atrocity stories, which are quickly cooked up by propaganda units on all sides
  2. to learn the meaning of true mass destruction, next to which the TYW is no better and no worse than the wars directly before or after it
  3. that post-war politicians often use the war as an excuse for the failure of postwar policies of economics etc i.e. they have a vested interest in exaggerating a war’s impact, and this is what the rulers of post-war German states did in the 1650s and 60s

Steinberg details how the conflicting sides hired propagandists and learnèd writers (e.g. the jurist Samuel Pufendorf) to put their cases, writers who were paid to distort the war’s causes and course even as it was taking place.

This propaganda often took an anti-Austria approach, notably by the later Prussian ruler Frederick the Great (reigned 1740 to 1786) who wanted to emphasise:

  1. the wickedness of the Austrian Habsburgs
  2. the devastation which they were responsible for
  3. which he (Frederick) so wisely repaired

An endless cycle of ‘reinterpretations’

In the introduction Steinberg confidently claims that the conflict ‘misnamed’ the Thirty Years War was not a religious war between Protestants and Catholics, but derived from constitutional issues within the empire which had been germinating for the previous fifty years. This is his bold new interpretation which ‘reorientates and reinterprets’ the traditional story of the Thirty Years War, as well as his insistence that the war was not nearly as destructive as the ‘traditional’ view holds.

So it is quite amusing that these views – that the war was not a war of religion but a squabble about constitutional powers within the Empire, and was not as destructive as commonly thought – are the radical ‘reinterpretations’ put forward by Peter H. Wilson in his book, fifty years later.

In other words, despite over fifty years of historians attempting to ‘reorientate and reinterpret’ opinion about events, it seems as if some stubbornly resist their efforts. That views about historical events remain firmly entrenched.

So that historians may not be Oedipuses continually overthrowing their fathers, but Oedipuses condemned to overthrow the same father again and again, because each time he is slain, he pops back up alive again.

To put it more plainly, the evidence of these two books is that historians appear to be condemned to combat ‘myths’ and ‘traditional’ interpretations which, despite all their efforts, never seem to go away. They are driving round and round in circles.

In 1966 Steinberg writes that the phrase ‘The Thirty Years War’ is a misnomer, a ‘figment of collective imagination’, should be done away with, abolished as wildly misleading.

Fifty years later, Peter H. Wilson publishes a vast history of the Thirty Years War with the title The Thirty Years War and delivers a lecture about the Thirty Years War. So much for abolishing this wild misnomer, this ‘figment of collective imagination’.

Conclusion: a historian’s opinion doesn’t change anything. To change the traditional names of events, and the traditional understanding of them, requires more than a couple of lectures and books. It requires huge social and cultural change. Historians reflect broader social trends, and don’t lead them.

Black lives matter

In this respect, it will be interesting to see whether, for example, the recent flurry of interest in the Black Lives Matter movement, with the accompanying burst of interest in the slave trade, makes much difference to academic history, or to the public perception of history.

It would be a fascinating study for a sociologist to assess attitudes across society – from academics through to the woman in the street – before, during and after the BLM protests, to try to establish how historical knowledge and perceptions change, if at all.

The evidence of these two books, written fifty years apart, is that historical knowledge doesn’t really change much — but maybe that’s because they’re both on a subject which most Anglophone readers don’t know or care much about, so there’s not really any motivation or need for change.

Maybe on more hot-button topics, like race or women or empire, knowledge and attitudes have changed a lot. I’m not really in a position to judge.

It would be fascinating to read a paper or book on the subject ‘How perceptions of history change’, which identified specific historical eras or topics where the majority opinion definitely has shifted – and then to analyse why the shift has taken place – not looking narrowly at the professional historians and insiders, but at the broader social understanding of key historical events, what has changed (if anything) and why.


More seventeenth century reviews

Europe’s Tragedy: A New History of The Thirty Years War by Peter H. Wilson (2010)

Introduction

This is an enormous book (weighing in at 997 pages, including index and notes) which covers an enormous subject, in enormous depth.

The Thirty Years War lasted from 1618 to 1648. It was in fact made up of a series or sequence of wars featuring different antagonists. The central strand linking them is that the staunchly Catholic Holy Roman Emperor Ferdinand II was fighting mainly Protestant opponents, and that he mostly won. The war is usually divided into four phases:

  • The Bohemian Revolt 1618-20, a rising of the Protestant Bohemian ‘Estates’ against Habsburg rule (‘The revolt was not a popular uprising, but an aristocratic coup led by a minority of desperate militant Protestants’, p.269), which was decisively crushed at the Battle of White Mountain on 8 November 1620.
  • The Danish intervention 1625-30, also referred to as the Low Saxon War or Emperor’s War, when Christian IV of Denmark (who was also Duke of Holstein and Schleswig which lay within the Empire) led an army in support of north German protestant states against Imperial forces. After five or so years of fighting, the war was concluded with the Treaty of Lübeck in 1629.
  • The Swedish intervention 1630-35, when King Gustavus Adolphus of Sweden led an invasion of north (and mostly Protestant) Germany. He was motivated by a) alarm at the Emperor’s harsh reimposition of Catholicism on the German states under the Treaty of Lübeck b) the goal of gaining economic influence in the German states around the Baltic Sea. Like Christian IV before him, Adolphus was heavily subsidized by Cardinal Richelieu, the chief minister of Louis XIII of France, who gave him a million livres a year. Gustavus Adolphus died in battle in 1632 but his forces continued the war until the Peace of Prague in 1635 brought peace between most of the Empire’s Protestant states and the Emperor.
  • The French intervention 1635-48, as you can see this is the longest single part of the war. Cardinal Richelieu feared the power of the Habsburg empire on his eastern border and used innumerable policies, treaties with the Danish and Swedes to try and limit and hamper Ferdinand. Finally this broke out into overt war.

This summary nowhere near conveys the complexity of the wider context within which these conflicts took place. When the war broke out, Spain was stuck in a never-ending conflict with its provinces in the Netherlands, what would eventually be called the Eighty Years War (1568-1648) and where its brutal suppression, inquisition, torture and execution of Protestant rebels laid the foundation for the Black Legend of Catholic Spain’s scheming brutality, compounded, in 1588, when the Spanish launched the Great Enterprise, the plan for an amphibious invasion of England to overthrow the Protestant monarch and return to England to being a good Catholic country under Spanish tutelage – what we refer to as the Spanish Armada.

France was a fellow Catholic country and so should have supported both the Emperor and Spain, but in fact politicked against both of them at every turn. For example, the French government supported the Dutch against the Spanish in order to keep the Spanish bogged down, wasting money in the Netherlands, and so presenting less of a threat to French power.

There were other flashpoints such as in Italy where Spain controlled the duchy of Milan. Italy was where the (relatively small-scale) War of the Mantuan Succession (1628–31) broke out and drew in the other European powers in parallel to the 30 Years War. Savoy in north-west Italy, which maintained a precarious independence from the Empire while being eyed by France, was another flashpoint.

In the south-east of Europe, the Holy Roman Empire was threatened by attack from the Ottoman Empire, whose power stretched far into modern-day Hungary (although for long stretches the Turks were distracted by the war they were fighting on their Eastern border against the Persian Empire under Shah Abbas the Great (p.100) who launched a fierce invasion capturing Baghdad in 1623 (p.103.)

North of Hungary there were repeated clashes over the border territory of Transylvania, and this drew in two other powers to the East of the Empire, namely Russia (or the Duchy of Muscovy, as it was commonly referred to), and the Polish-Lithuanian Commonwealth, who periodically fought each other.

When Gustavus Adolphus invaded north Germany it was not only to support the struggling Protestant German states, but in order to solidify his power in the Baltic as a whole, specifically projecting his power into Polish territory, who Sweden was, at one stage, directly at war with.

In other words, the Thirty Years War only makes sense – or you can only understand the motives of all the sides – if you appreciate a) the total context of European geopolitics of the time and b) you grasp that all the numerous states of Europe and beyond were continually prepared to use ‘war’ to further their ends.

Accustomed to two disastrous world wars, it is hard for us to reach back to a mindset in which wars were envisioned as relatively limited operations and completely acceptable methods to achieve power-political and territorial ends. To give an example of how it worked, we read time and again of kings or emperors continuing to deploy their armies, while at the same time hosting peace talks and negotiations, each victory or defeat in a local battle, strengthening or weakening their bargaining positions.

Discussions, negotiations, conferences and diets and assemblies, embassies and missions continued between all parties even while armed conflict broke out, was carried on, or suspended during truces.

The role of individual rulers

After the first 500 pages or so I realised I was becoming heartily sick of reading about the endless fighting over the same bits of territory, mainly because the little battles and squabbles come to seem utterly senseless. From the hundreds of separate micro-conflicts which made up the big ‘wars’, what came over most strongly to me was how many of them were driven by personal ambitions.

The entire social structure of the day was build around a fractious, rivalrous and competitive aristocracy who paid nominal homage to their king or emperor but who in reality were endlessly jostling for titles and land and possession. Apparently this was particularly true in France, with senior members of families related to the royal line (‘princes of the blood’) continually conspiring and politicking against each other (p.372).

The Holy Roman Empire was different and vastly more complex because it was made up of four major ‘states’, within which sat 40 or so duchies and princedoms, within which or alongside existed a large number of free cities and autonomous regions – from the very large to the very small, each with their own rulers and constitutions and parliaments or ‘Estates’, as they were called, their traditions and fiefs and privileges and customs and taxation systems, who were joined by a variety of links to the figure of the Emperor.

There were seven Electors, so-named because they were the electorate who chose each new emperor, being the archbishops of the imperial cities Mainz, Cologne and Trier, then the King of Bohemia, the Count Palatine of the Rhine, the Duke of Saxony, the Margrave of Brandenburg. There were fifty spiritual and 30 lay fiefs held by lords of princely rank and then some 200 lesser fiefs, and then 400 or so baronial and knightly families. There were 80 ‘free and imperial cities’. States which were large enough earned the right to attend the imperial Reichstag which was more of a consultative body than a parliament, where the emperor was meant to get his way through negotiation and concessions.

Everyone was competing against everyone else. Everyone wanted more land, more power, to expand their territory, seize new towns and ports and cities and bishoprics and titles and forests and land. And warfare offered a quick way of achieving these ambitions, not only for the rulers who owned armies but for their generals. A massive motivation for being a general in the army was that, if you were successful, you were rewarded with titles and land.

At a very high level the wars can be presented as conflicts between Protestants and Catholics, or between France and the Empire, or between Spain and the Dutch. But at the level Wilson describes, the conflict breaks down into scores of micro-conflicts between Electors and local rulers who had their eye on this or that piece of nearby territory, fighting or negotiating to acquire bishoprics or cities or control of fisheries or forests.

And when large states were defeated, the leader of the victorious forces (for example Gustavus Adolphus or Ferdinand, in the middle Swedish part of the war) was able to parcel out and award all the conquered territory to his successful generals and followers. Thus ‘ownership’ of land could pass through multiple hands which, of course, created an ever-expanding set of grievances and wishes for revenge or reconquest etc.

Seen from a really high level the war amounted to a succession of armies tramping across the same old territory, fighting each other to a standstill or dropping like flies from dysentery and plague, while ravaging the land around them, burning villages and towns, consuming all available food and ruining agricultural land and livestock, devastating the very territories their lords and masters were squabbling over like spoilt children. It is estimated that around a third of the Empire’s cultivable land had been abandoned by 1648 (p.802). Grain production didn’t return to 1618 levels until 1670 (p.806).

And this is what amounted to statecraft in early modern Europe. Endless rivalry and conflict, continually spilling over into ruinous wars.

Why is the Thirty Years War important?

Wilson explains why the Thirty Years War was and is important in his (relatively brief) introduction:

About 8 million people died in this huge, prolonged and devastating war. Many regions and cities of Germany didn’t recover for a hundred years.

The war occupies a place in German and Czech history similar to that of the civil wars in Britain, Spain and the United States, or the revolutions in France and Russia. A defining moment of national trauma that shaped how a country regards itself and its place in the world.

For most Germans the war came to symbolise national humiliation, and was blamed for retarding the economic, social and political development of the country, condemning Germany to 200 years of internal division and international impotence, until Bismarck began the process of German unification in the 1850s.

Wilson’s interpretations

Right at the start Wilson explains that his huge history has three big underlying aims which deliberately set it apart from most ‘traditional’ histories of the conflict:

1. Most accounts simplify the extraordinary complexity of the war. Wilson seeks to restore all of its complexity and the complex way it evolved out of, and interacted with, other parallel conflicts in the Europe of the time (notably the Spanish-Dutch war). But above all he wants to show how the central thread running through the war is their common relationship to the imperial constitution. The emperor wanted to secure peace in his Empire, to enforce the imperial constitution.

2. Thus Wilson wants to assert that the war was not a war of religion. It is true that the Emperor was a staunch Catholic and the Bohemian rebels, the king of Denmark and the king of Sweden were Protestants, and Protestant imperial states (notably the Palatinate and Saxony) allied with them. But Wilson wishes to emphasise that the primary causes were not religious but were – in his view – driven by conflicts over the rights and freedoms allowed the states by the imperial constitution, a constitution the Emperor Ferdinand II had sworn to uphold. Contemporaries rarely spke or wrote abour rarely about Protestants or Catholics – they spoke about Saxons or Bavarians or Swedes or Danes or French or Spanish troops. In Wilson’s view, the focus on Protestants and Catholics is a construction of 19th century historians who a) had their own religious culture wars to fight and b) sought to simplify the war’s complexity.

3. It was not inevitable. The Empire had been at peace after the 1555 Treaty of Augsburg, in fact the period from 1555 to 1618 was the longest period of peace Germany experience until after 1945. Meanwhile civil war raged in France and a bitter struggle in the Netherlands. So war was not inevitable and not the result of inevitable religious divisions. It was more the result of fortuitous and contingent events, starting with the decision taken by a small number of Bohemian aristocrats to rebel against imperial rule, which triggered a conflict in which some of the Protestant states (namely Saxony and the Palatinate) decided to take sides, before the king of Denmark made an unpredictable and personal decision to take advantage of the confusion in north Germany to try and expand his territory. And when the Danish venture had clearly failed, by 1629, the king of Sweden then decided to have a go himself, in order to seize north German territory and solidify his power in the Baltic.

None of these three events were inevitable, they were the contingent decisions of small groups of individuals, kings and their advisors, who decided to use warfare for the traditional goals of expanding their territories and power.

The deep historical context of the Thirty Years War

Wilson’s account doesn’t arrive at the outbreak of actual hostilities until page 269, nearly a third of the way into the book.

This is because, to understand a) why the war broke out b) why it spread c) why it became so horribly complicated, you need to have as full a grasp as possible of the history and complex constitution of the Holy Roman Empire, and of all the neighbouring countries which had an interest in what was happening in Central Europe.

This includes (going in clockwork direction) Spain, France, Britain, the Spanish Netherlands, the Dutch, Denmark, Sweden, Russia (Muscovy), Poland (the Commonwealth of Poland), Transylvania, Hungary, the Ottoman Empire, Serbia, Croatia, the Republic of Venice and various other Italian states, not least the Papacy, and Savoy.

Wilson gives us the deep history not only of the Holy Roman Empire itself, but of all these other countries, for each of them delving back into the 1500s, often into the 1400s, sometimes as far back as the 1300s, in order to explain the dynastic struggles, arranged marriages, land grabs and redistributions and wars which formed the mind-bogglingly complex web of political and military relations across the Europe by the start of the 17th century. (I think the earliest reference is to 1160, the year when the Hanseatic League was founded, page 176.)

The war was deeply bound up with the complex practices of inheritance, for example the routine appointment, in noble families, of younger sons as prince-bishops or prince-abbots, and the complexities of dynastic marriages between ruling families of different states and principalities.

The Holy Roman Emperors

I found the sequence of Holy Roman Emperors a little hard to follow, though on the face of it there’s a simple enough succession:

  • Rudolph II (1576 to 1612)
  • Matthias (1612 to 1619)
  • Ferdinand II (1619 to 1637)

Looks simple, doesn’t it, but Wilson places this trio and their reigns within the context of the vast Habsburg empire ruled by Charles V (1519 to 1556). Charles inherited extensive domains, including all of Spain and its new colonies in South America, Austria and territories scattered all across Germany, Hungary and Bohemia, in the Netherlands, and large chunks of Italy (e.g. Sicily and Naples). (Wilson gives an extended description of the growth of Spanish colonies in the New World, their use of slavery, and the importance of the silver trade, pages 116 to 121.)

It was Charles V who decided he had to divide this unwieldy entity into two massive parts (p.50), the Habsburg Partition of 1558. He gave Spain, the Netherlands and the New World to his son Philip II of Spain, and Austria and the Imperial territories of central Europe to his younger brother, the Emperor Ferdinand I (1556 to 1564).

Thus the creation of a Spanish branch and an Austrian branch of the Habsburgs or ‘family firm’.

But of course it was more complicated than that because 1. the Austrian emperor had numerous other titles, and these were awarded by a range of bodies within his scattered states, each with its own constitution and procedures. Thus the Austrian ruler was at the same time King of Bohemia, King of Hungary and Croatia. But he needed to be elected King of Germany by the seven electors (see the list, above). In general the next-in-line to the throne was elected while the current one was still alive, and received the honorary title ‘King of the Romans’ (a bit like our Prince of Wales).

Incidentally that title indicates the deeply held belief that the emperor was descended from the rules of ancient Rome and, like the later Roman emperors, carried the responsibility for the defence of all Christendom.

And 2) because the emperor was elected, this meant there were other candidates – although in practice this meant only other Habsburgs, in Ferdinand’s case, his brothers. Nonetheless these might be supported by various nations or special interest groups within the Empire because they thought this or that candidate would give them advantages and payoffs.

So as the Holy Roman Emperor who ruled just before the war broke out – Rudolf II – sank into madness or mania, his eventual successor Matthias had not only to face rival candidacies from his brothers Ernst, Maximilian and Albert, but found himself drawn into a prolonged conflict with Rudolf which lasted so long and was so destructive that it gained a name of its own, the Brothers’ Quarrel. As Wikipedia puts it:

The Brothers’ Quarrel was a conflict between Rudolf II, Holy Roman Emperor and his brother, Matthias in the early 17th century. Their other brothers – Maximilian III and Albert VII – and their cousins – especially Ferdinand II and Leopold V – were also deeply involved in their dispute. The family feud weakened the Habsburgs’ position and enabled the Estates of their realms to win widespread political and religious concessions.

Supporters and opponents in this intra-Habsburg rivalry came not only from within the Empire, but from the other wing of the Habsburg firm, in Spain, as well as a range of nations bordering the Empire. (So, for example, we find the King of Spain leaning on Matthias to make his older cousin, Ferdinand, his successor [which is what happened] in preference to the more unpredictable cousin, Leopold.)

So, even before he was elected, the Holy Roman Emperor had to have advanced political and diplomatic skills.

Early 17th century issues facing the Holy Roman Emperor

And when he finally did come to power, the Emperor faced a number of ongoing issues, which Wilson describes in detail, including:

  • the religious wars in France from 1562 to 1598, which the emperor had to be careful not to get involved in
  • the immense Eighty Years’ War or Dutch War of Independence (1568 to 1648), the revolt of the Seventeen Provinces of what are today the Netherlands, Belgium, and Luxembourg against Philip II of Spain, the sovereign of the Habsburg Netherlands – which frequently spilled over into north-western territories of the Empire
  • ongoing wars between Denmark and Sweden for primacy in the Baltic
  • the Time of Troubles, a period of anarchy, famine and civil war in Russia, 1598 to 1613
  • war between Poland and Russia
  • and, of course, the largest threat of all – from the Ottoman Empire, ‘the terror of Europe (p.76), whose power stretched into Hungary and which permanently threatened to invade up the Danube into the Austrian heartland itself. This threat has flared up most recently in the Long Turkish War or Thirteen Years’ War, fought over the Principalities of Wallachia, Transylvania and Moldavia from 1593 to 1606.

These were just some of the geopolitical issues which the Emperor inherited, continually having to assess which side, if any, to back in all these wars, and prevent physical or political damage to polities within the Empire. And that was before you get to the issues and conflicts bubbling away in the territories which he directly ruled.

In this high-level map of the European context, note:

  • how far into Europe the Ottoman Empire extended, pressing up through Hungary, and why Wallachia and Transylvania were important border states
  • Spain’s territory in Italy, and the south or Spanish Netherlands
  • the distinction between the Holy Roman Emperor’s inherited Austrian holdings (in pink) and the German states which he ruled over but which had independent princes, Electors, margraves and so on (in orange)

The Thirty Years War in its European context (source: International History blog)

The role of religion in the Thirty Years War

And then there was religion. The disaffected monk Martin Luther kicked off the Reformation in 1517. His reformed version of Christianity spread quickly through some parts of the empire, gaining princely converts who were able to protect the feisty monk and theological rebel.

Despite Catholic attempts to crush it in the 1520s and 30s, by the 1540s the existence of large populations and important leaders who had converted to the new religion quickly became a fact of life within the Empire, which was finally ratified in the Treaty of Augsburg in 1555.

But this new religious conflict was just the latest in a litany of conflicting histories, traditions, cultures and languages, constitutions and processes which differentiated and separated inhabitants of the 1,800 or so states which made up the Empire(!).

What distinguished religion was that religious belief struck home to the real core of a person’s identity and psychology; and that the more devout the believer, the more they considered religion a matter of life and death, not only for themselves but for the world. Wilson has a fascinating passage (pp.261-262) describing the rise of apocalyptic writings and end-of-the-world interpretations of Bible texts which, he thinks, were partly sparked by the economically disruptive change in Europe’s climate which we now refer to as the Mini Ice Age.

That said, Wilson goes out of his way to emphasis that religion wasn’t an inevitable cause of conflict, and describes in detail a number of religious clashes in the late 16th and early 17th centuries where rulers sought and achieved compromise and peace. Thus it’s true that a Protestant Union was set up in 1608 and a Catholic Liga in 1609, but by 1618 the Liga had been dissolved and the Union marginalised (p.239).

Religion – like other cultural differences – only becomes a problem if some people are determined to make it a problem, in either of two obvious ways: 1) as a cynical tool to gain advantage or power, 2) because the trouble-makers genuinely believe that theirs is the Only Religion, and that their opponents are infidels, heretics, the Devil’s spawn etc.

Some leaders and some states were determined to use religion as a tool, namely the Protestant ruling class of the Palatinate, a fragmented territory in central and west Germany. For zealots like these the election of the devoutly Catholic Ferdinand II presented a threat.

But the Important Point to grasp is that, although all the successive Emperors were devout Catholics, they also had a good grasp of Realpolitik and so realised that they had to find peaceful accommodations and practice toleration for all their citizens. The emperors tried to hold the ring and contain and limit religious conflicts wherever they arose.

Another flaw with the argument that it was a religious war, is the fact that both ‘sides’ – the Catholic and Protestant ‘sides’ – were deeply divided among themselves, something Wilson explores in great detail (chapter 7), not only among themselves (there was a big gap between Lutherans and Calvinists), but also with their foreign sponsors or backers, e.g. Catholic Spain was at odds with Catholic France who, in 1635 went directly to war with the Catholic Emperor.

Thus Wilson opposes historians who see the war as an ‘inevitable’ result of the religious divide which ran through the Empire. He gives much more importance to the prolonged uncertainty about the Imperial Succession i.e. the Brother’s Quarrel, which pitted the ailing Rudolph against his likely successor Matthias (p.255 ff). In this prolonged struggle both sides conspired to weaken the other which, of course, merely weakened the Habsburg Dynasty as a whole, and handed more power to the Parliaments and Estates and other constitutional bodies which ran the Empire’s numerous constituent states, from big kingdoms like Bohemia and Hungary, through large German states like Saxony and Bavaria, down to the tiniest principalities.

Wilson sees the real cause of the war more in the wish of the states to consolidate the power they had wrested from a weakened Habsburg administration and, if possible, to opportunistically extend it.

Events leading up to the Thirty Years War

Having described this complicated situation in great detail, Wilson then describes a series of events which didn’t cause the war, but help to explain the attitudes and policies of the key players when the war broke out, including such little-known incidents as:

  • The Bocskai Revolt 1604-6
  • The Donauwörth Incident 1606
  • The Jülich-Cleves crisis 1609 to 1610
  • The Uskok War 1615 to 1617

There are others and with each one, I realised a) the complexity of European politics in the 17th century b) that I know nothing about it.

The defenestration of Prague 1618

The elite of upper-class Bohemian nobles (just to explain that Bohemia was for centuries the name of the territory which, in the 20th century, was renamed Czechoslovakia and then the Czech Republic) felt aggrieved by Imperial decisions and appointments. A small number of conspirators decided to take direct action and one evening stormed the castle in Prague and three a couple of Imperial representatives (and their servant) out the window of their state apartment and into the moat.

However the three men did not die, but limped away, were hidden and made good their escapes. This was a bad omen, for the rising of the Protestant Bohemian nobility which the conspirators were aiming for wasn’t as whole-hearted as they wishes and, although some of the Empire’s Protestant states joined their rebellion (Saxony and the Palatinate) most didn’t, wisely waiting the outcome of events.

Briefly, after two years of battles and skirmishes across Bohemia and beyond, the Bohemian rebellion was crushed at the decisive Battle of the White Mountain in November 1620 and Prague was occupied by Imperial forces.

However, the rebellious Protestant provinces of central Germany still had to be brought to heel and this took three more years. And that process was only just being wound up when King Christian of Denmark decided to invade, so inaugurating the second of the four main phases of the war listed above.

I don’t have anything like the time or space or energy to even summarise what happened next. For a detailed account read the Wikipedia article.

The Edict of Restitution 1629

So the really key turning points are:

  • 1618 start of the Bohemian rebellion
  • 1620 The Battle of the White Mountain, where the initial Bohemian rebellion was crushed
  • 1625 The entrance of Denmark under King Christian IV into the war
  • 1630 the entrance of Sweden under King Gustavus Adolphus

But there’s another one – the passage of the Edict of Restitution in 1629. Having defeated Denmark’s forces, the Emperor Ferdinand II felt in a strong enough position to impose the Edict of Restitution. This attempted to turn back all the changes in ownership of religious land and property which had taken place since the 1555 Peace of Augsburg. In the intervening years there had been a steady flow of archbishopric, churches, monasteries (‘the secularised archbishoprics of Bremen and Magdeburg, 12 bishoprics and over 100 religious houses’) which had been expropriated by Protestant princes and rulers. The Edict attempted to reverse all these changes.

The result in 1629 and 1630 was a great transfer of power and property away from the Protestants to the Catholics. Thousands of Protestants had to leave places they’d lived in for generations and flee to Protestant territory.

The Edict applied especially to north-eastern Germany where the Emperor’s writ had been weak for a century. Ferdinand appointed Imperial administrators to take over the secularised states and cities in a bid to re-establish Imperial authority in areas where his control had become weaker.

Apart from alienating a lot of Protestant opinion, the Edict had two consequences. In 1630 Frederick had to call a meeting of Electors to have his son, also named Ferdinand, elected King of the Romans i.e. emperor in waiting.

However, some of the Protestant Electors stayed away from the meeting in protest at the Edict and others demanded, in exchange for supporting his son, that the Emperor sack his hugely successful but contentious general, Wallenstein. Reluctantly, Ferdinand did so, a victory for the dissident Electors and Protestant faction – and evidence for Wilson’s central thesis, that the war was more tied up with the complexity of the Imperial constitution and Imperial power than with religion per se, i.e. the Emperor could never just do what he wanted, but always had to work through the Reichstag, the Electors, the Estates and so on, in an ever-changing web of complicated negotiations.

Anyway, the second result was that the Edict provided the figleaf the king of Sweden, Gustavus Adolphus, needed for undertaking his invasion of north Germany.

The role of Sweden

As a newcomer to this vast and tortuous history, it’s hard to avoid the fairly simple conclusion that most of the war was Sweden’s fault. The Bohemians, the Danes and many of the Protestant states had been fought to a standstill by 1630, and the war could have been ended. Gustavus Adolphus’s invasion of north Germany meant that the war continued for another eighteen years – and, from what I understand, it was these later years which were by far the most destructive.

So the entry-level questions, for me, are: 1. why did Gustavus invade, and 2. – more importantly – why did the Swedes stay on in Germany for sixteen years after Adolphus died in battle in November 1632?

There appear to be three answers to question 1. Because Gustavus saw the chaos in north Germany as a) an opportunity to seize territory there and b) to consolidate Swedish control of the Baltic (against rivals Poland and Russia). And c) he and his chancellor, Axel Oxenstierna, presented themselves as ‘Champions of Protestantism’, rescuing the Protestant German states threatened by the Emperor’s Edict of Restitution (cynically or sincerely, who can say?).

So much for question 1. But it seems to me that the biggest question about the whole war is: Why did the Swedes stay on for a further 16 years, causing epic destruction and ruination across vast swathes of central Europe? The war caused devastation across all central Europe, but the Swedish armies alone may have destroyed up to 2,000 castles, 18,000 villages, and 1,500 towns in Germany, one-third of all German towns! They presented themselves as the champions of the Protestant cause, but in the final months before peace, the Swedes attacked and pillaged the area around Protestant Prague. Surely they weren’t ‘saviours’ but great destroyers?

(Wilson confirms my two-part interpretation on page 719, where he explains that, from Ferdinand’s point of view, the war fell into two parts – 1. the initial Bohemian rebellion which triggered revolts among various other Protestant rulers in Germany (namely the Palatinate and Saxony) and which was finally concluded with the Peace of Lübeck and the Restitution Edict); and 2. the Swedish part, by far the longest and most ruinous part.)

Historical events alongside the Thirty Years War

Eighty years war

Throughout the duration of the war, Spain was at war with the rebellious northern provinces of the Netherlands, although both sides managed to keep their conflict from the German war going on next door, even if there were localised incursions or aid, specially from the Protestant Dutch to some of the Protestant states.

British civil wars

In 1639, rebellion by Presbyterian Scots led to the First Bishops War, which triggered the descent of Britain into what is variously called the British Civil Wars or the Wars of Three Kingdoms (or the Great Rebellion by contemporary Royalists). It is fascinating to learn that irritation at Charles I’s support for the Emperor led Sweden to send arms and some officers to support the Scottish rebellion. (And also to learn that so many Scots served in the Swedish army, sometimes for decades, and had built up a wealth of practical knowledge of modern warfare. Meaning that, when in 1639 they returned to their homeland they were able to help Scotland thrash England in both Bishops’ Wars, 1639 and 1640).

I was also fascinated to read about two rebellions Spain faced, which added to her long-running war with the Dutch and the conflict with France. These were the rebellions of Portugal and Catalonia.

Portugal

The Portuguese rebelled in 1640, in what became known as the Portuguese Restoration War and lasted until 1668, eventually bringing an end to the union of the Spanish and Portuguese crown (the Iberian Union) and establishing the House of Braganza as Portugal’s new ruling dynasty, replacing the Spanish Habsburg who had ruled the country since 1581. It was a member of this ruling dynasty, Catherine of Braganza, who Charles II of Britain married in 1662, soon after his restoration, thus acquiring the territory of Tangiers, not much money, and a wife who proved incapable of bearing an heir, thus indirectly triggering the eventual overthrow of the Stuart dynasty.

Catalonia

The Reapers’ War Catalan revolt sprang up spontaneously in May 1640, leading King Philip IV sent an army to suppress it, which sacked several Catalan towns before being defeated outside Barcelona. The French seized the opportunity to take the country of Roussillon from the Spanish and sent arms and soldiers to help the Catalans in exchange for which the Catalans half-heartedly accepted the French king Louis XIII as King of Catalonia. The rebellion dragged on until 1659 when it was wound up as part of the wider peace settlement between Spain and France (the Peace of the Pyrenees).

Brazil

A small but fascinating sidelight is Wilson’s detailed account of the rivalry between the Dutch and the Portuguese in Brazil. Basically the Dutch in the 1630s confidently seized a lot of Portugal’s colonial holdings, but Portugal fought back, retaking most of the colony, leaving the Dutch to concentrate on their new colonies in the East Indies.

The Peace of Westphalia

One of the most fascinating aspects of the Thirty Year War was its conclusion, and the long peace conference which led up to the Treaty of Westphalia. Wilson makes the – to me – fascinating point that the peace conference invented the model of international negotiation which was consciously copied at all complex European peace negotiations ever since, at Utrecht in 1714, the Congress of Vienna in 1815, at the Versailles Conference in 1918-19 and which underpins the modern system reflected in the United Nations.

Early modern society was utterly drenched in the notion of hierarchy, starting with God at the top and moving down though his Son, to the angels, to the created world which had Christian kings at the top and their aristocrats, sharing top billing with the Pope and the top notables of the church on one wing, before finally reaching the urban bourgeoisie, and so on down to the peasants, squatting at the bottom. Then the animals.

In this hierarchical view, various nations of Europe fiercely competed to be Top Dog, which in their world meant being the Most Christian nation. It was a status claimed by Spain whose monarchs, after Ferdinand and Isabella had expelled the last Arabs in 1492, thus winning the title of Their Most Catholic Majesties – but also claimed by the Holy Roman Emperor who thought of himself as the Protector of all Christendom – while French kings tried to dignify themselves as the Arbiters of Christendom, and so on.

Certainly, there were lots of flunkeys and carriages and servants and grand display at the peace conference venues in the two Westphalian cities of Osnabrück and Münster. And yet, when it came down to negotiating, the various powers (chief among them the Emperor, Spain, France and Sweden, but also the Electors and other key German princes) were forced to acknowledge the interests and concerns of each other as free and independent entities.

In other words, through the long course of the negotiations (which began in 1643, and so lasted some five years) the conflicting parties were forced to abandon the Early Modern theory of Hierarchy, and adopt what we think of as the Modern Theory, that all nation states are free and independent, have absolute rights and interests and must be negotiated with as individuals.

The positive interpretation of Westphalia regards it as the birth of the modern international order based on sovereign states interacting (formally) as equals within a common secularised legal framework, regardless of size, power or internal configuration. (p.754)

The Emperor could no longer intimidate his dependent states with fine words and a big crown, but had to address their anxieties and requirements.

The final deal consisted of two treaties: the Peace of Osnabrück in which the Emperor settled all issues with Sweden and the states within the Empire, and the Peace of Münster, which settled outstanding issues with France, although carefully excluding the duchy of Lorraine which remained occupied by French troops (p.747).

Devastation and disease

The Thirty Years War became a byword for savagery and brutality even while it was going on. Contemporary accounts emphasised the burning and looting, raping and casual murders which infested the territory, and many artists captured this in disturbing visual form, such as the contemporary engravings of Jacques Callot.

Pillaging a house, plate 5 from the engraving series The Miseries and Misfortunes of War by Jacques Callot (1633)

(Other artists who documented the atrocities of war include Valentin Wagner, Rudolf Meyer and Pieter Snayers.)

But as you might expect, Wilson takes a sophisticatedly revisionist attitude to this as to every other aspect of the war. He labels the view that the war was an unmitigated catastrophe the ‘Disastrous War’ school of thinking, pointing out that different regions had widely differing experiences, which also varied over time. He takes a long cold look at the figures, pointing out all kinds of problems with contemporary records and definitions (for example ’cause of death’).

Nonetheless, it is clear that some regions of Germany saw a loss of 50% or more of their populations. There is agreement that some areas didn’t see a return to their 1618 population figures until 1710 or 1720 (p.795).

It used to be said that around a third of the total population of the Empire perished, but more recent figures revise this down. Still, to put it in context, Wilson points out that the Soviet Union is widely seen to have suffered extraordinary levels of death and devastation as a result of the 1942 Nazi invasion – yet fewer than 12% of the population perished. So even a ‘low’ estimate of 15% of the Empire perishing implies spectacular destruction.

But for me the standout insight is the usual one about almost any war, even into modern times:

Disease proved more potent than muskets, swords and cannon. (p.790)

And again:

The pattern of civilian deaths conforms the general picture of military casualties. Disease was the main killer. (p.792)

Human societies are very fragile things, often only just about able to provide food, clean water and sewage facilities for their existing populations. The second you start a war, and start displacing people, you interrupt the growth, harvesting and distribution of food and deprive people of clean water and sewage facilities. Within days populations begin to starve and become prey to waterborne diseases like typhoid and dysentery.

Human efforts are feeble compared to the forces of nature which are poised all around to massacre us as soon as we let our highly organised but fragile defences slip. This felt like a slightly eccentric minority view till the spring of this year. Hopefully now everyone can agree with it.

Anyway, the usual diseases of war (typhoid, dysentery) were compounded by plague, still a common disease and one which ravaged specific areas. Beyond the bounds of the war, large parts of Italy were decimated by plague in the 17th century, but troops of dirty soldiers traipsing all across the Empire brought it too, and some areas of Germany were laid low. As a tiny example, Wilson describes the town of Ingelfingen where 241 people died in 1634, of whom precisely 7 died during its violent capture but 163 died of plague. 20 times as many.

Although, even here, Wilson is cautious and careful, making the good point that a large number of these people might have died anyway, because plague recurred at ten-year periods throughout Europe. How many died of illnesses they would have got anyway, and how many died because the privations of living in a warzone made them susceptible? Contemporary records are not sophisticated to let us calculate.

Summary

I found this a very hard book to read.

Long

Partly because it’s long, very long – very, very long – and very detailed, so it is easy to put down, then pick up again and have completely forgotten where you were and who Maximilian, Frederick or the Elector Georg are, or which precise part of Germany their armies are tramping over and where they’re headed and why.

Writing about war requires special skills

Eventually I came to realise that Wilson doesn’t write about war very well. Max Hastings or Anthony Beevor manage the brilliant trick of giving a full and clear explanation of the high-level reasons for a war and the strategic changes and developments which develop as a result, alongside brutal eye-witness accounts which convey the fury and horror of individual battles. They clearly signpost key moments, key personalities and key decisions so that they stand out amid the endless sequence of events.

Not enough signposting of key events

Reluctantly, I came to the conclusion that Wilson can do neither. On page after page I found myself lost or confused as I read that Georg marched east to take the three main towns of Upper Saxony while Tilly was heading west to join up with the forces of Wallenstein who had recently seized the imperial cities of x, y and z. There are literally hundreds and hundreds of pages made up of prose like this.

The truce allowed Oxenstierna to move Lennart Tortensson and 9,700 men from Prussia. These troops began arriving in Pomerania in late October 1635 along with a morale-boosting delivery of new clothes for Banér’s ragged army. Tortennson’s units surprised Marazzino, prompting Johann Georg to fall back to protect Berlin in December, while Banér retook Werben and relieved Magdeburg in January 1636. The unpaid, hungry Saxons retreated to Halle. (p.578)

Maybe I’m dim, but by the end of this sentence I was thoroughly confused, and there are hundreds and hundreds of pages just like it.

Ferdinand regarded the third army of the Guelphs as already lost. He formally enfeoffed the elector of Cologne with Hildesheim on 22 August, and authorised Hatzfeldt to enforce this in October and compel the Guelph troops to join the imperial army. Piccolomini had already moved his 15,000 men from Luxembourg in September to assist. Duke Georg responded by tightening his mutual defence pact with Hessen-Kassel on 9 November, while Melander broke the Hessian truce to capture Bielenfeld. (p.617)

All these endless troop movements eventually blurred into one, and I lost any sense of why they were important, who their leaders were and where any of these places were. At first I thought it was me, but eventually concluded it is Wilson.

Suddenly out of the blue he’ll mention that all this marching has led up to one of the key battles of the war or marked some decisive turn — but there isn’t nearly enough scene-setting or signposting in the text. He doesn’t prepare us for the Big Events well enough, and then doesn’t bring out their consequences fully enough. I began to drown in the endless tide of detail.

When I did an apprenticeship in journalism, years ago, this was called ‘burying the lead’. If something Big happens you make sure it is flagged up with a headline and a clear statement of the main event at the top of the copy. The headline and the opening sentence grab you and convey the key information.

The most glaring example of Wilson’s failure to think or write dramatically is the following. The Emperor Ferdinand II was the leading figure of the war from his accession in 1619. He is mentioned on every page, it is he who makes key decisions large and small, appoints generals, sets strategy and negotiates with other states and rulers. Ferdinand is the dominating figure of the narrative and the war. And yet his death only casually mentioned in parentheses on page 586.

Archduke Ferdinand was duly elected as King of the Romans on 22 December 1636 (just in time, because his father died a month after the congress closed).

That’s it, that’s all you get on the passing of this gigantic figure, and then the tide of details flows on as if nothing had happened. There is no build-up, no lead-up to this signal event – not even any explanation what Ferdinand died from, no mention of a funeral, no summary of what he had achieved during his reign. It’s a quite astonishing dereliction of the historian’s responsibility to explain.

Same happens with two other massive figures, Cardinal Richelieu of France and the French King Louis XIII, whose deaths in 1642 are briefly mentioned in the same sentence before the text moves briskly on with no mention anywhere of their importance, what their goals were and whether they achieved them, their responsibility in the war. Nothing.

It is a staggeringly cavalier attitude, and a prime example of the way Wilson is not writing history in a way designed to engage you with individuals and personalities, to make the story exciting or gripping, but with other aims in mind.

Wilson’s revisionist intentions

Part of the reason for this lack of good storytelling is that Wilson is more of an academic writer than Hastings or Beevor. You feel he is not setting down the welter of details in order to tell a good story, but because Wilson wants to make academic points. You begin to realise his primary motivation is overturning ‘traditional interpretations and asserting his revisionist account.

And you begin to recognise the moments when he does this as they all follow a similar template or formula – he writes that so-and-so event is usually interpreted as meaning x, but that he is going to reinterprets it as meaning y.

The general conclusion is that Wallenstein represented the last of the condottiere, or great mercenary captains who emerged in the Italian Renaissance. Such figures are thought to represent a transition in historical development as expedients employed by states until governments were capable of organising armies themselves. This is misleading. (p.542)

Or:

The war is customarily portrayed as entering its most destructive and meaningless phase after 1640, as it allegedly descended into ‘universal, anarchic and self-perpetuating violence.’ The development is often attributed to the deaths of the ‘great captains’ like Gustavus, Wallenstein and Bernhard, and is associated with the supposed internationalisation of the war… Much of this is a myth. (p.622)

In other words, for Wilson the text doesn’t exist as a dramatic story studded with key moments which represent massive historical and cultural turning points (like the Czech defeat at the Battle of the White Mountain or the death in battle of Gustavus Adolphus or the murder of the legendary Imperial general Wallenstein). These highly dramatic moments are almost peripheral to his real concern which is to take on the received ideas and interpretations of previous historians and to give key moments his own interpretation.

Thus in chapter 21, towards the end of the book, Wilson goes to great lengths to proves that, far from leaving the Empire a ‘hollow shell’, as many, especially 19th century critics of the treaty claimed, it in fact rejuvenated the Empire,

injected new life into its constitution and strengthened its political culture. (p.778)

But there’s another problem with this approach, beyond making the book lack narrative drive and consistently failing to signpost key moments so that the book ends up feeling like one damned thing after another for 850 pages of dense and detailed text.

This problem is that, to really get the most out of his new takes on old issues – to really understand how Wilson is upending traditional interpretations and giving new readings and slants on well-known events, people or policies – you have to know what the traditional interpretations are.

You have to have a good grasp on how historians have traditionally interpreted, say, Wallenstein’s character or Gustavus Adolphus’s motives, in order to really appreciate how Wilson is giving them a new interpretation, but the feeling that this would help your understanding of what Wilson is trying to do adds to the levels of complexity and slight anxiety I experienced reading his book.

This is, quite simply, asking too much of the average reader – that they should have a detailed enough knowledge of the traditional picture of the Thirty Years War in order to appreciate Wilson’s innovations and new readings.

Wilson’s interest in the finances of the war

Just a mention that Wilson’s book is very, very thorough about the financial aspects of the war. He devotes a great deal of space to the ongoing financial tribulations of the Emperor, and the kings of Spain, France, Denmark and Sweden. He explains how they all had to borrow to finance the war, and then were reduced to various extreme expedients, raising taxes, extorting money from conquered territories, looting gold and silver, squeezing Jewish financiers, a whole range of desperate measures, to pay the money back, and often never did.

Towards the end of the book he has a fascinating passage about the so-called ‘Kipper and Wipper’ hyperinflation which afflicted the Empire as states debased their currencies to pay for the exorbitant costs of war, which itself mostly meant paying the wages of the huge numbers of mercenary troops employed by both sides (pp.795-798).

Included in this theme is the fascinating fact, which I knew from other sources but still blows my mind, that although Spain was extracting huge amounts of silver from its mines in the New World (working to death slave labour populations of local Indians and then importing African slaves to carry out the work) it still managed to go bankrupt repeatedly throughout the later 16th and most of the 17th century. Basically, the Spanish Empire wasted all that treasure and more, on its stupid, futile wars, chief of which was trying to suppress the Protestant Dutch for 80 years. An epic example of historic futility.

Back with Wilson’s focus on finances, his summary of the Westphalia settlement includes a detailed consideration of the demobilisation of the troops of all sides stationed in garrisons, castles and cities all over the empire, and the cost of demobilisation. Peace treaties of the time usually included a so-called ‘satisfaction’ money i.e. money given by the loser to the victor to pay off his armies. Earlier in the book, Wilson explained the fascinating fact that it was often difficult to end local conflicts and even entire wars, because armies refused to be demobilised until they were paid.

This book contains an astonishing amount of information and shows an encyclopedic knowledge of the myriad of issues and subjects involved in the history of the period.

Lack of maps

Finally, it is a scandal that an 850-page-long book about the most complicated conflict in European history has precisely one map. And quite early on I realised that many places mentioned in the text aren’t even on it. This made it difficult-to-impossible to understand page after page after page of the text which describes this army marching from x to y via the river z, and meeting up with the army of p near the town of m not far from the lake of c — if none of these places are indicated on the book’s one and only map.

Of course, you can try googling all these placenames and, sure enough, find the places on Google Maps (although sometimes the names have changed and it takes a while of checking and double checking to be sure you’ve got the right one). But of course Google Maps doesn’t show the way the territory looked in the 17th century, nor does it show you the route of the complicated army manoeuvres you’ve just read about, or where the armies camped or set up and fought, or anything that you really need to see in order to understand the text.

The complete impossibility of establishing where half the things Wilson was describing were taking place was another big reason why the text eventually became a blur of similar-sounding names and places which became impossible to keep track of.

Conclusion

This book is an awe-inspiring achievement. To have reviewed so much material, to have consulted so many sources, in so many languages, in so many libraries, and to have mastered the early modern history of almost all European countries, and not least the terrifying complexity of the Holy Roman Empire and the complex web of power structures whose failure helped to trigger the war – and then to set it all down into an enormous, lucid, calm, reasonable, well-judged and balanced account like this is an awesome, almost a supernatural achievement.

Nonetheless, my conclusion would be that you should only consider reading this book if you want a really, really, really detailed account of the minutiae of the Thirty Years War, complete with academic reassessments of received historical opinions, and stripped of almost all excitement, drama and interest.

For most normal people, reading the Wikipedia article about the war (and all the related conflicts and key figures) will be more than they’ll ever need to know.

Video

Here’s a video of Peter H. Wilson himself delivering a lecture about the war. The main thing that comes over in this lecture which isn’t obvious from his book, is his simple explanation of why the war lasted so long, which is that both the Dutch and the French wanted to prevent it ending, for if it ended, the Austrian Habsburgs would be in a position to fully support their Spanish cousins to finally defeat the Dutch rebels.

Obviously the Dutch didn’t want this to happen, but neither did the French who were worried about being surrounded by Habsburgs to the south, east and north – and so first the Dutch and then, increasingly, the French, subsidised first the Danish intervention, and then the longer-lasting Swedish invasion of the empire, and then finally, the French themselves became directly involved in the war in 1635.

Appendix. Where does the word ‘Protestant’ come from?

A ‘diet’ or imperial conference was convened at the city of Speyer, in Germany in 1529. Its aims were:

  1. organising the German states to deal with renewed Ottoman Turkish attacks in Hungary
  2. to settle the religious question

The Holy Roman Emperor Charles V, himself a devout Catholic, was prepared to take a conciliatory approach to the Empire’s princes and dukes who had converted to the new ‘reformed’ religion of Martin Luther. But the diet was managed by his brother Ferdinand who took a harsher, non-negotiable line. He condemned all those princes who had interpreted a previous diet held at Speyer just three years earlier as allowing them to choose what religion was practiced in their states. No, they couldn’t, Ferdinand said. On the contrary, Ferdinand ordered that all states within the Empire must follow Catholicism, that all church reforms must be scrapped, and that any further reform was punishable by death. The Lutherans’ lives were to be spared, but more radical reformers like Zwinglians and Anabaptists were simply to be executed out of hand. Ferdinand and the Catholic rulers present – the majority – voted for these proposals.

The Lutheran members of the Diet (namely the rulers of Saxony, Brandenburg, Braunschweig-Luneburg, Hesse, Anhalt and the representatives of fourteen imperial cities) entered a formal protest against the decision and appealed to the Emperor Charles V (who had not attended the diet) to reverse its dictates.

Their protest against the harsh results of the second Diet of Speyer led to them becoming known as the protestors or the Protestants and the name became attached to all followers of reformed religion, whatever their precise theology or practice.


More seventeenth century reviews

The Sleepwalkers by Hermann Broch: a summary

On the back of the book, on Wikipedia and in various other locations, large claims are made for The Sleepwalkers, the trilogy of ‘modernist’ novels by Austrian writer Hermann Broch. They are all along the lines of it being ‘a portrait of a world tormented by its loss of faith, morals and reason’.

Having read all three novels quite carefully, the aim of this little essay is to question some of these claims and to put the trilogy into a broader historical perspective. If this seems a questionable thing to do, then bear in mind that the novels – especially the third one – themselves include long passages which take a very highbrow, Hegelian view of history, and which analyse the development of Western culture since the Renaissance right down to the present day.

In other words, rather than applying an alien and academic approach to what are essentially fictions, it’s more accurate to say that I am continuing Broch’s own obsession with the present plight of Western Civilisation and his own lengthy analyses of where Western Man has gone wrong – and applying this approach to his own books.

Critics claim The Sleepwalkers is a panoramic overview of German society and history

The Sleepwalkers is emphatically not ‘a panoramic overview of German society and the collapse of its values’. It is three portraits of tiny groups of characters, each one centring on individuals who are psychologically unbalanced.

Critics claim The Sleepwalkers portray ‘a world tormented by its loss of faith, morals and reason’

1. The books are spread over thirty years, from 1888 to 1918. That’s not ‘a world’, that’s three distinct eras. Imagine saying three novels set in the England of 1988, 2003 and 2018, as describing ‘a world’ – they might be set in the same country but the social setup, the politics and feel of each of those moments would be very different. Same here.

2. None of the books really describe ‘a world‘ – it felt to me like the opposite: each novel describes tiny, unrepresentative groups of characters.

The Romantic is about army officer Joachim von Paselow, his Bohemian mistress Ruzena, his posh fiancée Elisabeth and his suave ex-army friend, Eduard von Bertrand. That’s not a portrait of ‘a world’. That’s a drawing room drama. It barely has enough characters in it to make a sitcom.

Similarly, The Anarchist concerns a relatively small number of characters, namely the book-keeper August Esch, the woman he bullies into marrying him (Mother Hentjen), the brother and sister he boards with in Mannheim, the local tobacconist and a trade union activist who gets locked up, and with three or four theatrical types he goes into business with. About the wider world beyond these ten or so characters we hear very little. Hardly the portrait of ‘a world’. It’s a microcosm.

The closing pages of the third novel in the trilogy, The Realist, are the only place where you have a sense of the wider world and History impinging on the characters, as they describe the anarchy which breaks out at the very end of the Great War, but these final passages leave a misleading impression: the nearly 300 pages which preceded them, once again, focus on a handful of characters: Huguenau the canny deserter, Esch from the second book who we now meet running a small newspaper, Joachim von Pasenow from the first book, who is now an elderly major in charge of the town, and a handful of civic dignitaries and workers. Again this is the opposite of ‘a world’, it is more like a small village.

3. Another sense in which the novels don’t describe a world is the way the lead figures in all three books are psychologically extreme characters. To be a little more analytical, they are highly unrepresentative figures.

– Joachim von Pasenow becomes subject to increasingly prolonged bouts of delusion and almost delirium. He has little or no grasp on the ‘real’ world, as his friend Eduard von Bertrand is quick to point out.

– August Esch is a dim-witted bully, whose malfunctioning mind is overtaken by absurdly grandiose, religio-philosophical psychodramas.

– Huguenau is calm and collected and detached from reality, an early forebear of the hundreds of psychopaths described in thousands of modern thrillers. This feeling is crystallised when he murders Esch in cold blood, stabbing him from behind with an army bayonet in a darkened street.

The third novel is longer and more complex than the others, but follows the same broad arc whereby the central character becomes drowned in their author’s increasingly lengthy pseudo-philosophical and religious ramblings.

So: three fruitcakes, three psychological cases and their close friends and associates do not constitute a world and are not really ‘a portrait’ of anything (if they really build up to anything, it’s a very negative summary of ‘the German character’, see below).

Critics claim The Sleepwalkers is a bold analysis of the collapse of Western values

Even if it were anything like a panoramic overview etc (which it isn’t), portraying the collapse in values in modern Germany (1888-1918) could hardly be called original.

In fact, it would be deeply unoriginal, since this topic of decline and fall was the obsessive subject of most German politics and culture in the decade after the Great War.

The territory had already been well staked out by Oswald Spengler’s classic of gloomy pessimism, The Decline of the West. Spengler’s book depicted the 19th century as a soulless age of materialism which had led to rootless immoralism in the arts (i.e. Symbolism, Expressionism and everything else which Spengler disliked).

The Decline of the West was published in 1922 and was an immediate bestseller, setting the tone for cultural debate throughout the Weimar period.

A 1928 Time review of the second volume of Decline described the immense influence and controversy Spengler’s ideas enjoyed during the 1920s: ‘When the first volume of The Decline of the West appeared in Germany a few years ago, thousands of copies were sold. Cultivated European discourse quickly became Spengler-saturated. Spenglerism spurted from the pens of countless disciples. It was imperative to read Spengler, to sympathize or revolt. It still remains so’. (Wikipedia)

Quite. Lamenting the decline and fall of ‘Western values’ was an intellectual parlour game played by every intellectual, writer, critic, commentator, aspiring politician and pub bore in the Western world.

Therefore, claiming that Broch’s massive novel about ‘the collapse of social values’ was in any way innovative or ground-breaking is ridiculous, seeing as it was published ten years after Spengler’s book had set the tone and defined the age.

The Waste Land by T.S. Eliot holds up because (among many other things) it is an excoriating portrait of mental collapse amid what genuinely seemed – in the immediate aftermath of the Great War – to be a continent going up in flames. But it got in early (like the Spengler, The Waste Land was published in 1922) and established a marker for a new technique and tone to describe the world. The Sleepwalkers, on the contrary, was published ten years later, and was more like a tardy latecomer to the debate.

Using Walter Laqueur to critique The Sleepwalkers

1. The Sleepwalkers’ cultural pessimism, far from being innovative, was entirely in line with its time and place

A few years ago I read half a dozen books about the Weimar Republic to coincide with some art exhibitions on the subject. By far the most convincing was Weimar: A Cultural History 1918-1933 by Walter Laqueur, who had the advantage of growing up during the period (born 1921, he fled Germany in 1938).

Laqueur’s history of Weimar is interesting because, unlike most left-wing academics who tend to concentrate on the communist writers and composers and the gender-bending nightclubs etc, Laqueur gives full weight to the conservative cultural forces of the time.

Above all he makes it all the more clear that so many of the liberal or left-wing, Socialist or communist artists, writers, playwrights etc who infested the Weimar Republic, did everything they could to undermine it and nothing to support it and thus materially contributed to its overthrow by Hitler and the Nazis.

I was continually reminded of Laqueur and his diagnosis as I read the final volume in the trilogy, The Realist. This is divided into short alternating chapters describing – or in the voice of – eight or so key characters.

One of these is (rather inevitably) an academic – not a professor of medicine or physics or engineering or anything useful, but (again, rather inevitably) a philosopher, and it is he who is the author of a series of sections entitled ‘The Disintegration of Values’.

These ‘Disintegration of Values’ sections go on at some length about the horrors of ‘this age’ and the laziness and cowardice of ‘our age’. The author is something of an aesthete and seems to be an expert in architecture. His sections repeatedly make the point, at immense, circumlocutionary length, that the unornamented style of modern post-war architecture bespeaks a deliberate banishment of ‘style’ and ‘beauty’ which is, ultimately, the emptiness of death.

‘Style’ and ‘Beauty’ we are told, reached their heights in the Middle Ages when all Europeans believed in one ideology, Catholicism as promoted by the universal Catholic Church, and everyone shared the same values and so art was accessible to all. But the Renaissance broke this happy balance between public and private, promoting the value of ‘the individual’, and then the Protestant Revolution smashed it wide open, leading to civil war in Europe but, more importantly, to the triumph of the each individual finding their own path to God.

This quest for individualism has led to 400 years of decline, in social life, art and architecture, until we reach the sorry depths described in Broch’s novels, which, he now explains to us, are meant to be detailed descriptions of how older values have been rejected in favour of the current state of soulless materialism and everyone-for-themselves consumer capitalism.

These sections are example of the worst kind of turgid, long-winded, grandstanding German philosophising. The author of these sections is not slow to drop in learnèd tags, like cogito ergo sum and refer to Neo-Kantianism or Hegelian notions of Geist – and confidently makes sweeping generalisations about all Western history interpreted as an interplay between The Rational and the Irrational etc.

But none of this really masks the fact that, deep down, the author is another drunk old bore propping up a bar somewhere telling anyone who comes near enough that the world is going to the dogs. And quite quickly this becomes really tiresome.

2. The Sleepwalkers is a good example of turgid, incomprehensible Germanic philosophising at its worst

Laqueur’s review of Weimar culture gives pen portraits of the works of numerous figures from the era who are now totally forgotten. Quite quickly you realise something almost all of them had in common was that they were:

  • long-winded and verbose
  • at the same time, extremely obscure and hard to understand
  • full of dire cosmic predictions about the collapse of civilisation and the end of the Western world

You notice this because Laqueur goes to some lengths to point it out and emphasise that long-winded, pretentious obscurity is an enduring strand of German culture.

Take the works of Moeller van den Bruck who wrote The Right of Young Peoples and The Third Reich. Laqueur comments that van den Bruck’s two books are almost impenetrably obscure, but nonetheless full of high-sounding rhetoric, ‘poetic visions, enormous promises and apocalyptic forebodings’ (p.96). Well that describes Broch’s huge trilogy to a T. Here are some other Laqueur comments on writers of the period:

The German language has an inbuilt tendency towards vagueness and lack of precision… (p.63)

[Thomas Mann was] Weimar Germany’s greatest and certainly its most interesting writer. But he could not be its spokesman and teacher, magister Germaniae. For that function someone far less complex and much more single-minded was needed. With all his enormous gifts, he had the German talent of making easy things complicated and obvious matters tortuous and obscure. (p.124)

Sounds like Broch.

[The heroes of the most popular writers of the time, neither left wing nor modernist, not much known outside Germany] were inward-looking, mystics, men in search of god, obstinate fellows – modern Parsifals in quest of some unknown Holy Grail. They were preoccupied with moral conflicts and troubled consciences, they were inchoate and verbose at the same time, very German in their abstraction, their rootedness and sometimes in their dullness. (p.139)

Quite. That sounds exactly like the thought processes which come to dominate the characters Joachim von Pasenow and August Esch – long-winded, verbose, over-the-top, full of pretentious, world-shattering generalisations which, on a moment’s reflection, mean nothing.

3. The Sleepwalkers revels in the corruption it portrays without offering any positive vision

What I came to dislike over the ten days I was immersed in these three heavy, turgid novels, is the way Broch’s vast trilogy revels in psychological collapse. It glories in the hysteria and confusion of its characters. It smiles with glee as they hallucinate, scheme and panic.

The Sleepwalkers enjoys its descriptions of corruption. It takes 150 densely-written pages to dissect the character of the loathsome, stupid and mentally ill army officer Joachim von Paselow, and a further 150 glutinous pages to plumb the depths of the wife-beating dimwit, August Esch.

The books dabble their fingers in the damaged Germanic soul, relishing every minute of their portrayal of deeply disturbed characters, and periodically inserting lengthy descriptions of their confused pseudo-philosophical obsessions.

Like so much Weimar Art, The Sleepwalkers trilogy didn’t build, but destroyed. It didn’t make positive suggestions, but carped and cavilled at every aspect of modern society, which their author regarded as going hopelessly downhill. Just like more or less every other author of his day (compare with the lengthy laments about the ‘sickness of our age’ throughout the first half of Herman Hesse’s Steppenwolf.)

It has no positive suggestions to make, it offers no solutions. It despises industrialism and social democracy and politics as much as it ends up appearing to despise pretty much all human beings and their pathetic attempts to find meaning.

I know that Broch was himself arrested by the Nazis in 1938, not least because he was a Jew, and so he was no friend at all of the regime – but that doesn’t alter the fact that the tendency of these three novels is entirely destructive of what you could call the sensible, democratic middle ground.

They don’t really describe or analyse this supposed ‘collapse of values’ (I actually found it impenetrably difficult to understand just what ‘values’ were being discussed in any of the novels: for example the concept of ‘romanticism’ which is referenced half a dozen times in the novel of the same name is nowhere really explained; not clearly).

What the novels do do, is enact and promote the very decadence and corruption which they claim to be lamenting.

Their nihilism was just one more contribution to the overall artistic nihilism of Weimar, and if this didn’t exactly open the door to Hitler, it ensured that when the moment came, the artistic, cultural and intellectual community lacked the intellectual means or the will to resist him.

The hopeless German-ness of the Germans

I’ve been moving from the specificness of the individual novels, up to a higher-level look at their place in Weimar culture as a whole. Now let’s step outside German culture altogether.

Stepping right back and viewing it from an Anglo-Saxon perspective, it seems to me that the entire analysis carried out by The Sleepwalkers is wrong because it is trapped inside German culture and can’t get out.

It is a truism that people often get stuck in hopeless, repetitive and self-destructive behaviour and eventually need help from therapists or counsellors. This is because the therapist is outside the situation the patient is stuck in and consequently can see it with a clearer perspective, and can offer what often turn out to be relatively simple solutions and ways out.

In the same way, all the works of cultural criticism and gloomy pessimistic German fiction which Laqueur describes, and of which Broch’s trilogy was a notable example, are trapped inside the prison of being German.

They were all addressing a simple problem made up of the following parts:

1. They take it as axiomatic that at some point in the past, say the era of Goethe and Schiller, German culture was fine and good and healthy, that the Germans had at some stage in the past had a wonderful soul and beautiful art and matchless music.

2. But then something seems to have gone wrong. Nietzsche in the 1870s was warning that something was wrong with German culture and after him a flood of writers, philosophers and so on produced thousands of variations on the same theme, from the tortured German Expressionist artists, through Gustav Mahler and his obsession with Death, through Spengler’s pessimism and thousands of nihilistic Weimar artists and writers, through to the Granddaddy of German unhappiness, and friend of the Nazis, the high priest of incomprehensible, long-winded laments that the modern world has lost its soul and authenticity, Martin Heidegger.

3. And this ‘problem’ had gone into overdrive in the aftermath of the First World War because the Germans, from all classes, at all levels, up to and including the loftiest intellectuals, couldn’t understand why the Germans had lost the war.

Why did we lose the war? What is wrong with us? What is wrong with Germany?

Questions which prompted thousands of agonised screeds about Seele and Geist and God and the Absolute – when the answer was perfectly simple: the Germans lost the First World War because the combined industrial and agricultural resources of Germany and Austria were no match for the combined industrial and agricultural resources of Britain, France and, especially, America.

Any therapist or counsellor outside their situation could have told them that this was the brute, blunt, material reason why they lost – but, unfortunately, this was precisely the kind of pragmatic, bathetic ‘fact’ beloved of the despised ‘nation of shopkeepers’ and of vulgar Yankee carpetbaggers that lofty and high-falutin German professors of philosophy just couldn’t handle, process or accept.

It was too simple, too obvious – lacking in true Germanic dignity and Geist and God and Sacrifice and Volk and Blut.

Thus, from the lowest bar-room drunk to the cleverest writers in the land, the Germans, as a people, looked for the reasons for their defeat in a huge variety of reasons and excuses – all except for the blindingly obvious one staring them in the face.

They attributed their defeat to a lack of honour, or patriotism, or duty or sacrifice, in a ‘collapse of values’, in the viciousness of modern culture, in its sexual decadence or its mercantile corruption, in the machinations of big business or the financial conspiracies of the Jews or the betrayal of the Army by civilian politicians or betrayal of the Volk by liberals and Jews – in a hundred and one reasons and excuses all of which managed to mask and conceal from themselves the blindingly obvious reality that, as a nation, they ran out of manpower and resources.

It was this failure to properly and responsibly analyse the stark economic and material reasons for their defeat, and instead the addiction to attributing defeat to a wild collection of fanciful philosophical or religious or psychological failings, which helped to create a paranoid victim culture – which emphasised psychological or moral or spiritual failings, rather than the more mundane practical realities – which helped Hitler’s rise to power.

Seen in this broad cultural context, Broch was just one more German writer crying out that his culture was profoundly, horribly diseased. Stepping right back, he was one among a huge chorus of cultural producers in Weimar Germany who were all lamenting how rotten and corrupt their culture was.

Well, they shouldn’t have been all that surprised when a strong leader stepped forward and offered himself as the cure to everything which was wrong with German society, starting with rejuvenating its rotten debased ‘values’ and re-instilling a sense of Pride and Patriotism and Confidence.

They wanted it. They got it.

The gross failure of German political culture between 1870 and 1945

Above the intrinsic economic and industrial strength of a nation obviously sits the class of people who manage them, who manage the economy, who run the country – the politicians.

And here again, Broch wasn’t experiencing some ‘collapse of values’ – or no more so than anyone in any Western country which had thrown off its Victorian straitjacket, had swapped its ankle-length skirts for flapper fashion and was dancing the Charleston.

No, what he was experiencing – as every other German between the wars did – was the complete and utter failure of German political class to manage its nation.

In the years leading up to 1914, and then again in during the 1930s, the men who came to the top of the German political system turned out to be completely incapable of running a modern state, without itching for war.

This is made crystal clear in all the histories of the Great War which I read during its recent centenary. In 1914 the men at the top of the German political system – Kaiser Wilhelm and the German Chiefs of Staff – took a calculated gamble that they could exploit the crisis which erupted after the assassination of Archduke Ferdinand.

This is a summary of the argument made in a recent book about Germany and Austro-Hungary in the build- up to, and during, the First World War, Ring of Steel by Alexander Watson (2014):

  • The conspirators – Elements in the Austro-Hungarian Foreign Ministry and military had been waiting for an opportunity to suppress little Serbia, located just on the empire’s border and endlessly fomenting nationalist unrest. When Archduke Ferdinand, heir to the Austro-Hungarian throne was assassinated on 28 June in the Serbian capital, Sarajevo, the Austrians blamed Serbia and spent most of July devising an ultimatum so extreme that they, and everyone else in Europe, knew that it could not be fulfilled. Germany, not that concerned at this point, gave Austro-Hungary unqualified support, the so-called ‘blank cheque’. Both countries changed their tune when they realised that Russia was mobilising to support the Serbs, their fellow Slavs.
  • War of existence – Why was the Austro-Hungarian hierarchy so harsh on Serbia? Watson gives a review of the many tensions tearing the Austro-Hungarian empire apart. ‘The actions of Austro-Hungarian rulers in the summer of 1914, although secretive and aggressive, were motivated less by belligerence than a profound sense of weakness, fear and despair’ (p.14).
  • The miscalculated risk – The pressures on German Chancellor Bethmann Hollweg reflected a nation anxious about the growing might of Britain and France and the industrialisation of Russia, but also well aware of the risk of world war. German Chancellor Hollweg gambled that a) the Austrians would defeat Serbia quickly, within a week and b) that Russia would be so slow to mobilise that the conflict on the ground would be over in the Austrians’ favour before the whole thing got handed over to international mediation (as had a number of other recent international disputes e.g. the Balkan Wars of 1912-13). He was wrong on both counts.

As the situation deteriorated and the German High Command began to fear a possible war on two fronts, they decided to implement the Schlieffen Plan which called for the rapid invasion of France in order to knock her out of the war in a brisk six weeks, so that the Germans could then turn their attention to Russia who, they expected, would take at least six weeks to mobilise.

Wrong wrong wrong wrong wrong wrong wrong wrong.

Germany’s political and military leaders made a huge military gamble and were wrong wrong wrong wrong wrong wrong. World class wrong. All the catastrophes of the twentieth century stem from this one catastrophic miscalculation, not only the war itself but the overthrow of the Tsarist regime by the Bolsheviks, the rise of communism in Russia, Stalin, millions murdered in famines and gulags, the catastrophic triumph of communism and the rule of Mao in China, the entire Cold War with all its deaths and distortions.

From that one miscalculated gamble.

Once they’d committed they couldn’t back down, and when the ‘lightning’ attack through Belgium that was designed to capture Paris and knock France out of the war failed, the world was condemned to four years of meat-grinding deadlock.

This was the simple truth that everyone living in Germany through and after the war appeared to be unable to realise or accept. Instead, they were told by their leaders that they were fighting a war of civilisation against Western decadence (France) and Eastern barbarism (Russia).

They were fed cultural and spiritual and moral reasons for a war which was characterised as a crusade. And so an entire generation of Germans appears not to have grasped its much simpler geopolitical reasons (Germany’s paranoid fear of its rivals France and Britain, combined with paranoid fear of attack from the East, combined with a really fatal military miscalculation).

Back to Broch

Thus Hermann Broch’s big trilogy of novels, The Sleepwalkers, can be read, not as any kind of analysis of ‘a world tormented by its loss of faith, morals and reason’ and so on, but as one more instance of the German intellectual class’s complete failure to grasp the realities of the geopolitics, political leadership and economics which determined the world they lived in.

Broch was just one of many, many, many over-educated intellectuals and philosophers and academics and writers and commentators who couldn’t accept the simple truth that they lost the First World War because their leaders fucked up, and so wrote thousand-page novels blaming it all on the Renaissance or the Reformation or the Romantic movement or the imbalance between Reason and The Irrational or the falling of God from Infinity into the Absolute, and so on and on and on and on.

Conclusion

To summarise: in my opinion, Broch’s entire project of attempting to explain his country’s plight in terms of a collapse of so-called values:

  1. is not an accurate description of what the books are actually about
  2. is, in any case, crushingly unoriginal and indebted to much more influential cultural forerunners such as Spengler
  3. and in any case completely misses the point – it wasn’t the Germans’ social values which were at fault, it was the failure of their political culture to be able to manage a large modern state without resorting to the Kaiserprinzip or the Fuhrerprinzip and aggressive wars of conquest, which was at fault

What German ‘culture’ meant to its neighbours

Because if you happen not to have been born in Germany in the 1880s, if you happen to have been born in, say, France, the most obvious thing about Germany was not its lamentable collapse into ‘a world tormented by its loss of faith, morals and reason’ – the most obvious thing about Germany was the way it kept on bloody invading you – in 1870 and in 1914 and in 1940.

The most obvious thing about German culture was that it produced the febrile and unpredictable Kaiser Wilhelm II and his military high command who started World War One, and then the febrile and mad Adolf Hitler, who started World War Two.

‘World tormented by its loss of faith, morals and reason’ be damned – this was a nation which plunged the world into a catastrophe in 1914, and then did it again, 25 years later, so that the destruction they caused during the second one surpassed the most destructive capacity of all humanity in all preceding history put together.

That is why to this day the Germans are forbidden from having an army. Because nobody trusts them to have one. Think about that.

To this day the Germans are not to be trusted with an army because the whole world has seen what happens if you let Germany have an army. They wreak havoc, death and destruction on an unprecedented scale (read the mind-boggling descriptions of the destruction the Germans wrought all across Europe in Savage Continent: Europe in the Aftermath of World War II by Keith Lowe; read Primo Levi about Auschwitz.)

Because Death is a master from Germany.

Thus, stepping right back from the specifics of plot and character, The Sleepwalkers can be read as just one among many long-winded, melodramatic and pretentious refusals by German intellectuals to acknowledge the reality of German culture and history – to deny, to refuse to acknowledge what Germany had been in 1870 and 1914 and would be 1939 – a force for unbridled savagery and aggression.

Which part of the siege of Paris (1870) or the burning of Louvain:

From the first days they crossed into Belgium, violating that small country’s neutrality on the way to invade France, German forces looted and destroyed much of the countryside and villages in their path, killing significant numbers of civilians, including women and children. (August 25 1914)

Or the systematic demolition of Warsaw or the massacre at Oradour-sur-Glane

The women and children were locked in the church, and the village was looted. The men were led to six barns and sheds, where machine guns were already in place… The SS men began shooting, aiming for their legs. When the victims were unable to move, the SS men covered them with fuel and set the barns on fire… The SS men next proceeded to the church and placed an incendiary device beside it. When it was ignited, women and children tried to escape through the doors and windows, only to be met with machine-gun fire… (Oradour-sur-Glane massacre)

Did German ‘intellectuals’ not get?

All of it. They refused to acknowledge any of it as their fault or responsibility. Germany’s intellectual class continued to worry about Goethe and Beethoven and the World Spirit while their sons and nephews murdered, raped and burned their way across Europe.

How to cure Germany

Only the complete destruction of their country, the mass rape of their women, the seizure of their borderlands by Poland and the permanent encampment of the Soviet Union in the eastern half of their country for 45 years, along with the expulsion of over ten million ethnic Germans from every one of their neighbours, finally, at last, completely and utterly convinced the Germans that maybe they weren’t a Master Race blessed with special insight into Culture and Spirit and Being.

Only the utter devastation of all their cities, of their infrastructure and economy managed to finally convince the German population that all their verbose, melodramatic, self-indulgent rhetoric about ‘morality’ and ‘values’ and ‘reason’ concealed a people who would shovel millions of Jews into crematoria and set out to exterminate the entire Slav population of Eastern Europe (Generalplan Ost).

In the final book of the trilogy, The Realist, Broch goes out of his way to attack modern, money-minded commercial culture. The central figure of the book, Wilhelm Huguenau, is a successful, respectable businessman who is also show to be an amoral murderer and Broch repeatedly emphasises the direct connection between money-minded entrepreneurism and heartless murder. Broch despises modern business and business methods and business men.

But this didn’t stop Broch when push came to shove i.e. when the Nazis came to power, like so many of his left-wing, socialist or communist fellow Weimar intellectuals, from fleeing to the heartland of consumer capitalism, the epicentre of modern business methods, America, where he sat out the Second World War in comfort, holding a number of academic posts, benefiting from the largesse and the protected by the enormous military machine, generated by precisely the kind of modern capitalist society he went out of his way to anathematise in his novels.

This combination of factors goes some way to explaining why Broch came to dislike and then actively despise ‘the novel’ as an ‘art form’.

Because it was not The Novel he was reviling, not the novels of, say, Virginia Woolf or Ernest Hemingway or William Faulkner or Evelyn Waugh – it was his own novels:

– long pretentious tracts which claim to be analysing an entire society through the lens of half a dozen freakish characters

– larded with weighty rhodomontades about Sacrifice and Truth and Reality and Mind and Spirit and a whole load of other capitalised and empty words

– misleading and windy ‘analyses’ which concealed the true nature of the German plight / condition / situation, and so proved utterly useless in preventing the rise to power of the most evil regime in world history

– none of which prevented the rise of the Nazis, their aggressive foreign policy, the outbreak of war and the complete collapse of European civilisation

When you put like that, I think you can see why Broch would come to despise his own efforts as long-winded showing off, as showy grandstanding which, in the end, changed nothing.

Credit

The English translation by Willa and Edwin Muir of The Sleepwalkers by Hermann Broch was first published in 1932. All references are to the Vintage International paperback edition of all three novels in one portmanteau volume, first published in 1996.


20th century German literature

The Weimar Republic

German history

The Realist (1918) by Hermann Broch (1931)

Incapable of communicating himself to others, incapable of breaking out of his isolation, doomed to remain the mere actor of his life, the deputy of his own ego – all that any human being can know of another is a mere symbol, the symbol of an ego that remains beyond our grasp, possessing no more value than that of a symbol; and all that can be told is the symbol of a symbol, a symbol at a second, third, nth remove, asking for representation in the true double sense of the word. (p.497)

1. The cast
2. A more accessible layout
3. The plot
4. ‘Modernist’ techniques
5. Broch’s pseudo-philosophy
6. Humourless hysteria
7. Drawing strands together

The Realist (1918) is the third in Austrian writer Hermann Broch’s trilogy, The Sleepwalkers. At nearly 300 pages in the Vintage paperback edition it is almost twice as long as the first two novels put together.

The first two novels started out as realistic accounts of a handful of characters, featuring very vividly drawn settings and events, which slowly became more long-winded and hysterical, bloated with the religio-philosophical speculations of their chief protagonists which are mingled with their psychological obsessions and idées fixes into a complicated and sometimes confusing brew.

The Realist has more characters than the previous books, and more systematically deploys the different styles or registers of Broch’s writing, from the purely descriptive, through the psychological delineation of character, to – at the highbrow end – sections of pure philosophy and cultural critique. First, a look at the characters.

1. The cast

1. The Realist is Wilhelm Huguenau. He was approaching his thirtieth birthday when the Great War broke out. Quickly we skim over the years Huguenau spent waiting to be called up, then his conscription and training in 1917 and his first experiences in the trenches on the Western Front, lined with human excrement and flooded with rain and urine.

This is all dealt with briskly because the point is that on his first evening Huguenau promptly climbs over the lip of the trench and goes absent without leave. He is a handsome, smooth-talking man who grew up in Alsace on the border between Germany and Belgium and so is able to present himself to suspicious peasants and to a devout pastor who puts him up for a while, as an innocent man reluctantly dragooned into the army. He is a chancer with a beaming, friendly face and a ready smile on his lips (p.346). Surprisingly, though, he is stout and short (p.513), ‘a round, thickset figure’ (p.535). Possibly because Broch intends us to despise him as a symbol of the self-centred, go-getting corruption of the modern age.

2. Ludwig Gödicke is 40. He was a bricklayer before he was called up to the Landwehr. He was buried alive in a front line trench by shellfire. When the ambulancemen dug him out they couldn’t tell whether he was alive or dead and so had a bet on the matter, it’s only because of the random decision to have a bet that they didn’t fling him back in the hole but instead take him to a field hospital where he hovers between life and death as his soul slowly reconstitutes itself in anguish (p.351). (If this were an English novel he would recover from his ordeal; because it is a German novel by a German author, Ludwig has to reconstitute a soul which was atomised by his near-death experience and rebuild it fragment by fragment, a process described in immense detail.) For even though his body is repaired, it turns out that Ludwig’s soul is an unbuilt house which he must reconstruct one brick at a time. Meanwhile, in total silence he hobbles on crutches around the hospital grounds (p.383).

3. Lieutenant Jaretzki is in military hospital, almost the whole of his left arm swollen and infected by gas. The doctors discuss the need to amputate the arm before the infection reaches his torso, and then go ahead. Jaretski takes it pretty philosophically and discusses with one of the doctors whether to try and get a job in an engineering firm or simply volunteer to return to the front where he can be shot and get it over with.

4. Huguenau has by now travelled south away from the front and arrived at a sleepy little town in the valley of a tributary of the Moselle. He has spent the last of his money on smart clothes and a haircut and sets about coming up with money-making schemes. He visits the ramshackle office of the local newspaper, the Kur-Trier Herald, where the seasoned Broch reader has a surprise. For this ailing local paper is edited by none other August Esch, the former book-keeper who was the protagonist of this book’s prequel, The Anarchist (p.356). Esch inherited the newspaper and the buildings it occupies in a legacy, and it is 15 years since we last saw him (in 1903). But he is just as short-tempered and irascible, blaming the military censorship for preventing him publishing the truth, quick to take offence at anyone or anything. We meet his wife, one-time Mother Hentjen, who we last saw on the eve of their marriage, being joylessly ravaged every evening and who Esch occasionally beat when his anger got the better of him. He is tall and lean, with ‘long lank legs’ (p.513).

5. Later, at dinner in the hotel he’s staying in, Huguenau is promoted by devilry to approach the old, grey-haired Major dining nearby, who (he is informed) has authority for the region. For no particular reason, Huguenau finds himself denouncing Esch to the Major, accusing Esch of unpatriotic activities, and claims he’s been sent by higher authorities to carry out an investigation. Intimidated by this smart and confident young man, the old Major blusters and says he’ll introduce Huguenau to some of the local worthies who foregather in the hotel bar on Friday nights. Since Broch is obviously partial to reviving characters from the earlier novels, I immediately suspected that this white-haired and dim old military man might turn out to be Joachim von Pasenow from the first novel, thirty years later… And indeed this suspicion is confirmed in chapter 33 (p.418). Welcome back dim and confused old friend.

6. Hanna Wendler lazily wakes up in ‘Rose Cottage’, stroking her breast under her silk nightclothes before drifting off to sleep again and waking later. She imagines herself as the subject of a rococo painting, or like Goya’s painting of Maja. Presumably these references indicate her social class i.e. educated, upper middle-class. She has a son and several servants. We then learn that her husband, Dr Heinrich Wendling, is a lawyer, and that her listlessness is explained by the fact that he has been absent on the Eastern Front for two years (p.363).

7. Marie is a young Salvation Army girl in Berlin. Her sections are narrated by a first-person narrator who gives eye-witness descriptions of Marie’s life in Berlin in the final months of the war. In chapter 27 we learn that this narrator is Bertrand Müller, Doctor of Philosophy (p.403). That bodes badly. More philosophy, that’s the last thing we need.

8. Disintegration of Values And there’s a recurring section told by another first-person narrator which does nothing but lament the decline and fall of ‘our times’ and ‘the horror of this age’ (p.389) in an irritatingly ‘Disgusted of Tunbridge Wells’ sort of way. For this moany old devil ‘this age’ is ‘softer and more cowardly than any preceding age’ (p.373) and don’t get him started on ‘modern architecture’! Surely no former age ever greeted its contemporary architecture with such dislike and repugnance (p.389), the architecture of ‘our time’ reveals ‘the non-soul of our non-age’ (p.390).

I got the sense that this narrator or voice is not intended to be Broch’s, it is more self-consciously preening, exaggeratedly that of an aesthete who is happy rattling on about how this or that architectural style reveals ‘the spirit of the age’ etc. These passages might have been immensely useful if they had actually referred to specific buildings or types of architecture current either when the novel is set (1918) or when Broch was writing it (late 1920s). But they don’t. They are very long and curiously empty.

Anyway, we eventually learn that these passages are written by the character Bertrand Müller, and are part of an extended thesis he’s writing (p.439). That explains their über-academic style.

2. A more accessible layout

So that’s the main cast of eight or so characters who are each introduced in the first 20 or so pages, and the next 200+ pages tell us their stories as their lives unfold and, occasionally, intersect.

Apart from being double the length of its predecessor novels, the other immediately distinctive physical thing about The Realist is that it has chapters – lots of them, about 90 chapters, often only a few pages long.

This is in striking contrast to the previous books which were divided into just a handful (4 or 5) of very long acts or divisions. Admittedly these were then broken up into ‘sections’ indicated by breaks in the text, but The Realist is something new. The chapters consciously cut between the characters with each chapter focusing on a different character and on a specific action (or specific topic of waffling burble, in the case of the Disintegration of Values chapters) and is short and focused.

This makes The Realist infinitely more readable than its predecessors with their pages after pages after pages of solid text, sometimes disappearing into such extended passages of religio-philosophy that the reader gets lost and confused.

By contrast, in this book you are never more than a page away from a new chapter and, because they mostly focus on short sharp scenes, the result is much more vivid.

Also, whereas in the previous two novels almost all the dialogue was buried in huge blocks of undifferentiated prose, here the passages of dialogue are broken up so that each new bit of the dialogue, even if it’s only a sentence long, has a new paragraph – the standard way of laying out dialogue in most novels.

Sounds trivial but just these two typographic changes make The Realist look and feel much, much closer to the ‘normal’ type of novel you and I are used to reading.

3. The plot

Huguenau inveigles himself with Esch and gets the local worthies to form a business consortium which partly buys Esch out of the newspaper, installing Huguenau as editor and giving him accommodation in Esch’s house where is daily fed by Esch’s wife, the shapeless, silent hausfrau Gertrud (Mother Hentjen of The Anarchist, 15 years on).

Despite this Huguenau also wants to suck up the local military authority, Major von Pasenow. Now we know, from having followed him for 150 pages in The Romantic that von Pasenow is a moron who consistently fails to understand everything around him and this is what happens when Huguenau writes a cunning clever letter to the Major accusing Esch of consorting with traitorous types i.e. going to a beer cellar with a few mates and discussing how the war is going badly and whether it’s likely to end. Huguenau miscalculates because von Pasenow is too dim to be suspicious of Esch but instead is (rightly) suspicious of Huguenau’s motives in sending the letter.

Ludwig Gödicke attends the funeral of a well-liked young soldier who’d been in the hospital as Gödicke. the funeral prompts Gödicke to utter his first words and he tries to climb down into the open grave. Huguenau attends the funeral so the reader begins to realise that all these characters are in the same town.

Huguenau is bored of editing the newspaper which, after all has little or nothing to put in it. He has a brainwave, which is to set up a patriotic charity. That Friday he corrals the local worthies into setting it up, naming it the Moselle Memorial Association. He also has the idea of setting up an ‘Iron Bismarck’ in the town square, the name Germans gave to blocks of wood they set up and then citizens hammered nails into, whilst making a contribution to the fund/charity.

Sucking up to the Major, Huguenau had invited him to contribute an article to the Kur-Trier Herald, so the Major wrote an extended sermon with many quotes from the Bible. This has a powerful impact on Esch, who sets up a Bible Study group and asks the Major to lead it. Here, as everywhere else in the trilogy, there is a complete absence of irony or wit or self-awareness or charity or sympathy or kindness. Esch and von Pasenow bark at each other like dogs.

The young soldier who died in the hospital, his brother is the meek and mild watch-repairer Samwald, who takes to visiting the hospital, repairing watches for the staff and inmates, and strangely drawn to the silent Gödicke. They often sit on a bench in the sun in silence. One day Samwald takes Gödicke by the hand into the town and to the editorial offices of the Kur-Trier Herald, up a ladder in a sort of farm courtyard. Samwald, it turns out, is part of Esch’s Bible Studies group.

A strange scene where the Major, Esch, Frau Esch and Huguenau sit round chatting, described in the format of a play script, in which the Major and Esch talk nothing but religious salvationism / theology, and all four end up singing a Salvation Army hymn.

A Celebration drink and dance in a biergarden, where many of the characters, plus the three or four named doctors who are treating Gödicke (doctors Kessel, Kühlenbeck, Flurschütz) and the nurses (Sister Mathilde, Sister Clara) mix and mingle. I wish I could say there was one shred of humour, banter, repartee or warmth in this scene, but there isn’t.

Major von Pasenow attends the Bible Group led by Esch. Like all the other religious meetings, it is hysteria-ridden, dominated by imagery of death, the grave, the Evil One and so on. Broch’s depiction of German religious believers is terrifying because they are constantly at an extremity of horror and terror.

Basically, Huguenau tries a variety of tactics to incriminate Esch in the eyes of the Major in order, I think, to have him locked up as a traitor so Huguenau can inherit the whole of the newspaper, printing press and buildings. However, this is never going to happen because Esch and von Pasenow share the same morbid, over-excitable morbid Christian hysteria. Here’s a brief look inside Major von Pasenow’s mind.

Yet strong as was the effort he made to bring his thoughts under control, it was not strong enough to master the contradictory orders and service instructions before him; he was incapable of resolving the contradictions. Chaos was invading the world on every side and chaos was spreading over his thoughts and over the world, darkness was spreading, and the advance of darkness sounded like the agony of a painful death, like a death-rattle in which only one thing was audible, only one thing certain, the downfall of the Fatherland – oh, how the darkness was rising and the chaos, and out of that chaos, as if from a sink of poisonous gases, there grinned the visage of Huguenau, the visage of the traitor, the instrument of divine wrath, the author of all the encroaching evil. (p.582)

Meanwhile, the stories of other characters advance. I found it hard to understand the Berlin scenes. The first-person narrator, Bertrand Müller, appears to be living in a boarding house with various Jews, old and young. He has an antagonistic relationship (as far as I can tell every single relationship in all three books is antagonistic; nobody seems to just get on with each other) with an elderly scholarly Jew, Dr Samson Litwak and also, in some obscure way, appears to be supervising or looking over a burgeoning relationship between the Salvation Army girl, Marie, and a young Jewish man Nuchem Sussin.

And Hanna Wendler’s husband, the long-absent lawyer and lieutenant in the army, Heinrich, turns up on leave. Here Broch is on form, describing the strangeness of her attitude to him, her sense of distance from herself, her sense that everything she experiences is somehow secondary. Plus, they appear to have a classy and erotic sex life (p.539).

History has been ticking along in the background. As in the other novels Broch has subtly indicated the passage of the seasons from spring through a glorious high summer and into autumn. Except this time the year in question is 1918 so we know that the year is not going to end well for the German side and the German characters.

In October Huguenau is finally caught out. His name appears on a long list of deserters distributed to local authorities which ends up on Major von Pasenow’s desk. Pasenow is dim and dense, which is why he is scared and overcome with horror much of the time – he just doesn’t understand the world. So it is characteristic that a) he’s not sure he’s read the list properly b) he is then crushed by indecision as to what to do about it during which – instead of acting decisively, he characteristically invokes the horrors of the universe and the terror of the Antichrist and sees Huguenau as a great devil and traitor who is responsible for Germany’s defeat – in other words exactly the kind of hysterical over-reaction we’ve come to expect from a Broch character.

When the Major finally calls Huguenau in to explain himself, the portly little man immediately goes on the offensive, making up a story that his papers were taken off him when he was chosen for intelligence work in this town and he’s been waiting ever since for them to catch up with him, you know what army bureaucracy is like.

The Major doesn’t really believe this brazen bluff, but he is so ineffectual that he doesn’t know what to do next. After Huguenau has strolled out, bold as brass, Major von Pasenow is so overcome with despair at his role in consorting with a traitor etc, that he gets his service revolver out of a drawer, with thoughts of shooting himself there and then.

This is the kind of hysterical over-reaction which is so typical of Broch’s characters throughout the trilogy.

Meanwhile, back at the printing press some of the workmen Huguenau employs to work the press are a bit surly and mumbling about the low wages he gives them. News of the Bolshevik revolution has of course been in the press for over a year, but now there’s talk of class war spreading among German workers. So that evening Huguenau makes the strategic move of going along to the local bierkellar and tries to ingratiate himself into the workers’ (Lindner, Liebel) good graces.

I think Huguenau is intended to be a cynical, amoralist whose ruthless concern for number one and paring away of all unnecessary moral restrictions is strongly to be deprecated, but I admire his inventiveness and his chutzpah.

Then the war ends and there is anarchy. Broch describes ‘the events’ of 2, 3 and 4 November in the little town, namely attacks by armed workers on the barracks and the prison. Huguenau had been deputised by the military authorities, handed a gun and told to defend a bridge but when a crowd of armed workers approaches, he quickly joins them and leads the attack on the prison. His euphoria turns to nausea when he sees one of the prison warders dragged out of hiding by the mob and set upon, pinned to the ground and beaten with an iron bar. He flees.

Down the pub the workers had mentioned a new lung disease which has carried off several friends. They joke about it being the Apocalypse. We, the readers, know it is the great Spanish flu pandemic of 1918. Now we see sexy and semi-detached Hanna Wendler in bed with a fever. The explosion in the barracks blows in the windows of her house and she takes shelter in the kitchen with the servants and her son.

Esch sets off with his gun towards the prison but sees the mob coming and hides. Then he hears a crash and returns to find the mob have made the Major’s car crash into a ditch, rolling on its side, killing the driver and a soldier. With another soldier he manages to lift the car and extract the body of the Major, still breathing but unconscious. When he comes too, he can’t move but babbles something about a horse which has fallen, broken its leg and needs to be shot. The reader remembers that this refers to an incident from von Pasenow’s boyhood when he had an accident with his brother Helmuth’s horse, which had to be put down (p.611).

Huguenau rushes back to the buildings with his precious printing press and finds it is solid and untouched, but the living quarters he shares with Herr and Frau Esch have been wrecked by the mob. She emerges weeping from the wreckage, they are both unsettled by the chaos around them and before they know it she is unbuckling her corsets and they fall onto the sofa and have sex.

Meanwhile Eash tends the semi-conscious Major, gets one of the soldiers who’d been in the car to help carry him back to his house, the printworks and his rooms in the courtyard. Here Esch carefully carries the Major into a basement, lays him on a rug, quietly closes the trapdoor and sets off back to the scene of the crash to help the other wounded soldier.

He doesn’t know that Huguenau has spied him from up in the house and now follows him silently through the streets of the town, garishly lit by flames from the Town Hall which the rioters have set on fire. Beaten survivors stagger past them. In a dark street Huguenau leaps forward and bayonets Esch in the back. The stricken man falls without a sound and dies face down in the mud.

Oh. Maybe I don’t admire Huguenau’s cheek and chutzpah. He was more sterotypically German than I had realised. He is a brute. He has turned into Mack the Knife.

A looter climbs the wall to break into Rose Cottage but is repelled by the ghostly sight of Hanna Wendler sleepwalking towards him. She is helped back into the house by the servants. Next day she dies of flu complicated by pneumonia (p.616).

Huguenau saw Esch place the Major in the potato cellar. Now Huguenau goes down into it and tends the Major. The latter can’t speak or move, but this doesn’t stop Huguenau delivering a lengthy diatribe about how badly he’s been treated, and tenderly caring for him by fetching milk from a distraught Frau Esch. The tender care of a psychopath.

The final Disintegration of Values chapter asserts that cultures are created out of a synthesis or balance of the Rational and the Irrational. When a balance is achieved, you have art and style (I think he thinks the Middle Ages was just such a period; the author of the Disintegration chapters appears to think the Middle Ages was the high point of integrated belief system and society, and the Renaissance inaugurated the rise of the Individual, individuals who tend to develop their own ‘private theologies’, and it’s been downhill ever since).

Then the two elements expand, over-reach themselves. The Triumph of the Irrational is marked by the dwindling of common shared culture, everyone becomes an atom. This three-page excursus leads up to presenting Huguenau as an epitome, an embodiment of the Disintegration of Values of Our Time.

As if to ram home the Author’s Message, the narrator then goes on to quote a letter Huguenau wrote some time later from his home town, in his ornate, correct and formal way bullying Frau Esch (whose husband he murdered, and who he raped) into buying the shares in the newspaper company which Huguenau had fraudulently acquired off Esch at the start of the novel. He is, in other words, a heartless swine.

And Broch rams home his Author’s Message by pointing out that none of his colleagues in the business community would have seen anything wrong with the letter or the scheming way Huguenau ran his business or married for convenience an heiress and promptly adopted her family’s Protestant beliefs.

Broch appears to think the worst thing about late 1920s Germany was slippery businessmen. Wrong, wasn’t he? Less than a year after this book was published, Hitler came to power.

And the book ends with a kind of 16-page philosophical sermon which, as far as I can tell, extensively uses Hegel’s idea of the Dialectic, the opposition of thesis and antithesis – in this case, the Rational and the Irrational – to mount a sustained attack on Protestantism, communism and business ethics as all fallings-away from the true teachings of the Roman Catholic Church, the One True Church, the home of all true values, from which man has fallen into a wilderness of alienation.

In other words, Broch appears to have been as Roman Catholic a novelist as Evelyn Waugh or Graham Greene, only – being German – his characters are much more brutish, angry and violent and – being German – his philosophical moments are couched in the extraordinarily bombastic and impenetrably pretentious verbosity of German Idealist philosophy.

In the last pages we don’t hear anything more about the various characters – Frau Esch, the Major, Ludwig Gödicke, Lieutenant Jaretzki, the doctors or nurses and so on. The novel ends on a sustained hymn to a kind of Hegelian Catholicism.


4. ‘Modernist’ techniques

All the commentaries on Broch associate him with the high Modernism of James Joyce, and emphasise that The Realist uses funky ‘modernist’ techniques such as having more than one narrative voice i.e. a few of the chapters feature a character speaking in the first person – and that in the classic modernist style it’s a collage including other ‘types’ of texts, including a newspaper article, a letter, all the Disintegrated Values chapters which are, in effect, excerpts from a work of philosophy, and excerpts from a long poem in rhyming couplets which pop up in the Marie in Berlin chapters, and at one point turns into a script with stage directions and only dialogue (pp.497-505).

This sort of thing happens a dozen times but, frankly, it’s chickenfeed compared to Ulysses, it’s barely noticeable as experimentation, since all these techniques were incorporated into novels generations ago – incorporating letters and journal entries was done by Daniel Defoe in the 1720s – a lot of the earliest novels were written entirely in the forms of letters – so we have read hundreds of novels which are at least if not more ‘hypertextual’ without any song and dance. Put another way, the reader barely notices these supposedly ‘modernist’ aspects of the text.

By far the more salient aspect of the book, as of its predecessors, is its inclusion of huge gobbets of religio-philosophical speculation.

5. Broch’s pseudo-philosophy

By this time I had formed the opinion that Broch is at his weakest when he launches into prolonged passages about human nature and the human soul and ‘the soul of the age’ and ‘the spirit of our times’ etc etc. In case you think I’m exaggerating, here’s a little taste of one of the Disintegration of Values chapters:

War is war, l’art pour l’art, in politics there’s no room for compunction, business is business – all these signify the same thing, all these appertain to the same aggressive and radical spirit, informed by that uncanny, I might almost say that metaphysical, lack of consideration for consequences, that ruthless logic directed on the object and on the object alone, which looks neither to the right nor to the left; and this, after all, is the style of thinking that characterises our age.

One cannot escape from this brutal and aggressive logic that exhibits in all the values and non-values of our age, not even by withdrawing into the solitude of a castle or of a Jewish dwelling; yet a man who shrinks from knowledge, that is to say, a romantic, a man who must have a bounded world, a closed system of values, and who seeks in the past the completeness he longs for, such a man has good reason for turning to the Middle Ages. For the Middle Ages possessed the ideal centre of values that he requires, possessed a supreme value of which all other values were subordinate: the belief in the Christian God. Cosmogony was as dependent on that central value (more, it could be scholastically deduced from it) as man himself; man with all his activities formed a part of the whole world-order which was merely the reflected image of an ecclesiastical hierarchy, the closed and finite symbol of an eternal and infinite harmony. The dictum ‘business is business’ was not permitted to the medieval artist, competitive struggle being  forbidden to him; the medieval artist knew nothing of l’art pour l’art, but only that he must serve his faith; medieval warfare claimed absolute authority only when it was waged in the service of the faith. It was a world reposing on faith, a final not a causal world, a world founded on being, not on becoming; and its social structure, its art, the sentiments that bound it together, in short, its whole system of values, was subordinated to the all-embracing living value of faith; the faith was the point of plausibility in which every line of enquiry ended, the faith was what enforced logic and gave it that specific colouring, that style-creating impulse, which expresses itself not only in a certain style of thinking, but continues to shape a style characterising the whole epoch for so long as the faith survives.

But thought dared to take the step from monotheism into the abstract, and God, the personal God made visible in the finite infinity of the Trinity, became an entity whose name could no longer be spoken and whose image could no longer be fashioned, an entity that ascended into the infinite neutrality of the Absolute and there was lost to sight in the dread vastness of Being, no longer immanent but beyond the reach of man. (pp.146-147)

The infinite neutrality of the Absolute. The dread vastness of Being. They’re certainly what you want to read about in a novel.

There’s more, lots and lots more, hundreds of pages more just like this. I can see four objections to the acres of swamp prose like this.

  1. Aesthetically, it is out of place to swamp a novel with tracts of philosophy. If you want to write philosophy, put it in a philosophy essay or book. In a sense putting it in a novel is cheating because here a) it’s not going to be judged as pure philosophy by your professional peers b) if there are errors or inadequacies in it you can always explain them away saying that’s a requirement of its fictional setting.
  2. It destroys the rhythm of the stories of the actual characters, you know, the things novels are usually written about.
  3. Most damning, it’s not very original. To say that society was more integrated and authentic in the Middle Ages is one of the most trite and hackneyed pieces of social criticism imaginable. Victorian cultural critics from Disraeli to Carlyle were saying the same sort of thing by the 1840s, 90 years before Broch.
  4. So to summarise, these are hackneyed, clichéd ideas served up in long-winded prose which translates badly into English, and interrupt the flow of the narrative.

In the second book in the trilogy, The Anarchist, I initially thought the religio-philosophical musing belonged solely to the character Esch, but then the narrator began launching into them unprompted and separate from his characters, and I began to have the horrible realisation that Broch himself appears to believe the pompous, pretentious, Christian pseudo-philosophy he serves up, hundreds of pages of it:

Is it this radical religiosity, dumb and striped of ornament, this conception of an infinity conditioned by severity and severity and by severity alone, that determines the style of our new epoch? Is this ruthlessness of the divine principle a symptom of the infinite recession of the focus of plausibility? Is this immolation of all sensory content to be regarded as the root-cause of the prevailing disintegration of values? Yes. (p.526)

Therefore I (initially) liked The Realist because these kinds of passages were hived off to one side in chapters which were clearly marked Disintegration of Values, so they were easy to skim read or skip altogether (after a close reading of half a dozen of them revealed that they had little or nothing of interest to contribute to the book).

6. Humourless hysteria

It is hard to convey how cold, charmless and humourless these books are. The tone is monotonous, departing from a flat factual description only to switch from brutal to homicidal, via paranoia and hysteria.

For example, Huguenau gets his new war charity to organise a drink and dance celebration at the Stadthalle. Most of the characters are present, plus local worthies and their wives, there is drinking, there is flirting, there is dancing. Now almost any novelist you can imagine might have made this the opportunity for humour, but not Broch. For him it is a trigger for the religious hysteria and psychopathic righteousness of Major von Pasenow.

Sitting at his table watching the dancers mooch around the dance floor, the Major has a nightmare vision. Filled with ‘growing horror’ he becomes convinced that the sight of people dancing and having a good time in front of him is a vision of ‘corruption’, every face becomes a ‘featureless pit’ from which there is no rescue. From these grotesquely adolescent immature thoughts arises the wish to ‘destroy this demoniacal rabble’, ‘to exterminate them, to see them lying at his feet’ (p.515).

And all this is prompted by a town dance, a relaxed and happy social event. But in this Broch character it triggers a kind of mad, religiose hysteria.

At times the madness of many of these characters is terrifying, not because they’re scary, but because behind them rise the shadows of Warsaw and Lidice and Oradour-sur-Glane and all the other places and populations which Broch’s humourless, hysterical, hell-bent fellow Germans set about destroying and exterminating just a few years later.

(And it’s a reminder why The Romantic, the first book in the trilogy which focuses on Joachim von Pasenow’s increasingly hysterical religious mania, is such a hard read. And also why these books are emphatically not ‘the portrait of a generation’ or an entire society, but cameos of a handful of religious nutcases and psychopaths.)

7. Drawing strands together

The volume containing all three novels is a long book. The reader has to process much information, and information of different types – from descriptions of individual landscapes and scenes, to the cumulative impression made by characters major and minor, through to the two major obstacles of 1. extended descriptions of the weird, deranged psyches of major characters e.g. both von Pasenow and Esch, and 2. in the Realist, extended passages of philosophical speculation and/or cultural criticism (about the artistic bankruptcy of ‘our age’).

I’ve tended to emphasise the problems and the longeurs, but there are many many pleasurable moments to be had, moments of subtle psychological insight and descriptions of rooms, city streets and landscapes.

And one of the pleasures is that Broch has gone to some pains to sew threads into the text, to litter it with reminiscences and echoes. Having slogged through all three books, recognising these is like seeing stars in the sky.

For example, at a musical concert, the elderly Major von Pasenow mentions the music of Spohr and we remember that it was a piece by Spohr which his wife-to-be, Elisabeth, played when Pasenow visited her and her parents in the summer of 1888 in the first novel (p.93)

In another fleeting moment Pasenow uses a phrase about love requiring a lack of intimacy and familiarity, which we recall his cynical, worldly friend Eduard Bertrand using in the first novel.

A little more than fleeting is the major echo event when the (as usual) confused and perplexed von Pasenow has his interview with Huguenau during which he fails to know what to do about Huguenau being a deserter, collapses in self-loathing and despair and gets out his service revolver to shoot himself. First he tries to write a suicide note but, characteristically useless even at this, presses the pen so hard he breaks the nib, and when he next tries to dip it in the ink pot, spills the pot releasing a stream of black ink all over his desk (p.585).

The reader remembers that this – trying to write a letter, breaking the nib and knocking over the ink pot – is exactly what his father did in his fury when Joachim refused to come back from Berlin and take over the running of the family farm in the first novel (pp.104-5). The echo extends even to the words: old Herr von Pasenow in the first book is found spluttering ‘Out with him, out with him’ about his son, while 500 pages and thirty years later his son is found spluttering exactly the same words, about Huguenau, ‘Out with him (p.584).

These moments remind you that, beneath the philosophical verbiage and tucked between the characters’ often hysterical over-reactions and blunt aggressive dialogue, there is actually a novel, a work of fiction about characters.

If Broch submitted this to a modern editor I suspect they’d tell him to delete all the philosophy. But the philosophical sections and the regular philosophical meditations on the thoughts and ideas of his characters, are largely what characterise the book.

The problem is that almost all the ‘philosophy’ is bunk. It rotates around ideas of God and the Infinite and the Absolute which might resonate in a country with a strong tradition of Idealist philosophy (i.e. Germany) but which means nothing to an Anglo-Saxon reader. E.g:

‘Hegel says: it is infinite love that makes God identify Himself with what is alien to Him so as to annihilate it. So Hegel says… and then the Absolute religion will come.’ (p.624)

I reread the novels of Jean-Paul Sartre not so long ago. Sartre starts from a not dissimilar position from Broch, his characters plagued with an unusual, hallucinatory, highly alienated relationship with reality. The difference is that out of his intensely alienated relationship with ‘reality’ and language, Sartre created an entirely new worldview, expressed in a difficult-to-understand but genuinely new philosophy.

Broch, through his characters and his long-winded investigations of alienated mental states, starts from a similar place but his philosophy reaches back, back, back, to the German Idealist tradition and, above all, to a kind of troubled Catholic Christian faith which he and his confused characters circle round endlessly, like moths round a flame.

Sartre is forward-looking, Broch is backward-looking. As a result, Sartre is still read, quoted and studied; Broch is largely forgotten.

Credit

The English translation by Willa and Edwin Muir of The Sleepwalkers by Hermann Broch was first published in 1932. All references are to the Vintage International paperback edition of all three novels in one portmanteau volume, first published in 1996.


20th century German literature

The Weimar Republic