The Life of Domitian by Suetonius

A sub-edited version of the 1914 Loeb Classical Library translation of Suetonius’s Life of Domitian by J.C. Rolfe, with comments and clarifications.

Summary of Domitian’s life (from Wikipedia)

Domitianus (Domitian) lived from 51 to 96 AD and reigned as Roman emperor from 81 to 96. The son of Vespasian and the younger brother of Titus, his two predecessors on the throne, he was the third and final member of the Flavian dynasty. Domitian’s authoritarian style of ruling put him at odds with the senate, whose powers he drastically curtailed.

Domitian had an early moment of prominence in the Year of Four Emperors, 69 AD, aged just 18, after Vitellius was assassinated and before Vespasian arrived in Rome to take power, when he was acclaimed ‘Caesar’ and nominally ran the government. Once Vespasian arrived in Rome and was enthroned, though, Domitian reverted to playing a minor and largely ceremonial role during the reigns of his father and brother.

After Titus died on 13 September 81, Domitian was declared emperor by the Praetorian Guard. His 15-year reign was to be the longest since that of Tiberius. As emperor, Domitian:

  • strengthened the economy by revaluing the Roman coinage
  • expanded the border defences of the empire
  • initiated a massive building program to restore the damaged city of Rome

Significant wars were fought in Britain, where his general Agricola attempted to conquer Caledonia (Scotland), and in Dacia, where Domitian was unable to secure a decisive victory against King Decebalus.

Domitian’s government exhibited strong authoritarian characteristics. Religious, military, and cultural propaganda fostered a cult of personality. He nominated himself perpetual censor in an effort to control public and private morals.

As a result Domitian was popular with the people and the army but considered a tyrant by members of the senate. Domitian’s reign came to an end in 96 when he was assassinated by court officials. He was succeeded the same day by his advisor, Nerva.

After his death Domitian’s memory was condemned to oblivion by the Senate while senatorial and equestrian authors such as Tacitus, Pliny the Younger and Suetonius propagated the view of Domitian as a cruel and paranoid tyrant. The later part of his rule was regularly described as a ‘tyranny’. (In the Penguin translation of the Epigrams of Martial, Peter Howell says that in his day, 1964, Domitian had a reputation little short of Hitler’s for evil tyranny.)

Modern revisionists have characterised Domitian as a ruthless but efficient autocrat whose cultural, economic and political programs laid the foundation of the peaceful second century.

The Life of Domitian by Suetonius

(1) Domitian was born on the ninth day before the Kalends of November [24 October] of the year when his father was consul elect and was about to enter on the office in the following month [51 AD] in a street of the sixth region called ‘the Pomegranate’, in a house which he afterwards converted into a temple of the Flavian family.

Domitian is said to have passed the period of his boyhood and early youth in great poverty and infamy for it is said that he did not possess a single piece of plate.

It is a well-known fact that Claudius Pollio, a man of praetorian rank, against whom Nero’s poem ‘The One-eyed Man’ is directed, preserved a letter in Domitian’s handwriting and sometimes exhibited it, in which the future emperor promised him an assignation [i.e. sex]. And some people claim that Domitian was also debauched [i.e. abused] by Nerva, who succeeded him.

In the war with Vitellius Domitian took refuge in the Capitol with his paternal uncle, Sabinus, and a part of the forces under him. When Vitellius’s forces stormed the hill and the temple of Jupiter was set alight, Domitian hid during the night with the guardian of the shrine. In the morning, disguised in the tunic of a follower of Isis​ and mingling with the priests of that fickle superstition, he went across the Tiber with a single companion to the mother of one of his school-fellows. There he was so effectually concealed that, although he was closely followed he could not be found, in spite of a thorough search. [For more on this episode, see Tacitus’s Histories.]

It was only after the Flavian forces took Rome that Domitian ventured out. After being hailed as ‘Caesar’,​ he assumed the office of city praetor with consular powers, but only in name, turning over all the judicial business to his next colleague.

Domitian exercised all the tyranny of his high position​ (i.e. son of the emperor) so lawlessly that it was even then apparent what sort of a man he was going to be. For example, after making free with the wives of many men, he went so far as to marry Domitia Longina who was the wife of Aelius Lamia. And in a single day he assigned more than twenty positions in the city and in the provinces, which led Vespasian to say more than once that he was surprised that his son did not appoint the emperor’s successor along with the rest.

(2) Domitian began an expedition against Gaul and the Germanies which was uncalled for and from which his father’s friends dissuaded him, simply to make himself equal to his brother Titus in power and rank. For this he was reprimanded and, to give him a better realisation of his youth​ (aged 18) and position, he was made to live with his father. When they appeared in public Domitian followed the emperor’s chair and that of his brother in a litter. He also attended their triumph over Judaea riding on a white horse. Of his six consul­ships before he became emperor only one was a regular one,​ and he obtained that only because his brother gave place to him and recommended his appointment.

Domitian made a pretence of modesty and especially of an interest in poetry, an art which had previously been as unfamiliar to him as it was later despised and rejected, and he even gave readings in public.

Yet in spite of all this, when Vologaesus, king of the Parthians, had asked for auxiliaries against the Alani and for one of Vespasian’s sons as their leader, Domitian made every effort to have himself sent rather than Titus and, when the affair came to nothing, he tried by gifts and promises to induce other eastern kings to make the same request.

On the death of his father and his older brother, Titus, succeeding, Domitian hesitated for some time whether to offer a largess​ to the soldiers twice as large as the one his brother gave. He often said that he had been left a partner in the imperial power [i.e. alongside his brother] but that the will had been tampered with.​

And from that time on he never ceased to plot against his brother secretly and openly, until Titus was seized with a dangerous illness whereupon Domitian ordered that he be left for dead before he had actually drawn his last breath. And after Titus’s death Domitian bestowed no honour upon him, save that of deification, and he often attacked his memory in ambiguous phrases, both in his speeches and in his edicts.

(3) At the beginning of his reign Domitian used to spend hours in seclusion every day, doing nothing but catch flies and stab them with a keenly-sharpened stylus. Consequently, when someone once asked whether anyone was in there with Caesar, Vibius Crispus made the witty reply, ‘Not even a fly.’

He had his wife Domitia honoured with the title ‘Augusta’. He had had a son by her in his second consulship, whom he lost the second year after he became emperor. He divorced her because of her love for the actor, Paris, but could not bear the separation and soon took her back, alleging that the people demanded it. [It was for lampooning this actor, Paris, that the satirist Juvenal was, according to some biographies, exiled to Egypt.]

In his administration of the government Domitian for some time showed himself inconsistent, with about an equal number of virtues and vices, but eventually he turned the virtues into vices. For so far as one may guess, it was contrary to his natural disposition​ but he was made rapacious through need and cruel through fear.

(4) Domitian constantly gave grand costly entertainments, both in the amphitheatre​ and in the Circus, where in addition to the usual races between two-horse and four-horse chariots, he also exhibited two battles, one between forces of infantry and the other by horsemen, and he even gave a naval battle in the amphitheatre.

As well as these, he gave hunts of wild beasts, gladiatorial shows at night by the light of torches, and not only combats between men but between women as well. He was always present, too, at the games given by the quaestors, which he revived after they had been abandoned for some time, and invariably granted the people the privilege of calling for two pairs of gladiators from his own school, and brought them in last, in all the splendour of the court.

During the whole of every gladiatorial show there always stood at his feet a small boy clad in scarlet, with an abnormally small head, with whom he used to talk a great deal, and sometimes seriously. At any rate, he was overheard to ask him if he knew why he had decided at the last appointment day to make Mettius Rufus prefect of Egypt.

He often gave sea-fights almost with regular fleets, having dug a lake near the Tiber and surrounded it with seats. He continued to witness the contests even in heavy rains.

Domitian also celebrated the Secular games reckoning the time, not according to the year when Claudius had last given them, but by the previous calculation of Augustus. In the course of these, to make it possible to finish a hundred races on the day of contests in the Circus, he diminished the number of laps from seven to five.

Domitian also established a quinquennial contest in honour of Jupiter Capitolinus of a threefold character, comprising music, riding, and gymnastics, and with considerably more prizes than are awarded nowadays. For there were competitions in prose declamation​ both in Greek and in Latin, between lyre-players, between choruses of such players and in the lyre alone without singing. In the stadium there were races even between women.

Domitian presided at the competitions in half-boots, clad in a purple toga in the Greek fashion, and wearing upon his head a golden crown with figures of Jupiter, Juno, and Minerva. By his side sat the priest of Jupiter and the college of the Flaviales (established for the worship of the deified Flavian emperors) similarly dressed, except that their crowns bore his image as well.

Domitian celebrated the Quinquatria​ every year in honour of Minerva at his Alban villa, and established for her a college of priests, from which men were chosen by lot to act as officers and give splendid shows of wild beasts and stage plays, besides holding contests in oratory and poetry.

Domitian made a present to the people of three hundred sesterces each on three occasions, and in the course of one of his shows in celebration of the feast of the Seven Hills gave a plenti­ful banquet, distributing large baskets of victuals to the senate and knights and smaller ones to the commons, and he himself was the first to begin to eat. On the following day he scattered gifts of all sorts of things​ to be scrambled for, and since the greater part of these fell where the people sat, he had five hundred tickets thrown into each section occupied by the senatorial and equestrian orders.

(5) Domitian restored many splendid buildings which had been destroyed by fire, among them the Capitolium, which had again been burned [rebuilt after having been burned down in 69, the Capitoline temple was again burned down in 80]. In all cases he gave the new buildings the inscription of his own name only, with no mention of the original builder.

He also built a new temple on the Capitoline hill in honour of Jupiter Custos and the forum which now bears the name of Nerva [who finished and dedicated it]. He had built a temple to the Flavian family, a stadium, an Odeum [or music hall] and a pool for sea-fights.​ From the stone used in this last the Circus Maximus was afterwards rebuilt, when both sides of it had been destroyed by fire.

(6) Domitian’s campaigns he undertook partly without provocation and partly of necessity. That against the Chatti was uncalled for, while the one against the Sarmatians was justified by the destruction of a legion with its commander. He made two against the Dacians, the first when Oppius Sabinus an ex-consul was defeated, and the second on the overthrow of Cornelius Fuscus, prefect of the Praetorian Guard, to whom he had entrusted the conduct of the war. After several battles of varying success he celebrated a double triumph over the Chatti and the Dacians.​ [Tacitus says that Domitian’s unjustified triumph over the Germans (and the Dacians) was a laughing-stock; Agricola, chapter 39.] His victories over the Sarmatians he commemorated merely by the offering of a laurel crown to Jupiter of the Capitol.

A civil war which was set on foot by Lucius Antonius, governor of Upper Germany, was put down in the emperor’s absence by a remarkable stroke of good fortune; for at the very hour of battle the Rhine suddenly thawed and prevented his barbarian allies from crossing over to Antonius. Domitian learned of this victory through omens before he actually had news of it, for on the very day when the decisive battle was fought a magnificent eagle enfolded his statue at Rome with its wings, uttering exultant shrieks. Soon afterwards the report of Antony’s death became so current that several went so far as to claim that they had seen his head brought to Rome.

(7) Domitian made many innovations in common customs. He abolished the distribution of food to the people​ and revived the custom of holding formal dinners.​ He added two factions of drivers in the Circus, with gold and purple as their colours, to the four former ones.​ He forbade the appearance of actors on the stage, but allowed the practice of their art in private houses. He prohibited the castration of males, and kept down the price of the eunuchs that remained in the hands of the slave dealers.

Once, upon the occasion of a plenti­ful wine crop attended with a scarcity of grain, thinking that the fields were neglected through too much attention to the vineyards, he made an edict forbidding anyone to plant more vines in Italy and ordering that the vineyards in the provinces be cut down, or that only half of them should be left standing; but he did not persist in carrying out the measure.​

Domitian opened some of the most important offices of the court​ [i.e. those that had formerly been restricted to the senatorial order] to freedmen and Roman knights.

He prohibited the uniting of two legions in one camp and the deposit of more than 1,000 sesterces by any one soldier at headquarters because it was clear that Lucius Antonius had been especially led to attempt a revolution by the amount of such deposits in the combined winter quarters of two legions.

He increased the pay of the soldiers one fourth, by the addition of three gold pieces each year [i.e. raised the amount from nine to twelve aurei: an aureus contained 100 sesterces.]

(8) Domitian administered justice scrupulously and conscientiously, frequently holding special sittings on the tribunal in the Forum. He rescinded such decisions of the Hundred Judges as were made from interested motives [i.e. to curry favour with the rich or powerful]. He often warned the arbiters​ not to grant claims for freedom made under false pretences. He degraded jurors who accepted bribes, together with all their associates.​

He also induced the tribunes of the commons to prosecute a corrupt aedile for extortion, and to ask the senate to appoint jurors in the case. He took such care to exercise restraint over the city officials and the governors of the provinces, that at no time were they more honest or just, whereas after his time we have seen many of them charged with all manner of offences.

In his role as censor he undertook the correction of public morals. He:

  • put an end to the licence at the theatres, where the general public occupied the seats reserved for the knights
  • did away with the prevailing publication of scurrilous lampoons in which distinguished men and women were attacked, and imposed ignominious penalties on their authors
  • expelled an ex-quaestor from the senate because he was given to acting and dancing
  • deprived notorious women of the use of litters, as well as of the right to receive inheritances and legacies
  • struck the name of a Roman knight from the list of jurors because he had taken back his wife after divorcing her and charging her with adultery
  • condemned several men of both orders, offenders against the Scantinian law
  • the incest of Vestal virgins, condoned even by his father and his brother, he punished severely in divers ways, at first by capital punishment and afterwards in the ancient fashion

For while Domitian allowed the sisters Oculata and Varronilla free choice of the manner of their death and banished their lovers, he later ordered that Cornelia, a chief-vestal who had been acquitted once but after a long interval again arraigned and found guilty, be buried alive and her lovers were beaten to death with rods in the Comitium – with the exception of an ex-praetor whom he allowed to go into exile, because he admitted his guilt while the case was still unsettled and the examination and torture of the witnesses had led to no result.

To protect the gods from being dishonoured with impunity by any sacrilege, Domitian caused a tomb which one of his freedmen had built for his son from stones intended for the temple of Jupiter of the Capitol to be destroyed by the soldiers and the bones and ashes contained in it thrown into the sea.

(9) In the earlier part of his reign Domitian so shrank from any form of bloodshed that while his father was still absent from the city, he planned to issue an edict that no oxen should be offered up, recalling the line of Virgil:

‘Ever yet an impious race did slay and feast upon bullocks.’

He was equally free from any suspicion of love of gain or of avarice, both in private life and for some time after becoming emperor. On the contrary, he often gave strong proofs not merely of integrity, but even of liberality.

He treated all his intimates most generously and there was nothing which he urged them more frequently, or with greater insistence, than that they should be niggardly in none of their acts. He would not accept inheritances left him by those who had children. He even annulled a legacy in the will of Rustus Caepio, who had provided that his heir should yearly pay a specified sum to each of the senators on his entrance into the House.​

He cancelled the suits against those who had been posted as debtors to the public treasury for more than five years and would not allow a renewal except within a year and on the condition that an accuser who did not win his suit should be punished with exile.

Scribes of the quaestors who carried on business, which had become usual although contrary to the Clodian law,​ he pardoned for past offences.

Parcels of land which were left unoccupied here and there after the assignment of lands to the veterans he granted to their former owners as by right of possession. He checked false accusations designed for the profit of the privy purse​ and inflicted severe penalties on offenders, and a saying of his was current, that an emperor who does not punish informers hounds them on.

(10) But Domitian did not continue this course of mercy or integrity, although he turned to cruelty somewhat more speedily than to avarice. He put to death a pupil of the pantomimic actor Paris, who was still a beardless boy and ill at the time, because in his skill and his appearance he seemed not unlike his master [who he had had executed for having an affair with his wife].

He executed Hermogenes of Tarsus because of some allusions in his History, besides crucifying even the slaves who had written it out.

A householder who said that a Thracian gladiator was a match for the murmillo, but not for the giver of the games,​ he caused to be dragged from his seat and thrown into the arena to dogs, with this placard: ‘A favourer of the Thracians who spoke impiously.’

Domitian put to death many senators, among them several ex-consuls, including Civica Cerealis, at the very time when he was proconsul in Asia; Salvidienus Orfitus; Acilius Glabrio while he was in exile — these on the ground of plotting revolution, the rest on any charge, however trivial.

He slew Aelius Lamia for joking remarks, which were reflections on him, it is true, but made long before and harmless. For when Domitian had taken away Lamia’s wife,​ the latter replied to someone who praised his voice: ‘I practise continence’, and when Titus urged him to marry again, he replied: ‘Are you too looking for a wife?’

He put to death:

  • Salvius Cocceianus because he had kept the birthday of the emperor Otho, his paternal uncle
  • Mettius Pompusianus because it was commonly reported that he had an imperial nativity and carried about a map of the world on parchment and speeches of the kings and generals from Titus Livius, besides giving two of his slaves the names of Mago and Hannibal
  • Sallustius Lucullus, governor of Britain, for allowing some lances of a new pattern to be named ‘Lucullean’ after his own name
  • Junius Rusticus because he had published eulogies of Paetus Thrasea and Helvidius Priscus and called them the most upright of men – and on the occasion of this charge he banished all the philosophers from the city and from Italy

He also executed the younger Helvidius, alleging that in a farce composed for the stage he had under the characters of Paris and Oenone censured Domitian’s divorce from his wife. He executed Flavius Sabinus, too, one of his cousins, because on the day of the consular elections the crier had inadvertently announced him to the people as emperor elect, instead of consul.

After his victory in the civil war Domitian became even more cruel and to discover any conspirators who were in hiding, tortured many of the opposite party by a new form of inquisition, inserting fire in their privates, and he cut off the hands of some of them.

Of the more conspicuous only two were pardoned, a tribune of senatorial rank and a centurion, who the more clearly to prove their freedom from guilt, showed that they were of shameless unchastity and could therefore have had no influence with the general or with the soldiers.

(11) Domitian’s savage cruelty was not only excessive, but also cunning and sudden. He invited one of his stewards to his bed-chamber the day before crucifying him, made him sit beside him on his couch, and dismissed him in a secure and gay frame of mind, even deigning to send him a share of his dinner.

When he was on the point of condemning the ex-consul Arrecinius Clemens, one of his intimates and tools, he treated him with as great favour as before, if not greater, and finally, as he was taking a drive with him, catching sight of his accuser he said: ‘Pray, shall we hear this base slave to‑morrow?’

To abuse men’s patience the more insolently, he never pronounced an unusually dreadful sentence without a preliminary declaration of clemency, so that there came to be no more certain indication of a cruel death than the leniency of his preamble.

Domitian had brought some men charged with treason into the senate and when he had introduced the matter by saying that he would find out that day how dear he was to the members, he had no difficulty in causing them to be condemned to suffer the ancient method of punishment.​ Then, appalled at the cruelty of the penalty, he interposed a veto, to lessen the odium, in these words (for it will be of interest to know his exact language): ‘Allow me, Fathers of the senate, to prevail on you by your love for me to grant a favour which I know I shall obtain with difficulty, namely that you allow the condemned men free choice of the manner of their death; for thus you will spare your own eyes and all men will know that I was present at the meeting of the senate.’

(12) Reduced to financial straits by the cost of his buildings and shows, as well as by the additions which he had made to the pay of the soldiers, Domitian tried to lighten the military expenses by diminishing the number of his troops. But perceiving that in this way he exposed himself to the attacks of the barbarians, and nevertheless had difficulty in easing his burdens, he had no hesitation in resorting to every sort of robbery. The property of the living and the dead was seized everywhere on any charge brought by any accuser. It was enough to allege any action or word derogatory to the majesty of the prince.

Estates of those in no way connected with him were confiscated if but one man came forward to declare that he had heard from the deceased during his lifetime that Caesar was his heir.

Besides other taxes, that on the Jews​ [Titus had imposed a tax of two drachmas per head on Jews for permission to practise their religion] was levied with the utmost rigour, and people were prosecuted who, without publicly acknowledging that faith, yet lived as Jews [a possible reference to Christians who the Romans didn’t distinguish from the Jews], as well as those who concealed their origin and did not pay the tribute levied upon their people.​

I recall being present in my youth when the person of a man ninety years old was examined before the procurator and a very crowded court, to see whether he was circumcised.

From his youth Domitian was far from being of an affable disposition, but was on the contrary presumptuous and unbridled both in act and in word. When his father’s concubine Caenis​ returned from Histria and offered to kiss him as usual, he held out his hand to her.

(13) When he became emperor, Domitian did not hesitate to boast in the senate that he had conferred their power on both his father and his brother, and that they had but returned him his own; nor on taking back his wife after their divorce, that he had ‘recalled her to his divine couch’ [meaning the couch which held the household gods].

Domitian delighted to hear the people in the amphitheatre shout on his feast day:​ ‘Good Fortune attend our Lord​ and Mistress.’

Even more, in the Capitoline competition,​ when all the people begged him with great unanimity to restore Palfurius Sura who had been banished some time before from the senate, and on that occasion received the prize for oratory, he deigned no reply, but merely had a crier bid them be silent.

With no less arrogance he began a circular letter in the name of his procurators, ‘Our Master and our God bids that this be done.’ And so the custom arose of henceforth addressing him in no other way even in writing or in conversation.

​He allowed no statues to be set up in his honour in the Capitol, except of gold and silver and of a fixed weight. He erected so many and such huge vaulted passage-ways and arches in the various regions of Rome, adorned with chariots and triumphal emblems, that on one of them someone wrote in Greek: ‘It is enough’ [the Greek word for enough sounds like the Roman word for arch].

Domitian held the consul­ship seventeen times, more often than any of his predecessors. Of these the seven middle ones were in successive years, but all of them he filled in name only, continuing none beyond the first of May and few after the Ides of January. Having assumed the surname Germanicus after his two triumphs, he renamed the months of September and October from his own names, calling them ‘Germanicus’ and ‘Domitianus’, because in the former he had come to the throne and was born in the latter.​

(14) In this way Domitian became an object of terror and hatred to all, but he was overthrown at last by a conspiracy of his friends and favourite freedmen, to which his wife was also privy.

He had long since had a premonition of the last year and day of his life, and even of the very hour and manner of his death. In his youth astrologers had predicted all this to him, and his father once even openly ridiculed him at dinner for refusing mushrooms, saying that he showed himself unaware of his destiny in not rather fearing the sword. Therefore he was at all times timorous and worried, and was disquieted beyond measure by even the slightest suspicions. It is thought that nothing had more effect in inducing him to ignore his proclamation about cutting down the vineyards​ than the circulation of notes containing the following lines:

‘Gnaw at my root, an you will; even then shall I have juice in plenty
To pour upon thee, O goat, when at the altar you stand.’​ [a quote from Ovid’s Fasti]

It was because of this same timorousness that although he was most eager for all such honours, he refused a new one which the senate had devised and offered to him, a decree that whenever he held the consul­ship Roman knights selected by lot should precede him among his lictors and attendants, clad in the trabea​ and bearing lances.

As the time when he anticipated danger drew near, becoming still more anxious every day, he lined the walls of the colonnades in which he used to walk with phengite stone, to be able to see in its brilliant surface the reflection of all that went on behind his back. And he did not give a hearing to any prisoners except in private and alone, even holding their chains in his hands. Further, to convince his household that one must not venture to kill a patron even on good grounds, he condemned Epaphroditus, his confidential secretary, to death, because it was believed that after Nero was abandoned​ Epaphroditus had actually held the dagger with which Nero stabbed himself.

(15) Finally Domitian put to death his own cousin Flavius Clemens, suddenly and on a very slight suspicion, almost before the end of his consul­ship. And yet Flavius was a man of most contemptible laziness and Domitian had openly named his sons, who were then very young, as his successors, changing their former names and calling the one Vespasian and the other Domitian. And it was by this deed in particular that he hastened his own destruction.

For eight successive months so many strokes of lightning occurred and were reported that at last he cried: ‘Well, let him now strike whom they will.’ The temple of Jupiter of the Capitol was struck and that of the Flavian family, as well as the Palace and the emperor’s own bedroom. The inscription on the base of a triumphal statue of his was torn off in a violent tempest and fell upon a neighbouring tomb.​ The tree which had been overthrown when Vespasian was still a private citizen but had sprung up anew suddenly fell down again. Fortune of Praeneste​ had throughout his whole reign, when he commended the new year to her protection, given him a favourable omen and always in the same words. Now at last she returned a most direful omen, not without the mention of bloodshed.

Domitian dreamed that Minerva, whom he worshipped with superstitious veneration, came forth from her shrine and declared that she could no longer protect him since she had been disarmed by Jupiter.

But there was nothing by which he was so much disturbed as a prediction of the astrologer Ascletarion and what befell him. When this man was accused before the emperor and did not deny that he had spoken of certain things which he had foreseen through his art, he was asked what his own end would be. When Ascletarion replied that he would shortly be rent by dogs, Domitian ordered him killed at once but, to prove the fallibility of his art, he ordered that Ascletarion’s funeral be attended to with the greatest care.​ While this was being done, it chanced that the pyre was overset by a sudden storm and that the dogs mangled the corpse, which was only partly consumed. An actor of farces called Latinus, who happened to pass by and see the incident, told it to Domitian at the dinner table, with the rest of the day’s gossip.

(16) The day before he was killed Domitian gave orders to have some apples which were offered to him kept until the following day, and added: ‘If only I am spared to eat them’. Then, turning to his companions, he declared that on the following day the moon would be stained with blood in Aquarius and that a deed would be done of which men would talk all over the world. At about midnight he was so terrified that he leaped from his bed. The next morning he conducted the trial of a soothsayer sent from Germany who, when consulted about the lightning strokes, had foretold a change of rulers and condemned him to death.

While he was vigorously scratching a festered wart on his forehead and had drawn blood, he said: ‘May this be all.’

Then he asked the time, and by pre-arrangement the sixth hour was announced to him, instead of the fifth, which he feared. Filled with joy at this, and believing all danger now past, he was hastening to the bath, when his chamberlain Parthenius changed his purpose by announcing that someone had called about a matter of great moment and would not be put off. Then he dismissed all his attendants and went to his bedroom, where he was slain.

(17) Concerning the nature of the plot and the manner of his death, this is about all that became known. As the conspirators were deliberating when and how to attack him, whether at the bath or at dinner, Stephanus, steward of his niece, Domitilla, and at the time under accusation for embezzlement, offered his aid and counsel.

To avoid suspicion, he wrapped up his left arm in woollen bandages for some days, pretending that he had injured it, and concealed in them a dagger. Then pretending to betray a conspiracy and for that reason being given an audience, he stabbed the emperor in the groin as he was reading a paper which the assassin handed him and stood in a state of amazement.

As the wounded prince attempted to resist, he was slain with seven wounds by Clodianus, a subaltern, Maximus, a freedman of Parthenius, Satur, decurion of the chamberlains, and a gladiator from the imperial school.

A boy who was engaged in his usual duty of attending to the Lares in the bedroom and so was a witness of the murder, gave this additional information. He was bidden by Domitian, immediately after he was dealt the first blow, to hand him the dagger hidden under his pillow and to call the servants. But he found nothing at the head of the bed save the hilt and in any case all the doors were closed.

Meanwhile the emperor grappled with Stephanus and bore him to the ground, where they struggled for a long time, Domitian trying now to wrest the dagger from his assailant’s hands and now to gouge out his eyes with his lacerated fingers.

Domitian was slain on the fourteenth day before the Kalends of October (18 September) in the forty-fifth year of his age and the fifteenth of his reign (96 AD).

His corpse was carried out on a common bier by those who bury the poor, and his nurse Phyllis cremated it at her suburban estate on the Via Latina. But his ashes she secretly carried to the temple of the Flavian family and mingled them with those of Julia, daughter of Titus, whom she had also reared.

(18) Domitian was tall of stature, with a modest expression and a high colour.​ His eyes were large, but his sight was somewhat dim. He was handsome and graceful too, especially when a young man, and in his whole body with the exception of his feet, the toes of which were somewhat cramped. In later life he had the further disfigurement of baldness, a protruding belly, and spindling legs, though the latter had become thin from a long illness.

Domitian was so conscious that the modesty of his expression was in his favour that he once made this boast in the senate: ‘So far, at any rate, you have approved my heart and my countenance.’

He was so sensitive about his baldness that he regarded it as a personal insult if anyone else was twitted with that defect in jest or in earnest.

(19) Domitian was incapable of exertion and seldom went about the city on foot, while on his campaigns and journeys he rarely rode on horseback but was regularly carried in a litter.

He took no interest in arms, but was particularly devoted to archery.​ There are many who have more than once seen him slay a hundred wild beasts of different kinds on his Alban estate, and purposely kill some of them with two successive shots in such a way that the arrows gave the effect of horns. Sometimes he would have a slave stand at a distance and hold out the palm of his right hand for a mark, with the fingers spread; then he directed his arrows with such accuracy that they passed harmlessly between the fingers.

(20) At the beginning of his rule Domitian neglected liberal studies although he provided for having the libraries, which were destroyed by fire, renewed at very great expense, seeking everywhere for copies of the lost works, and sending scribes to Alexandria to transcribe and correct them.

Yet he never took any pains to become acquainted with history or poetry or even to acquire an ordinarily good style.

He read nothing except the memoirs and transactions of Tiberius Caesar. For his letters, speeches and proclamations he relied on others’ talents.

Yet his conversation was not inelegant and some of his sayings were even noteworthy.

‘How I wish that I were as fine looking as Maecius thinks he is.’

He declared too that the head of a certain man, whose hair had changed colour in such a way that it was partly reddish and partly grey, was like ‘snow on which mead had been poured.’

(21) Domitian used to say that the lot of princes was most unhappy, since when they discovered a conspiracy, no one believed them unless they had been killed.​

Whenever he had leisure he amused himself with playing at dice, even on working days and in the morning hours. He went to the bath before the end of the forenoon and lunched to the point of satiety, so that at dinner he rarely took anything except a Matian apple​ and a moderate amount of wine from a jug. He gave numerous and generous banquets, but usually ended them early; in no case did he protract them beyond sunset, or follow them by a drinking bout. In fact, he did nothing until the hour for retiring except walk alone in a retired place.

(22) Domitian was excessively lustful. His constant sexual intercourse he called ‘bed-wrestling’ as if it were a kind of exercise.

It was reported that he depilated his concubines with his own hand and swam with common prostitutes.

After persistently refusing his niece, who was offered him in marriage when she was still a maid, because he was entangled in an intrigue with Domitia, he seduced her shortly afterwards when she became the wife of another, and that too during the lifetime of Titus.

Later, when she was bereft of father and husband, he loved her ardently and without disguise, and even became the cause of her death by compelling her to get rid of a child of his by abortion.

(23) The people received the news of his death with indifference but the soldiers were greatly grieved and at once attempted to call him the Deified Domitian. They insisted on the execution of his murderers.

The senators, on the contrary, were so overjoyed that they raced to fill the House where they did not refrain from attacking the dead emperor with the most insulting and stinging reproaches. They even had ladders brought and his shields​ and images torn down before their eyes and smashed on the ground. Finally they passed a decree that his inscriptions should everywhere be erased and all record of him obliterated.​

A few months before he was killed, a raven perched on the Capitolium and cried ‘All will be well,’ an omen which some interpreted as follows:

‘High on the gable Tarpeian​ a raven but lately alighting,
Could not say “It is well,” only declared “It will be.”‘

Domitian himself, it is said, dreamed that a golden hump grew out on his back, and he regarded this as an infallible sign that the condition of the empire would be happier and more prosperous after his time. And this was soon shown to be true through the uprightness and moderate rule of the emperors who succeeded him.


Related links

Suetonius’s Lives of the Twelve Caesars

Roman reviews

The Pharsalia by Lucan – 1: Introduction

O mighty the sacred labour of the poet! He rescues
all from fate, and grants immortality to mortal beings.
(Pharsalia Book 9, lines 980 to 981)

Lucan biography

Marcus Annaeus Lucanus (39 to 65 AD), generally referred to in English simply as ‘Lucan’, was a Roman poet, born in Corduba (modern-day Córdoba) in the Roman province of Hispania. Although he was ordered to kill himself by the emperor Nero at the age of just 25, Lucan is regarded as one of the outstanding figures of the Imperial Latin period, particularly for his (unfinished) epic poem, Pharsalia.

Lucan was the son of Marcus Annaeus Mela, younger brother of Seneca the Younger i.e. he was Seneca’s nephew.

Lucan’s father was wealthy, a member of the knightly class, and sent him to study rhetoric at Athens and he was probably tutored in philosophy, and especially Stoic philosophy, by his uncle (maybe by Seneca’s freedman, Cornutus, who also tutored the slightly older poet, Persius).

Lucan was a precocious talent and was welcomed into the literary and philosophical circles around the young emperor Nero, who was only two years older than him (born 37 AD). In 60 AD i.e. aged barely 21, Lucan won prizes for extemporising poems at Nero’s new Quinquennial Games. Nero rewarded him by appointing him to the office of augur, a plum position in Rome’s religious hierarchy.

Soon afterwards Lucan began circulating the first three books of what was intended to be an epic poem about the civil war between Julius Caesar and Gnaeus Pompeius Magnus (generally referred to as Pompey). This has come down to us with the title Pharsalia, or De Bello civili (‘On the civil war’) in other manuscripts. It’s titled Pharsalia because the action focuses on the decisive Battle of Pharsalus, fought on 9 August 48 BC, at which Caesar decisively defeated Pompey’s army.

At some point Nero and Lucan fell out. According to Tacitus (Annals, book 15, section 49) Nero became jealous of Lucan and ordered him to stop publishing the Pharsalia. According to Suetonius (in his brief Life of Lucan, cited in full at the end of this blog post), Nero disrupted a public reading by Lucan by leaving and calling a meeting of the senate. Lucan responded by writing insulting poems about Nero – which is always a bad thing to do against a tyrant. The grammarian Vacca mentions that one of Lucan’s works was entitled De Incendio Urbis (‘On the Burning of the City’) which presumably contained criticism of Nero’s role in the Great Fire of Rome (July 64). This is confirmed by a reference in a poem by Lucan’s younger contemporary, Publius Papinius Statius (45 to 96 AD).

As further proof, after the pro-Nero eulogy of the opening book, nearly all the subsequent references to emperors and the empire are vitriolically anti-imperial and pro-republic in tone. To take an example at random, Lucan’s biting criticism of not only Alexander the Great’s achievements, but of the cult of imperial Alexander which followed his death.

For, if the world had regained a shred of liberty
his corpse would have been retained as an object
of derision, not shown as an example to the world
of how a host of lands were subjected to one man.
He left his Macedonian obscurity, spurned Athens
that his father had conquered, and spurred on by
the power of destiny ran amok among the realms
of Asia, slaying humankind, putting every land
to the sword. He stained far-off rivers, Persia’s
Euphrates, India’s Ganges with blood; a plague
on earth, a lightning bolt that struck all peoples
alike, a fateful comet flaring over every nation.

But what ended Lucan’s life was his involvement in Gaius Calpurnius Piso’s conspiracy against Nero, uncovered in 65. Lucan was one of many conspirators revealed by torturing suspects. According to Suetonius he miserably truckled to his persecutors, giving them names of further conspirators, including even his own mother, in the vain hope of winning a pardon.

Once his guilt was established Nero ordered Lucan to commit suicide by opening a vein (the alternative being arrest, torture and public execution). According to Tacitus, as Lucan bled to death he recited some lines he had written about a wounded soldier. I wonder if they were from the passage about the 600 Caesarians who chose suicide rather than surrender to Pompey, in book 4:

how simple it is to escape captivity by suicide
(4.577)

Alternatively, according to Suetonius, Lucan in his dying minutes wrote a letter to his father containing corrections to some of his verses and, after eating heartily, offered his arms to a physician to cut his veins. Lucan’s father and both his uncles, i.e all three sons of Seneca the Elder, were also compelled to kill themselves.

(Statius wrote an elegy to Lucan, the Genethliacon Lucani, which was addressed to his widow, Polla Argentaria, on the dead man’s birthday. It was written during the reign of Domitian (81 to 96) and included in Statius’s collection, Silvae).

Themes in the Pharsalia

De Bello Civili (‘On the Civil War’) or the Pharsalia is long and dense with themes and ideas, some of which I will now consider:

1. No gods

The traditional epic poem is packed with gods, supporting various protagonists and intervening in the events. The entire narrative of the Aeneid exists because of the enmity of the queen of the gods, Juno, to the hero, Aeneas, who she continually enters the story to block and stymy, in doing so setting herself against fellow goddess, Venus, who, for her part, does everything she can to support Aeneas (who is her son). This leads to great set-piece debates in heaven between the rival gods, adjudicated by the king of the heavens, Jupiter.

There’s none of this in Lucan. Lucan took the decision to dispense with all the divine interventions associated with traditional epic. Lucan replaces them with the more up-to-date Stoic notions of Fate and Fortune. These two forces, sometimes blurring into each other and overlapping, at other moments appear as clearly distinct entities, names for two different forces operating at different levels of the universe.

Fate, fatum or fata is Destiny – the fixed, foreordained course of events which underpins the universe. Fate is the name given to the working through of the deep plan for the world and the nations in it.

And now, as light dispersed the chill shades of night,
Destiny lit the flames of war, setting the spur to Caesar’s
wavering heart, shattering the barriers shame interposed
and driving him on to conflict. Fate worked to justify
his rebellion, and found a pretext for his use of arms.
(Book 1, lines 261 to 265)

What but the power of destiny, that tragic fate
decreed by the eternal order, drew him, doomed
to die, to that shore…Yet
Pompey yielded to fate, obeying when requested
to leave his ship, choosing to die rather than show
fear…
(8.571 ff.)

By contrast, Fortune, fortuna, is Chance, a fickle, unpredictable force, continually turning her wheel, ensuring that anyone at the peak of professional or social success, can never be certain that Fortune won’t turn her wheel and plunge them down to the pits of failure.

At a deep level, Fate determines the occurrence of a civil war and that Caesar will win. But Fortune decides the outcome of specific events and details.

Caesar, finding civil war so eagerly welcomed by his men,
and finding fortune favourable, granted destiny no delay
due to idleness, but summoned all his forces scattered
throughout Gaul, moving every legion towards Rome.
(1.392 to 395)

Susan Braund explains all this in the introduction to her translation of the Pharsalia published by the Oxford University Press. The distinct operational levels of the two forces are sometimes made particularly clear:

Caesar, finding civil war so eagerly welcomed by his men,
and finding fortune favourable, granted destiny no delay
(1.392-3)

Where Destiny is the overall force or plan but whether individual elements of the plan fall this way or that, depends on Fortune. Or:

Fate stirred the peoples and sent them as companions
to a great disaster, as a funeral train fit for Pompey’s
exequies. Even horned Ammon was not slow to send
squadrons from Africa to battle, from all parched Libya,
from Morocco in the west to Egyptian Syrtes in the east.
So that Caesar, fortune‘s favourite, might win all with
a single throw, Pharsalia brought all the world to battle.
(3.291 to 297)

The distinction is made particularly clear in the long speech by the witch Erictho in book 6, where she makes a distinction between ‘the chain of events fixed from the beginning of the world’ which nobody can change or alter, and ‘lesser decrees of fate’, which witches like her can alter. Level 1 and Level 2. (6.609 to 621)

However, at other moments I found the concepts a lot less clear cut, for example in this passage where you’d expect the Pompey’s ultimate death, the deep pattern of his life, to be described as his Fate not his Fortune.

Pompey by then, had gained the open sea, but the luck
that aided his past hunts for pirates was his no longer,
and Fortune, wearied by his triumphs, proved untrue.

And sometimes the two concepts seem interchangeable:

Greedy quicksand and spongy marshes hid the secret
Fate had placed there; yet later that aged general’s flesh
was scarred by iron fetters reduced by long vile imprisonment.
He was to die though as Fortune’s friend, as consul in a Rome
he had ruined.
(2.71 to 75)

Anyway, Lucan’s neglect of the traditional apparatus of gods and his focus on Fate and Fortune do two things for the poem:

  1. Lots of gods would have distracted attention away from what was a very human catastrophe and away from the all-too-human human protagonists.
  2. Also the gods can, in some sense, be appealed to and swayed by humans. Whereas Fate and Fortune are profoundly impersonal forces and so bring out the horror of the unstoppable nature of civil war, Fate emphasising the deep inevitability of the outcome, with Fortune standing for the many chance victims along the way.

There is a simpler explanation, which is that the introduction of the kind of gods found in Virgil was simply inappropriate – would have appeared gauche and clumsy – in a poem dealing with very events almost within living memory. Roman literature – Classical literature generally – was very concerned with what was and wasn’t appropriate for every genre, in terms of subject matter, tone and even individual words. Including the gods in a historical epic would have breached the conventions of the genre.

2. No heroes

Epic poems feature the adventures of more-than-human heroes, from Gilgamesh, through Achilles and Aeneas, to Beowulf, humans not only with superhuman power but often the progeny of the gods. Whereas a historical epic like the Pharsalia is concerned with real historical personages, many of whose relatives were still alive when Lucan wrote.

Not only that, but epics generally feature one obvious central protagonist (Gilgamesh, Achilles, Beowulf) but just as there are no gods or divine intervention in the Pharsalia, so there is no one hero or central protagonist. Instead there are three leading but not totally dominating figures:

1. Gaius Julius Caesar

Caesar is the most prominent character in the first part of the poem, active, clear-sighted, ambitious, a force of nature – but not likeable. Lucan’s Caesar approaches closest to the figure of traditional epic hero. He has no moderating feminine influence on him until right at the end, in book 10, where his encounter with Cleopatra is a meeting of two cynical players. After the climactic battle of Pharsalus, however, Caesar is depicted as becoming more ambitious and imperial.

2. Gnaeus Pompeius Magnus

Pompey is portrayed as the opposite – vacillating, indecisive, and past his prime (‘the mere shadow of a mighty name’) but, in scenes with friends, followers and especially his wife, Cornelia, far more human than Caesar. At the end, after Pharsalus, Pompey is transformed into a stoic martyr, receiving a kind of visionary treatment as he nears his tragic death on the beach in Egypt which he meets with Stoic calm acceptance.

3. Marcus Porcius Cato

And, after the death of Pompey in book 8, Cato emerges as the strongest leader of the Republican cause, holed up with Republican legions in north Africa. Cato epitomises stern old-fashioned values. He stands for Roman patriotism and Stoic contempt for death, notably in the episode in book 9 where he scorns to consult the oracle of Ammon, saying God gave us all the knowledge we need to live a virtuous life at birth; which triggers adulation from Lucan:

Behold, the true father of his
country, a man worthy to be worshipped,
Rome, at your altars; by whom none need
blush to swear, and who, if you ever free
your neck from the yoke, shall be made a god.

In fact, in a striking episode on the march across the desert, Cato not only embodies Stoic resolution in the face of death but inspires it in others:

Alone he was present at every
death; whenever they call, he goes, and confers that
mighty benefit, more than life: the courage to die;
so that, with him as witness, any man was ashamed
to die with a groan on his lips.
(9.882)

When Cato’s first wife, Marcia, returns to him the narrative emphasises that their marriage is sexless; it symbolises his adherence to defunct, sterile values. Many critics think Lucan intended Cato to develop into the central figure of the poem, with the narrative designed to end with his famous suicide in the besieged garrison town of Utica, symbolising the moral victory of Stoic principle and Freedom against Tyranny.

There’s a case for saying the three figures are on a spectrum: Caesar is over-balanced in one direction, all energy and decision and lust (‘impetuous in everything’ 2.657); Cato stands at the other pole, arid, sexless, aloof; with Pompey standing in the middle, reasonable and given scenes of touching married love with Cornelia. As this blog shrewdly suggests, it’s as if the heroic protagonist of Virgil’s epic, Aeneas, has decomposed into three characters, none of which are heroic.

3. The gruesome and the macabre

The supernatural

If the Pharsalia doesn’t have gods, what it does have in abundance is the Supernatural – the poem is awash with visions, dreams, ghosts, magic, rituals and so on. Braund sees the supernatural as falling into two categories, ‘dreams and visions’ and ‘portents, prophecies and consultations of supernatural powers’.

a) Dreams and visions

There are four important dream or vision sequences in the poem:

  1. Caesar’s vision of Roma as he is about to cross the Rubicon.
  2. The ghost of Julia (his beloved dead wife) appearing to Pompey (3.1 to 45)
  3. Pompey’s dream of his happy past (7.1 to 30)
  4. Caesar and his troops’ dream of battle and destruction.

All four of these dream-visions are placed strategically throughout the poem to provide structure, and to dramatise key turning points in the narrative.

b) Portents, prophecies and consultations of supernatural powers

Lucan describes a number of portents, with two specifically oracular episodes. What is a portent? “A sign or warning that a momentous or calamitous event is likely to happen.” So, on the morning of the fateful battle:

Now Fortune too did not hesitate to reveal the future
by diverse signs. When the army made for Thessaly’s
fields, the whole sky opposed their march, hurling
meteors against them, columns of flame, whirlwinds
sucking up water and trees together, blinding their
eyes with lightning, striking crests from their helms,
melting the swords in their scabbards, tearing spears
from their grasp while fusing them, their evil blades
smoking with air-borne sulphur. The standards too
could barely be plucked from the soil, their great
weight bowing the heads of the standard-bearers;
and the standards wept real tears…
(7.151 to 162)

The central example is the necromancy which takes up half of book 6, when Pompey’s son, Sextus, goes to consult the witch Erachtho. Lucan’s description of the witch and her ritual take up half the entire book (lines 413 to 830).

All this appealed to contemporary taste for the macabre. Braund cites events in one of the tragedies of Lucan’s uncle, Seneca, his Oedipus, which contains a) a visit to the Delphic oracle, b) a gruesome description of the sacrifice and entrail examination of a bull and heifer (haruspicy), and c) the even more macabre magical rituals by which Tiresias raises the ghost of dead King Laius to accuse Oedipus of his murder.

Chaos on earth reflected in heaven

It is a central feature of the histories that war and disruption on earth must inevitably be accompanied by chaos in the heavens – just as in his uncle Seneca’s tragedies where mayhem on earth is matched and mimicked by cosmic catastrophes. In both Lucan and Seneca the entire universe often seems to be trembling on the brink of complete dissolution.

So when the fabric
of the world dissolves, in that final hour that gathers in the ages,
reverting to primal chaos, star will clash with star in confusion,
the fiery constellations will sink into the sea, and earth heaving
upwards her flat shores will throw off the ocean, the moon will
move counter to her brother, and claiming the rule of day disdain
to drive her chariot on its slanting path, and the whole discordant
frame of the shattered firmament will break free of every law.
(1.72 to 79)

This worldview, the intimate parallelism between human and supernatural affairs, is very prevalent in the biographers Plutarch and Suetonius, writing a generation later.

Haruspicy and necromancy

Along the way, Braund gives useful definitions of two key Roman practices:

  • haruspicy (haruspicies) is the art of studying animal entrails, usually the victims of ritual sacrifices
  • necromancy is the art of getting the dead to speak prophecy; necromancy is not only the general practice of this craft, but you perform a necromancy

4. Extreme rhetoric

Education for Roman aristocrats focused on rhetoric, the ability to speak eloquently and make a persuasive argument. We know from contemporary comments and satires that under the empire many of the exercises which students were given became steadily more extreme and exaggerated. This was reflected in the poetry of the age; from what survives the most extreme example might be the bloodthirsty and over-written tragedies of Seneca.

A central part of the curriculum was the suasoria, an exercise where students wrote speeches advising an historical figure on a course of action. This obviously fed into the largely invented speeches which fill Tacitus’s histories as much as Lucan’s poem.

Lucan is sometimes criticised for the extremity of his rhetoric and the luridness of scenes and imagery. But Susan Braund comes to his defence, with two arguments. One is that Lucan was a product of his times. There was a taste for melodrama and Gothic hyperbole which Lucan catered to.

More interesting is the second argument. This is to do with Virgil. Virgil was the undisputed king of Roman poets and his epic, the Aeneid, was acknowledged as a classic even as he was writing it. The problem for ambitious poets in all the succeeding generations was how to escape Virgil’s dominating influence, how to do anything new. Braund says Ovid found one way, in his Metamorphoses, which was to drop the notion of one, unified, linear narrative and instead string together hundreds of stories and episodes.

Lucan adopted another strategy which was to import into his text the ‘discourse of contemporary rhetoric’, in all its exaggeration and extremity. For there’s another aspect here, which is not to forget that a poem like this was meant to be recited aloud to audiences. Before the rule of Augustus, poetry was recited to group of like-minded friends or patrons. During Augustus’s reign it became common to recite it to larger audiences. We have accounts of Virgil reciting to the emperor and his extended family. Horace was commissioned to write odes to be declaimed at public games.

Braund argues that this trend for declamation had two consequences: it tended to promote more striking and vibrant imagery/style. And it incentivised the poet to think in terms of episodes.

5. Episodic structure

The Aeneid is very carefully constructed and susceptible to many types of structural analysis. Although critics have, of course, made a case for the existence of a deep structure in the Pharsalia (for example, a tetradic structure whereby the first four books focus on Caesar, the next four on Pompey and the final four on Cato) Braund disagrees. She thinks the narrative is far more episodic. In this respect it is like the highly episodic structure of Ovid’s Metamorphoses with one story leading to another, then another, then another – itself a strategy for escaping the highly unified and centralised narrative of the Aeneid.

Like the Metamorphoses, this lack of a single unifying narrative in the Pharsalia allows for more episodes, more adventures, more flicking between channels – episodes which contain are like mini-genres, containing their own appropriate languages, structure and style.

Lucan is fond of discontinuity. He presents his narrative as a series of discrete scenes, often without any transitional or scene-changing lines. Rather than a continuous narrative, it often feels like scenes are balanced within a book or between books, working by correspondence, similarity and difference between them.

We can imagine how well these dramatic episodes would have gone down as stand-alone recitations to a sophisticate audience of Roman aristocrats. I’m thinking of Appius’s confrontation with the priestess at Delphi or the terrific storm scene or Caesar’s speech of defiance to his mutinous troops, all in book 5.

6. Lucan and Virgil

Lucan frequently appropriates ideas from Virgil’s epic and inverts them to undermine their original, heroic purpose. Sextus’ visit to the Thracian witch Erictho in book 6 is the most obvious example, the scene and language clearly referencing Aeneas’ descent into the underworld (in Book 6 of the Aeneid), but while Virgil’s description, despite its gloomy setting, is an optimistic, nay triumphant vision of the future heroes of Rome leading up to the glories of Augustan rule, Lucan uses his scene to convey a bitter and bloody pessimism about the loss of liberty under the coming empire.

7. Epic similes

Braund and other critics emphasis the way that Lucan seeks to break free from the epic conventions, in particular the way he references Virgil in order to reverse or invert his technique and meaning. But in one respect Lucan strongly conforms with the tradition, which is in his use of epic similes. Straight-up epic similes really litter the narrative. Here’s the famous extended comparison of Pompey, larded with triumphs, to a venerable oak tree:

So some oak-tree towers in a rich grove,
hung with a nation’s ancient trophies, sacred gifts of the victors,
and though its clinging roots have lost their strength, their weight
alone holds it, spreading naked branches to the sky, casting shade
not with leaves but its trunk alone, and though it quivers, doomed
to fall at the next gale, among the host of sounder trees that rise
around it, still it alone is celebrated.
(1.137 to 143)

Or the inhabitants of towns which Caesar’s army approached were conflicted about who to support.

Though loyalty contended with the threat of danger,
they still favoured Pompey, as when a southerly rules
the waves, and all the sea is stirred by its vast power,
so that even if Aeolus’ trident opens the solid earth,
and lets an easterly loose on the mounting breakers,
the ocean, though struck by that second force, stays
true to the first, and though the sky surrenders itself
to the rain-filled easterly, the sea asserts the southerly’s
power.
(2.452 to 460)

Describing Octavius’s naval strategy:

So the hunter works,
holding back the net of coloured feathers that scares
the deer with its scent, till he can pen them all, or
quieting the noise of the swift Molossian hounds,
leashing the dogs of Crete and Sparta, till he has set
his stakes and nets, leaving one hound alone to range
the ground, it puzzling out the scent and only barking
when the prey is found, content then to point toward
the creature’s lair while tugging at the leash.
(4.436 to 444)

Or describing the way Cato’s speech in book 9 persuades the allies to remain with the anti-Caesarian army:

So, when hosts of bees
depart the hive, where their young have hatched,
they neglect the waxy cells, their wings no longer
brush one another, each takes its own way, idling,
refraining now from sipping the flowering thyme
with its bitter taste; yet if the sound of Phrygian
cymbals rises, they interrupt their flight, in alarm,
returning to the performance of their flowery task,
and their love of gathering pollen. The shepherd
in Hybla’s meadows is relieved, delighted that
his honey harvest is secured. So Cato’s speech
persuaded his men to endure the lawful conflict.
(9.282 to 293)

Nothing particularly lurid or extreme or melodramatic or supernatural about these. Very conventional epic similes.

8. Geographical descriptions

Before I started reading the poem I was impressed by Braund’s introduction and its emphasis on the macabre and bloodthirsty in Lucan. But once I began reading, I realised there were a lot of other, more low-key, less sensational elements that go to make up the text. More frequent than descriptions of battle, let alone supernatural visions, are the frequent very long passages describing the precise geography of a particular location, such as the region around Capua where Pompey first took his army or, in book 6, this very long description of Thessaly.

Mount Pelion’s ridge bounds Thessaly in the quarter where
the winter sun rises, Mount Ossa where in high summer
its shade obstructs the rays of Phoebus rising in the dawn;
while wooded Othrys dispels the flames of the southern sky,
at midsummer, opposing the brow of the all-devouring Lion;
and Mount Pindus outfacing westerlies and north-westerlies,
where daylight ebbs hastens evening on; while those who live
at the foot of Olympus never dreading the northerlies, know
nothing of the Great Bear’s stars shining a whole night long.
The low-lying lands in the region between these mountains
were once covered with endless marshes; since the plains
retained the waters, and the Vale of Tempe was insufficient
for them to reach the sea they formed continuous swampland,
and their only course was to rise. But when Hercules lifted
Ossa’s weight from Olympus, the sea felt a sudden onrush
of waters as Thessalian Pharsalos, that realm of Achilles
the hero born of a sea-goddess, rose above the surface,
a realm better drowned forever. There rose too, Phylace
whose king was first to land in the war at Troy; Pteleos;
Dorion, that laments the Muses’ anger and blind Thamyris;
Trachis; Meliboea whose Philoctetes received Hercules’
bow, for lighting that hero’s funeral pyre; Larisa, powerful
once; and the sites where the plough now passes over famed
Argos, where Echion’s Thebes once stood, to which Agave
howling bore the head of Pentheus giving it to the funeral
pyre, grieving to have carried off no other part of his flesh.
Thus the swamp was drained forming a host of rivers. From
there the Aeas, clear in its flow but of little volume, runs
westward to the Ionian Sea, the Inachus glides with no more
powerful a current (he was the river-god, father of ravished Io)
nor the Achelous (he almost won Deianeira, Oeneus’ daughter)
that silts the Echinades islands; there, the Euhenos, stained
as it is with Nessus’ blood runs through Meleager’s Calydon;
there Spercheos’ swift stream meets the Malian Gulf’s wave,
and the pure depths of the Amphrysos water those pastures
where Apollo herded cattle. There, the Asopos starts its flow,
and the Black River, and the Phoenix; there, the Anauros,
free of moist vapours, dew-drenched air, capricious breezes.
There too are the rivers which do not reach the sea themselves
but are tributaries of Peneus – the Apidanus, robbed of its flow,
the Enipeus never swift until it finds Peneus, and the Titaresos,
which alone, meeting with that river, keeps its waters intact,
glides on the surface, as though the greater river were dry land,
for legend says its stream flows from the pool of Styx, and so,
mindful of its source, scorns commingling with common water,
inspiring still that awe of its current the gods themselves feel.
Once the waters had flowed away leaving dry land, the fertile
soil was furrowed by the ploughs of the Bebryces; the labour
of Leleges drove the share deep; the ground was broken by
Aeolidae and Dolopians, by Magnesians breeders of horses,
Minyae builders of ships.
(6.398 to 416)

Long, isn’t it? A tourist’s guide to the region. I imagine the long list of not only place names but myths and legends associated with them were a) appropriate to the grandeur of the epic genre, magnifying the action b) awed Lucan’s readers or auditor’s with the poet’s impressive erudition c) made those in the aristocratic audience who had visited some or many of those sites nod with smug recognition.

9. Natural history

In his last few years, Lucan’s uncle, Seneca the Younger, composed an enormous work of natural history, the Naturales quaestiones, an encyclopedia of the natural world. A decade later, 77, Pliny the Elder published the first 10 books of his compendious Naturalis Historia (Natural History) (the largest single work to have survived from the Roman Empire to the modern day).

I mention these works to indicate that a taste for ‘natural history’ was obviously in the air and maybe explains the presence of the extended passages of natural history in the Pharsalia. The obvious example is the really extended passage about the snakes of Libya which takes up over 300 lines in book 9.

10. Is the Pharsalia unfinished?

Almost all scholars agree that the Pharsalia as we now have it is unfinished. Lucan was working in book 10 when Nero’s order to commit suicide came through. Book 10 breaks off with Caesar in Egypt. There are numerous theories about this as about all other aspects of the poem. Here are some:

  • Some argue that Lucan intended to end his poem with the Battle of Philippi (42 BC).
  • Some critics speculate that the narrative was intended to continue all the way to the assassination of Julius Caesar four years after the Battle of Pharsalus, in 44 BC.
  • Some even think it was meant to continue all the way to the Battle of Actium in 31 BC.

The latter two theories, in particular, suppose that Lucan intended to write a work many times larger than what we have. The 10-book poem we have today covers a total of 20 months i.e. roughly a book per 2 months; so the 48 months to Caesar’s assassination would imply another 24 books; the 17 years (204 month) to Actium, imply another 102 books!

Another problem with the timeline continuing as far as Caesar’s assassination is that, with both Pompey and Cato dead, Lucan would have had to embark on building up a new set of characters, in particular the leaders of Caesar’s assassination, Cassius and Brutus.

Which is why Braund ends up going with the simplest hypothesis which is that Lucan’s original intent was a 12-book poem, mirroring the length of the Aeneid. The strongest piece of evidence for Lucan consciously modelling the Pharsalia on Virgil is the way Lucan introduces an extended necromantic ritual in his sixth book that deliberately parallels and inverts many of the motifs found in Virgil’s sixth book. Thus Braund goes with the view that the poem was to be 12 books long and was heading towards the suicide of Cato (as the army of Julius Caesar approached his stronghold of Utica in North Africa) held up as a model of Stoic dignity rising above tyranny.

There are a few more scenarios: one is that the Pharsalia in in fact finished, was meant to end at the end of the tenth book, and is complete as we have it. This is the view of Classicist Jamie Masters but most other scholars disagree.

But there is one last logical possibility, which is that Lucan did in fact complete the poem but, for whatever reason, the final few books of the work were lost at some point. Braund notes that little evidence has been found one way or the other, so this question will remain a matter of speculation.

11. The Roman cult of suicide

Throughout the poem suicide is praised as a noble and dignified way to take control of your life. Nothing becomes a true Roman man so much as either a) dying in battle or b) controlling the time and place of his death, especially when faced with tyranny. Thus Afranius contemplates suicide before surrendering to Caesar (book 4), Vulteius and his men actually do commit suicide, en masse, rather than be captured:

No instant is too short for a man
to kill himself; suicide is no less glorious when death
at another’s hand approaches.
(4.480)

Even Julius Caesar unashamedly tells his mutinying soldiers that, if they lose, he will commit suicide:

I shall seek
my own salvation in suicide; whoever looks back
if the foe is unbeaten, will see me stab my breast.
(7.308)

From which Lucan draws the general lesson that suicide is the ultimate way to escape from tyranny:

Yet even after the example set
by such heroes, nations of cowards still do not comprehend
how simple it is to escape captivity by suicide; so the tyrant’s
power is feared, freedom is constrained by savage weapons,
while all remain ignorant that the sword is there to deliver
every man from slavery.

For me, the careful seeding of examples of, and praise of, and defences of, suicide, strongly suggest the poem was building up to the suicide of Cato as its climax and crowning example of resistance. Thus it is that Cato himself sternly celebrates Pompey’s death after defeat:

O happy was he, whose ending
followed on defeat, the Egyptian swords
offering the death he should have sought.
He might perhaps have lived on instead
under Caesar’s rule

Because:

the highest fate
is to know when to die, and the second
best to have such death forced upon one.

The ‘highest fate’, the best thing a man can do, the greatest achievement of human reason, is to know when to die. All the more ghoulishly ironic that Lucan himself was forced to commit suicide before he could complete the depiction of his Stoic hero committing suicide.

12. Lucan and Seneca

I finished reading Seneca’s Letters from a Stoic weeks after reading the Pharsalia. Reviewing my notes I realise the tremendous overlap in ‘philosophy’, namely the absolutely central role played in both texts by suicide as escape from tyranny. It is the central theme of both works. But as I point out in my review of the letters, suicide my be an acceptable theme for a poem, but not for a really long work of moral exhortation (the letters) which claim to be instructions on how to live and think. Personally, I recommend not thinking about suicide every moment of every day, as a healthier way to live.

Modern views

Since the Enlightenment the Pharsalia has commonly been considered a second rank offering, not in the same league as the king of the Roman epics, the Aeneid. But in recent decades more sophisticated literary analysis has brought out how the poem’s ‘studied artifice enacts a complex relationship between poetic fantasy and historical reality’.

His narrative of the civil war is pared down to a bare minimum; but this is overlaid with a rich and varied virtuoso display of learning which reflected contemporary interests. (Braund, Introduction, page 37)

All I can add is that I found the Pharsalia a surprisingly gripping and interesting read.

Caesar crossing the Rubicon by Adolphe Yvon (1875)


Related links

Roman reviews

Moral letters by Seneca

What do you need to be a good man? Willpower.
(Letter 80, section 4)

Whatever you do, keep death in mind.
(Letter 114, section 27)

You must embed these thoughts deep in your heart, Lucilius.
(Letter 7, section 12)

Stoicism

The thing about Stoic philosophy is how wrong its premises are and how banal its teachings.

Stoics believed there is a God, that the universe or Nature is God, or God suffuses Nature. Human beings were created by God with a spark of Divine Reason within us. Our job is to clear away all the clutter of work, society, gossip, all relationships, friends and family, all the clamour which clogs up our lives, including all our own passions and emotions, love, anger and so on – in order to cultivate this fragment of the Divine Reason in each of is and, by doing so, bring our lives into alignment with the values of the universe/God. Then, by cultivating detachment from all earthly worries and passions, by strengthening our minds, we can prepare for the worst the world has to throw at us and defuse the ultimate terror, the fear of death.

That’s it. You can vary the wording and multiply the precepts with lots of specific examples (avoid gossip, avoid crowds, eat moderately, don’t get drunk, treat everyone with respect – ponder with the worst possible outcomes so nothing surprises you, analyse every situation with detachment), but it’s that simple and, after the initial novelty has worn off, that boring.

Seneca

The Roman author, tutor, Stoic philosopher, politician and immensely rich man, Lucius Annaeus Seneca (4 BC to 65 AD) is called Seneca the Younger because his father (54 BC to 39 AD) – author of a collection of reminiscences about the Roman schools of rhetoric (which survives) and a history of Roman affairs from the beginning of the Civil Wars until the last years of his life (which is lost) – had the exact same name, so is known as Seneca the Elder.

Seneca the Younger, much more famous than his father, is sometimes just referred to as Seneca.

Seneca wrote a prodigious amount; later critics said too much. E.F. Watling, in his Penguin edition of Seneca’s plays, says that his best-loved works are the letters he wrote to one specific friend, Lucilius. Seneca himself titled these the Epistulae Morales ad Lucilium (‘Moral Letters to Lucilius’), also known in English as the ‘Letters from a Stoic’. Seneca wrote this collection of 124 letters at the end of his life, from approximately 63 to 65 AD, after he had largely retired as tutor and adviser to the Emperor Nero, a post he’d held since 49 – sixteen years.

The letters are addressed to Lucilius Junior who was then procurator of Sicily and is known to posterity only through Seneca’s writings. (Seneca also dedicated his dialogue On Providence and his encyclopedic Natural Questions to this same Lucilius.)

Scholars fret about whether these were ‘real’ letters, and what the structure of correspondence was – did Seneca only respond to questions sent him by Lucilius? Where is Lucilius’s half of the correspondence? etc. But whether or not they were ever part of a ‘real’ correspondence, it is clear that Seneca wrote these letters with a wider readership in mind. They contain numerous carefully crafted passages obviously aimed at posterity and are structured so as to cover a wide range of subjects dear to Stoics. The 124 letters were published grouped together into 20 ‘books’.

Philosophy as therapy

The letters amount to a series of short moral lessons, designed to help Lucilius achieve the wisdom and peace of mind (‘a calm and correct state of mind,’ Letter 4) promised by Stoic doctrine. In order to do this the letters focus on the traditional themes of Stoic philosophy such as removing oneself from the crowd; cultivating a contempt of death; learning to endure the ups and downs of life; acknowledging virtue as the supreme good, and so on.

The key point which the translator of the Oxford University Press edition, Elaine Fantham, makes in her introduction, is that the letters do not amount to a systematic exposition of Stoicism. Almost the reverse. They are like a series of lessons on ad hoc, specific topics, often beginning with an everyday experience and then extracting from it an insight or type of behaviour which Seneca tells Lucilius he can adopt in order to improve himself. Each letter contains ‘a little bit of profit’ (5) – like instalments in a self-help correspondence course.

Seneca wrote the letters not to promote a complete finished system of thought: he wasn’t necessarily interested in extrapolating a comprehensive system. As Fantham says, Seneca put moral impact before intellectual debate. He ‘puts the ability to avoid fear and desire ahead of any intellectual expertise’ (note, page 298). Seneca gave the work a new type of name, Epistulae Morales, and wrote them with a moral purpose to promote moral behaviour.

Philosophy is not a skill shaped for popular appeal or for display; it does not consist of words but of deeds…it moulds and shapes the mind, arranges one’s life, controls one’s actions, points out what is to be done and what to be avoided. (16)

Thus Seneca instructs Lucilius not about this or that point of abstract philosophical doctrine – but over and over again tells him that he must repeat certain thoughts in order to put them into practice, to make them part of his everyday waking thoughts.

Only Philosophy will wake us up, it alone will shake off our heavy sleep, so dedicate yourself wholly to it. (53.8)

Possibly the most consistent lesson (repeated so many times it gets a little boring) is cultivating a ‘contempt’ for death. When death comes it is over; it is nothing. We need to live with the idea of our death all the time, to get accustomed to it, so as to eliminate all fear and anxiety about it:

  • Let us order our minds so that we wish for whatever circumstances demand, and especially let us think about our ends without sadness. We need to be prepared for death before we are prepared for life. (61.3)
  • The more men have accustomed themselves to hardship, the more easily they will endure it. (76.34)
  • Whatever has been long anticipated comes as a lighter blow. (78.29)
  • Everyone approaches a hazard to which he has long squared himself with more courage and resists harsh events by contemplating them in advance. (107.4)

This accustoming to death takes effort so we must ‘practice thinking this over each day’ (4.5) and ‘ensure that what is now an urge becomes a lasting disposition’ (17.6).

Virtue does not come to a mind unless it is trained and taught and brought to its highest condition by constant exercise. (90.46)

Repeat, practice, memorise. The letters are lessons in how to think, in how to live life in order to maximise calm and reason, mental or psychological exercises which must be learned through constant repetition.

  • You must persist and build up strength by constant diligence until what is now a good intention becomes a good state of mind. (16.1)
  • These are things we must learn, in fact learn by heart. (123.17)

In this respect, the OUP is a good edition because Fantham precedes every letter with a short summary of its main topics, of its time and place of composition, and how it relates to other letters on the same topic. This is extremely useful. (Mind you, the 1917 translation by Richard Mott Gummere which is available online has something the Fantham edition hasn’t, which is attributing each letter a title such as ‘On saving time’, ‘On discursiveness in reading’ and so on. I imagine these titles aren’t in the original but they are extremely useful in remembering at a glance which letter is about what.)

There is some background information about Roman society, but not as much as you’d hope for, certainly nothing like the chatty detail you get in Cicero’s wonderful letters (Seneca consciously distances himself from Cicero’s style and gossipy subject matter in letter 118).

Like all Roman writers, Seneca now and then cites famous Roman heroes or historical figures as examples of ‘virtue’ (notably Marcus Porcius Cato, who committed suicide in 46 BC, as the example of fortitude in the face of death; or Gaius Mucius Cordus who unflinchingly put his hand into a fire to prove his bravery).

There is a description of the lives of the super-rich at Baiae (51), a fascinating portrait of the conditions of slaves (47), a vivid comparison of the spartan bathhouses of old with their modern luxurious equivalents (86), a description of the grand retinues of foreign slaves rich people insist on travelling with (123), a description of viticulture and grafting techniques (86). Mostly, though, the letters are disappointing from a social history point of view. Philosophy is drab.

This Oxford University Press edition does not contain all of the letters – it contains 80 out of 124 (introduction p.xxxv) – but still claims to be the largest selection available in print.

Epistolary traditions

In a throwaway remark, Fantham indicates that there were two types of letter, two epistolary traditions: the philosophical letter of advice (pioneered by Epicurus, born 341 BC, and into which these letters fall) and chatty personal correspondence (Cicero, born 106 BC). [She doesn’t mention a third type which occurs to me, which is the crafted verse epistle as epitomised by Horace’s Letters or Ovid’s Black Sea Letters.]

The problem of suicide

A major stumbling block is Seneca’s worldview, the classical Roman worldview, which promotes suicide as a noble, honourable and virtuous response to all kinds of social humiliations, setbacks, not least the threats from tyrannical power.

It is a noble thing to die honourably, prudently and bravely. (77)

Part of the reason for cultivating a contempt for death, for having death continually in your thoughts, is so that, when the moment comes, it will feel like only a small additional step to fall on your sword or open your veins in a hot bath.

How many people death has been useful to, how many it frees from torture, poverty, laments, punishment, weariness. We are not in any man’s power when death is in our power. (91.21)

The historical model Seneca invokes repeatedly is Cato, who committed suicide in 46 BC two years into the civil war, when he was governor of Utica, a city in North Africa, as Julius Caesar’s army was closing in. Cato killed himself to deprive Caesar of the power of either executing him or (more likely) humiliatingly pardoning him, meaning he would ignominiously owe the rest of his existence to a tyrant.

Desiring neither option, Cato stabbed himself. In the event failed to kill himself, a doctor was called who patched up his stomach wound, gave him medicine, put him to bed. In the night Cato placed his fingers into the stomach wound, ripped it open, and proceeded to pull out his intestines until he died of shock. This is held up by Seneca as exemplary behaviour.

This makes sense within the long Roman tradition of preferring honourable suicide to dishonour, but it is just not a worldview any modern person shares and Cato is not a role model any modern person would wish to copy. Of course, this strand in Seneca’s writings is magnified by the fact that Seneca himself did something similar, committing suicide on the orders of the emperor Nero, his one-time pupil, in an exemplary fashion, calmly dictating notes about Stoic resilience as he bled to death in a hot bath.

Thus he has gone down as a hero of high-minded Stoicism but there are numerous objections to this notion. One is that plenty, thousands, of other Roman notables killed themselves over the centuries, famous examples being Anthony and Cleopatra, and they weren’t Stoic philosophers. So Seneca’s high-minded end wasn’t unique, far from it, it was a very common behaviour among the aristocratic class in the ancient world, and not only under the Empire but the Republic, too.

So a) it was far from being an act unique to ‘philosophers’ but b) it is obviously something very remote indeed from modern society. Sure, people still kill themselves. But not many people kill themselves at the command of an emperor, or to demonstrate their high-minded command over their destiny and a Stoic rising above the petty concerns of life and death. This whole worldview is so remote as to be science fiction.

There seems to me something perverse, almost creepy, about a philosophy which is constantly preparing its followers for death and for suicide. The words ‘death’ or ‘die’ recur on every page. I infinitely prefer Horace’s encouragement to enjoy life to the full while we can.

Come, let’s
Go to the cave of love
And look for music in a jollier key.
(Horace Odes, book 2, poem 1)

Themes in the letters

Despise death

We start to die from the day we are born. When we die there is nothing. There was nothing before life and there will be nothing after. So be not afraid.

  • What I am recommending to you is not just a remedy for this disease but for your whole life: despise death. (78.5)
  • First free yourself from the fear of death. (80.5)

Freedom

Despising death means we are free from the threats of tyrants or society. What is the worst they can do to us if we despise the worst, consider it nothing? Nothing can harm the calm and virtuous mind. By welcoming whatever will happen, it creates its own freedom no matter what the external circumstances. With typical extremity of metaphor or rhetoric, Seneca continually contrasts freedom, not with being bogged down or caught up or hampered by obligations – such as most of us encounter in real life – but with full-on hardcore Roman slavery:

  • You ask what is liberty? To be enslaved to no object, no necessity, no chances, to reduce Fortune to a level field. (51.9)
  • We must busy ourselves with our studies and the sources of wisdom…this is how we should rescue our mind from a most wretched enslavement and restore it to liberty. (104.16)
  • We have enslaved our spirit to pleasure whose indulgence is the beginning of all evils. (110.10)

Now it makes sense that Seneca uses as metaphor the slavery which was, arguably, the central fact of Roman life. But as with the way his mind, when he wants to imagine examples of adversity, leaps straight towards images of torture and execution, it’s another example of the extremity of metaphor and argument which underpins his ‘philosophy’ and makes so much of it feel so alien to the modern mind.

True friendship

Gauge a man before making him a friend. Be cautious, test out friends. But once someone is a friend, bind them to you, share everything with them. True friends share everything, including misfortune. Seneca says you have to learn to be a friend to yourself.

Avoid crowds

‘Shun whatever pleases the common herd’ (8). One iniquitous example can adversely affect you. A crowd presents all kinds of bad examples. People are emboldened to behave badly in crowds. So withdraw into yourself and study philosophy, but not so conspicuously as to draw attention or criticism. Don’t draw attention to your retirement and quietism. Quietly disappear.

Your body

A great and cautious man separates his mind from his body and spends the better part of his time with his better and divine part. (78.10)

Provide it only as much as needed to preserve good health. Avoid excess. Consume as much plain drink as required to quench thirst, as much plain food as to quench hunger, the minimum clothes to protect you from the elements, a house sufficient to protect you from the weather.

Devote some days to eating as little as possible. Become familiar with the bare minimum needed to keep alive and healthy (so that if exile to a bare rock or sudden incarceration befall you, your body is ready for much reduced circumstances).

Don’t exercise to excess. Do as much as needed to keep healthy. Reserve your energy for cultivating the mind.

As to physical pleasures, avoid them like the plague; they enslave the body and then the mind.

  • Uproot pleasures and treat them with absolute loathing. (51.13)
  • First of all we must reject pleasures; they make men weak and effeminate and demand too much time and effort. (104.34)

Your house

Your house should be a size and contain only as much as needed to protect you from the elements. Despise ornament and decoration.

Possessions

Have as few as possible. ‘No one is worthy of God unless he despises possessions.’ (18.13) Have them, but adopt a mindset where you could happily dispense with all of them, where they are all taken from you and you don’t care a jot, because you are secure in the untroubled citadel of your mind.

Enough

Don’t overdo it: don’t mortify your body, don’t insist on eating bread and water, living in a hut, neglecting your body, like the Cynics who, following Diogenes, set out to punish their bodies. Live comfortably and sensibly, just not to excess.

  • So correct yourself, take off your burdens and shrink your desires within a healthy limit. (104.20)

How to be content

And cultivate contentment by being happy with what you’ve got.

  • I will tell you how you can recognise the healthy man: he is content with himself. (72.7)
  • This is what philosophy will guarantee you, something which nothing surpasses: you will never be dissatisfied with yourself. (115.18)

Excess

Similar to his thoughts about suicide and anger, in that it sounds reasonable of Seneca to tell his follower not live to excess, but what Seneca has in mind is Roman excess, the off-the-scale lavishness and baroque luxury of the Roman emperors and the richest in the known world (as described in the letters from the fashionable resort of Baiae, 49, 51).

  • Too many amenities make the spirit effeminate…The stricter discipline of a simpler place strengthens the mind and makes it fit for great undertakings. (51.10-11)

The general point is not so much that indulgence is morally bad in itself: but that people enslave themselves by indulging the pleasures of the senses, deform their minds, make themselves into addicts, by coming to rely on excessive behaviour, on excessive drinking, excessive eating, excessive sex, excessive gambling.

It’s not so much that moderation is good in itself but that it stops you developing addictions and so becoming enslaved to them. Moderation leaves your mind free to focus on more important, ‘higher’ things. Moderation sets you free from all the snares of the senses.

That is why:

We ought to concentrate on escaping as far as possible from the provocations to vice. One’s mind must be hardened and dragged away from the enticements of pleasure. (51.5)

Anger

Quite apart from the letters, Seneca wrote no fewer than three treatises on anger. Fantham makes a really profound point about this which depends, again, on the profound difference between us and Roman society. This is that Roman emperors had complete power over all citizens, and all citizens had complete power over huge numbers of slaves. In this society an angry citizen could order his slave to be tortured or killed, just as an angry emperor could order anyone he fancied to be exiled, thrown into gaol, tortured or executed. Therefore controlling anger was much, much more important than it is in our society. Anger is not a good emotion with us but could have catastrophic consequences in Seneca’s world.

The mind

‘Nothing deserves admiration except the mind’ (9). The mind alone is worth cultivating. No other skills, activities, pastimes are worth cultivating.

  • Control your mind so as to bring it to perfection in the most calm condition, a mind which feels neither what is taken from it nor added to it, but keeps the same disposition however affairs turn out. (36.6)
  • A great and cautious man separates his mind from the body and spends much of his time with his better and divine part. (78.10)

Moral behaviour

Imagine the most moral, honourable person you can. Then imagine they are watching everything you say or do.

Fear, anxiety, stress

All these are caused by worry that the worst is going to happen. Well, imagine the worst has happened. Live with the worst, imaginatively – prepare yourself for the worst. Once you dispel anxiety about unnamed and exaggerated fears, you can get rid of the panic and examine the issue rationally, restoring order and calm to the mind, allowing Reason to operate unhampered by over emotions.

Philosophy

Philosophy, for Seneca, isn’t the working out of a complex system or ideology: it is a psychological or spiritual practice. It is an exercise to attain an attitude, cultivated with the sole aim of making its practitioner mentally strong and resilient against tyranny, suffering and death.

Philosophy is not a skill shaped for popular appeal or for display; it does not consist of words but of deeds. It is not taken up to make sure the day passes with some enjoyment, to take the boredom out of leisure; it moulds and shapes the mind, arranges one’s life, controls one’s actions, points out what is to be done or avoided; it is seated at the helm and steers the course of those adrift among treacherous shoals. Without it no man can live without fear or anxiety; countless things occur each hour that need the advice which we must seek from philosophy. (16.3)

Philosophy may include technical aspects such as types of argument and syllogism (which he consistently ridicules and dismisses for its pedantry) but, far more importantly, Seneca sees ‘philosophy’ as a kind of mental fortress, a psychological redoubt:

So withdraw into philosophy as far as you may; she will protect you in her bosom and in her shrine you will be safe. (103.4)

In doing so, it can raise us above the level of mere mortals:

This is what philosophy promises me, to make me equal to a god. (48.11)

Slavery

As you might expect Seneca admonishes Lucilius to treat his slaves as equals because they are as human as you or I:

Kindly remember that he whom you call your slave sprang from the same stock, is smiled upon by the same skies, and on equal terms with yourself breathes, lives, and dies. It is just as possible for you to see in him a free-born man as for him to see in you a slave. (47.10)

But, just as predictably, Seneca doesn’t actually recommend actually freeing them. (In his introduction to the Penguin Classics edition of Juvenal’s Satires, Peter Green says this attitude was typical of Stoics: ‘[Juvenal] attacked wanton cruelty to slaves, but did not query the concept of slavery itself (another characteristically Stoic attitude.)] Introduction, page 23)

Letter 47 is fascinating for giving an extended description of the types of functions slaves performed in an aristocratic household and the brutal punishments they were liable to for the slightest infraction.

(It is a secondary consideration that in the long letter 90, a detailed list of the technical achievements and innovations which make up civilisation, Seneca despises them all and considers all of them – agriculture and irrigation and milling grain to make bread and architecture and glass windows and all the rest of it – only worthy of slaves and freedmen [who, apparently, largely made up the artisan class of Rome] and so far beneath an aristocrat like himself and his friend Lucilius. Aristocrats needed to rise above these slave occupations in order to practice the only thing worthwhile activity for humans, to cultivate the mind, perfect reason, acquire wisdom, so as to rise above passions and fear of death. That is the primary aim of the letter, but in order to make the point what comes over is a contempt for the artisan class, for engineers and innovators and craftsmen, which makes me dislike Seneca even more. His assumption is that all the achievements of the thousands of people who had perfected all aspects of civilisation and raised it to the luxurious heights of his day only matter insofar as they allow him to perfect his wonderful mind. It’s a privileged narcissism which is, in its own arrogant way, every bit as corrupt as the decadent court of the arch-egotist Nero.)

Self-help slogans

The book is stacked with improving and inspiring thoughts of the kind which have become over-familiar in the subsequent 2,000 years, particularly the last 50 years or so of self-help books.

  • I think it is the first proof of a stable mind to be able to pause and spend time with oneself. (2.1)
  • The best measure of wealth is to have what is necessary and the next best, is to have enough. (2.5)
  • The man at ease should take action, and the man at action should take ease. (5)
  • Who is well born? The man well set up by nature for virtue…it is the spirit that makes one noble. (44.5)
  • Nature made us teachable and gave us an imperfect reason but one which can be perfected. (50.11)

Although Seneca’s long porridgey paragraphs have the heavy feel of ‘philosophy’, the quality of the argumentation is often weak and many of the actual injunctions feel more like daytime TV, self-help guru-talk than Hegel or Hume. Once or twice he came close to the banal catchphrase mocked in the old TV sitcom, Some Mothers Do Have ‘Em: ‘Every day, in every way, I’m getting better and better.’

I rejoice that you are studying with perseverance and abandoning all else for this one thing, to make yourself a better man each day. (5.1)

Critique

As with all philosophy, and especially ‘moral’ philosophy, there is no end to the debate, discussion, critique and commentary which the Letters from a Stoic have spawned over the past 2,000 years. A handful of themes struck me:

1. Simplistic values

The most obvious, for me, is the extreme difference in the social context between Seneca and us and in particular his concept of negative life events. For Seneca a bad turn of events is an ever-present threat under the tyranny of imperial rule. It is associated with prison, torture, enslavement and all the other dire possibilities of life under arbitrary Roman emperors such as Nero. Thus there is a misleading simplicity to most of his meditations. When he imagines something bad, it’s being thrown into prison or tortured or executed by the emperor. The conception of negative life events which he uses to underpin his entire Stoic system is disconcertingly simple and extreme – exile, torture, death – and so the mental lesson he is teaching is concomitantly simplistic: prepare your mind to be strong and noble under torture or the threat of death (see the harping on about torture and death in letters 67 and 70).

But not many modern readers of the letters are going to have the same concerns – that they will thrown into prison, tortured or forced to commit suicide at the whim of a Roman emperor. The worst things I can imagine happening to me are: being in a life-changing accident i.e. becoming wheelchair-bound or having a stroke; being diagnosed with a terminal or life-changing illness; something bad happening to my loved ones, especially my children. But my day-to-day worries are more humdrum, recalcitrant, fiddly, frustrating: worried about my performance at work, this or that bit of the house needs maintenance, I’m worried about money, about not being able to pay my bills – fuel bills, heating bills, food bills.

I know Stoic thought can be applied to these modern circumstances i.e. I should try to cultivate mental detachment and resilience so I am ready to face bad events and rise above them. But the extremity and the simpleness of the situations Seneca describes and which form the basis of his entire philosophy (arbitrary arrest, torture, execution) rarely if ever occur in modern Western life and so all his much-repeated lessons rarely if at all apply to me. Modern life is more complex and multi-faceted than Seneca’s philosophy allows.

Seneca’s ‘philosophy’ is worth reading as an extremely vivid insight into the mindset of the Stoic classes during the tyranny of Nero but is, in my opinion, of limited use or value to modern readers leading modern lives.

2. Hypocrisy

I’ve just read Tacitus’s Annals where Seneca is described as being one of the richest men in Rome, with mansions as big as Nero’s and gardens even bigger, hundreds of servants, immense wealth in gold and assets. (In fact Seneca’s extreme wealth became proverbial to later generations: Juvenal’s tenth satire describes how Seneca, ‘grown too wealthy’ lost his magnificent gardens.) So it’s pretty ironic, knowing the man was a byword for obscene wealth, to read Seneca’s continual recommendation of the plain, simple life, eschewing pleasure and cultivating virtue. It’s easy advice for the ridiculously rich to give. The hypocrisy is summed up by a character in John Marston’s 1603 play, The Malcontent, which Watling quotes:

Out upon him! He writ of temperance and fortitude, yet lived like a voluptuous epicure and died like an effeminate coward. (The Malcontent, Act 3, scene 1, line 28)

Not quite accurate (Seneca definitely did not die ‘like an effeminate coward’) but the first half, the epicure accusation, has force. This point was epitomised, for me, in a throwaway remark of Seneca’s in a letter which is intended to be about exercise and physical frailty:

I have just returned from my ride. I am just as tired as if I had walked as far as I have been sitting. It is an effort to be carried for a long time, and I rather think the effort is greater because riding is contrary to nature. (55.1)

It is an effort to be carried for a long time. (In a sedan chair, presumably.) Well, what about the slaves who were doing the carrying? Bet it was a bit of an effort for them, too. Seneca’s writings cannot escape from the taint of the astonishing level of privilege enjoyed by his class in general, and the extraordinarily privileged lifestyle enjoyed by him – according to Tacitus the richest man in Rome – in particular.

3. How Christians appropriated Stoic rhetoric

Many of the lessons Seneca spells out to Lucilius are very familiar from the long tradition of Western moralists, from Erasmus, through Montaigne, on into the Enlightenment and then diffused out into the broader culture by thousands of Victorian moralists.

My mum used to tell us kids, ‘Moderation in everything’. You don’t need to read Seneca to already know half of his nostrums and tags. I suggest that much of it seems so familiar because Stoic teachings were taken over wholesale by the early Christians and formed the basis of much Christian everyday morality. Obviously not the bits specific to Christian theology (the Fall, Original Sin, the Crucifixion, the Resurrection etc) but the fundamental theist worldview is often indistinguishable from Christianity:

  • No one is worthy of God unless he despises possessions. (18.13)
  • God is near you, he is with you, he is within you. (41.1)
  • What is enough for God is not too little for masters. (47.18)
  • The place which God occupies in this universe is the place which mind occupies in man. (65.24)
  • God comes to men. Indeed, what is actually nearer, he comes into men. No mind is good without God. (73.16)
  • Whatever is good for us our God and father placed at hand. (110.10)

My point is that in the advice about day-to-day living, the Christians appropriated Stoic teachings so completely that the advice to Lucilius to cultivate the mind, avoid the crowd and their superficial entertainments, practice virtue, despise the knocks of Fortune and cultivate a contempt for death – all these are the familiar background hum of Christian morality, the subjects of hundreds of thousands of Sunday sermons and public lectures, recycled on radio phone-ins and daytime TV and millions of self-help columns in magazines and newspapers and books. Which explains why when we moderns come to read Seneca we are so rarely surprised and so often find his nostrums familiar and reassuring.

4. Repetition

Above all, like any good teacher, he repeats the same key points again and again, in different formulations, approached from different angles, but coming back again and again to the same fundamental idea: rise above the fortuitous events of your life; rise above all emotions and attachments; cultivate ‘philosophy’, which means a Buddhist detachment from everyone else and even from yourself; live with the idea of death so continually that it eventually presents no fears. And then you will have conquered yourself, your fear of death and you will be…free.

  • I am forcing my mind to focus on itself and not be distracted by outside events…The real calm is when a good state of mind unfolds. (56.6)
  • The wise man is full of joy, cheerful and calm, undisturbed. He lives on equal terms with the gods…The wise man’s mind is like the universe beyond the moon: there it is always fine and calm. (59.14)
  • Abandon those distractions which men have rushed to enjoy; abandon riches, which are either a danger or a burden to their possessors; leave the pleasures of body and mind, which soften and weaken you; abandon ambition, which is a bloated, hollow and windy condition with no limit. (84.11)
  • There is only one way the dawn can come: if a man takes in this knowledge of things human and divine and does not just sprinkle it over himself but but steeps himself in it; if he goes over the same things repeatedly (110.8)

But repetition is not argumentation. Despite Seneca using the word ‘philosophy’ all the time, this isn’t really philosophy at all. It is, as I’ve said, more like exhortation to a good frame of mind, moral uplift, encouragement to develop a tough attitude, therapy for the anxious, a self-help manual. And incredibly repetitive.

Unvexed by terrors and uncorrupted by pleasures we shall dread neither death nor the gods. We shall know that death is not an evil and the gods do not exist for evil. What harms us is as weak as what is harmed; the best things lack the power to harm. What awaits us, if we ever emerge from these dregs to the sublime and lofty region, is peace of mind and liberty free from the errors which have been driven out. What does that liberty consist of? Not fearing men or gods; wanting neither what is base nor excessive; having the greatest power over oneself. It is an incalculable good to become one’s own master. (75.17-18)

5. Family and friends

In nearly 300 pages of relentless insistence that we rise above all attachments and emotions, nowhere does he mention family (in just one letter, 104, he mentions his wife, Paulina).

Family was a very big thing indeed for noble Romans, so it’s a striking absence in the context of Seneca’s own time. But regarded as instructions for modern readers, his insistence on boiling your life right down to a relentless focus on cultivating your virtue and your indifference to death completely ignores the scores of relationships most people have in their lives, starting with their family.

Most modern therapy involves getting to grip with your childhood experiences and your relationship with your parents. But parents, spouses or children are completely absent from Seneca’s teachings. His Stoicism is an impressively selfish concern, in which he endlessly exhorts Lucilius to forget about everyone but himself, to focus on his own mind and anxiety of death etc, to think about no-one but me me me.

This makes his ‘philosophy’ inapplicable, in practice, to anyone who has parents, partners or children and really cares for them, is involved in their day-to-day wellbeing and, especially when it comes to children, to their little triumphs or setbacks. None of that for Stoic Seneca. He is in his study toughening up his mind by envisaging torture in every detail so as to be able to rise above it, when the time comes.

But it struck me that this deliberate ignoring of family sheds light on and helps to explain the humanistic obsession with friendship. Seneca’s letters on the importance of having one, key soulmate-level friend are one of the sources for the obsession with friendship which is a central theme of humanist writings from the 15th century onwards.

Friends know that they have everything in common…the true friendship which neither hope nor fear nor self-interest can sever, the friendship with which men die and for which they die. (6.2)

It’s possible to interpret this obsession with Perfect friendship as the Stoic replacing the messy, uncontrollable web of family relationships, with all its unpredictable ups and downs, with One Relationship with One Special Friend. To use the modern buzzword, it’s a very controlling approach. When you read the great humanist works on this subject (Cicero, Montaigne, Bacon) what comes over is that you are only going to meet one or two soulmates in your life and that you will become identical in interests and affections with this one special person. In a science fiction kind of way, you and the True Friend of humanist tradition will become one person.

So, to put it crudely, humanist teaching about friendship a) is a way of ducking the uncontrollable mess of family ties and responsibilities and b) ends up with you looking in a mirror. Solipsistic narcissism.

Horace

As Roman ‘moralists’ go, I prefer Horace. He’s lighter, funnier, his affable tone is more persuasive, more inspiring for me, than Seneca’s dour and relentless lecturing. Seneca sounds like the tutor he was:

I hereby order you to be slow in speaking. (40.14)

Whereas Horace sounds like a friend offering gentle advice:

Try not to guess what lies in the future, but,
As Fortune deals days, enter them into your
Life’s book as windfalls, credit items,
Gratefully…
(Horace, Odes, book 1, poem 9)

Seneca thinks of himself as embattled – quick! time is short! the enemy is at the door! focus on the essentials!

  • I am being besieged right now…the enemy is at our backs…I need a heroic spirit (49.9)
  • Fortune is waging war with me but I will not do what she orders, I will not accept the yoke. (51.8)
  • A real man prefers his sleep to be broken by a bugle than a chorus. (51.12)

This sense of the world as a battlefield, a fight, a struggle against countless enemies all trying to seduce your God-given soul, was inherited by Christianity. It dominates the letters of St Paul who wrote the most influential letters in Christendom, and used rhetoric similar to Seneca when he urged his followers to ‘fight the good fight’ (First letter to Timothy).

To understand Paul, we must grasp that he is at war, with the angels of heaven at his back. The Acts of the Apostles is, at its base, a power-struggle between Christ and Satan, wrenching whole peoples away from Satan’s grasp. (Jesus Walk Bible Studies)

In contrast to this worldview of unrelenting embattled paranoia, Horace writes a letter to a friend inviting him to come round and try the new wine they’ve just bottled on his estate. There’ll be other friends there, and they’ll stay up late together laughing and joking. Seneca’s remedy for the fickleness of human existence is to be continually, constantly thinking about death all the time.

Give me courage to meet hardships; make me calm in the face of the unavoidable…Say to me when I lie down to sleep: ‘You may not wake again!’ And when I have waked: ‘You may not go to sleep again!’ Say to me when I go forth from my house: ‘You may not return!’ And when I return: ‘You may never go forth again!’

Well, you may win the lottery this weekend. You may run down the escalator and bump into the woman of your dreams. If you start speculating about things which may happen, the sky’s the limit. In which case – why focus only on the bad things which ‘may’ happen. Lovely things ‘may’ happen, too. Pondering Seneca’s use of the conditional to dwell only on the most extreme negative outcomes (torture, execution) makes the reader realise how much he is obsessed with the dark side of life, and so insists that we be brutally harsh with ourselves:

  • Cast out whatever desires are lacerating your heart and if they cannot be pulled out any other way then you must tear out your heart with them. In particular, uproot pleasures and treat them with absolute loathing. (51.13)
  • We believe pleasure is a moral failing…Pleasure is a shameful thing. (59.1-2)

What a stupid attitude. Horace has an equally frank acceptance of how time is limited and we are hurrying towards our deaths, but he draws the exact opposite conclusion, which is: carpe diem, enjoy the moment. Instead of considering yourself under siege from wicked temptations so that you have to harden your heart against all affection, think of life as a blessing, bless every moment it brings you, and savour the fleeting pleasures. Horace gets my vote.

Last word to Martial

Martial book 11, epigram 56, begins, in the translation by James Michie:

Because you glorify death, old Stoic,
Don’t expect me to admire you as heroic…

And ends ten lines later:

It’s easy to despise life when things go wrong;
The true hero endures much, and long.


Credit

Selected Letters of Seneca, translated and introduced by Elaine Fantham, was published as an Oxford University Press paperback in 2010. All quotes are from this edition.

Related links

Roman reviews

The Annals of Imperial Rome by Tacitus – 1

The more I think about history, ancient or modern, the more ironical all human affairs seem.
(Annals of ancient Rome by Tacitus, page 127)

Publius Cornelius Tacitus (56 to 120 AD)

Publius Cornelius Tacitus was a Roman historian and politician. He is generally regarded as one of the greatest Roman historians. He held high official positions, being consul in 97 and governor of Anatolia in 113.

His two major works – the Annals and the Histories – cover the history of the Roman Empire from the death of Augustus (14 AD) to the death of Domitian (96 AD), although there are substantial gaps in the surviving texts.

Saint Jerome stated that The Histories and Annals together amounted to 30 books. Scholars traditionally assign 16 books to the Annals and 14 books to the Histories. Of the 30 books mentioned by Jerome only about half have survived.

Three other, lesser works by Tacitus survive in their entirety:

  • a dialogue about oratory, in which two lawyers and two literary men discuss the claims of oratory against literature (published 102)
  • a study of Germany and the German tribes (the Germania, published about 98)
  • a biography of his father-in-law, Agricola (the Agricola, published about 98)

Incomplete

The Annals were Tacitus’s final work. The Histories, although published earlier, cover the later part of his period, from 68 to 96 AD. The Annals, though published later, cover the earlier period, from the end of the reign of Augustus, through those of Tiberius, Gaius, Claudius and Nero, covering the years 14 to 68 AD, the year when Nero committed suicide.

But the absolutely key thing about the Annals is that half of them are missing. There are dirty great gaps in the narrative, big holes in the story.

We have the first part, a good continuous narrative from the end of Augustus’s reign (14) through most of Tiberius’s rule (14 to 37) in detail. But the text breaks off after the death of Tiberius and the entire reign of Caligula (37 to 41) and the first six years of Claudius (41 to 47) are missing. The narrative then resumes for the last seven or so years of Claudius (47 to 54) and the entire reign of Nero (54 to 68), at which point the narrative of the Annals connects with that of the Histories.

The best

Tacitus’s is the earliest and best account we have of this crucial period in western history. We do also possess the biographies of the first 12 emperors by Gaius Suetonius Tranquillus (69 to 122), Tacitus’s younger contemporary, which cover the exact same period and were published around 120 AD; and it’s true that Suetonius was an imperial secretary (to Hadrian) and so had access to imperial archives and was able to amass much curious and colourful material in his biographies. But Suetonius followed the conventions of his time in thinking ‘biography’ a much less serious genre than ‘history’ and so didn’t attempt the deeper analysis and wider scope which Tacitus achieves.

The other main source for this period is the Greek historian Lucius Cassius Dio (155 to 235) who wrote a vast history of Rome from its foundation up to his own time in no fewer than 80 volumes. But Michael Grant, the translator of the Penguin edition of the Annals, considers Dio ‘pedestrian’ and lacking ‘the imagination to grasp the affairs of the early empire’.

So although there are these two other sources, nonetheless Tacitus:

is the best literary source for the events of the early principate that we possess.

The purpose of history

Like everyone in the ancient world, Tacitus thought writing had a moral purpose. Grant’s introduction spends some time untangling the complicated relationship in Tacitus’s time between history, rhetoric and philosophy.

For a start all these genres – poetry, history, tragedy and comedy, eulogy and lyric poetry – were pioneered by the ancient Greeks. The Romans only began to copy these genres hundreds of years after the Greeks had brought them to a first perfection. (The first Greek historian, Herodotus, wrote his Histories about 430 BC, whereas the first Roman historian, Cato the Elder, wrote his Origines 250 years later, about 180 BC.)

Grant tells us that history, as a genre, grew out of poetry. First came Homer and Hesiod (700 BC?) and only centuries later, the first of the Greek historians – Thucydides b.460 and Herodotus b.430. For a very long time ‘history’ was regarded as a subsidiary form of literature.

This explains the elements of the dramatic found in Tacitus, for example the extended speeches he gives characters at various points which, scholars think, were almost all entirely invented by Tacitus. He attributed to leading characters in the narrative beautifully structured speeches which expressed the kinds of things they ought to have said at the most dramatic or pivotal moments.

And from the tradition of Greek tragedy comes an urge to make events seem tragic and terrible. You can feel this at moments in the narrative where, after trundling through a list of law cases and official appointments, Tacitus returns to the year’s activities of Tiberius or Nero and, suddenly, the narrative takes on a more colourful, sometimes stricken, tone, as he talks up the appalling reign of terror which Tiberius assembled or the terrible acts of the sadist and murderer Nero. You can almost hear him cranking up the horror. Which is why some scholars question whether things really were as bad under Tiberius and Nero as Tacitus claimed or whether some, at least, of the horror is included for dramatic effect.

Alongside drama went didacticism, the urge to teach and instruct, which grew, according to Grant, in popularity in the Greek world from the 4th century BC onwards. Tacitus takes a deeply moral line. He is concerned not only with recording everything which happened in a specific year, but giving his opinion about it.

Tacitus’s history is a succession of issues by which I mean a record of each year’s military campaigns, appointments of officials, promulgating of laws, prosecuting of officials or criminals, the character of particular officials (governors, generals, the emperors themselves) and so on – all of which Tacitus gives his opinion about. It is a very opinionated history.

Tacitus is in no doubt that the fundamental purpose of his writing is didactic. The aim of history is to teach men to know themselves better and behave better by showing them great examples – of good and terrible behaviour – from the past.

It seems to me a historian’s foremost duty to ensure that merit is recorded and to confront evil deeds and words with the fear of posterity’s denunciations.
(p.150; book 3, 64)

Which brings us to another massive topic, which is rhetoric, the art of persuasion, in writing and speaking. Rhetoric was the central element of the educational syllabus of the well-educated in the ancient world, and was explained in a stream of famous and complex manuals.

Thus a writer like Cicero, in his De legibus, says that history’s first concern may be recording the truth, but very close afterwards comes the need to a) persuade his audience and b) to sound well. This brings us back in a circle to history’s origins as a child of poetry. By Tacitus’s time it had travelled a long way from its parent but hadn’t shaken off the expectation that the historian would, as well as being a good researcher of facts, be an artist of prose.

Hence (to repeat a bit) the importance of the set-piece speeches Tacitus invented for his historical personages. The speeches are not only appropriate for the personage and the situation, they exploit the personage and the situation to put on a good show – in order to demonstrate the author’s skill at making a case, and to tickle the taste buds of the educated Roman audience who enjoyed savouring and judging well-made rhetoric and oratory.

Many of the set-piece passages in Tacitus were almost certainly written to be declaimed i.e. read aloud to an audience trained to its fingertips in the art of rhetoric, who would spot and appreciate the author’s various tricks and skills.

Conceived as accurate depictions of what actually happened, written in order to promote good behaviour and deprecate bad behaviour, Tacitus’s writings also had an interest in bringing out dramatic moments and presenting successive cases and arguments with all the skills of an orator. (For example, the passage in book 1, sections 7 to 10, where Tacitus puts the case for, and then the case against, Augustus’s achievements.) It’s a colourful, rich and often highly artistic combination.

Sententiae

Alongside and accompanying this overtly didactic aim, Tacitus from time to time throws in sententiae or pithy comments on history, society and human nature. these were a well-known part of his style and were quoted and excerpted for a millennium and a half afterwards. However, the modern reader may feel that, beneath their air of profundity, they are often strangely anodyne.

So the avenging of Germanicus ended. Contradictory rumours have raged around it among contemporaries and later generations alike. Important events are obscure. Some believe all manner of hearsay evidence; others twist truth into fiction; and both sorts of errors are magnified by time. (p.128, book 3, section 18)

It would be easy to enjoy and dismiss the sententiae without realising their true significance. Tacitus is trying to understand human nature by stepping back and commenting on aspects of what he sees, which arise naturally from his subject matter (the origins of tyranny) or his researches (how very prone people are to believe all kinds of rumours and lies).

He is investigating the nature of what is remembered, and why, and how fictions so quickly arise to fulfil people’s expectations.

Sejanus, too much loved by Tiberius and hated by everyone else, passed for the author of every crime; and rumours always proliferate around the downfalls of the great. For such reasons even the most monstrous myths found believers…My own motive in mentioning and refuting the rumour has been to illustrate by one conspicuous instance the falsity of hearsay gossip, and to urge those who read this book not to prefer incredible tales – however widely current and readily accepted – to the truth unblemished by marvels.
(p.162, book 4, section 9)

Fairly obvious though they seem to us, these kinds of reflection on human nature and the psychology of society was much rarer in ancient times. Although they were to some extent expected in history as a genre, it is always fascinating to read these occasional insights, not into society as such, but into how ancient authors thought about their society and about social change.

No chapter markers

I read the Annals in the translation by Michael Grant published by Penguin in 1956. It is a clear, forceful translation making for an enjoyable read (if you like Roman and military history) but with one massive flaw. Most Roman texts were divided by the author into numbered sections which modern editors, not entirely accurately, often call ‘chapters’.

The Annals and Histories are divided into these numbered sections, which are themselves gathered into ‘books’. But Grant or his editor took the decision not to include these chapter numbers in the text, which is inconvenient. It would have been useful to know which book and which section various events occur in.

Robert Graves’s translation of Suetonius and Kenneth Wellesley’s translation of Tacitus’s Histories, both for Penguin, do keep the section numbers in –so that every other paragraph or so starts with a number – and this allows you to compare their texts with other translations available online by referring to these numbers. You can go straight to the precise section of the other translations and make comparisons very easily. And, when I quote a sentence or two in my blog, I can cite the precise section it occurs in, for everyone’s convenience.

You simply can’t do that with the Grant translation. The book number and chapter number are given in the header at the top of each page, but this covers all the contents of both pages and so is very imprecise, and leaves you having to guess which chapter number applies to a particular paragraph. Very irritating.

Annalistic

What is an annal, anyway? Merriam-Webster defines an annal as ‘a record of the events of one year’ and annals in the plural as a record of events arranged in a year-by-year sequence. Thus Tacitus proceeds, rather pedantically, a year at a time. This means he doesn’t describe long-running themes which ran over successive years, as a whole. Instead he tells you everything which happened in 14 AD. Then everything which happened in 15 AD. And so on.

Sources

1. Apparently, the initial scaffolding of the work was based on annual notices called the ‘Records of the Priests’. These were primarily religious in nature but since the Roman year was packed with celebrations and festivals a lot of the other business of the state (elections, wars, trials) began to be mentioned and then actively recorded in the Records. By the second century BC historians who used these sources had become known generally as the Annalists. They provide an obvious precedent for Tacitus’s work.

2. Tacitus also mentions searching ‘histories and official journals as part of his researches (p.120), a note from Grant telling us this latter refers to the acta diurna which began to be kept in the year of Julius Caesar’s first consulship (59 BC).

3. He also, like Suetonius, at some points refers to stories he himself heard from those alive at the time, and so gives a version of Piso’s eventual death ‘given by people who were alive when I was young’ (p.126).

4. And he balances the written record with hearsay, the oral tradition which is so often lost and so is valuable that Tacitus recorded:

In describing Drusus’ death I have followed the most numerous and reputable authorities. But I should also record a contemporary rumour, strong enough to remain current today…’ (p.163, book 4 section 10)

(This rumour was that Sejanus not only seduced Drusus’s wife, Livilla, into becoming his lover and helping him poison her husband, Drusus – but also seduced Drusus’ eunuch, Lygdus, to help in the conspiracy.)

Sallust

Grant sees the key figure in the Roman tradition before Tacitus as being Sallust, author of a lost history as well as studies of the Jugurthine War and the Catiline conspiracy, which have survived. Sallust was popular because of the drama and energy of his narratives, spliced with exciting speeches, most notably the long speeches he attributes to Julius Caesar and Cato the Younger in the Catiline conspiracy – combining artistry and rhetoric.

‘Next’

This explains why one of the key words in Grant’s translation is ‘next’. Tiberius did this. ‘Next’ x and y were installed as consuls for the year. ‘Next’ the Senate debated a motion to prosecute this or that governor. ‘Next’ there were rebellions by the following tribes on the following borders of the empire. ‘Next’ Tiberius announced a new policy to enforce z.

The summary of each year opens by naming the consuls for that year:

  • In the next year the consuls were Servius Cornelius Cetegus and Lucius Visellius Varro… (p.165)
  • In the following year the consuls were Cossus Cornelius Lentulus and Marcus Asinius Agrippa… (p.173)

And ends with a brief list of notable figures who died during it:

  • At the end of the year two notable Romans died… (p.134)
  • Two eminent men died this year…’ (p.155)

And so on. On one level it is a record of events which really is just ‘one damn thing after another’. As I got into the text I realised that, although broad chapter titles Grant assigns to big blocks of narrative (see below) are zippy and dramatic, it would make a lot more sense to layout the narrative by year, starting a new ‘chapter’ with each year to really bring out the year-by-year annalistic nature of the text.

By ‘everything’ I mean a fairly narrow, limited range of concerns. Tacitus frequently refers to his own researches in state records. The point being that his narrative appears to be based on the brief records which Roman officials had been keeping for centuries of a) appointments to the key magistracies; b) debates and decisions of the Senate, regarding new laws or the prosecution of leading figures for breaching various laws; c) military campaigns; d) important court cases, often the prosecution of provincial governors for corruption.

Tacitus lays out a list of these kinds of events for each year and then expands on them, giving further background where required, especially about the individuals concerned, their family and character, and explaining what happened in each instance. These kinds of things form what you could call the background hum of the narrative.

No social or economic history

There is very little about a subject which has become central to modern history, which is economics. The ancients had little or no understanding of economics. Like his peers, Tacitus will say ‘in this year there was a shortage of wheat or grain’ and that food prices went up or there was scarcity leading to riots, prompting the emperor to intervene and buy up huge amounts to be distributed cheaply to the population of Rome. But that’s about it.

And there’s nothing at all about the lives or experiences of the common people, except for occasional references to the mob or riots. It is very much a personal history of the very top echelons of society, the senatorial class and the so-called ‘knights’. And it is a moral history of their personal attitudes and behaviour.

The emperors

But laid over the top of the background hum of the year-to-year events is what you could call the juiciest element of the Annals, which is the cumulative portrait of the emperors being (since we lack Caligula altogether) Tiberius, Claudius and Nero.

The most famous biographer of this period, Gaius Suetonius Tranquillus (69 to 122) has left us, among copious other writings, a famous set of biographies of the first 12 emperors (Lives of the Caesars) which covers the exact same period as Tacitus’s Annals and Histories. The two works can be read side by side.

Suetonius’s biographies are relatively brief (40 or so pages in the Penguin translation). After a shortish chronological section detailing the objective historical events of their reigns, Suetonius moves onto personal aspects of his subjects, arranged like a PowerPoint presentation under specific headings (personal attributes, appearance, wives and offspring and so on) under which he groups facts or events to illustrate each of his topics. These often contain juicy gossip and quirky facts (such as Augustus’s distinctive birthmarks or his habit of wearing a big floppy hat when he went out to protect him from the sun) which make them pithy and memorable.

Tacitus, by contrast, presents us with one long continuous narrative. This means there is a great deal more content, especially in two particular areas: domestic policy and military campaigns.

Suetonius lists the aspects of the emperors and then illustrates them by anecdotes, jumping around place and time to provide evidence. Tacitus, by contrast, proceeds, in a slightly plodding way, through the key events of each year, as he’s derived them from studying the official records of the senate, the elections, the law courts etc. And out of this list of events grows his analysis of the emperor. The prosecution of this or that official brings out this side of the emperor. The handling of a military campaign highlights that side of his personality. And so on. Far more historical information.

Books and titles

As I’ve mentioned Grant doesn’t structure his narrative by the books and sections of the original text. Instead he creates his own ‘chapters’, giving them titles (which I’m pretty sure aren’t in the original). The aim is to add drama and give his narrative the feel of a novel. They are:

Part one: Tiberius

  1. From Augustus to Tiberius (book 1, sections 1 to 15)
  2. Mutiny on the Frontiers (book 1, sections 16 to 49)
  3. War with the Germans (book 1 section 49 to book 2 section 26)
  4. The First Treason Trials (book 2 sections 27 to 52)
  5. The Death of Germanicus (book 2 section 53 to book 3 section 19)
  6. Tiberius and the Senate (book 3 sections 19 to 76)
  7. ‘Partner of my labours’ (p.158) [about Sejanus] (books 4 and 5)
  8. The reign of terror (book 6)

Part two: Claudius and Nero:

  1. The fall of Messalina (book 11)
  2. The Mother of Nero (book 12)
  3. The fall of Agrippina (book 13 to book 14 section 13)
  4. Nero and his helpers (book 14 sections 14 to 65)
  5. Eastern settlement (book 14 sections 1 to 32)
  6. The burning of Rome (book 15, sections 32 to 47)
  7. The plot (book 15, sections 48 to 74)
  8. Innocent victims (book 16)

Tiberius

Unlike sociable Augustus, Tiberius comes over as ‘profoundly secretive’ (p.140), ‘cryptic’ (p.143) ambiguous and unpredictable. In his introduction Grant points out that Tacitus attributes to Tiberius all the qualities of a villain of melodrama, the stock tyrant of ancient literature: he is portrayed as unjust, sensual, cruel and, above all, suspicious and cunning.

Livia

His mother, Augustus’s widow, Livia – who was given the ominous title ‘the Augusta’ – is, if anything, worse, a monster of malicious manipulation. It’s often difficult to spot the moment at which the transition takes place, but quite often, when reading about these two, you realise the text has turned into a pantomime and the audience is meant to be booing and hissing the baddies.

Germanicus

Every panto needs a hero and this deep tendency – to cast things into dramatic shape – explains the tremendous shininess with which the young prince, Germanicus, is depicted, Tacitus emphasising his graciousness, openness, honesty, his ability to get on with people and his great military victories in Germany, in order to contrast all of this with Tiberius’s negative versions of the same virtues, with Tiberius’s surliness, suspicion, duplicity, holing up in Rome (and then retirement to Capri).

Germanicus in Germany

In his notes Grant brings out something I had sensed or felt in the narrative but wasn’t sure about, which is that Germanicus’s campaigns in Germany (against the Cherusci, led by Arminius, the Chatti, the Marsi and other rebel tribes), dramatic and extended through they were, were ultimately an expensive waste of time resulting in no permanent conquests or treaties.

The most memorable part of these early books is Tacitus’s descriptions of the very hard-fought battles in the mud and undergrowth of the endless German forest and then, above all else, the terrific description of the huge storm in the North Sea which wrecked Germanicus’s fleet, which destroyed many ships and drowned many soldiers. Tacitus’s account has a Hollywood blockbuster feel to it (pages 87 to 88).

 The North Sea is the roughest in the world and the German climate the worst. The disaster was proportionately terrible – indeed, it was unprecedented. (p.87)

All the more horrifying that Tacitus presents the evidence for and against the widely held suspicion that Germanicus was poisoned by the governor of Syria, Cnaius Calpurnius Piso, where Germanicus had been sent to lead the military campaign in Armenia. (Germanicus dies on page 113, book 2 section 69, warning his wife against Tiberius’s malevolence.)

Tiberius’s decline

The headline story of Tiberius’s reign (14 to 37) is that it was in two parts. While he was finding his feet Tiberius was cautious and stuck to the letter of the law, abiding by all of Augustus’s decisions. But slowly, slowly, in a score of ways – through the way he managed and cowed the Senate, made appointments to the army, in his spiky relations with his biological son (Drusus) and adopted son (Germanicus), in his revival of the treason law (p.73) and encouragement of informers and spies (‘It was a sort of contagion, like an epidemic’, p.203), and especially on his growing reliance on the creepy figure of Lucius Aelius Sejanus, head of the Praetorian Guard – Tiberius became slowly more tyrannical.

Although the treason trials (for ‘crimes’ as trivial as swearing in the vicinity of a statue of Augustus) began as early as 16 (p.90), Tacitus cites 23 AD as the year when Tiberius’s rule began to deteriorate (p.159, book 4, section 3) and he is quite brutal in describing the total compliance which Tiberius created:

The impressiveness of the Republican facade only meant that the slave-state, which was to grow out of them, would be all the more loathsome. (p.77, 1.77)

Tiberius is so important to Tacitus because it was under him that the weakness and corruption of one-man rule became clear. Tiberius set the pattern that later autocrats and tyrants copied.

It was under Tiberius that freedom suffered its most fatal losses. (Grant, Introduction, p.21)

Augustus had spent half his life in the Republic and had the immense skill to retain a tactful facade of republicanism even as he took more and more control of things. And he was canny with people.

He seduced the army with bonuses and his cheap food policy was successful bait for civilians. He attracted everybody’s goodwill by the enjoyable gift of peace. Then he gradually pushed ahead and absorbed the functions of the senate, the officials and even the law. (p.32, book 1 section 1)

Tiberius was high-minded and principled in many ways but lacked Augustus’s social and interpersonal skills. Cold and distant, he alienated people.

What Tiberius said, even when he did not aim at concealment, was – by habit or nature – always hesitant, always cryptic. (p.39, 1.10)

And had never known the republic. All he knew was his own wishes, which slowly became an unreliable guide to rule by and the result was a slow descent into a reign of terror. As he has a character say:

‘In spite of all his experience of public affairs, Tiberius was transformed and deranged by absolute power.’ (book 6, section 48)

As witnessed by the fact that it was widely believed that he conspired in the deaths of his adopted (and too popular) son, Germanicus (widely held to have commissioned Piso to poison him out in the Middle East) and then of his own son, Drusus, who Tacitus frankly claims was poisoned by Tiberius’s creature, Sejanus (p.161, book 4, section 6).

The first couple of books focus, memorably and vividly, on Germanicus’s campaigns in god-forsaken mud and forest of tribal Germany. But the institution Tacitus most analyses is the Senate, recording event after event, debates, and decisions, and consular elections, which step by step mark its descent into grovelling sycophancy towards the increasingly terrifying emperor. It is from Tacitus that we learn that Tiberius frequently left the Senate muttering, ‘Men fit to be slaves!’ (p.150)

Tiberius retires to Capri, 28 AD

Finally Tiberius quit the Italian mainland and, in 28 AD, retired to the island of Capri where he stayed holed up for the last 11 years of his life (he died in 37 AD, aged 77). He no longer attended the senate, as he had done assiduously, or the law courts, as he had done, inspiring fear and intimidation. Now all government business was conducted by letter.

Access to him was harder now. It was only procurable by intrigue and complicity. (p.194)

Tacitus thinks he did it partly to get away from his nagging mother, Livia, partly because he genuinely found the daily task of attending the senate or the law courts and so on gruelling. And partly to indulge the sensual lusts and perversions which became harder to control as he aged.

For his criminal lusts shamed him. Their uncontrolled activity was worthy of an oriental tyrant. Free-born children were his victims. He was fascinated by beauty, youthful innocence, and aristocratic birth. New names for types of perversions were invented. (p.200 cf p.202)

And so on. More details are given in Suetonius’s deliberately scandalous Life of Tiberius.

Death of Livia, 29 AD

She was a compliant wife to Augustus but an overbearing mother to Tiberius. Tacitus thinks part of his motivation in retiring to Capri was to be free of her endless nagging. (That and his wish to indulge his disreputable personal behaviour.) With her death Tiberius’s restraint was thrown to the wind.

Now began a time of sheer crushing tyranny. (p.196)

Tiberius and Sejanus began to persecute Germanicus’s widow, Agrippina (the Elder). He sent a letter to Rome denouncing her and her son, Nero Caesar, Tiberius’s daughter-in-law and grandson.

Here there is a gap in the text covering two years. During those key years, first Agrippina (Germanicus’s widow), Nero Caesar and Drusus Caesar (her young sons) were exiled, and Nero Caesar died. More seismically, Tiberius began to suspect his right-hand man, Sejanus, instrumental in so many plots against his enemies, to be conspiring against Tiberius himself. So Tiberius had him arrested in the senate and executed. At which point Sejanus’s divorced wife revealed to Tiberius that it was Sejanus and his lover Livilla (Drusus’s own wife) who had conspired to poison Drusus (Tiberius’s son). After this was revealed Livilla died, either killing herself or executed.

The fall of Sejanus was brutal but so was the aftermath. Previously consuls and senators and aristocrats had vied with each other to fall in with the emperor’s henchman to curry favour. Now all that arse-licking came to be regarded in a diametrically opposite light and many who had associated with Sejanus were now accused of being part of his plot to overthrow the emperor.

Frenzied with bloodshed, the emperor now ordered the execution of all those arrested for complicity with Sejanus. It was a massacre. Without discrimination of sex or age, eminence or obscurity, there they lay, strewn about – or in heaps. (p.209)

With great brutality Sejanus’s two young children were executed. Tacitus reports that, since capital punishment for a virgin was forbidden, she was first raped by the public executioner, then garotted. Both their bodies were then thrown onto the Gemonian steps (where the bodies of criminals and the disgraced were thrown in ignominy; p.199).

The deaths Germanicus’s widow, Agrippina the Elder (p.212) and then of two of her children: Nero Julius Caesar was accused of treason, declared by the senate an enemy of the state, banished to the island of Pontia where he was either killed or encouraged to kill himself in 31.

His brother, Drusus Caesar, Tiberius’s grandson was accused by Cassius Severus of plotting against Tiberius. He was imprisoned and confined to a dungeon on the Palatine in 30. He starved to death in prison in 33 after, according to Tacitus, being reduced to chewing the stuffing of his mattress.

This left young Gaius as their only surviving brother and at an early age he was sent to be Tiberius’s companion on Capri. Here he learned thorough-going debauchery from the old man and how to recognise and manage his moods. He was to succeed Tiberius on the latter’s death in 37 and is known to history by his nickname, Caligula.

The long description of Tiberius ends with ever-increasing terror, with scores of senators and knights accused of all kinds of crimes and queuing up to commit suicide. Tacitus describes Rome as awash with blood and piled with bodies which must have been an exaggeration. But it felt like that to those who lived through it.

Gaius Vibius Marsius is accused of adultery and decides to starve himself to death. Tacitus gives him a grim speech explaining to his friends that he doesn’t want to hang on the last few weeks until the obviously ill emperor dies, because he prophesies that the reign of Tiberius’s successor will be even worse (p.225).

The deaths of Nero Julius Caesar and his brother, Drusus Caesar left Tiberius Gemellus, the son of Drusus and Livilla, the grandson of the Emperor Tiberius, as hair. In 35 Gemellus, along with his cousin Gaius, were named joint-heirs by Tiberius. Upon Tiberius’s death in March 37, Gaius assumed the throne and had Gemellus killed (or forced to kill himself) in late 37 or early 38.

Degenerate times

Tacitus shares the universal belief among all ancient writers that the world was going to the dogs and that the age they were living in was witness to unprecedented degeneracy. Decline and fall. Sallust complained about the degenerate times he was describing in the 50s BC and Tacitus expresses exactly the same feeling 150 years later.

I am aware that much of what I have described, and shall describe, may seem unimportant and trivial. But my chronicle is quite a different matter from histories of early Rome. Their subjects were great wars, cities stormed, kings routed and captured. Or, if home affairs were their choice, they could turn freely to conflicts of consuls with tribunes, to land- and corn-laws, feuds of conservatives and commons. Mine, on the other hand, is a circumscribed, inglorious field. Peace was scarcely broken – if at all. Rome was plunged in gloom, the ruler uninterested in expanding the empire. (p.173, book 4, section 31)

The futility of tyranny

As part of the general reign of terror and intimidation of every form of free speech and opinion, in 25 the historian Aulus Cremutius Cordus was charged with, in his Histories, praising Brutus and describing Cassius as ‘the last of the Romans’. Cremutius put up a stirring defence in the senate (probably another speech invented by Tacitus), went home and starved himself to death. Which prompts Tacitus to reflect:

The senate ordered his books to be burned by the aediles. But they survived, first hidden and later republished. This makes one deride the stupidity of people who believe that today’s authority can destroy tomorrow’s memories. On the contrary, repressions of genius increase its prestige. All that tyrannical conquerors, and imitators of their brutalities, achieve is their own disrepute and their victims’ renown.
(p.175, book 4, section 35)

Tacfarinas


Credit

Michael Grant’s fluent, energetic translation of Tacitus’s Annals was published by Penguin Books in 1956. References are to the revised 1971 edition, as reprinted in 1988.

Related link

Roman reviews

De republica by Cicero (54 BC)

The best possible political constitution represents a judicious blend of these three types: monarchy, aristocracy and democracy.
(De republica by Cicero, fragment of Book 2)

De republica was written by the Roman lawyer, orator, politician and philosophical populariser Marcus Tullius Cicero between 54 and 51 BC. It is variously translated into English as The Republic, A Treatise on the Commonwealth, On the state or On government.

Cicero was not himself a philosopher or political theorist of note. This work was one among nearly twenty in which he translated the best of Greek philosophy into Latin, pulling various Greek theories together into new texts and introducing or inventing Latin terms to translate Greek ideas. Because of the purity and eloquence of his Latin many of these texts were preserved throughout the Middle Ages as teaching aids, and were revived during the Renaissance. In this way Cicero’s works played a central role in preserving the philosophical, moral and political ideas of the ancient world into the modern era and shaping their revival.

The Republic is cast as a dialogue, the form immortalised by Plato (427 to 327 BC). Unlike a manifesto or treatise a dialogue isn’t a straightforward statement of views. Having a number of people debate various opinions makes it more of a teaching or heuristic form. Students can be asked to study the work, then to describe which viewpoint they support and why.

As with Cicero’s other dialogues, The Republic studiously avoided controversy by being set in the past among long dead characters. It is set in the country villa of Publius Cornelius Scipio Africanus Aemilianus (185 to 129 BC), known as Scipio Aemilianus or Scipio Africanus the Younger. Scipio was a Roman general and statesman who led the third and final war against Carthage, personally overseeing its siege, capture and utter destruction, as vividly described in Richard Miles’s history of Carthage. Scipio also restored order after assassination of Tiberius Gracchus in 133 BC and mediated between the political factions.

The Republic takes place in Scipio’s estate over three consecutive days. Each day is described in two books, with an introduction by Cicero preceding the dialogue of each book, making six books in all.

  • Book 1 – Scipio outlines the three types of government (monarchy, aristocracy, democracy) and asserts the best type is a mix of all three
  • Book 2 – Scipio gives quite a detailed outline of early Roman history in order to show the evolution of the Roman constitution
  • Book 3 – Philus and Laelius engage in a set-piece debate about whether pragmatic injustice (Philus) or ideal justice (Laelius) are intrinsic to politics
  • Book 4 – is a discussion of education
  • Book 5 – considers the qualities of the ideal citizen in government
  • Book 6 – considers the character of the ideal ruler

The Republic survives only in fragments. Large parts of the text are missing. Books one to 3 survive in significant chunks, but the from the fourth and fifth books only minor fragments survive, and all the other books have a distressing number of missing passages.

The only part of the sixth book which survives is the final section, a relatively short passage in which Scipio tells his guests about a dream in which he was whirled up into space and shown the structure of the universe. This has survived because it was the subject of a commentary by the neoplatonist philosopher Macrobius and this part of the text, along with Macrobius’s commentary, became very popular during the Middle Ages and the Renaissance, with their profound interest in astrology and astronomy.

The best preserved parts of the text discuss constitutions and political theory but it is important to realise that this was only part of Cicero’s aim. The discussion of constitutions fills only a third of the book. For Cicero ‘politics’ wasn’t a narrow profession but a branch of philosophy which dealt in a broader way with human nature and ethics as demonstrated in societies. This explains why the treatise deals with different types of constitution early on in order to get on to the more important subjects of what kind of citizen and what kind of ruler are required to create a perfect state. The best kind of state is not a dry technical question, comparable to modern debates about different voting procedures: the best kind of state produces the best kinds of citizens and the best kinds of rulers (optimus civis) and so must be considered in the broadest context.

The characters

The discussions take place between no fewer than nine named individuals who are given speaking parts.

Scipio was maybe the most pre-eminent figure in mid-second century BC Rome, a very successful general who, however, a) did not abuse his power as later generals such as Marius, Sulla, Pompey and Caesar did and b) was a noted patron of artists and writers such as the Greek historian Polybius. You can see why Cicero hero worshiped him.

Other characters

  • Gaius Laelius: close friend and associate of Scipio, consul in 140 BC, promoter of the study of literature and philosophy, practical and down to earth.
  • Lucius Furius Philus: consul 136 BC, orator, a man of great personal rectitude who takes on the defence of injustice, in book 3, for the sake of the debate
  • Manius Manilius: consul in 149 BC, a venerable legal expert.
  • Quintus Mucius Scaevola: Laelius’s son-in-law, a legal scholar and patron of the young Cicero.
  • Spurius Mummius: conservative and anti-democrat.
  • Quintus Aelius Tubero: Scipio’s nephew, tribune c. 129 BC. Legal scholar dedicated to Stoicism.
  • Gaius Fannius: consul in 122 BC, follower of Stoicism, historian and orator. Son-in-law to Laelius.
  • Publius Rutilius Rufus: a politician admired for his honesty, dedicated to Stoicism.

Book One

Missing its preface, the text we have starts in mid sentence and mid argument. Cicero is arguing against the Epicurean belief that the educated man should hold aloof from politics in order to preserve his calm. On the contrary, Cicero argues that the highest form of moral activity and of virtue consists of the practical application of morality in the practice of statecraft.

Then Cicero the narrator hands over to the supposed discussion held at Scipio’s house where his guests ask Scipio’s opinions.

The conversation starts with one of his visitors talking about the rare phenomenon of two suns being seen in the sky. But Scipio repeats the Greek idea (Aristotle) that there is little we can know about the workings of the cosmos whereas we very much can study human beings, how they behave, morality, epistemology and so on, and that’s what we ought to do.

Scipio follows his Greek predecessors in claiming that human beings seem to have an innate compulsion to live together in communities i.e. we are not a solitary species (Book I, section 39). When this happens there are three ways communities of humans organise their power: monarchy, aristocracy and democracy. Each has its merits:

Kings attract us by affection, aristocracies by good sense, and democracies by freedom. (I, 55)

Each has a dark side, when it becomes corrupt. Monarchy becomes despotism, aristocracy becomes oligarchy and democracy becomes mob rule (I, 44).

Personally, Scipio thinks a careful mixture of all three is best (I, 69), but if he had to pick just one it would be monarchy. This is because there is only one king god in heaven, Jupiter (I, 57). Every family has only one father and a king is like the father of his subjects (I, 54). There can be only one ruling element in the human mind, which is sovereign over all the other passions, and this is Reason (I, 60). Only one person can run a household, only one person can be in charge of a ship, only one person can treat us for illness. And when people are deprived of a just king they are like orphans.

But the weakness of rule by a king is that when they go wrong, they go really wrong and become tyrants. Therefore the most stable and also the most ‘just’ form of government is one which permits a balance of power between the different classes and so is ‘equally just to all ranks of society’ (II, 55). He thinks this has best been achieved by the Roman constitution with its balance between the powers of a king (vested for one year only in the role of the consuls), the moderating influence of the aristocracy (embodied by the wisdom and experience of the senate and a voting system heavily skewed towards the rich and ‘best’ in society) and the voice of the people (expressed in the office of tribune of the plebs and the voting power of the people’s assemblies).

Book two

Scipio/Cicero come to the bold conclusion that the best possible political constitution in the world is the one created by their Roman forebears and handed down to himself and his contemporaries, the inheritance of Rome, ‘the greatest State of all’!

This is as laughably self-centred as the great German philosopher Hegel pondering deeply and concluding that the best possible way to organise a society was…the constitution of the Prussian state of his day! Or the booming confidence of late Victorians that the British Empire with its constitutional monarchy was the best imaginable form of government.

He gives a deeply traditional and patriotic account of the founding of Rome by the wise and godlike Romulus and the cumulative constitutional innovations of the traditional and legendary seven kings of Rome, dwelling on each of them at some length and the great virtues of the Roman people:

The Roman people became strong, not by chance, but through their own good sense and their firm system of values… (II, 30)

The underlying point of book two is that the Roman constitution wasn’t created by one wise lawgiver (cf Lycurgus of Sparta or Solon of Athens) but developed and evolved over a long period, with successive rules adding processes, creating the complex voting procedures, organising the population into tribes but also, for voting purposes, into centuries, and setting up assemblies where they could debate. What struck me is how close this is to the justification of English traditionalists for the English constitution, which is nowhere written down but amounts to a tangle of precedents and traditions.

This is sort of interesting but it is history not philosophy or political theory, history with occasional comments. The notes to the Oxford University Press translation point out where Scipio differs from the more comprehensive account given by Titus Livius (Livy) in his history of Rome written 10 or 15 years later, which is indicative of the way the account of sort of interesting but mainly of academic interest.

At the same time as the thinking is fairly simplistic there’s also something hyperbolical and exaggerated about Scipio’s diction:

As soon as this king turned to a mastery less just than before, he instantly became a tyrant, and no creature more vile or horrible than a tyrant, or more hateful to gods and men, can be imagined ; for, though he bears a human form, yet he surpasses the most monstrous of the wild beasts in the cruelty of his nature. (II, 49)

The underlying thought is as simple minded as a fairy story, but the language has the vehemence of a rabble-rousing political speech. Either way, it often has neither the depth or sober objective language you might expect from ‘philosophy’.

In section 54 Scipio makes explicit why he is reviewing early Roman constitutional history in such detail: it is to point to examples of the wise men who created new and useful innovations. Publius Valerius emerges as a notable example, the man who demonstrated his wisdom by: moving house from the top of the Velian Hill where the kings had lived; passing a law forbidding a Roman citizen from being flogged or put to death without appeal; had a colleague elected as co-ruler, to be called consuls, and decided that they would rule on alternate months and be guarded by lictors only for that month.

This brings out something he’d mentioned earlier which is the aim of this discourse is not to debate the theoretical nature of an ideal state, as Plato did in his Republic, but to describe the practical reality of such a state and, especially, the qualities required of the Ideal Stateman to run it.

Towards the end of book 2 Scipio recapitulates:

I defined the three commendable types of States and the three bad types which are their opposites. Next I demonstrated that no single one of these types is the ideal, but that a form of government which is an equal mixture of the three good forms is superior to any of them by itself. As for my using our own State as a pattern, I did so, not to help me to define the ideal constitution (for that could be done without using any pattern at all), but in order to show, by illustrations from the actual history of the greatest State of all, what it was that reason and speech were striving to make clear.

The ideal statesman:

He should be given almost no other duties than this one (for it comprises most of the others) – of improving and examining himself continually, urging others to imitate him, and by the splendour of his mind and conduct offering himself as a mirror to his fellow citizens. (II, 69)

Here you can see how, lacking any knowledge of economics or class or social or technological developments, no financial theory and no knowledge of the vast amounts of data we have been collecting about ‘society’ since the industrial revolution and which underpin all modern politics – in this huge vacuum of knowledge Cicero, like Sallust and Plutarch, conceives of politics as being predominantly about individuals and, this being so, overly obsess about the character of the Ideal Statesman, completely omitting the proficiency in economics, law, and statistics which modern politics call for, and the way the huge structure of the state bureaucracy measures outcomes by data: inflation, unemployment, GDP, health outcomes and so on.

By contrast with the vast complexity of the modern state, Cicero’s image of the Ideal Ruler is closer to fairy tale than modern political theory: ‘…by the splendour of his mind and conduct offering himself as a mirror to his fellow citizens.’

I suppose it represents an enormous shift from a theory based on morality and ethics to one based entirely on utilitarian values: does it work, is it good for the economy, for most people, is it good for my core voters, these are the questions a modern politicians asks.

And the absence of the huge body of theory and statistical information which forms the basis of modern politics explains why political ‘philosophy’ from Plato, through the Dark Ages, Middle Ages, Renaissance and well into the modern era relied on analogies rather than data. They had nothing else to go on. So they compared the ideal state to a well-ordered mind, or to the human body where all the parts have to co-operate, or to the harmonious movements of the celestial bodies through the heaves; or compared Reason’s control over the mind to a father’s control over his sons or a master’s control over his slaves (III, 37) etc etc. Analogy rather than data.

All this is sweet and lovely but like a child’s colouring book compared to the complex technocracy of the modern state. Immersing yourself in a text like this continually reminds the reader of children’s books and fairy tales.

Book three

Fragments in which Cicero explains that despite our failings, humans have inside us the divine fire of Reason. He briefly sketches the invention of language (interesting) and maths before moving onto teachers or truth and moral excellence blah blah which, when put into practice, leads to the art of governing.

Comparison of philosophers, who teach moral excellence and best conduct through words alone, and statesmen, who promote moral excellence and best conduct through actions and laws. Clearly the latter are more effective and important (III, 7).

The 12 or so pages of fragments we have of book 3 indicate that it was conceived as a debate between Laelius and Philus about whether injustice is a necessary part of political rule, whether it is inevitable and unavoidable. What gives ancient books like this their flavour is the inclusion of myths and legends and fanciful imagery which, to repeat myself, are more like fairy tales than political analysis. Thus Philus kicks off his presentation of the case that injustice is an inevitable and necessary part of politics by asking his audience to imagine they are flying in a chariot of winged snakes:

If one could visit many diverse nations and cities and examine them, travelling about in Pacuvius’ famous ‘chariot of winged snakes’ one would see first of all in Egypt, a land which has escaped change more successfully than any other, and which preserves in written records the events of countless centuries, a bull, which the Egyptians call Apis, is deemed a god, and many other monsters and animals of every sort are held sacred as divine. (III, 14)

When he gets going, Philus makes a persuasive argument that there is no such thing as natural justice, nature does not implant justice in the human mind, there are no universal laws. On the contrary, the point of his metaphor of flying over the countries of the Mediterranean is to survey just how varied and irreconcilable all their laws, and customs and religions are with each other. QED: there is no one universal law or notion of justice.

No fewer than 80 leaves of book 3 are missing. From references and summaries in other, later authors we know some of the contents. Apparently Philus makes the anti-Roman point that empire is nothing but stealing other people’s lands and goods. Romans hold aggressive generals to be epitomes of valour and excellence (‘He advanced the bounds of empire’ is their highest compliment) when they are, of course, the same as all other aggressive conquerors of all other nations. The fact that the Romans have priests formally declare war just shows their hypocrisy in dressing up greed and criminality in fancy words.

When we come back to the actual text Philus makes the simple (and, to the modern mind, sympathetic) argument that the kind of mixed constitution supported by Scipio doesn’t derive from Virtue and Wisdom but from the simple fact that each rank (or class) fears the power of the others and so seeks to check it (a proto-Hobbesian view, maybe). The mother or justice is not nature or virtue but weakness and fear.

The good life is based, not on virtue, justice and selflessness, but on looking out for yourself and your family, on practical assessments of what will bring you most benefit. And as with families so with states: dress it up how you like, statecraft and international affairs are based on brute assessments of power and self interest. And they should be (III, 28).

This is thrilling stuff and the editor of the OUP edition (Niall Rudd) notes that, once Philus has finished his case, Laelius, who follows and argues the contrary case, can’t really rebut his analysis and so ignores his points to argue something slightly different, which is the importance of the notion of justice for the administration of a state.

It is symptomatic of the conservatism and narrow-mindedness of Roman thought that this negative, cynical and so unpopular point of view is attributed to a foreigner, a Greek, the philosopher Carneades and that when Laelius speaks, he roundly attacks it for its immorality and calls Carneades ‘a filthy scoundrel’ (III, 32).

Laelius proceeds to give a positive but very naive definition of law as a Platonic fact of nature, eternal and unchanging, which all men must obey, which sounds magnificent and is obvious tripe:

True law is right reason in agreement with nature. It is of universal application, unchanging and everlasting. It summons to duty by its commands, and averts from wrongdoing by its prohibitions… It is a sin to try to alter this law, nor is it allowable to attempt to repeal any part of it, and it is impossible to abolish it… We cannot be freed from its obligations by senate or people, and we need not look outside ourselves for an expounder or interpreter of it. And there will not be different laws at Rome and at Athens, or different laws now and in the future, but one eternal and unchangeable law will be valid for all nations and all times, and there will be one master and ruler, that is, God who is the author, proposer and interpreter of that law. (III, 33)

Laelius appears to go on to describe how this eternal law was embodied and followed by specific Romans from history, but we have only fragments.

Then Scipio comes back in as the main speaker, recapitulating his idea of the three types of government, asking which one is the ‘true’ meaning of a republic. The text breaks off abruptly just as the speakers were going to address the merits of the uncorrupted versions of the three types.

Book four

The subject of book four is clearly intended to be Education and address the question: what kind of education is best for citizens of the ideal state? As with the other books, Cicero does not proceed from philosophical first principles, as per Plato, but ranges far and wide through Roman and Greek history, comparing practices and laws. But the book is in, to quote Rudd’s words, ‘a pitiful state’, barely four pages of fragments. The longest fragment is where a speaker is made to explain at length why poets and playwrights should not be allowed to pillory statesmen and generals (IV, 11 to 12).

This, in my opinion, is the problem with all theories which start out by defining Virtue and Morality and The Good and so on – they always lead to strict definitions, which themselves inevitably lead to very strict rules about encouraging said Virtue and Suppressing Vice or anything which demeans or criticises Virtue or encourages Vice.

And so, by a few easy steps, these arguments all-too-often arrive, with the ‘noblest’ of intentions, at state censorship: the censorship of Cromwell’s England, revolutionary France, Stalin’s Russia, Hitler’s Germany, Taliban Afghanistan and any number of authoritarian regimes in between. Anyone who sets out to define or justify Absolute Values ends up defending absolutist states. (Discuss)

Book five

This was evidently meant to address the character of the Ideal Statesman but is even more fragmentary than book four, with only sections 3, 5, 6 and 7 surviving (each book originally had up to 100 sections) and a handful of scraps barely making up 3 pages of a modern book.

What we have is a lament that in the olden days Rome was ruled by Great Men, Excellent Men, Men of Virtue who knew how to rule wisely, but the present age is ruled by the selfish and greedy who have let the excellent institutions they inherited decay and collapse.

What we have is a lament that in the olden days Rome was ruled by Great Men, Excellent Men, Men of Virtue who knew how to rule wisely, but the present age is ruled by the selfish and greedy who have let the excellent institutions they inherited decay and collapse. Where are the great men of yesteryear? This developed into a stereotyped genre or topic during the Middle Ages which was given its own name, the ubi sunt (‘where are they?’) topos.

Long before living memory our ancestral way of life produced outstanding men, and those excellent men preserved the old way of life and the institutions of our forefathers. (V, 1)

But:

What remains of those ancient customs on which he said the state of Rome stood firm? We see them so ruined by neglect that not only do they go unobserved, they are no longer known. (V, 2)

Oh woe. But then every generation feels it is living in a uniquely degraded era when the great institutions it inherited from the past are collapsing and where are the Great Leaders of yesteryear and the end times are upon us. But they never are. We muddle through and 20 years later people look back to that time as a golden age.

I spent most of the 1990s ashamed of living under the government of the bumbling poltroon John Major – and yet now I regularly read articles which look back to the 90s as a golden age. Plus ca change…

Book six

In even worse state than book 5, with barely a page and a half of disconnected fragments. What does survive intact is the passage which was intended to conclude the entire book. In current editions this is numbered sections 9 to 29. It is the concluding passage in which the main speaker, Scipio, tells his companions about a dream he had. In this dream he is whirled up into heaven and sees a) the structure of the solar system and the universe and b) the smallness of the earth and the littleness of human existence. This passage has survived because the 4th century AD Roman grammarian and philosopher Macrobius wrote an extensive commentary about it. This commentary became very popular during the Middle Ages, helping to define the medieval view of the cosmos and surviving in multiple copies. So, in this roundabout manner, these 20 sections of Cicero’s book survive.

In the Dream Scipio describes how his adoptive grandfather comes to him and predicts the future, namely that he will be elected consul, destroy Carthage and be given a triumph in Rome, before being sent to end the war in Spain and serving as consul a second time.

But this is just the beginning. He is introduced to the spirit of his father, Paulus, who explains how souls are derived from the stars (they are now standing in the middle of the sky among the stars) before being consigned to a body down there on earth. How can you escape from the body and join the other spirits? Here is the point of the vision and the climax of the book’s entire consideration of political theory: you get to heaven by doing your patriotic duty.

Respect justice and do your duty. That is important in the case of parents and relatives, and paramount in the case of one’s country. That is the way of life which leads to heaven and to the company, here, of those who have already completed their lives. (VI, 16)

Cicero shows his difference from the Greek philosophers he copied in his very Roman emphasis on the practical. After all the fine talk about constitutions and justice and the character of the statesman, what matters is doing your patriotic duty.

There is a kind of path for noble patriots leading to the gate of heaven… (VI, 26)

The true part of a man is his mind, not his body. The mind is immortal, godlike. The best way to employ this godlike mind is in activity for the safety of one’s country. Minds which have devoted themselves to this cause will fly more quickly to heaven (VI, 29). If Cicero was standing to attention saluting the flag with tears running down his face while the national anthem played, the intended conclusion of his book could hardly be more sentimentally patriotic.

Which makes sense because this is precisely how the entire book opens. The very first sentence reads: ‘Had it not been for his sense of patriotic duty […] would not have delivered our country…’ (I, 1) and goes on to assert:

I simply state this as a basic fact: nature has given to mankind such a compulsion to do good, and such a desire to defend the well-being of the community, that this force prevails over all the temptations of pleasure and ease. (I, 1)

So it might rope in a number of other subjects along the way, but De republica is fundamentally a work of Roman patriotism.

Thoughts

I found The Republic hard to read for two reasons. It really is very fragmented – the text is continually breaking off mid-sentence with parentheses telling you that 2 or 4 or 80 (!) pages are missing, so that you resume reading a lot further along in the original text, when the characters are discussing a completely different subject. It’s like listening to an old-style LP of a classical symphony that is so scratched that you barely get 20 seconds of melody before it skips 20 seconds or several minutes. Very disconnected. Snippets.

But there’s a deeper problem with the book which is its lack of sophistication, which makes it, ultimately, boring. The best preserved passage in Book One tells us there are three forms of government and each has a debased version, which makes for a neat, schematic table but is, ultimately, useless for our current needs, in Britain, in 2022.

When Scipio argues that monarchy is the best of the three types because there’s only one king of the gods, only one person can be in charge of a household, and only one element, Reason, which controls the mind…well, these are quaint ways of thinking – using child-like analogies rather than data, as I explained above – which have a sort of historical interest, but they’re not ideas anyone alive today would waste their time espousing.

And most of the contents are like that. Of antiquarian interest but nothing much to make you sit up and think. The actual history of the late republic, when Cicero was writing, is much more thought-provoking than this essay.

I appreciate that Cicero was writing a kind of abstract, a pedagogical text designed to raise the standard of political discourse in his own time – but in actual fact, nothing he wrote affected the fate of the Roman Republic in the slightest, and it is highly symbolic that the head that conceived these highfalutin ideas and the hands that wrote them were chopped off by Mark Antony’s bounty hunters. That was the utterly unscrupulous, deeply, immoral and justice-free reality of Roman politics.

A list of analogies

Once I’d realised that Cicero’s thought is guided more by analogies than data or statistics (of which he has almost no concept, apart from election results and the size of armies), it amused me to collect analogies from the last few books, although too late to compile a definitive list.

The mind rules over the body like a king over his subjects or a father over his children. The mind rules over its desires like a master over his slaves. (III, 37)

The sun is the mind and regulator of the universe. (VI, 17)

As the god who moves the universe is immortal, so the soul which moves the body is immortal (VI, 26)

Niall Rudd’s translation

A word of praise for this Oxford University Press edition. I described, probably at too much length, how strongly I disliked the prose styles and odd attitudes of A.J. Woodman, who translated Sallust, and Carolyn Hammond, who translated Caesar’s Gallic War, both for OUP, so that I abandoned reading both their translations. This edition restored my faith in OUP editions of the classics.

The introduction, mostly written by Jonathan Powell, is a model of lucidity, useful and to the point, as are the extensive notes, scholarly and interesting. There is a useful list of names and also an appendix giving a handy summary of the sometimes confusing Roman constitution.

The translation is by Professor Niall Rudd (1927 to 2015) and was first published in 1998. It is clear and unaffected – you feel you are engaging directly with the text. I cannot judge its fidelity to the source Latin, but it makes for a lucid, engaging read, as I hope you can tell from the many quotations I take from it. All round, it is a gold standard edition.


Credit

The Republic and The Laws by Cicero, translated by Niall Rudd with introduction and notes by Jonathan Powell and Niall Rudd, was published by Oxford University Press in 1998. All references are to the 2008 paperback edition.

Related links

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Scott-King’s Modern Europe by Evelyn Waugh (1947)

Nowadays it is not what you do that counts, but who informs against you.

Scott-King’s Modern Europe is a short, high spirited, at times farcically crude satire on the state of Britain and Europe just after the Second World War. I found it humorous and enjoyable all the way through and, as so often with Waugh, also packed with fascinating social and political history.

Waugh’s worldview

Born in 1903, Waugh had been to a good public school and Oxford, experiences which had trained him to be a snobbish, superior, social climber. In all the pre-war novels this attitude doesn’t come over as offensive because the aim of the novels is to mock, satirise, caricature and lampoon the pranks, foibles, eccentricities, cruelty and amorality of just these same upper classes.

However, the Second World War forced Waugh, like so many other people in the arts and the broader population, to really think about what they were fighting for. For a large part of the British population this crystallised into a determination that the country would never go back to the mass unemployment and poverty seen in the 1930s. The mood was captured in the famous Beveridge Report of 1942, which proposed widespread reforms to social welfare system in order to address the big five issues of ‘Want, Disease, Ignorance, Squalor and Idleness.’

So, well before the war ended the Labour Party made it known it proposed a programme of mass housebuilding, nationalising the medical profession to create a national health service, reforming and extending the state school system, and introducing comprehensive unemployment insurance and state pensions.

Sensible though these ideas might seem to you and me (and they were widely adopted in most other European countries at the time) someone like Waugh could only see the negative sides of these sweeping changes: beautiful countryside disappearing under horrible council estates; dictatorial state intervention into medicine and other professions; the promotion of ghastly grammar school types into the civil service and other professions; the triumph of the crude and common lower middle classes; all to be paid for by ruinously high taxes and, in particular, the introduction of death duties, designed by socialists to ensure the ‘redistribution of wealth’, meaning that old and venerable families, owners of the big estates and country houses so beloved of Waugh, would find themselves financially ruined and having to sell off their property in order to pay the new death tax.

So by mid-way through the war which he and his peers had so enthusiastically joined up to fight in (as described in Put Out More Flags and the Sword of Honour trilogy) Waugh and his peers could see which way the wind was blowing: in the direction of crushing the upper classes, the fox-hunting landed gentry and the high society party society he loved, and replacing it with a more meritocratic, grammar school-run, council housing and welfare state society, paid for by the ruination of everything he loved.

Brideshead Revisited

Thus, as he turned 40, Waugh hardened his heart against every aspect of the modern world and this finds its fullest expression in his longest novel, Brideshead Revisited, which amounts to a prolonged, often self-indulgent, over-written lament for the old ways. It is, in a way, a reprise of his first novel, Decline and Fall, but whereas that was written with all the carefree high spirits of youth, Brideshead is written in a grim mood of middle-aged melancholy. Brideshead is Decline and Fall without the lolz.

This trajectory of fall and collapse is clearly enacted in the main storylines:

  • the decline of Sebastian Flyte from high-spirited undergraduate in Oxford to wrecked alcoholic in North Africa
  • the long drawn-out decline of the Marchmain family through generations of infidelity (first Lord Marchmain’s and then Julia’s), symbolised by:
  • the death of old Marchmain and the inheritance of the estate by the eldest son who has married a ghastly middle-class (and barren, post-menopausal) woman
  • the way their pad in London, Marchmain House, one of the last grand old family houses in London (so the gloomy narrator tells us) is sold off to developers who tear it down to build yet another anonymous block of flats
  • and then The War and the way that their entire world of fine feelings, fine meals, fine wine and fine theological scruples is swept away in the vast deluge of the war in which the venerable old house is requisitioned by the army and treated appallingly, trees cut down, terrace badly damaged, interiors of all the rooms boarded over or desecrated, and all swarmed over by chavvy squaddies half-heartedly supervised by scruffy NCOs like the demon figure, Hooper, Hooper, the long-haired, unshaven, lackadaisical junior officer whose lack of backbone, discipline or morality comes to epitomise for the narrator the shabby new world which is taking over
  • and the other negative figure, the brash, confident Canadian careerist Rex Mottram, whose  admittedly impressive efficiency in dealing with the authorities, his loudmouth friends and political ambitions seemed to be going nowhere in peacetime but suddenly come into their own with the arrival of war

So in its outline and mood Brideshead is a surprisingly grim and downbeat novel – venerable old families decline and disintegrate to be replaced by the swarming mob of the new social welfare state. Nonetheless, there are many moments of humour and some passages recapturing Waugh’s old-style, high-spirited comedy.

A grumpy old man complaining about the modern world

But despite its gloom Brideshead can also be seen as beginning to include a new source of comedy, which is the pose of a grumpy-old-man complaining about all aspects of the modern world. As with grumpy old men in general, it’s not clear whether Waugh is genuinely vexed by elements of the modern world or playing up to the role of grumpy old man who can’t be doing with all these new-fangled gadgets and rules. There is an element of exaggeration for comic effect.

This new thread in his comedy is most obvious in the passage set in New York whither the narrator, Charles Ryder, has returned from a long trek through South America before boarding a transatlantic liner back to Blighty. He loathes American hotels and American service. He hates the way Americans, unbidden and uninvited, embark on long soliloquies about their lives on train journeys (‘Their matter passed clean through the mind, and out, leaving no mark, like the facts about themselves which fellow travellers distribute so freely in American railway trains’).

He loathes the way his New York hotel room is overheated but, if he opens the window to get relief, is assailed by the unceasing noise of New York’s streets. This growing dislike of America and Americans reflects the resentment of (some of) Waugh’s generation at the way American manners and idioms were infecting British culture at all levels, most obviously through the medium of the movies, the cinema, which he and his characters enjoyed in the 1930s but which came to symbolise the unstoppable rise of common, vulgar culture (he laments the modern townscape with its ‘close, homogeneous territory of housing estates and cinemas‘; the over-the-top party his wife arranges for him is, in a phrase obviously intended to convey contempt for shallow, meretricious glamour, ‘a cinema actor’s dream.’)

On this transatlantic liner all kinds of things vex the narrator, not least the impractical tackiness of the big ice swan containing caviar which his wife organises as the centrepiece of an overcrowded party. But his irritation with the modern world is maybe epitomised by the utterly trivial but symptomatic way that the ship claims to offer every convenience of the modern world and yet he can’t get a simple whiskey and soda without ice because all the soda water on the ship is iced, that’s the American way, sorry sir.

Scott-King’s Modern Europe

At just 50 pages in the Penguin paperback edition of the Complete Short Stories of Evelyn Waugh and 17,285 words long, Scott-King’s Modern Europe is longer than a short story but far short of being a novel. If anything it reads like a prose version for a screenplay for a particularly madcap Ealing Comedy.

The novella takes the thousand and one aspects of the horrible modern world which the grumpy old man described above detests, and plays them entirely for laughs, high spirited satirical laughs although (as always with Waugh) with an increasing sense of bite.

As to the plot, Scott-King is a dusty old failure of a dull-as-ditchwater classics teacher at some public school, Grantchester who the boys nickname ‘Scotty’ and the other teachers ignore. He has devoted his spare time to the fabulously pointless task of translating an epic poem by the unknown 17th century poet Bellorius into Spenserian stanzas (i.e. the stanza form used in the genuinely wonderful English epic poem The Faerie Queene by the Elizabethan poet Edmund Spenser). The key thing about this fictional poet Bellorius is he is made to come from the utterly fictional nation of ‘Neutralia‘.

Once Scott-King has completed his opus he sends it off to a few literary magazines who politely rebuff him and there the matter lies until he receives an unexpected invitation. A smart envelope contains an invitation with an embossed coat of arms from ‘His Excellency Dr Bogdan Antonic, international secretary of the Committee, Simona University, Neutralia.’ Turns out it’s the tercentenary of the death of the great Bellorius and, to his surprise, Scotty-King discovers that he has been invited to attend an academic conference about Bellorius’s Great National Poet. Fortunately the little week-long break falls during the school vacation and so Scott-King accepts the invitation, secures permission from the headmaster, packs his bags and reports to the airport for to collect the ticket which has been bought for him.

Neutralia

You won’t be surprised to learn that just about everything which can possibly go wrong, does go wrong. For a start, where is ‘Neutralia’? Waugh cleverly blends aspects of central, eastern and south-eastern (Balkan) nations, but when he says that the current military ruler of the country, The Marshall, shrewdly kept Neutralia out of the Second World War (hence its name) the reader suspects there’s a strong element of Franco’s Spain. Its capital:

Simona, stands within sight of the Mediterranean on the foothills of the great massif which fills half the map of Neutralia.

The text describes Neutralia’s history in a kind of St Trinian’s, Ealing Comedy caricature:

For three hundred years since Bellorius’s death his country has suffered every conceivable ill the body politic is heir to. Dynastic wars, foreign invasion, disputed successions, revolting colonies, endemic syphilis, impoverished soil, masonic intrigues, revolutions, restorations, cabals, juntas, pronunciamentos, liberations, constitutions, coups d’etat, dictatorships, assassinations, agrarian reforms, popular elections, foreign intervention, repudiation of loans, inflations of currency, trades unions, massacres, arson, atheism, secret societies—make the list full, slip in as many personal foibles as you will, you will find all these in the last three centuries of Neutralian history. Out of it emerged the present republic of Neutralia, a typical modern state, governed by a single party, acclaiming a dominant Marshal, supporting a vast ill-paid bureaucracy whose work is tempered and humanized by corruption.

At the airport Scotty hates being treated as a ‘VIP’. He hates being strapped into his plane seat like a chicken  in an oven, he hates the safety demonstration the smooth and insincere air stewardesses give.

She was a neat, impersonal young woman, part midwife, part governess, part shop-walker, in manner.

Dripping with grumpy old man condescension. Anyway, Scott-King befriends another British academic flying out, Whitemaid, but soon discovers he knows next to nothing about Bellorius and is along for the freebie. There’s a pushy woman journalist, Miss Bombaum, another type who rubs the grumpy old man up the wrong way:

She did not look a lady; she did not even look quite respectable, but he could not reconcile her typewriter with the callings of actress or courtesan; nor for that matter the sharp little sexless face under the too feminine hat and the lavish style of hair-dressing. He came near the truth in suspecting her of being, what he had often heard of but never seen in the life, a female novelist.

When you read a paragraph like that you realise that Waugh has concocted the character of a fuddy-duddy old Classics master in order to give his narrative maximum scope for grumpiness and complaint. And you realise the enormous scope the pose of grumpiness gives you. If you stop trying to keep up with all the changes in the modern world and resign yourself to settling into a kind of permanent sulk against everything – well, it’s surprisingly easy, it’s very reassuring, and by turning the attitude up a little you can soon have friends and family laughing at your grouchy soliloquies.

Viewed from another angle, you can see how Scott-King is a middle-aged version of the naive young Paul Pennyfeather in Decline and Fall, only stumbling into a world with far more shadows and darkness. So that thought gives rise to the question: was the external world, the world situation, significantly gloomier in 1946 than it was when Decline and Fall was conceived, in around 1927? I.e. is Waugh’s grumpy aversion to the world of 1946 genuinely justified ? Or purely a result of growing old and resenting change? Discuss.

It’s a darker vision than the earlier books because, beneath under the various running jokes and the comic mishaps of the various characters, is a half serious description of life under a modern dictatorship. The Marshall speaks, and so all the newspapers and media of Neutralia echo his speeches, about ‘Revolution and Youth and Technical Progress and the National Genius’, and all the Neutralians have to parrot the Party line about the wisdom of the Marshall and his regime.

But the shabby reality that Scott-King encounters is poverty and starvation, fear and political manipulation. The host of the motley group of academics and hangers on from all over Europe who assemble for the so-called conference are hosted by Arturo Fe, doctor of Bellacita University. On the bus journey from the airport into the capital Dr Fe casually tells them that Neutralia has lovely food, it’s a shame only the very rich can afford it. Dr Fe explains that everyone who is anyone has to have at least five jobs to keep their heads above water. Thus Dr Fe is not only a scholar,

he is also a lawyer, a judge of the Lower Court. He edits the Historical Review. He has a high position in the Ministry of Rest and Culture, also at the Foreign Office and the Bureau of Enlightenment and Tourism. He speaks often on the radio about the international situation. He owns one-third share in the Sporting Club.

Among the other guests at the reception and gala dinner is the very funny comic figure of an ice blonde from Sweden named Svenginen.

He had taken notice of her in London where she had towered some six inches above the heads of the crowd.
‘I come,’ she said.
Dr Fe bowed. ‘Fe,’ he said.
‘Sveningen,’ she answered.
‘You are one of us? Of the Bellorius Association?’ asked Dr Fe.
‘I speak not English well. I come.’
Dr Fe tried her in Neutralian, French, Italian and German. She replied in her own remote Nordic tongue. Dr Fe raised hands and eyes in a pantomime of despair.
‘You speak much English. I speak little English. So we speak English, yes? I come.’
‘You come?’ said Dr Fe.
‘I come.’
‘We are honoured,’ said Dr Fe.

There is plenty more comedy. The Brits are introduced to a range of comic foreign types, for example, Engineer Garcia (yes, definitely Spain) who once worked for seven years with the firm Green, Gorridge and Wright Limited at Salford and is convinced all the guests must have heard of it and know Salford well, an assumption in which he is sadly disappointed.

But at the same time the sky slowly darkens and things start to unravel. At the night of the gala dinner both Scott-King and Whitemaid get plastered as a result of having travelled all day and had nothing to eat. A few days later they are taken to Bellorius’s home town and forced to be present at the unveiling of a statue of Bellorius which turns out to be the worst thing Scottie has ever seen.

More sinisterly, they are driven some distance out of town to a vast memorial to the war dead and told to lay a wreath in honour of the national poet while being photographed by a rank of photographers – only realising too late that the photos are used by the Neutralian press to show ‘foreign dignitaries’ laying wreaths at the tomb of the dead in the most recent Neutralian civil war.

Slowly they realise the entire conference is a sham and an elaborate public relations exercise in which they are being used by the regime to bolster its international credentials. Scottie enters the hotel drawing room to find the other guests (from numerous European countries) in a dark mood:

The cause of offence emerged through many words and the haze of tobacco smoke. In brief it was this: the Bellorius Association had been made dupes of the politicians.

When he meets Dr Bogdan Antonic, the International Secretary of the Bellorius Association, who invited him, he discovers him to be a very anxious man, a Croat not a Neutralian at all, worried that the authorities are closing in on him, convinced there are spies everywhere. As another Neutralian attending the gala dinner tells him:

‘There is jealousy and intrigue everywhere.’

Two of the delegates to the ‘conference’, a Swiss Professor and a Chinese, go for a little drive in a rented car and are kidnapped by partisans, left over from Neutralia’s civil war. Chances are the two foreigners will be murdered.

In a similar dark vein, as Scott-King’s stay progresses Dr Fe comes under increasing pressure to deliver positive results. He tells Scott-King that there is a plot against his (Dr Fe’s) life and, towards the end of the story, is rumoured to have displeased the Marshal and so ‘disappears’.

Catastrophe

Unfortunately, with the disappearance of Dr Fe go all arrangements for Scott-King’s hotel stay and, more importantly, his return flight. He goes from one government office to another with no joy, in a sample of the bureaucratic obstructionism of new, model post war dictatorships.

Worse is to come because when Scott-King visits the British Consul (the contemptuously named Horace Smudge) he discovers that, since he didn’t register his visit with the British government and does not have all the requisite visas, he is not officially in Neutralia and so the Consul can do nothing to help. Well, how long will it take to apply for a visa, Scottie asks. Ooh could be a long time, old boy; 3, 4 weeks.

But Scott-King only has £75, nowhere near enough to live in the hotel where he’s staying. The consul tells him they’ve already had one sticky case, man named Whitemaid who tries to evade the money-changing laws. Tut tut. Very sad.

Scott-King staggers out of the Consul’s office a broken man. Well, maybe he’ll just stay at the conference hotel till his money runs out and then…?

Scott-King has another, longer meeting with depressed Dr Antonic, supposed host of the Bellorius conference, who takes him to see his even more pessimistic wife in their shabby flat in a tower block whose lift has, in the classic style, broken down. There Scotty sees Neutralian life in all its despair and paranoia:

Do you think,’ he asked, ‘that in Neutralia Western Culture might be born again? That this country has been preserved by Destiny from the horrors of war so that it can become a beacon of hope for the world?’
‘No,’ said Scott-King.
‘Do you not?’ asked Dr Antonic anxiously. ‘Do you not? Neither do I.’

This is coming across as bleak, and it is, but various moments are also very funny. Black humour. But also because it is a return to the clipped and often heartless dialogue of his best comic novels such as Vile Bodies, the comedy of hopelessness.

Anyway, luckily for Scott-King that evening in the hotel restaurant he bumps into Miss Bombaum, the go-getting modern lady journalist, tells her his problem, and she reveals the existence of ‘the Underground’. This is on the model of the underground networks which smuggled Allied airmen out of occupied Europe (or, further back, of the Underground Railway which smuggled slaves out of the American South into the free North)

Bombaum she takes him to meet a man who takes him to meet another man, who turns out to be a ‘major’ in the police, leading the breaking of one of his own laws in an acme of the kind of corruption which flourishes in this kind of repressive state. The policeman agrees to smuggle him out of the country in exchange for all his money, he does it all the time.

In a comically brutal aside, the major also tells Scottie that he has a deal with the government to help ‘disappear’ inconvenient persons.

‘I also have a valued connexion with the Neutralian government. Troublesome fellows whom they want to disappear pass through my hands in large numbers.’

So that’s how later that night Scott-King finds himself travelling in a packed charabanc with six other escapees all dressed up as Ursuline nuns (!). They are taken to a warehouse down by the docks in the port of Santa Maria where he waits for over a week in very hot, very unhygienic conditions. He gives a comically exaggerated but still very pungent sense of post-war Europe, which for several years after the end of the war continued in a state of chaos, with huge numbers of displaced persons (DPs) travelling in all directions:

There were a detachment of Slovene royalists, a few Algerian nationals, the remnants of a Syrian anarchist association, ten patient Turkish prostitutes, four French Pétainist millionaires, a few Bulgarian terrorists, a half-dozen former Gestapo men, an Italian air-marshal and his suite, a Hungarian ballet, some Portuguese Trotskyites. The English-speaking group consisted chiefly of armed deserters from the American and British Armies of Liberation. They had huge sums of money distributed about the linings of their clothes, the reward of many months’ traffic round the docks of the central sea.

One day there’s a panic when it becomes clear that a new police chief has been appointed who isn’t as corrupt as the old one (yet) and is on his way to raid the warehouse. With the result that all the waiting evacuees are rounded up and loaded onto the one boat moored for them in the harbour, far more than it was ever designed for.

Scott-King is locked below decks with this gang of desperados with no food or drink for three very long days as the ship sails the hot Mediterranean. At last the ship docks, the hatches are opened and Scott-King and the others stagger into the dazzling Mediterranean sun. But where is he?

There are soldiers; there is barbed wire; there is a waiting lorry; there is a drive through a sandy landscape, more soldiers, more wire. All the time Scott-King is in a daze. He is first fully conscious in a tent, sitting stark naked while a man in khaki drill taps his knee with a ruler.
‘I say, Doc, I know this man.’ He looks up into a vaguely familiar face. ‘You are Mr Scott-King, aren’t you? What on earth are you doing with this bunch, sir?’
‘Lockwood! Good gracious, you used to be in my Greek set! Where am I?’
‘No. 64 Jewish Illicit Immigrants’ Camp, Palestine.’

Home sweet home

And then, as in so many Waugh the text cuts drastically and completely and we are back in the common room at Grantchester and so, after no doubt difficult diplomatic complications, is Scott-King.

There’s a joke that all the other teachers are swapping yarns about the adventures they had on their summer holidays which all, of course, pale into insignificance to the trauma of what Scott-King has been through but is too shy, or traumatised, to mention. And so everyone carries on thinking what a dull dog ‘Scottie’ is.

Later the headmaster asks him into his study and informs him there’ll be fewer students for the classics class than ever before. Parents are going off the subject. ‘They want to qualify their boys for jobs in the modern world. You can hardly blame them, can you?’

But Scott-King does blame them. He is determined to teach classics for as long as he possibly can. For him they represent humane values, civilisation and culture. And as to preparing boys for the modern world, well after what he’s seen of the modern world this summer, he declares:

‘It would be very wicked indeed to do anything to fit a boy for the modern world.’

Grumpy old man

Scott-King is made to be exactly the same age as Waugh when he wrote this lampoon, 43. He serves several ends. As a fusty classics teachers he is a kind of grumpy old man par excellence, for whom every aspect of the modern world is displeasing. His retired situation also allows him to be naive and simple, a fool abroad, in the time honoured manner of this kind of comic picaresque.

Lastly, Scott-King can be made, however improbably, into a champion of the very best of Western culture – if, that is, you accept the notion that the literature and culture of ancient Greece and Rome represent the best of Western culture – so that his stubborn refusal to relinquish teaching classics, his determination to hold out for these values of clarity and civilisation as long as he can, and his disgust at the idea that education is about fitting boys to the disgusting ‘modern world’, can be depicted as heroic.

The pleasure of the text

Maybe Waugh’s attitude is risible but it has the merit of being a coherent worldview. Easier to analyse and argue with a worldview which is, at least, coherent, even if you disagree with it.

But also, opinions don’t necessarily matter if their ultimate purpose is to give rise to comedy. An artist may pain the same thing over and over again until you are completely familiar with the subject – take Cézanne’s obsessive painting and repainting of Mont Sainte-Victoire: the point is not that it’s a mountain, the point is the experiments in light and shade and tone and, ultimately, the pleasure of painting itself, the joy of technique.

Something similar with Waugh. On one level you can take issue with his politics, his religion and his general worldview, revealed with increasing grumpiness as he got older. But on another level, you can simply enjoy the absurdity of the farce and, above all, the pleasure of his prose. Almost everything Waugh ever wrote is a joy to read:

The little Mediterranean seaport of Santa Maria lay very near the heart of Europe. An Athenian colony had thrived there in the days of Pericles and built a shrine to Poseidon; Carthaginian slaves had built the breakwater and deepened the basin; Romans had brought fresh water from the mountain springs; Dominican friars had raised the great church which gave the place its present name; the Habsburgs had laid out the elaborate little piazza; one of Napoleon’s marshals had made it his base and left a classical garden there. The footprints of all these gentler conquerors were still plain to see, but Scott-King saw nothing as, at dawn, he bowled over the cobbles to the water-front.


Credit

Scott-King’s Modern Europe by Evelyn Waugh was published by Chapman and Hall in 1947. All references are to the 2011 Penguin paperback edition of the Complete Short Stories of Evelyn Waugh.

Related link

Evelyn Waugh reviews

Reflections on The Age of Empire: 1875 to 1914 by Eric Hobsbawm (1987)

Critique of Hobsbawm’s Marxisant approach

In the third of his mighty trilogy of histories of the long nineteenth century, The Age of Empire: 1875 to 1914, as in its two predecessors, Hobsbawm makes no attempt to hide his strongly Marxist point of view. Every page shouts his contempt for the era’s ‘bourgeois’ men of business, its ‘capitalists’ and bankers, the despicable ‘liberal’ thinkers of the period and so on. From time to time his contempt for the bourgeoisie rises to the level of actual abuse.

The most that can be said of American capitalists is that some of them earned money so fast and in such astronomic quantities that they were forcibly brought up against the fact that mere accumulation in itself is not an adequate aim in life for human beings, even bourgeois ones. (p.186)

Replace that final phrase with ‘even Jewish ones’ or ‘even Muslim ones’ or ‘even black ones’ to get the full sense of how deliberately insulting it is intended to be and how unacceptable his invective would be if applied to any other group of people.

Hobsbawm loses no opportunity to quote Marx (who died in 1883, saddened by the failure of his communist millennium to arrive) or Lenin’s views on late capitalism and imperialism (Lenin published his first political work in 1893), and he loses absolutely no opportunity to say ‘bourgeoisie bourgeoisie bourgeoisie’ scores of times on every page till the reader is sick of the sight of the word.

Hobsbawm’s highly partisan and politicised approach has strengths and weaknesses.

Hobsbawm’s strengths

On the up side, using very simplistic binary oppositions like ‘the developed world’ and ‘the undeveloped world’, the ‘bourgeoisie’ and the ‘proletariat’, helps him to make great sweeping generalisations which give you the impression you are gaining secret access to the engine room of history. If you ignore the complexity of the histories and very different cultures of individual nations such as America, Britain, France and Germany, and lump them altogether as ‘the West’, then you can bring out the broad-brush historical and economic developments of the era, grouping together all the developments in science, chemistry, physics, technology, industry and consumer products into great blocks, into titanic trends and developments.

This gives the reader a tremendously powerful sense of bestriding the world, taking part in global trends and huge international developments. Just as in The Age of Capitalism, the first half or so of the book is thrilling. It makes you feel like you understand for the first time the titanic historical forces directing world history, and it’s this combination of factual (there are lots of facts and figures about industrial production) and imaginative excitement which garnered the trilogy so many positive reviews.

Hobsbawm’s obsession with capitalism’s contradictions

Hobsbawm makes obeisance to the Marxist convention that ‘bourgeois’ ideology was riddled with ‘contradictions’. The most obvious one was the contradiction between the wish of national politicians to define and delimit their nations and the desire of ‘bourgeois’ businessmen to ignore all boundaries and trade and invest wherever they wanted around the globe (p.40).

Another ‘contradiction’ was the way the spread of ‘Western ideology’ i.e. education and values, to developing countries, or at least to the elites within European colonies, often led to the creation of the very Western-educated elites who then helped to overthrow it (he gives the London-trained lawyer Gandhi as the classic example, p.77, though he could as easily have mentioned Jawaharlal Nehru, educated at Cambridge, trained at London’s Inner Temple as a barrister).

Another ‘contradiction’ was the between the way the mid-century ‘bourgeois’ industrial and economic triumph rested on a mechanical view of the universe, the mechanical laws of physics and heat and chemistry underpinning the great technological advances of the later nineteenth century. Hobsbawm then delights in the way that, at the end of the century, this entire mechanistic worldview was overturned in a welter of discoveries, including Einstein’s theory of relativity, the problematic nature of the sub-atomic world which gave rise to quantum physics, and deep discoveries about the bewildering non-rational basis of mathematics.

These are just some of the developments Hobsbawm defines as ‘contradictions’ with the aim of proving that Marx’s predictions that capitalism contained within itself deep structural contradictions which would undermine it and lead inevitably to its downfall.

Why Hobsbawm was wrong

Except that Marx was wrong and Hobsbawm is wrong. His continual mentioning Marx, quoting Lenin, harking back to the high hopes of the revolutionaries of 1848, invoking the memory of the Commune (redefined, in good Marxist style, as a heroic rising of the downtrodden working classes, rather than the internecine bloodbath that it actually was), his continual harking forward to the Bolshevik revolution as somehow the climax of all the trends he describes, his insistence that we, he and his readers, all now (in the mid-1980s when he wrote this book) still live in the forbidding shadow of the Russian revolution, still haunted by the spectre of communist revolution — every aspect of his attitude and approach now seems dated and irrelevant.

Now, in 2021, it is 30 years since the collapse of the Soviet Union and its satellites revealed:

  1. Their complete failure to build an economic and social system which could be a serious alternative to ‘capitalism’.
  2. The extraordinary extent to which communist regimes had to surveil, monitor and police every aspect of their populations’ behaviour, speech and thoughts, in order to prevent them relapsing into the ways of human nature – the prison camps, the psychiatric wards, the secret police. Look at China today, with its censorship of the internet and its hounding of dissidents, its suppression of Falun Gong and the Muslim Uighurs of Xinjiang.

Seen from our contemporary perspective, Hobsbawm tendentious habit of naming every clash in policies, every development in cultural thinking as some kind of seismic ‘contradiction’ which will bring global capitalism tumbling down, looks like what it is, a biased obeisance to Marxist ideas which have long ago proved to be untrue.

The misleading use of terms like ‘bourgeois’

To some extent his attitude is based on one particular logical or rhetorical trick which can be proved to be false.

In the later chapters of the book, about the arts, the hard and social sciences, Hobsbawm repeatedly claims that this or that aspect of ‘bourgeois ideology’ of the mid-nineteenth century came under strain, suffered insoluble contradictions, underwent a crisis, and collapsed.

I think this is the crux of the massive mistake he makes. It consists of several steps:

  1. identifying every element of mid-nineteenth century political and cultural theory as some universal thing called ‘bourgeois’
  2. identifying this ‘bourgeoisie’ as the central and necessary figure of the capitalist system
  3. and then claiming that, because in the last few decades of the nineteenth century this ‘bourgeois’ ideology came under strain and in many ways collapsed, that therefore this shows that capitalism itself, as a system, must come under strain caused by its internal contradictions and therefore must collapse

Surely anyone can see the logical error here. All you have to do is stop insistently repeating that mid-nineteenth century ideology was identical with some timeless ‘bourgeois’ ideology which necessarily and uniquely underpins all capitalism, and simply relabel it ‘mid-nineteenth century ideology’, and then all your sentences stop being so apocalyptic.

Instead of saying ‘bourgeois ideology was stricken by crisis’ as if The Great Revolution is at hand, all you need say is ‘mid-nineteenth century political and social beliefs underwent a period of rapid change at the end of the century’ and the portentous sense of impending doom hovering over the entire system vanishes in a puff of smoke – and you are left just describing a fairly banal historical process, namely that society’s ideas and beliefs change over time, sometimes in abrupt reversals resulting from new discoveries, sometimes as slow evolutionary adaptations to changing social circumstances.

Put another way, Hobsbawm identifies mid-nineteenth century liberal ideology as if it is the one and only shape capitalist thinking can possibly take and so excitedly proclaims that, by the end of the century, because mid-nineteenth century ‘bourgeois’ beliefs were quite visibly fraying and collapsing, therefore capitalism would collapse too.

But quite obviously the ‘capitalist system’ has survived all the ‘contradictions’ and ‘crises’ Hobsbawm attributes to it and many more. It is still going strong, very strong, well over a century after the period which Hobsbawm is describing and when, he implies, it was all but on its last knees.

In fact the basic idea of manufacturing products cheap and selling them for as much profit as you can, screwing the workers who make them and keeping the profits to a) enjoy yourself or b) invest in other business ventures, is probably more widespread than ever before in human history, seeing how it’s been taken up so enthusiastically in post-communist Russia but especially across hyper-modernising China.

In other words, Hobsbawm’s use of Marxist terms like ‘bourgeois’ and ‘proletarian’ may have a certain explanatory power for the era he’s describing, but after a certain point they are too simplistic and don’t describe or analyse the actual complexity of even one of the societies he describes, let alone the entire world.

At some point (which you can almost measure in Hobsbawm’s texts) they cease to be explanatory and become obfuscatory, hiding the differences which separate America, Britain and Germany much more than unite them. Use of the terms simply indicate that you have entered a certain worldview.

Imagine a Christian historian identifying mid-nineteenth century ideology as the one and only expression of ‘Christian’ ideology, an ideology which divided the population into ‘believers’ and ‘unbelievers’, into the ‘saved’ and the ‘damned’. Imagine this historian went on to describe how the widespread ‘crisis’ in Christian belief at the end of the century indicated that the entire world was passing out of the phase of Christian belief and into infidel unbelief.

If you read something like that you would immediately know you are inside the particular worldview of an author, something which clearly means a lot to them, might shed light on some aspects of the period – for example trends in religious belief – but which in no way is the interpretation of world history.

a) Plenty of other interpretations are available, and b) despite the widespread laments that Christianity was dying out in the later nineteenth century, contrary to all their pessimism, Christianity now has more adherents worldwide than ever before in human history. And ditto capitalism.

The dominance of the key terms Hobsbawm deploys with such monotonous obsessiveness (capitalism, bourgeoisie, proletariat, liberal ideology) don’t prove anything except that you have entered the worldview of a particular author.

The system with the real contradictions, contradictions between a) its utopian claims for equality and the reality of a hierarchical society which privileged party membership, b) between its promises to outproduce the West and the reality of permanent shortages of consumer goods and even food, c) between its rhetoric of ‘freedom’ and the reality of the harsh repression of any kind of political or artistic unorthodoxy – was communism, whose last pitiful remnants lie rusting in a thousand statue parks across Russia and Eastern Europe.

The fundamental sleight of hand in Hobsbawm’s argument

Because Hobsbawm identifies the mid-nineteenth century worldview with the ‘bourgeoisie’ and the ‘bourgeoisie’ as the indispensable foundation of ‘capitalism’, he tries to pull off the conjuring trick of claiming that, since the mid-nineteenth century worldview drastically changed in all kinds of ways in the last decade of the century, these change invalidate the ‘bourgeoisie’, and that this, in turn, invalidates ‘capitalism’. Proves it is wrong and doomed to collapse.

You can see how this is just a three-card trick which moves vague and indefinable words around on the table at speed to bamboozle the impressionable. For despite the trials and tribulations of the century of extremes which followed, ‘capitalism’ in various forms appears to have triumphed around almost the entire world, and the materialistic, conventional, liberal ‘bourgeoisie’ which Hobsbawm so despises… appears still to be very much with us, despite all Hobsbawm’s protestations about its terminal crises and death throes and contradictions and collapse.

Victimology tends to tyranny

To anyone familiar with the history of communist Russia, communist China and communist Eastern Europe, there is something unnerving and, eventually, worrying about Hobsbawm’s very broad-brush division of the entire world into victims and oppressors.

The first half of the twentieth century was the era of totalitarian governments seeking to gain total control over every aspect of their populations and mould them into better humans in a better society. The first thing all these regimes did was establish goodies and baddies, and rouse the population to be on perpetual guard against the enemy in whatever guise – ‘the bourgeoisie’, the ‘kulaks’, ‘capitalist roaders’, ‘reactionary elements’, ‘the Jews’, and so on.

Dividing the entire huge world and eight billion people into simple binaries like ‘oppressors’ and ‘victims’, ‘bourgeoisie’ and ‘workers’, ‘exploiters’ and ‘exploited’, ‘white’ masters and ‘black’ victims, is worryingly reminiscent of the simplistic, binary thinking which the twentieth century showed leads to genocides and mass killing.

Hobsbawm criticises the nationalist parties of the late-nineteenth century for dividing up populations into citizens and outsiders, members of the Volk or aliens, a process of which the Jews were notable victims. And yet he enacts the very same binary oppositioning, the same outsidering of a (large) group of society, by objectifying and insulting the ‘bourgeoisie’ at every opportunity.

It’s the same old mental slum: if only we could get rid of the gypsies / homos / lefties / commies / bourgeoisie / capitalists / Catholics / Protestants / Armenians / Jews / Croats / Serbs / Tutsis / Hutus / men / whites / blacks / immigrants / refugees, then society would be alright. I call it ‘If-only-ism’.

If capitalism and imperialism were inevitable, how can anyone be guilty?

In Age of Capital Hobsbawm describes how the industrial revolution amounted to a lucky fluke, a coming together of half a dozen circumstances (of which the most important was, in his view, Britain’s command of the waves and extensive trading network between colonies) and this helps you realise that some people were able to seize the opportunity and exploit it and become masters of small firms and then of factories etc. Clever, quick, resourceful or well-placed men leapt to take advantage of new opportunities. Any history of the industrial revolution names them and gives biographies of individuals central to the series of inventions or who then set up successful firms to exploit them.

However, the tendency of Hobsbawm’s very high-level Marxist approach, his sweeping surveys which pull together evidence from Austria, or France, from north Italy or New York, is, paradoxically, to remove all sense of agency from the humans involved. Hobsbawm makes it seem almost inevitable that the first industrial revolution (textiles) would give rise to a second (iron and coal) which in turn would give rise to a third (steel, organic chemistry, electrics, oil).

And he makes it seem inevitable that, once the world was fully mapped and explored, then the other ‘western powers’ which by 1890 had more or less caught up with Britain in terms of industrialisation, would join the competition to seize territories which contained valuable minerals or exotic produce (tea, coffee, bananas). That an acceleration of imperial rivalry was inevitable.

But if it had to pan out this way, how can you blame anyone? If, viewed from this lofty godlike perspective, it was inevitable that industrialisation broke out somewhere, that it would spread to all similar regions and states, that the now numerous industrial nations would find themselves in competition for the basic resources (food) and more arcane resources (rubber, oil, rare metals) required to drive the next stage of industrial development – can you blame them?

You could call it Hobsbawm’s paradox, or Hobsbawm’s Choice. The more inevitable you make the entire process sound, the less reason you have to be so cross at the ‘bourgeoisie’.

The reality is that you can, of course, hold the western nations accountable for their actions, but only if you descend to a lower level of historical discourse than Hobsbawm’s. Only if you begin to look at specific actions of specific governments and specific men in specific times and places an you begin to make assessments and apportion praise or blame.

Responsibility and guilt can’t really exist at the level Hobsbawm is operating on because he goes out of his way to avoid mentioning individuals (with only a few exceptions; Bismarck’s name crops up more than any other politician of the period) and instead emphasises that it all unfolded according to almost unavoidable historical laws, implicit in the logic of industrial development.

If humans couldn’t avoid it, then they can’t very well be blamed for it.

In light of Hobsbawm’s theory, is equality possible?

The same set of facts give rise to a parallel thought, which dogged me throughout reading this book, which is — if what Hobsbawm says is true, if industrial and technological developments tend to be restricted to just a handful of certain nations which have acquired the technology and capital resources to acquire ‘liftoff’ to industrialisation, and if, within those nations, the benefits of industrialisation accrue overwhelming to a small proportion of the population; and if this process is so stereotyped and inevitable and unstoppable — then, well… is it even possible to be fair? Is it possible to achieve anything like ‘equality’? Surely the entire trend of the history Hobsbawm describes with so much verve suggests not.

Putting aside the issue of fairness in one nation aside in order to adopt Hobsbawm’s global perspective, he often repeats the formula that countries in the ‘undeveloped’ or ‘developing’ or ‘Third World’ (whatever you want to call it) were forced by the demands of consumer capitalism or The Market to turn themselves into providers of raw materials or a handful of saleable commodities – after all, this was era which saw the birth of the banana republic. But, I thought as I ploughed through the book… what was the alternative?

Could undeveloped nations have turned their backs on ‘international capitalism’ and continued as agrarian peasant nations, or resisted the western imperative to become ‘nations’ at all and remained general territories ruled by congeries of local sheikhs or tribal elders or whatever?

At what stage would it have been possible to divert the general trend of colonial takeover of the developing world? How would it have happened? Which British leader would have stood up and said, ‘This is wrong; we renounce all our colonies and grant them independence today?’ in the1870s or 1880s or 1890s? What would have happened to the sub-continent or all those bits of Africa which Britain administered if Britain had simply packed up and left them in 1885?

As to all the wealth accumulating in Britain, among its sizeable cohort of ship-owners, traders, factory owners, bankers, stockbrokers and what not. On what basis would you have taken their wealth away, and how much? Half? All of it and shot them, as in Bolshevik Russia?

Having seized the wealth of the entire ‘bourgeoisie’, how would you then have redistributed it to the bedouin in the desert or the native peoples of Australia or the Amazon, to the workers on the rubber plantations, in the tin and gold mines, in the sugar fields, to squabbling tribes in central Africa? How could that have been done without a vast centralised redistribution system? Without, in fact, precisely the centralising, bureaucratic tendencies of the very capitalist system Hobsbawm was criticising?

And who would administer such a thing? Having worked in the civil service for over a decade I can tell you it would take hordes of consultants, program managers, project managers and so on, who would probably be recruited from the host country and make a packet out of the process?

And when was all this meant to happen? When, would you say, the awareness of the wrongs of the empire, or the wrongs done to the ‘undeveloped world’ became widespread enough to allow such policies to be enacted in a democracy where the government has to persuade the majority of the people to go along with its policies? In the 1860s, 70s, 80s?

Live Aid was held in 1985, just as Hobsbawm was writing this book, and which I imagine brought the issue of Third World poverty and famine to the attention of even the dimmest members of the population. But did that global event abolish poverty, did it end inequality and injustice in in the Third World? No, otherwise there would have been no need for the Live 8 concerts and related charity efforts 30 years later, in 2005. Or the ongoing efforts of all the industrialised nations to send hundreds of millions of dollars of support to the Third World every year (hence the furore surrounding the UK government cutting back on its foreign aid budget this year.) Not to mention the continuous work of thousands of charities all across the ‘developing world’.

When you look at the scale of activity and the amounts of money which have been sent to developing countries since the Second World War, it makes you wonder how much would be enough? Should every citizen of every industrialised nation give, say, half their annual earnings to people in the Third World? To which people? In which countries? To India, which has invested tens of billions in a space program? To China, which is carrying out semi-genocidal policy of incarceration and mass sterilisation in its Xinjiang province? Do we need to take money from the British public to give it to Narendra Modi or Xi Jinping? Who would manage that redistribution program, for whatever civil servants and consultants you hired to make it work would earn much, much more than the recipients of the aid.

Student excitement, adult disillusion with Hobsbawm

When I was a student, reading this trilogy educated me about the broad industrial, economic and social forces which created and drove forward the industrial revolution in the Western world throughout the nineteenth century, doing so in thrilling style, and for that I am very grateful. Hobsbawm’s books highlighted the way that, through the 1850s and 1860s, capitalism created an ever-richer class of ‘owners’ set against a rapidly growing number of impoverished workers; how the industrial and financial techniques pioneered in Britain spread to other Western nations; how the industrial system evolved in the 1880s and 1890s into a) a booming consumer society in the West and b) the consolidation of a system of colonial exploitation around the world.

I had never had the broad trends of history explained so clearly and powerfully and excitingly. It was a memorable experience.

But rereading the books 40 years later, I am now painfully aware that the simplistic Marxist concepts Hobsbawm uses to analyse his period may certainly help to elucidate it, but at the same time highlight their own ineffectiveness.

The confidence that a mass working class movement which will rise up to overthrow the inequalities of the West and liberate the developing world, that this great liberation is just around the corner – which is implicit in his numerous references to 1848 and Marx and the Commune and Lenin – and that all it needs is a few more books and pamphlets to spark it off….goes beyond boring to become sad. Although the historical facts he describes remain as relevant as ever, the entire ideology the books are drenched in feels terribly out of date.

Democracy not the blessing it is cracked up to be

In chapter 4 Hobsbawm discusses the politics of democracy. Throughout he takes it for granted that extending the franchise to all adults would result in the revolutionary change he supports. He starts his discussion by referencing the powerful German Social Democratic Party (founded back in 1863) and the British Labour Party (founded in 1900) and their campaigns for universal suffrage, as if giving the vote to ‘the working class’ would immediately lead to a social revolution, the end of inequality and exploitation.

Only in the chapters that follow does he slowly concede that new mass electorates also helped to create new mass, populist parties and that many of these catered not to the left at all, but to right-wing nationalist ideas of blood and Volk. For example, the notorious Karl Luger, mayor of Vienna from 1897 to 1910, whose Christian Social Party espoused populist and antisemitic politics which are sometimes viewed as a model for Adolf Hitler’s Nazism.

In fact it had already been shown that universal male suffrage not only didn’t lead to socialist revolution but the exact opposite, when, in the aftermath of the 1848 revolution which overthrew the French monarchy, the French granted universal male suffrage and held a presidential election in which the opera bouffe candidate, Louis-Napoléon Bonaparte, promptly won with 74% of the entire male adult vote, and then went on to win the plebiscite held after his 1851 anti-leftist coup with 76%.

So any educated person knew in the 1850s that extending the franchise did not, in and of itself, lead to red revolution. Often the opposite. (This is a point picked up in Richard Shannon’s book The Crisis of Imperialism 1865 to 1915 which quotes umpteen later Victorian politicians and commentators arguing against extending the franchise precisely because they’d seen what it led to in France, namely the election of a repressive, right wing autocrat.)

Hobsbawm’s excited description of the way the ‘scary’ working class were ‘threatening’ bourgeois hegemony, were on the brink of ‘seizing power’ and righting the world’s wrongs, underplays the extent to which universal suffrage led:

  1. directly to the rise of populist nationalist anti-left wing governments
  2. and to the fragmentation of the left into ‘reformists’, prepared to compromise their radical principles and ally with liberal parties in order to get into parliament, and the die-hards who held out for radical social change

In other words, extending the franchise led to the exact opposite of what Hobsbawm hopes. Something borne out after the Great War, when the franchise was drastically extended to almost all adults in most European countries and the majority of European governments promptly became either right-wing or out-and-out dictatorships. Mussolini won the 1924 Italian general election; Hitler won the largest share of the vote in the Weimar Republic’s last election. Or Hungary:

In January 1920, Hungarian men and women cast the first secret ballots in the country’s political history and elected a large counterrevolutionary and agrarian majority to a unicameral parliament. (Wikipedia)

Switching from Hobsbawm altogether to the present day, 2021, any reader of the English left-liberal English press must be struck how, since the Brexit vote, it has stopped being a taboo subject to suggest that quite possibly a large proportion of the British electorate is thick and uneducated (terms you frequently meet in the Guardian newspaper). You can nowadays read plenty of ‘progressive’ commentators pointing out that the great British electorate was persuaded, in voting for Brexit (2016) and Boris (2019), to vote for populist right-wing demagoguery and against their own best interests as working people. I have read so many commentators pointing out that it is the very conservative working class communities who voted for Brexit who are most likely going to suffer the prolonged consequences of economic dislocation and decline.

In other words, right now in 2021, you can read representatives of the left openly stating that universal franchise, one person one vote, not only doesn’t lead to the socialist paradise Hobsbawm implies it will, but the opposite – rule by right-wing populists.

As far as I can remember, thoughts like this would have been utterly taboo in the 1980s, or have immediately identified you as a right-wing conservative. But now I read comments like this every day in the Guardian or New Statesman.

So – this is the recent experience and current political discourse I bring to reading Hobsbawm’s chapter about democracy and which makes me think his assumption, his faith, his Marxist belief, that simply expanding the franchise to all adults would of itself bring about social revolution and justice and equality is too simplistic.

  • It doesn’t correlate with the historical fact that, as soon as the franchises of most European nations had been radically expanded (after the Great War), lots of them became very right-wing.
  • It doesn’t speak to our present situation where, it’s true that no-one is openly suggesting restricting the franchise, but many progressives are questioning whether the universal franchise produces the optimum results for a nation and its working class. Trump. Brexit.

The world is not as we would like it to be.

My opposition to Hobsbawm’s teleology

I am a Darwinian materialist. I believe there is no God and therefore no purpose or direction to human lives or events. There is no plan, divine or otherwise. Shit happens, people try to cope. Obviously shit happens within a complex web of frameworks and structures which we have inherited, it takes a lot of effort to disentangle and understand what is going on, or what we think is going on, and sometimes it may happen in ways some of which we can broadly predict. But ‘events, dear boy, events’ are the determining feature in human affairs. Take Afghanistan this past week. Who knew? Who expected such a sudden collapse?

This isn’t a very profound analysis but my aim is to contrast my preference for a theory of the unpredictable and chaotic nature of human affairs with Hobsbawm’s profound belief in Marxist teleology, meaning the very nineteenth century, rationalist, scientistic belief that there are laws of history and that human societies obey them and that they can be predicted and harnessed.

Teleology: the doctrine of design and purpose in the material world.

Teleology is the belief that if you shave away all the unfortunate details of history, and the peculiarities of culture, and the impact of charismatic individuals, in fact if you pare away enough of what makes people people and societies societies, you can drill down to Fundamental Laws of History. And that Karl Marx discovered them. And that these laws predict the coming collapse of capitalism and its replacement by a wonderful classless society. And that you, too, can be part of this future by joining the communist party today for the very reasonable online registration fee of just £12!

Anyway, the teleology (‘sense of direction, meaning or purpose’) which is a vital component of Marxism, the confidence in an inevitable advent of a future of justice and equality, which underpins every word Hobsbawm wrote, evaporated in 1991 and nothing has taken its place.

There will be no Revolution. The ‘capitalist system’ will not be overthrown. At most there will be pointless local revolts like the Arab Spring, revolts which, more than likely, end up with regimes more repressive or anarchic than the ones they overthrew (Syria, Libya, Egypt).

This sort of thing will occur repeatedly in countries which did not enjoy the early or middle benefits of the technological revolutions Hobsbawm describes, countries of the permanently developing world, which will always have largely peasant populations, which will always depend on the export of raw materials (oil being the obvious one), which will always have unstable political systems, liable to periodic upheavals.

The environmental perspective

If there is One Big Thing we do know about the future, it is something which isn’t mentioned anywhere in Hobsbawm’s book, which is that humanity is destroying the environments which support us.

My son is studying biology at university. He says it amounts to having world-leading experts explain the beauty and intricacy of various eco-systems in beautiful places around the planet – and then describing how we are destroying them.

As a result, my son thinks that human civilisation, in its present form, is doomed. Not because of global warming. But because we are killing the oceans, exterminating all the fish, destroying species diversity, wrecking agricultural land, using up all the fresh water, relying more on more on fragile monocultures, and generally devastating the complex web of ecosystems which make human existence possible.

Viewed from this perspective, human activity is, overall, fantastically destructive. And the massive ideological divide Hobsbawm makes between the tradition of the nineteenth century ‘bourgeoisie’, on the one hand, and the revolutionaries, Communards, Bolsheviks and communists he adulates, on the other, fades into insignificance.

We now know that polluting activity and environmental destruction were as bad or worse under communist regimes as they were under capitalist ones. It was the Soviet system which gave us Chernobyl and its extended cover-up. Capitalist ones are at least capable of reform in a way communist regimes turned out not to be. Green political movements are a feature of advanced ‘capitalist’ countries but were suppressed, along with every other form of deviance, under communist governments.

But then again, it really doesn’t matter from a global perspective. Looked at from the planet’s point of view, all human activity is destructive.

So this is why, looking at them from a really high-level perspective, as of aliens visiting earth and reviewing the last couple of centuries, these books no longer make me angry at the wicked ‘capitalist’ exploitation of its workers and entire colonial nations and the ‘heroic’ resistance of the proletariat and the exploited peoples of the colonial nations.

I just see a swarm of humans ruining their habitat and leading, inevitably, to their own downfall.

Hobsbawm’s style

Hobsbawm is very repetitive. He mentions bicycles and cars and so on representing new technologies at least three times. I swear he points out that imperialism was the result of increasing competition between the industrial nations at least half a dozen times. He tells us that a number of Germany’s most eminent revolutionaries came from Russia, namely Rosa Luxemburg, at least four times. He repeats President Porfirio Diaz’s famous lament, ‘Poor Mexico! So far from God, so close to the United States’ twice. He tells us twice that western governments were keen to invest in medical research into tropical fevers solely because the results promised to help their officers and administrators survive longer in colonial outposts several times. He repeatedly tells us that Bismarck was the master of maintaining peace between the powers (pp.312 and 318).

The impression this gives is of rambling, repetitive and circular arguments instead of linear, logical ones.

Hobsbawm’s discussions are often very gaseous in the sense that they go on at length, use lots of highbrow terminology, but at the end it’s hard to make out or remember what he’s said. The discussion of nationalism in Age of Capital was long and serious-sounding but I emerged at the end of it none the wiser. The long discussion of sociology in chapter 11 of this book left me none the wiser about sociology except for Hobsbawm’s weird suggestion that, as a social science, it was founded and encouraged in order to protect society against Marxism and revolution. Really?

In a similar spirit, although he uses the word ‘bourgeoisie’ intensively throughout both books, I emerged with no clearer sense of what ‘bourgeoisie’ really means than I went in with. He himself admits it to be a notoriously difficult word to define and then more or less fails to define it.

On a more serious level I didn’t understand his discussion of nationalism in Age of Capital or his discussion of the increasing democratisation in the 1890s in this volume, because they were vague and waffly. It seemed to me that as soon as he left his home turf of economic development, his ideas become foggy and repetitive.

And sometimes he comes over as a hilariously out of touch old buffer:

By 1914 the more unshackled youth in the western big cities and resorts was already familiar with sexually provocative rhythmic dances of dubious but exotic origin (the Argentinian tango, the syncopated steps of American blacks). (p.204)

‘The syncopated steps of American blacks’. No wonder American capitalism was doomed to collapse.

Overall conclusion

Hobsbawm’s books are thrilling because of their scope and range and the way he pulls together heterogenous material from around the world, presenting pages of awe-inspiring stats and facts, to paint a vivid, thrilling picture of a world moving through successive phases of industrialisation.

But he is eerily bereft of ideas. This comes over in the later chapters of both books in which he feels obligated, like so many historians before him, to write a chapter about The Arts. This is not his natural territory and the reader has to struggle through turgid pages of Hobsbawm dishing up absolutely conventional judgements (Van Gogh was an unrecognised genius; the arts and crafts movement was very influential), which are so lame and anodyne they are embarrassing.

I had noticed his penchant for commenting on everything using numbered points (‘The bourgeois century destabilised its periphery in two main ways…’; ‘Three major forces of resistance existed in China…’, ‘Three developments turned the alliance system into a time bomb…’, and many others). Eventually it dawned on me that he produces these nifty little sets of issues or causes or effects instead of having ideas. Lists beat insights.

Considering how fertile Marxist literary and art criticism has been in the twentieth century (cf György Lukács, Walter Benjamin, Theodor Adorno, Frederick Jameson) it is very disappointing how flat and untheoretical and banal Hobsbawm’s comments about the arts in both books are. In these later sections of each book it is amazing how much he can write without really saying anything. He is a good example of someone who knows all the names and terminology and dates and styles and has absolutely nothing interesting to say about them.


Credit

The Age of Empire: 1875 to 1914 by Eric Hobsbawm was published in 1975 by Weidenfeld and Nicholson. All references are to the 1985 Abacus paperback.

Hobsbawm reviews

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Communism in Poland

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

Communism in Czechoslovakia

Communism in France

Communism in Spain

  • The Battle for Spain by Antony Beevor (2006) Comprehensive account of the Spanish civil war with much detail on how the Stalin-backed communist party put more energy into eliminating its opponents on the Left than fighting the fascists, with the result that Franco won.
  • Homage to Catalonia by George Orwell (1938) Orwell’s eye-witness account of how the Stalin-backed communist party turned on its left-wing allies, specifically the Workers’ Party of Marxist Unification which Orwell was fighting with, and how he only just managed to escape arrest, interrogation and probable execution during the communist purges.

Communism in England

The Unbearable Lightness of Being by Milan Kundera (1984)

Like The Book of Laughter and Forgetting, this novel is sharply divided into seven distinct parts. Unlike that book it retreats a little from being a collection of fragmented stand-alone narratives, heavily interspersed with philosophical digressions, back towards something a bit more like a conventional novel, in that the same characters recur in every part.

That said, it is still not at all like a conventional novel. Conventional novels set scenes, paint locations, introduce characters, and explore them slowly by taking them through events, described in full, with plenty of dialogue.

Kundera’s novels feature characters, but they are more often than not presented through the author’s ideas about them. The ideas come first, and then the characters exist – or are invented – to flesh them out.

Thus the first two short sections of part one of this book present no characters or settings at all, but consist of a meditation on Nietzsche’s puzzling idea of Eternal Recurrence, an idea Nietzsche proposed in his last works before going mad. Kundera interprets to it to mean the notion that anything which happens only once barely happens at all. He quotes the German proverb: Einmal ist Keinmal: ‘once is nothing’. Only recurrence nails something down with weight and meaning. What occurs only once, has no weight, no meaning. Its lightness is unbearable.

And this dichotomy between lightness and weight will underpin much of the discussion which follows.

Part One – Lightness and Weight

Tomas is a surgeon. Since Tomas divorced his wife and abandoned his son (she was a rabid communist who gave him only very restricted access, and even then kept cancelling his dates to see his son – so Tomas eventually gave up trying), he’s had numerous lovers which he runs on a rule of three: Either three quick sex sessions, then never see them again; or a longer term relationship but scheduled at three-weekly intervals. (Putting it like this makes you realise how, well, crass a lot of Kundera’s male characters and their supposed sexual wisdom, can easily appear.)

And I’m afraid that the effect of reading five of his books in quick succession began to make me see through his plausible sounding words of wisdom.

Tomas came to this conclusion: Making love with a woman and sleeping with a woman are two separate passions, not merely different but opposite. Love does not make itself felt in the desire for copulation (a desire that extends to an infinite number of women) but in the desire for shared sleep (a desire limited to one woman). (p.15)

Tomas is sent to a sleepy provincial town by his hospital to perform a tricky operation on a patient who can’t be moved. Here, in a sleepy local restaurant, he meets Tereza who is a waitress. They have sex. Weeks later, she turns up on his doorstep. He takes her in, they sleep together, he gets her suitcase from the station. All this goes against his principles, such as hating having women sleep over, preferring to drive them home after sex. Anyway, Tereza comes down with flu and Tomas is forced to look after her and, as he does so, has the peculiar sensation that she is like Moses in the cradle and he is the pharaoh’s daughter. Some higher power has decreed he must protect her. And so he finds himself falling in love with her. He gets his mistress, Sabina, to wangle her a job as a dark room assistant with a magazine.

And so they settle in to living together. But then Tereza discovers that Tomas has lots of other lovers. She comes across a stash of letters. She begins to have panic dreams, which Kundera vividly describes, one in which Tereza is one among a group of naked women who walk around a swimming pool performing kneed bends and exercises and if any of them hesitates or stumbles, Tomas, who is in a basket suspended from the roof, shoots them dead with the gun in his hand. Those kinds of dreams. Anxiety dreams.

He loves her and wishes to calm her feverish dreams, but can’t stop seeing his lovers, but then can’t make love to them without feeling guilty, so needs to drink to mask the guilt, but then Tereza smells the booze on his breath when he gets home, and has another one of her anxiety attacks. In fact she tries to kill herself.

Then, in his anxiety, Tomas’s longest-term mistress, the artist Sabina, catches him looking at his watch while making love, and takes her revenge on him. Oh dear. Can the poor man do nothing right?

Years go by. Tomas marries Tereza. He buys her a mongrel puppy, they name Karenin after the hero of the Tolstoy novel.

Then the Russians invade Czechoslovakia in August 1968. Tereza is by now a staff photographer on the magazine and spends the days after the invasion roaming the streets taking photographs of the occupying army, then handing the film over to foreign journalists.

Sabina has left for Geneva, Switzerland. A hospital manager from Zurich Tomas knows phones up and offers him a job. After hesitation he takes it and they drive to Switzerland. For some months she is happy and confident. Taking photos during the occupation gave her confidence. Then he gets home one day and finds a farewell letter from her. She can’t hack life in the West. She’s gone back to Czechoslovakia and taken the dog.

Initially Tomas feels liberated. Seven years with her were, in the end, a burden. But it only takes a day or two and then the terrible power of compassion kicks in – Kundera gives us a disquisition on the etymology and meaning of ‘com’ [meaning with] ‘passion’ [from the Latin word meaning ‘suffering’] – and he imagines Tereza alone in their flat in Prague. So, with a heavy heart, he resigns from the Zurich hospital, quoting the motif from a late Beethoven string quartet – Muss es sein? Ja, es muss sein. And drives back across the border to Prague, finding Teresa asleep in their old flat, and wondering if he’s just made the worst mistake of his life.

On this recording of Beethoven’s string quartet number 16, click to the final movement at 17:39. It’s here that Beethoven wrote the words Muss es sein? Ja, es muss sein before the music itself begins, indicating that the rhythm of the words was the basis of the musical motifs from which he then created the music. What do the words mean: ‘Must it be?’ ‘Yes. It must be.’ It seems like it should be a meditation on man’s fate, on whether we make real decisions or go along with a pre-determined fate. Except that the music itself is surprisingly light and airy.

Puzzling and teasing. And, in this, similar to Kundera’s texts which invoke all kinds of serious political and philosophical ideas, and reference well-known writers and musicians in order… to muse on the different types of philanderer (the epic or the lyric), or the four types of ‘look’, or why one character close their eyes during sex while another keeps them open, or to give a mock academic definition of the art of flirtation. Is the entire book a deliberate playing and toying with ideas of seriousness and triviality?

Part Two – Soul and Body

In which we learn a lot more about Tereza, namely her family background. Her mother married the least eligible of her nine suitors because he got her pregnant. After a few years of boring marriage, she ran off with another man, who turned out to be a loser. She took all this out on young Tereza, in the form of nudity. Tereza’s mother walks round the house naked, she refuses to have a lock on the lavatory, she parades her friends round the house and into Tereza’s room when she’s half dressed. For Tereza, nudity represents a concentration camp-style enforcement of loss of privacy.

Meeting Tomas was an escape. He had a book on the table of the restaurant where she served him on the occasion of him coming to the town to perform an operation. Books are symbolic of escape from narrow provincial life into a higher realm. (In this respect she reminds me of Kristyna the butcher’s wife who is enchanted with the higher learning and big city sophistication of ‘the student’ in part five of The Book of Laughter and Forgetting, or of nurse Ruzena who longs to escape the narrow confines of her boring provincial town in The Farewell Party. The uneducated young woman trapped in a provincial town until rescued by a much more educated, big city-dweller, is a recurring trope.)

We re-see the birth and development of her love affair with Tomas through her eyes, including the night she danced with another man and made him jealous, then her discovery at discovering all his letters from his lovers, particularly Sabina.

She has a brainwave to control her jealousy which is to try and co-opt his lovers into their sex life. She has the idea to visit Sabina the painter and take photos of her (by this time she is a staff photographer on the weekly magazine). Which progresses to suggesting she photograph Sabina nude. As a heterosexual man I found this couple of pages stimulating, as I think they’re intended, but as wildly improbable as a porn film. It doesn’t come off, there isn’t a lesbian scene, the two women collapse in laughter.

We see how her exile in Geneva comes to a head when she takes her best photos of the Russian occupation of Prague to a magazine editor, who says, ‘Yes, they’re wonderful, but things have moved on, Is she any good at photographing plants, cacti, for example? Very fashionable at the moment.’

She protests that the Russian tanks are still on the streets of Prague, Czechs are still being sent to prison by the thousand. The editor gets a woman staff photographer to take her to lunch and explain the facts of life in the capitalist West to her, but the more she does so, the more Tereza feels patronised and disgusted.

In both these sections Kundera describes the fate of Alexander Dubček, the Czech leader who allowed the widespread liberalisation of communism which became known as the Prague Spring, and who was arrested and flown to prison in Russia after the Russians invaded in August 1968.

Initially, Dubček was told he was going to be executed, like Imre Nagy, leader of rebel Hungary, had been in 1956. But then he was reprieved, bathed and shaved and given a new suit and taken to a meeting with Leonid Brezhnev, where he was offered his life if he agreed to roll back all his reforms. Within days he was flown back to Prague and forced to make a nationwide address on the radio explaining his change of strategy.

For Kundera, the significant thing was Dubček’s pitiful performance, his long pauses, his gasps for breath. During those pauses, he says, the entire nation heard their humiliation. And both Tomas and Tereza revert to this example of humiliation as they consider their own lives.

And it occurs to me that whereas traditional novelists use symbolism with a kind of subtlety, burying it in the narrative and descriptions, Kundera’s distinguishing feature is that he makes his ‘symbols’ front and foreground of the text. They are not subtly worked into the text but very visibly added into it and then commented on at length. Each time they recur Kundera himself does all the commentary and critique, explaining how Dubček’s silences became symbolic of all kinds of other silences, in apartments bugged by the secret police, or between lovers who can no longer talk to each other.

Tereza realises she is utterly alone in the West. She packs her bags, takes Karenin, and catches a train back to the Czech border. Five days later Tomas joins her.

Who is strong here, who is weak? Is weakness bad? Was Dubček weak? No. Anybody is weak when they are set against vastly stronger forces. Weakness has no intrinsic meaning.

Part Three – Words Misunderstood

Part three introduces us to Franz, who is happily set up with his docile wife, Marie-Claude, who runs a private art gallery, and (somewhat inevitably) enjoys the favours of his artist-mistress. Artist? Like Sabina? Her name is deliberately suppressed but as soon as the narrator mentions a bowler hat we know that it is Sabina, Tomas’s mistress Sabina, since the bowler is a prop she used to wear (with little else) for her erotic encounters with Tomas in Part One. In fact Kundera treats us to an entire digression about the bowler hat, which used to belong to her grandfather, the small-town mayor, and how her bringing it into exile in the West has now loaded it with multiple layers of symbolism.

But the real purpose of this section is to form an extended example of one of the central themes of Kundera’s fiction – which is the profound mutual misunderstandings which can occur between two people, even if they are lovers, especially if they are lovers.

And for the first time this is given a formal structure, in that Kundera shepherds the completely opposite ideas and principles of West-born Franz and Eastern émigré Sabina into a humorous format, a Short Dictionary of Misunderstood Words. This dictionary occurs in more than one of the sections and includes such subjects as: Woman, Fidelity & Betrayal, Music, Light & Darkness, the beauty of New York, Strength, Living In Truth, and so on – all areas where Kundera humorously shows us Franz thinking one thing and Sabina thinking the diametric opposite.

Take music. Franz would like to disappear inside a great orgasm of totally obliterating music. Whereas Sabina thought only under communism did musical barbarism reign until she came to the West and discovered the crudest pop music blaring and thumping from every public orifice. She hates its stifling omnipresence.

This is a clever, witty and funny idea – and another example of how Kundera pushes old fashioned ideas about ‘the novel’ to the limit. In your traditional novel these themes might have been embedded in fictional events, or maybe in dialogue, but to some extent dramatised. In Kundera, the narrative comes to a dead stop and the text comes close to becoming a Powerpoint presentation. At moments like this it comes close to being a collection of bullet points more than a narrative. The interesting thing is just how far Kundera can push all these tricks and experiments – and the book still feel like a novel, with a story and characters.

Parades For Franz, raised in the West, political parades are a release and a protest (and also, on a personal level, a relief to get out from the libraries and lecture halls where he spends his professional life). But Sabina was brought up in the communist East where, from earliest youth, she was forced to go on political marches and rallies, forced to march in rank with other Young Pioneers, forced to chant political slogans. Thus, he loves parades but she loathes them.

Lightness Franz feels that everything that happens in the West, and to him, is too boring trivial and easy. Too light. He was resigned to dissolving into the never-ending sea of words which is academic discourse. Which is why Sabina excites him so much as a mistress. In her country even the slightest phrase can be charged with superhuman weight, can consign one or more people to prison or execution. Now there’s meaning for you, drama and revolution and human adventure! Whereas for Sabina, of course, words like ‘revolution’, ‘struggle’ and ‘comrade’ are dirty, sordid, horrible reminders of the crushing of the human spirit.

Franz is worn out, psychologically and philosophically exhausted, by the West’s sheer profusion.

The endless vanity of speeches and words, the vanity of culture, the vanity of art. (p.110)

including the vanity of the endless pontificating about art which he hears on all sides at his wife’s press days and exhibition launches, and the insufferable loquacity of his cocktail-party-superficial daughter.

Franz finally plucks up the guts to tell his wife of 23 years that he has been seeing a mistress for nine months. He is horrified when Marie-Claude doesn’t buckle into tears (it turns out he had completely the wrong idea about her for this entire time – see the discussion in the Short Dictionary of his concept of ‘Woman’) but becomes very hard-faced. Becoming scared, Franz goes on to tell her the mistress is Sabina.

Next day he is on a flight to Amsterdam and feels wonderful light and airy and released from all guilt. He is living in truth. He has told Sabina, sitting beside him, that he’s told his wife everything about them, and so he feels light and breezy. But Sabina now is wracked with anxiety. No longer is she the free-spirited artist Sabina. Now she is ‘that painter who’s involved in the Franz and Marie-Claude divorce’. Now she’s going to have to decide how to play the role of ‘the mistress’. She feels weighted down.

This is just one of the many many ways the theme of ‘lightness’ is played out and dramatised throughout the book.

In fact during this trip to Amsterdam, while Franz feels lighter and lighter, Sabina feels so weighted down that she realises she can never see him again. They have a night of unbridled passion in Amsterdam, she giving herself up to physical ecstasy as never before. He thinks it’s because she is excited by their new life together and by the prospect of living in truth. But it is nothing of the sort. It is because she knows it is the last time. She knows she has to leave him. Thus they have completely opposed understandings and motivations. Complete misunderstanding, which is really Kundera’s central subject.

Back in Geneva, Franz shamefacedly packs a few things in front of his wife, then goes round to Sabina’s flat. The door is locked. There’s no-one home. He keeps going back like a lost puppy, no answer. After a few days removal men appear and empty it. She’s gone, and left no forwarding address. Initially he is devastated. When he goes back to his wife, she says ‘Don’t let me stop you moving out.’ On the face of it he’s lost everything. But in the event he takes a small flat in the old part of town. Moves in furniture which he, not his wife has chosen. Stuffs it full of books and becomes happy. One of his students falls in love with him and they start an affair. Deep in his heart he is grateful to Sabina for freeing him from the staleness of a 23-year marriage. Life is sweet. He is living in truth.

Meanwhile Sabina moves to Paris. She had hoped that the successive affairs and liaisons would weight her down and give her life significance. But she finds herself floating free and rootless in Paris. It is here that for the first time we read the title phrase of the book. She seems doomed to experience ‘the unbearable lightness of being’ (p.122).

One day she gets a letter telling her that Tomas and Tereza have died in a car crash in some remote mountain town in Czechoslovakia.

By this point I’m thinking that the way this novel has followed just a handful of characters through quite extensive twists and turns makes it unlike his previous works. It’s still stuffed full of soft philosophising about life, but… feels deeper, more deeply felt, simply from the old-fashioned device of letting us get to know the characters via a reasonably chronological narrative.

Part Four – Soul and Body

Part four picks up with Tomas and Tereza back in Czechoslovakia, after she fled from Geneva and the West, and he reluctantly followed her.

Tereza gets a job in a hotel bar. The receptionist is a former ambassador, who criticised the Soviet invasion. All the intelligentsia has been kicked out of their jobs. Tereza gets chatted up by various male customers, which prompts Kundera to give a typically pithy and pseudo-academic definition of the activity of ‘flirting’:

What is flirtation? One might say that it is behaviour leading another to believe that sexual intimacy is possible, while preventing that possibility from becoming a certainty. In other words, flirting is a promise of sexual intercourse without a guarantee. (p.142)

The men at the bar hit on her. One is a fat secret policeman who gets drunk and tries to blackmail her. He is being particularly obnoxious, when a tall stranger intervenes and tells him to shut his trap, she is immensely grateful. But with a kind of sinking inevitability this man then begins chatting her up in a friendly way.

Now a key thing to realise is that at the start of this section, Tomas had come back from window-cleaning and fallen into bed dog-tired just as Tereza was waking for her evening job but not before she smells… can it be… is it really?… yes, the smell of women’s privates in his hair. My God! What has he been up to? But alas, she knows only too well what he’s been up to.

And so her jealousy-anxiety dreams start to recur, especially a new one in which Tomas smilingly tells her to go up Petrin Hill, the big hill in the centre of Prague. She does so, finding it eerily empty. At the top are a few other lost souls like herself, and a suave gentleman with a rifle and several assistants. He politely informs her that he is there to execute them. But only of their own free will, if they want to. And she is so miserable at Tomas’s infidelities, that she lets herself be led to a tree by the assistants and the rifleman is lifting his gun to execute her, and she tries to steel herself but, at the last minute, she bursts out No No, she didn’t come of her own free will, and the rifleman sadly lowers his gun, and she turns to the tree and bursts into inconsolable tears (p.151).

This, like the dream of the naked woman walking round the swimming pool, has the eerie uncanniness of literary dreams (I dream a lot and remember my dreams and none of them are this well-rounded and pregnant with symbolism). And they add to the sense that this book somehow goes deeper than its predecessors. It includes just as much learnèd digression, but by portraying Tomas and Tereza and Sabina at such length, we feel like we’re ‘getting to know them’ much more than previous creations.

So Tereza lets the tall man, an engineer it turns out, invite her to his small apartment where, after the minimum of preamble, he begins unbuttoning her and then having sex with her.

All the way through the book Tereza is afflicted by a dichotomy between her body and her soul (hence the title of this part, Body and Soul) caused by her early experiences with her shameless mother. In many ways she wants to escape her body. She certainly has an ambivalent attitude towards it. Now, she lets herself be stripped bare and penetrated (‘penetrate’ is a verb which crops up regularly in Kundera’s descriptions of sex) but, like so many of his female protagonists, feels far distant from what is going on.

She becomes more disgusted the more he roots around in her body, eventually spitting in his face. Later she uses his horrible toilet with no toilet seat, perching precariously on the crude bit of cold plumbing. Tereza longs to escape from the crudity of bodies, the way Tomas seems able to have casual sex with more or less any woman. But it kills her.

Later, when the supposed engineer doesn’t get back in touch, she becomes paranoid. What if it was a set-up? What if she was somehow filmed or recorded having sex, compromising herself?

And her mind goes back to how, in the months following the Prague Spring, the new hardline communist authorities broadcast secret recordings made of émigrés and dissidents, obviously only the most shameful bits when, after a bottle of wine or so they were persuaded to turn on their colleagues or admit what a crappy country Czechoslovakia is, or admit to being wife-beaters or closet paedophiles or anything – anything the agents provocateurs could wheedle out of them which could then be carefully edited and broadcast on Radio Communism to destroy the images of all the would-be leaders of the people and cow the populace into even deeper passive stupor.

One of these was the well-known author Jan Prochazka, recorded slagging off his colleagues and then broadcast all over the airwaves. Tereza is horrified by this and all other examples of the complete lack of privacy under communism. For her it is tied to her mother’s insistence on going around naked and on parading her, Tereza, naked to her friends. The horror of it!

And the time when she was 14 and her mother found her secret diaries, recording her innermost adolescent secrets… and brought them out when friends were round for tea and insisted on reading out whole entries at which all the raddled middle-aged women cackled with hilarity and Tereza wanted to die.

For Tereza, the definition of a concentration camp is a place of absolutely no privacy, where privacy is abolished (p.137)

That’s why Tomas’s infidelity makes her want to die, and dream about ways of dying: because she thought with him, she had found something utterly private and safe and secure. She gives their love tremendous weight. And yet Tomas finds sex light and easy, no consequences, no angst. She cannot relate to the lightness of his attitude. His lightness is unbearable to her.

Part Five – Lightness and Weight

And now, Tomas’s experience of returning to occupied Czechoslovakia.

At first he is welcomed back to the hospital. He is the leading surgeon of his generation. But now we are told about an article he wrote a few years previously, during the general relaxing of censorship leading up to the Prague Spring. It took as its subject the Oedipus of Sophocles. When Oedipus realises what a terrible thing he has done, even though he did it in complete innocence, he blinds himself. Tomas writes a long essay accusing the Communist Party of having betrayed Czechoslovakia and, although many of them did it with good intentions, he compares their pleas for forgiveness and understanding, with Oedipus’s intensely tragic self-punishment. The article is accepted by an intellectual magazine, though Tomas is irritated that they severely cut it, making it seem much more harsh and aggressive than he’d intended.

Then came the Russian invasion. A year later the director of the hospital calls him in and says the communist authorities want him to write a note disclaiming the article and its criticism. This gives rise to some intense analysis by Kundera. He foresees his colleagues reacting in two ways: first the nods from all the others who have given in and signed; then the smug sneers of everyone who was too young to be implicated and so can take a moral high line with no risk. Tomas realises he will hate being the recipient of either kind of smile. He refuses to sign and is sacked.

He gets a job as a GP in a practice 50 k from Prague. One day the last patient is a smooth-talking and charming secret policeman. He takes Tomas for a glass of wine and sympathises with his plight, he never meant to write that article, the editors butchered it, of course the authorities want one of their leading surgeons to return to his métier. And he holds out another document for Tomas to sign, his one much harsher than the hospital one, this one declaring how much Tomas loves the Soviet Union and the Communist party.

I found this sequence fascinating, it has a John le Carré sense of the insinuating ways of power and corruption, for it took a while for innocent Tomas to realise he is being tempted. He refuses. More than that, he quits his job as a GP and finds work as a window cleaner. The authorities only make people of significance sign these disclaimers. Once you’ve reached rock bottom they lose interest. Tomas wants to reach rock bottom. He wants to be free (p.192).

The ensuing passages describe Tomas’s adventures as a window-cleaner in Prague. The underground grapevine goes before him and he often finds himself offered a glass of wine and assured he doesn’t have to do any work by former patients who happily sign the chit saying he’s done the work.

But, this being Kundera, there is of course sex. Quite a bit of sex. Because handsome saturnine Tomas is calling during the day on plenty of bored middle-aged, middle-class housewives. Kundera describes his sexual escapades, the one which drive Tereza to paroxysms of despair, as casual couplings which Tomas can barely remember by the weekend. And, being Kundera, there is a great deal of theorising about sex. Again.

Men who pursue a multitude of women fit neatly into two categories.  Some seek their own subjective and unchanging dream of a woman in all women. Others are prompted by a desire to possess the endless variety of the objective female world. (p.201)

and he goes on to call the obsession of the former lyrical, and of the latter, epical, and spends a couple of pages of entertaining theorising expanding on this premise. The lyricists seek an Ideal and are always disappointed. Some sentimental women are touched by their idealism. Epic womanisers garner no sympathy. They are interested in quantity not quality. And eventually they get bored and become interested in ever more specific quirks. They become collectors.

Kundera describes Tomas’s collector habits, and several encounters of great erotic intensity. However, after a few years the women begin to blur into one, he starts forgetting names. But the real purpose of all this is to make the distinction (and Kundera’s type of intellectuality is about making endless numbers of distinctions – heaviness and lightness, lyrical and epical, demonic and angelic laughter, and so on) between Tomas’s collector instinct when he’s out there, in the world, and his love for Teresa.

He doesn’t need to collect Teresa. She came to him. And her falling ill within an hour or so of arriving was a key moment, which is referred to again and again in the novel. It made her completely vulnerable and reliant on him, in a way none of his conquests are, in a way he’s careful to make sure they never are. Which is what makes her the Great Exception.

Anyway, all this merry philosophising about sex is bookended with another encounter with people who want him to sign something. One of the editors of the magazine where he sent his ill-fated article about Oedipus calls him to a surreptitious meeting at a borrowed flat where Tomas is unnerved to encounter his own son, the one he rejected and walked away from after his divorce nearly 20 years earlier,

Over the space of several pages they try to persuade him to sign a petition they’re getting up among intellectuals to protest against the maltreatment of prisoners in prison. Again we are in the world of politics and coercion, as when the secret policeman met him. Only now there is this weird personal element of his son coercing him. Initially Tomas is minded to sign, but when they remind him of the Oedipus article which screwed up his life, he is reminded of what prompted him to write it. It was looking down in Tereza, as she lay in bed with a fever from the flu that kicked in within hours of her arriving at his flat, and made him think of pharaoh’s daughter looking down on Moses in the basket made of bullrushes. And so he went to his book of ancient legends and came across Oedipus, another abandoned child who is rescued… and one thing led to another.

And in a moment of insight Tomas realises she is still the defenceless babe in the basket and he must do nothing to endanger her. And he looks at the two men facing him and realises that nothing he signs or says or does will make the slightest difference to political prisoners in Czechoslovakia – but it might endanger his beloved. And so Tomas tells them he will not sign. He knows they won’t understand. He gets up and returns to the only woman he cares for… But, at the same time, unbeknown to him, the one who he is torturing to death with his ceaseless infidelities…

The petition is duly published. The signers are rounded up. The communist press denounces them as wreckers and saboteurs. On it goes, the endless cycle of repression. Tomas reflects on the history of the Czechs, their apparently bottomless ability to screw up their lives and politics. He ponders how one decision (to stand up for themselves) led to total defeat in the Thirty Years War (1618-48) while the opposite decision (to be compliant to stronger powers, at Munich) led to total defeat by the Nazis. What is right? What is best to do? All alternatives seem to lead down to defeat.

If history were repeated multiple times we could try alternative answers and find out. But we can’t. Using these (not totally convincing arguments) Tomas concludes that History isn’t unbearable because of its crushing weight, but the opposite.

The history of the Czechs and of Europe is a pair of sketches from the pen of mankind’s fateful inexperience. History is as light as a feather, as dust swirling into the air, as whatever will no longer exist tomorrow. (p.223)

He’s been a windowcleaner for nearly three years, now. It’s gotten boring. The former patients no longer greet him with champagne and toasts. They just want their windows cleaned. The sight of intellectuals doing manual labour has become passé, and then embarrassing. And he is growing psychologically tired of all the sex. He can’t stop it, but it is wearing him out.

Tereza suggests they move to the countryside, get new jobs. She is obviously unhappy. He asks her why and she finally reveals that every day when he gets back from work she can smell other women’s private parts on his hair. Appalled, he makes to go and shower immediately but she says, It’s alright, she’s used to it and he is stricken with grief.

That night he wakes from a strange dream (lots of dreams in this book) about (alas) sex and the ideal woman, and wakens to find Tereza holding his hand, and vows to change.

Part Six – The Grand March

This is the shortest and the silliest part of the novel, in fact one of the worst things Kundera ever wrote. Although it is packed with serious themes it feels somehow the most superficial.

In a great hurry Kundera progresses through an anecdote about how Stalin’s son died, in a Second World War prisoner of war camp, arguing with British prisoners about his messy defecating habits. Then Kundera picks up this idea of human faeces and runs with it via references to various theologians and their ideas of the relation between the human body and its creator, the way they force a binary choice on us: that either man’s body is made in the image of God’s – in which case God has intestines, guts, and defecates – or it isn’t, in which case it isn’t perfect and godlike, and neither is creation.

This leads him on to a meditation on the meaning of kitsch, which he takes to be the belief that the world is perfect, that it is a world without shit. (The general drift of this definition reminds me of his definition of angelic laughter in The Book of Laughter and Forgetting i.e. that it is creepily unrealistic.)

Kundera then hurries on to rope in thoughts about ‘sentimentality’, defining sentimentality as The awareness of how much one is moved by the notion that the world is a perfect and beautiful world.

And then moves on to claim that this kitsch is universal among all politicians. All politicians want to be seen with babies because they identify with the kitsch notion that human life is an unmitigated blessing. This is demonstrated by the time when Sabina, by now a famous artist and living in America, is driven by a US senator to an ice rink, where kids are frolicking and makes an expansive gesture with his arm as if to incorporate everything that is Good In Life. But Sabina has had a tough life and sees in his rinky-dink smile exactly the cheesy smiles of the Communist Parties smiling down at the smiling masses of the Communist Faithful as they march past on a May Day Parade. Totalitarian kitsch is a world in which everyone is smiling all the time because everything is so perfect. Anyone who asks a question or expresses a doubt must immediately be shipped off to the gulag because kitsch admits of no imperfections.

Which brings us to Franz and his need to be seen. Which prompts Kundera to explain the four categories of ways we need to be seen.

  1. People who long for the look of an infinite number of anonymous eyes. Actors.
  2. People who have a need to be seen by many known eyes. Cocktail party hosts.
  3. People who need to be constantly before the eyes of the person they love.
  4. People who live in the imaginary eyes of those who are not present.

Franz is of this latter type and he undertakes the escapade which ends his life because of a futile sense that somehow, somewhere, Sabina the great love of his life is watching him.

This is a Mercy Mission to Cambodia. The Khmer Rouge ran Cambodia from 1975 to 1978 during which they managed to murder around a million of their fellow citizens, about a quarter of the population, in order to create their peasant-Marxist utopia. Communist Vietnam invaded in 1978 and expelled the Khmer Rouge, setting up their own puppet government.

In the novel a group of French doctors decide to mount a mercy mission by going to Thailand and marching to the Cambodian border and demanding admission. Soon the mission snowballs as a load of American intellectuals and actresses get involved. The French fall out with the Americans, the Americans are offended, can’t everyone see their motives are pure.

I think this entire episode is a rare example of Kundera striking a false note. The entire thing is meant to satirise the sentimentality of the liberal West and its obsession with Grand Marches and Noble Gestures, but… the horror of the Khmer Rouge seems, to me, too serious a setting for Kundera’s satire. It’s as if he was making facile or footling nit-picking pseudo-philosophical points in Auschwitz or Katyn. Don’t get me wrong. I believe you can laugh at more or less anything, I have no politically correct objection to universal mockery. But some things you can only laugh at if it’s a really, really, really good joke, sufficiently funny to outweigh your knowledge of the horror – and Kundera tying together the superficial narcissism of western protests, silly Hollywood actresses and snotty French intellectuals with…. the horrors of the Pol Pot regime – this strikes me as the first wrong step he’s taken in the five books of his I’ve read.

Kundera tries to redeem what even he may have suspected was forced material by piling in ‘tragic’ material about his characters. In particular we now learn that the son, Simon, who Tomas abandoned early on in the novel is now all grown up and is also working as a farm labourer. He starts writing letters to Tomas in which he explains that, in protest at the regime, he left an academic career and married a devout wife and became a Christian. Simon and Tomas exchange a few letters but remain (as all Kundera characters do) at cross-purposes. When he receives a letter that Tomas and Tereza have been killed in a car accident, crushed by a truck which rolled onto their car, Simon hurries to the funeral.

Hmm. I don’t mind Tomas and Tereza’s deaths being reported at one remove like this, and by a fairly new character, but… this ‘Simon’ feels like he’s been introduced too quickly to properly perform the task. We barely know him before he is carrying the freight of having the deaths of our two beloved central characters die.

Similarly, the Grand March of the French doctors and American celebrities to the Cambodian border descends into farce, that much was predictable. But there’s another oddly false note, when one of the hundreds of photographers accompanying the self-important marchers, steps off the road and onto a land mine and is blown to pieces, his body parts spattering all over one of the banners the Grand Marchers are carrying. Initially dazed, they look up and then… feel a surge of pride.

Then they timidly ventured a few more looks upwards and began to smile slightly. They were filled with a strange pride, a pride they had never known before: the flag they were carrying had been consecrated by blood. Once more they joined the march. (p.265)

That feels to me like bollocks. Satire has to have an element of truth to work, and this just feels to me like pure fantasy. Can you imagine a Hollywood actress being spattered by the blown-up body parts of a press photographer, then slowly breaking into a smile? It felt like Kundera was forcing his characters to fit his thesis and they snap.

Same with Franz. The Grand Marchers finally arrive at the border, and stand at one end of the slim bridge over the river which forms the border, staring across it into Cambodia. Everyone knows snipers are watching on the other side, and will shoot at the slightest provocation.

The interpreter calls out three times (as in a fairly tale) for the other side to let the doctors in, but each time there is only an ominous silence. Then the Marchers pack up and march back to their jumping off point, catch the bus back to Bangkok, and go off to restaurants or brothels as their tastes dictate.

It was a fiasco. But for me it doesn’t work as satire because it doesn’t contain any kernel of truth, it feels like contrived fantasy from start to finish. And then Franz is walking along a side street when he is mugged, smacked on the head and thrown into a deep hole where he breaks his back and blacks out. When he comes to, he is in hospital in Geneva unable to move his body or head and staring up into the benevolent eyes of the wife he abandoned. She is thrilled, because she is having her revenge, because

a husband’s funeral is a wife’s true wedding! The climax of her life’s work! The reward for her suffering! (p.275)

Maybe he’s just dramatising Marie-Claude’s feelings, here, but this still feels like utter bollocks. Contrived and glib. Franz wastes away and dies, full of hatred for his wife, and to her great delight.

It feels like this entire section was written by someone else, by someone parodying Kundera’s approach of throwing together historical, social cultural, psychological and philosophical elements and threading them together with fictional characters and who…. has somehow got it profoundly wrong.

Part Seven – Karenin’s Smile

Which is why the final part is a relief. It follows Tomas and Tereza’s life once they move out of Prague and become agricultural labourers. Admittedly communism has destroyed the old rural ties, closing the village hall, and banning church attendance and cancelling the traditional holidays. But Tomas and Tereza don’t mind and he takes to driving a tractor with gusto and she tends the cows and heifers with real affection.

At moments it’s almost like Tess of the D’Urbervilles.

This last section is very beautiful, quite sentimental and made me cry. Which is odd because it’s still packed to the gill with references to philosophers (we learn about Descartes’ theory that animals have no souls and no feelings, and are merely machines; and this view is compared with Nietzsche, who had his final nervous breakdown and collapse into madness, after he saw a man whipping a broken-down horse in the streets of Turin) along with plenty more philosophising on his own account:

We can never establish with certainty what part of our relations with others is the result of our emotions – love, antipathy, charity, or malice – and what part is predetermined by the constant power play among individuals. (p.289)

Comparing Adam and Karenin leads me to the thought that in Paradise man was not man, Or to be more precise, man had not yet been cast out on man’s path. Now we are long-time outcasts, flying through the emptiness of time in a straight line. Yet somewhere deep down a thin thread still ties us to that far-off misty Paradise, where Adam leans over a well and, unlike Narcissus, never even suspects that the pale yellow blotch appearing in it is he himself. The longing for Paradise is man’s longing not to be man. (p.296)

And much more in the same vein.

In among all these lugubrious lucubrations, some stuff actually happens, mainly that their beloved dog of ten years, Karenin, falls ill of cancer, and wastes away until Tomas -being a doctor – is forced to put him out of his misery with a lethal injection.

This event prompts a series of reflections about humanity and animals: that the measure of humanity is how it treats the absolutely helpless i.e. animals, and that in this respect humankind has undergone an absolutely catastrophic debacle. Our contact with animals was the last thread attaching us to Paradise, and look how we treat them. Factory chickens. Veal calves. Hormone-pumped cattle. Vivisection. How many rabbits have been blinded by mascara or beagles forced to smoke themselves to death?

So it’s no surprise how we treat each other. Kundera emerges from this final section as a vehement Animal Liberationist (reminding me of the South African novelist J.M. Coetzee).

This last section, about Karenin wasting away and dying, and how they eventually, finally, have to put him down and then jointly bury the little doggy corpse, is pretty obviously designed to be tear-jerking, the dog’s final hours and last whimpers, and then how they bury him in the garden in a plot chosen by Tereza, designed to wring the last drop of feeling from the sensitive reader.

But what made me cry was how, at long, long last, Tereza was finally reconciled with Tomas. She comes across him hiding letters and once again the old gnawing doubts bite into her. But then, one day, he reveals that they’re letters from his son who has become a Christian and works on the land not far away. Inevitably, they discuss his son more as an intellectual example of conversion to faith (given his mother was a rabid communist), than as a person – but the point is that Tereza finally realises that Tomas’s days of unfaithfulness are over. Finally, they are completely together. Finally her years of anxiety-jealousy nightmares can end.

And the book ends with them accompanying the jovial old director of the collective farm, and a young farm hand whose dislocated shoulder Tomas has fixed, to the nearest town where they get drunk and dance to the ludicrous accompaniment of an ageing pianist and equally old violinist, till they fall into bed together, finally, at last, HAPPY.

Thoughts

To read a Milan Kundera novel is to be bombarded with so many ideas about love and sex and marriage and fidelity and psychology and religion and politics that it’s difficult to keep them all in your head. Some will stick, some will go in one ear and out the other. Some kind of diagram would be needed to store them all and work out their web of interrelations.

They are dazzling, awesome intellectual feats of thinking, imagination and writing. But the downside is it can sometimes feel like you’re reading an encyclopedia; or a highly erudite author’s commonplace book where they’ve jotted down every thought and notion that’s ever occurred to them – and the concocted characters and a narrative which allows him to insert them at regular intervals.

I found it ultimately a very moving book, as mentioned above for the simple reason that we follow Tomas and Tereza’s story for longer, in more depth, and with more sympathy, than any of his previous characters. And because it ends with emotional closure, with them going to bed happy and contented so the reader can close the book with a big smile on their face.

But I also regularly experienced Idea Fatigue at quite a few places, where I just felt overwhelmed by yet another page of graceful and witty fancies and hypotheses, theories and thoughts, opinions and asides. It is possible to have too many postulates and paradoxes per page, in fact:

Questionable wisdom

Saul Bellow coined the term ‘reality instructor’ for people who take it upon themselves to explain what life is really like, what it really means. This kind of lecturing is a quintessential part of Kundera’s style. I think in small doses it can be very illuminating, but the more you read, the more you have the sense of being harassed.

An author can discuss philosophy without being a philosopher, psychology without being a psychologist. On the one hand it gives them the freedom to play with ideas and spin amusing and unusual insights. On the other hand, their little lessons risk lacking depth or evidence – of resting, ultimately, on assertion, often on rhetorical tricks, on paradox and wit, more than evidence. Here are some examples:

Dreaming is not merely an act of communication (or coded communication, if you like); it is also an aesthetic activity, a game of the imagination, a game that has a value in itself. Our dreams prove that to imagine – to dream about things that have not happened – is among mankind’s deepest needs. (p.59)

Is that true? Or does it just sound like it’s true?

The only serious questions are the ones that a child can formulate. Only the most naive of questions  are truly serious. They are the questions with no answers. A question with no answer is a barrier that cannot be breached. In other words, it is questions with no answers that set the limits of human possibilities, describe the boundaries of human existence. (p.139)

Is this deep? Or does it just sound deep?

An important point to make about all this intellectualising and philosophising is that… none of it is difficult. It’s clever… but none of it is hard to understand, if you pay attention.

If you think of the tradition of learnèd wit, epitomised by Tristram Shandy, in which the narrative is buried in spoof footnotes and fake academic papers and sermons and all sorts of other texts interrupting the story… Kundera is not like that. By intellectual, we don’t mean he literally references academic papers or abstruse findings. The opposite. Most of his reflections are very middle brow. Referencing the Garden of Eden or quoting Descartes’ opinion that animals are just machines, these are either part of common lore or only a little beyond it. Intelligent A-Level standard. An A-Level student should have heard of Don Juan. Or Beethoven. Or Adam. These are not really obscure intellectual references.

And his core subject – sexuality, love, fidelity and betrayal, affairs and mistresses – hardly high-brow, is it? Not difficult to grasp. The opposite, in many ways all-too-easy to grasp.

Similarly, he’s surprisingly un-hypertextual. His texts aren’t clever constructions pieced together from diaries and journals and letters and newspaper reports and eye-witness accounts and so on. They are just meandering musings, all spoken in the same voice, his characters all speak in much the same way, and they certainly stop and reflect about the meaning of fidelity or political marches or nudity or art or music in the identical, same manner as each other and as the narrator.

For long stretches they seem like extended essays with characters thrown in. At other moments the characters get the upper hand and for a moment you forget the ideas in reading about them sympathetically.

God, it’s just so full, so rich, like a Christmas pudding, so full of so many ingredients it’s difficult to get a real grasp of, or give an adequate review of, because it’s impossible to hold so many ideas, incidents and events in your head at once. Inevitably, some bits will appeal more to some readers than others – the politics or the philosophy.

Wisdom about men and woman

Sames goes, but that much more, for his sweeping generalisations about love and sex, men and women. Why that much more? Because the past forty years have seen a transformation in relationships between the sexes, and a massive shift in what is considered acceptable behaviour, especially around men and their speech and behaviour towards women. Sometimes, reading one of his countless reflections about ‘women’, it feels like a massive tide has gone a long way out and left a lot of what Kundera wrote about relations between the sexes seeming very dated.


Related links

Milan Kundera’s books

1967 The Joke
1969 Life Is Elsewhere
1969 Laughable Loves (short stories)

1972 The Farewell Party
1978 The Book of Laughter and Forgetting

1984 The Unbearable Lightness of Being
1986 The Art of the Novel (essays)

1990 Immortality
1995 Slowness
1998 Identity

2000 Ignorance
2014 The Festival of Insignificance

The Tragedy of Liberation by Frank Dikötter (2013)

People were encouraged to transform themselves into what the communists called ‘New People’. Everywhere, in government offices, factories, workshops, schools and universities, they were ‘re-educated’ and made to study newspapers and textbooks, learning the right answers, the right ideas and the right slogans. While the violence abated after a few years, thought reform never ended, as people were compelled to scrutinise their every belief, suppressing the transitory impressions that might reveal hidden bourgeois thoughts behind a mask of social conformity. Again and again, in front of assembled crowds or in study sessions under strict supervision, they had to write confessions, denounce their friends, justify their past activities and answer questions about their political reliability. (p.xiii)

For three-quarters of the twentieth century (from the Boxer Rebellion in 1900 to the death of Mao in 1976) China was the site of enormous turmoil, war, famine, tyranny and suffering.

Frank Dikötter is a Dutch historian, professor of humanities at the University of Hong Kong, formerly of the School of Oriental and African Studies in London. In the last twenty years China has become easier to visit and has opened many of its historical archives to academics for the first time. Dikötter has taken advantage of this to spend years researching provincial records and archives hitherto unseen by western historians. This research has resulted in a trilogy of books detailing the first three decades of communist party rule in China:

  1. The Tragedy of Liberation: A History of the Communist Revolution, 1945–1957 (2013)
  2. Mao’s Great Famine: The History of China’s Most Devastating Catastrophe, 1958–62 (2010)
  3. The Cultural Revolution: A People’s History, 1962-1976 (2016)

The general drift of all three books is that communist rule in China was much, much more repressive, bungling and catastrophic for the people of China than previously thought.

The centrepiece of the trilogy is the second book, about the great famine of 1958-62, which charges that it was much more consciously and deliberately engineered by the communist leadership (i.e. Mao) lasted longer (1958-62), and resulted in more deaths from starvation, than previously estimated.

Dikötter gives the figure of 45 million premature deaths, of which between two and three million were victims of political repression i.e. people beaten or tortured to death or executed for political reasons.

The famine book won the Samuel Johnson Prize in 2011 and was widely praised for the originality of its research, though it is not without its critics who consider the numbers inflated. No-one doubts, however, that Mao’s communist party oversaw the greatest mass death event in human history.

The Tragedy of Liberation is the second to be published in the trilogy, but covers the earlier period, setting the scene for the famine story by recounting the end of the War in the Pacific (1945), the eruption of civil war between China’s Nationalists and Communists (1946), and the eventual victory of the latter, announced in 1949.

Chinese communist party poster depicting Chairman Mao Zedong

Chinese communist party poster depicting Chairman Mao Zedong

Timeline of the Chinese civil war

  • 6 and 9 August 1945 – the United States drops atom bombs on Hiroshima and Nagasaki.
  • 8 August – Stalin declares war on Japan and Soviet troops invade Manchuria. America sends hundreds of shiploads of lend-lease material and food to Siberia to support the Russians, including 500 Sherman tanks.
  • 21 August 1945 – A formal surrender between China and Japan ends the Second World War in the Pacific. Japan’s 1 million soldiers in China lay down their arms. The American army undertakes a massive airlift of Chiang Kai-shek’s nationalist troops to all China’s main cities to take over from them, before the communists get there.
  • April 1946 – Soviet troops withdraw from Manchuria, having stripped it bare down to the last lightbulb and bath plug (p.15), and having helped Mao’s communist army take control of most of Manchuria.
  • June 1946 – Nationalists undertake a massive military campaign against the communists in Manchuria. The communists are saved by George Marshall, President Truman’s envoy, who insists on a ceasefire, allowing the communists to regroup and get more training and supplies from the Soviets (p.16).
  • September 1946 – July 1947 – US President Harry Truman, disillusioned with the corruption and maladministration of Chiang’s nationalists, imposes an arms embargo which – since the communists are receiving ample supplies and training from Russia – has the effect of boosting the communist army.
  • December 1946 to December 1947 – Nationalists pump their forces into Manchuria in a bid to crush the communists who, better armed and trained than before, turn Manchuria into a killing field wiping out repeated waves of Nationalist forces.
  • November 1948 – The communists succeed in capturing all of Manchuria after blockading and starving several major cities. Civilian deaths due to starvation run into the hundreds of thousands.
  • January 1949 – The communist army, now known as the People’s Liberation Army, much reinforced and battle-hardened, heads south out of Manchuria. On 22 January Beijing surrenders to the PLA. In the same month the nationalists lose the battle of Xizhou in central China, exposing the huge Yangtse valley to communist takeover.
  • May 1949 – Nanjing, the nationalist capital of the south bank of the Yangzi, falls to the PLA. After a lengthy siege Shanghai, financial capital of China, falls to the communists.
  • October 1 1949 – Mao declares the People’s Republic of China in Tiananmen Square.
  • December 1949 – Nationalist leader Chiang Kai-shek and the remnants of his forces flee to the island of Taiwan, to this day an independent nation which China refuses to recognise. Realising their man had failed, the Americans were resigned to the eventual fall of Taiwan as well, but the situation was transformed with the outbreak of the Korean War in June 1950, when Chinese-backed North Korean forces invaded American-backed South Korea. America rallied the United Nations in a bid to create a coalition to repel the North Koreans and this spilled over into supporting Chiang, so that Taiwan’s nationalists were ensured of survival.

Mass deaths

The civil war involved a number of sieges of nationalist cities during which large number of civilians were deliberately starved to death. The six-month siege of Changchun resulted in between 150,000 and 300,000 civilian deaths. The massive Huaihai campaign resulted in at least 500,000 deaths on the nationalist side.

Dikötter’s text is larded (rather like Max Hasting’s history of the Pacific War, Nemesis) with eyewitness and first-hand accounts from all sources, civilians, peasants, students, soldiers on both sides and politicians. The overall impression is of death and destruction on a grand scale.

The communists in power

Dikötter’s book is a remorseless catalogue of the horrors of the civil war interspersed with the tyrannical policies of the narrow-minded, economically illiterate dictatorship. One of the clearest themes is that the communists achieved and maintained power through HATE at all levels. Categories of enemies were invented and then ‘discovered’ lurking at all levels of society.

An example he explains in detail is persecution of landlords. In Chinese the word landlord itself is an import from the Japanese language, because the thing itself was relatively rare. Dikötter shows that land in China was alienable i.e sellable, and was held by peasants and families under complex and highly detailed traditional contracts which also varied across the regions of China. But landlords, who owned land and raked off a profit by renting it to peasants, were relatively rare. Serfdom, on the Russian model, didn’t exist at all. But this didn’t stop Mao’s campaign to eradicate ‘landlords’ and so each province, region and local area was given quotas of landlords to identify and eradicate. With a gun in their hand and the ability to do whatever they liked, communist cadres across the country listened to the venomous vendettas which infest all rural communities, dragging unpopular villagers and their families in front of hurried kangaroo courts, where victims were abused and insulted before being showered in filth and, variously, shot immediately, beheaded, or flayed with knives, buried alive in sand or mud, hanged upside down or burned to death. Hundreds of thousands of peasants died this way and their – generally pitifully small – stocks of goods redistributed among the villagers. Obviously this didn’t lead to any particular improvement in agricultural production, in fact the disorder across the country disrupted resources, plans and distribution, so led to a drop in agricultural production.

But this is only one thread in the great tapestry of destruction. Another was the campaign against the ‘bourgeoisie’ in the cities, namely Nanjing and Shanghai. Once secure in the hands of the communists a curfew was imposed. Bars and nightclubs closed down. Decadent shops were closed down. Banks were nationalised. Capital could only be allotted by communist party cadres who were economically illiterate. Stocks and supplies ran short and so factories switched to part time work before closing down. Thousands of workers saw pay cuts and then were made unemployed. Convinced this was a conspiracy of reactionaries to discredit the party, the communist authorities took tighter control of the population, issuing identity cards and other papers, classifying every citizen into a series of categories e.g. student, professional, worker, peasant, with the workers and peasants in theory being the most advantaged. As the economic situation worsened, the communist authorities reacted with the only tool at their disposal, fear and terror, with increasing sweeps rounding up members of suspect professions and taking them for interrogation and torture and often execution.

In this and numerous other ways Dikötter’s book relentlessly catalogues the way the economically illiterate communists, blinded by the purity of their utopian doctrine, were forced to use the only strategy and language they understood, fear which was achieved by whipping up hysterical hatred of traitors, saboteurs, counter-revolutionaries, reactionaries, landlords, the bourgeoisie, intellectuals, and so on. These categories covered just about everyone, thus allowing the authorities to arrest and torture anyone into making confessions implicating strings of other people who were themselves tortured to confess, and so on.

‘You dare not speak with others about what was on your mind, even with those close to you, because it was very likely that they would denounce you. Everybody was denouncing others and was denounced by others. Everybody was living in fear.’ (Liu Xiayou, quoted on page 183)

Dikötter presents the evidence and estimates that the number of people killed in the first Great Terror, from 1950 to 1952, might be around 2 million. There were to be more waves of terror, many more. Two striking features of them are that:

  1. Mao’s orders which triggered these waves were always deliberately vague – this meant that cadres trying to carry them out tended to give them the broadest interpretation and arrest everyone, just in case.
  2. This was exacerbated by the use of quotas. Mao casually estimated that 1 in a 1,000 of each populated area should probably be executed. Once these orders were distributed to the cadres, they vied to gain the Chairman’s favour by exceeding the quota. Like quotas for steel or wheat production these were just more statistics to be reached and exceeded, the quicker the better. Authorities in different regions interpreted the lax definitions to suit themselves, and executed whichever groups were easily available and/or disliked, including ethnic minorities, petty criminals, anyone with any mark of suspicion against them.

Max Hasting’s history of the Pacific War, Nemesis, is made bearable because, amid all the unspeakable Japanese atrocities, we meet Americans and English who are, basically, humane and kindly. There are moments of light, reason and humanity. Dikötter’s book is almost impossible to read because of the stifling sense that the reader is trapped in a totally repressed society, where absolutely everyone lives in fear all the time that the slightest remark, look, or even thought could lead to their arbitrary arrest, torture and execution – where brutality is ubiquitous. There are no reports of anyone being forgiving, kind or generous. It is a landscape of unrelenting tyranny, fear and violence.

In the campaign against ‘corruption’ in the early 1950s, suspects had their hair pulled, heads forced into toilets, forced to squat with kettles of boiling water on their head, forced to strip, were beaten and whipped, were made to stand naked in snow, were paraded through the streets to be jeered and spat at, forced to kneel in hot ashes, beaten with ropes (p.162), forced to kneel on benches or to remain bent over for hours, stripped and forced into vats of freezing water, bound with leg irons, beaten with bamboo sticks, tied hand and foot and forced to make confessions in front of mass rallies,

‘Denunciation boxes’ were placed in every office so citizens could denounce each other. Lorries patrolled the streets with loudspeakers insulting the corrupt bourgeoisie and enemies of the workers.

During this period up to 4 million government employees were hounded like this, many committing suicide. Dikötter devotes some pages to describing the suicide techniques of those hounded beyond endurance. Again, Mao came up with a scientific quota: 1% of suspects should be shot, 1% sent to labour camps for life, 2-3% sentenced to ten years hard labour.

Speak Bitterness Meetings

Timeline of communist repression

‘Socialism must have a dictatorship, it will not work without it.’
(Mao Zedong, quoted page 237)

  • 1942 – With the war far from won, and the communists facing a far stronger nationalist enemy, behind the lines Mao institutes a purge of his own communist party, named the ‘Rectification campaign’. Every member of the communist party, including the highest leadership, had to write an autobiography, produce self-criticisms, confess to past errors and ask the party’s forgiveness. By 1944 15,000 spies and traitors had been unmasked, tortured and executed.
  • 1950-52 – The communists implement land reform in the south.
  • October 1950 – October 1951 – The Great Terror, known as the ‘Campaign to Suppress Counter-Revolutionaries’ leads, apart from the murder and intimidation of millions, to an explosion in the prison population and the creation of a chain of forced labour camps (pp.243-254).
  • 1951-53 – Land having been redistributed, peasants are organised into ‘mutual aid teams’.
  • October 1951 – the campaign to purge the civil service begins, alongside a thought-reform campaign to indoctrinate the educated elite into communist ideology.
  • 1952 – Mao declares war on the private sector in the ‘Five Anti Campaign’.
  • 5 March 1953 – Josef Stalin dies.
  • Spring 1953 – As a result of state-imposed communalisation of agriculture, productivity plummets and large swathes of the country experience famine, people resort to eating grass, leaves and bark, with case of children being sold for food.
  • 27 July 1953 – Ceasefire halts the Korean War.
  • November 1953 – The communist state imposes a state monopoly on grain. The state set the amount to be grown in each region (often wildly optimistic), confiscated it all, returned a fraction (a starvation rations) to the farmers, while confiscating the rest to a) feed the cities b) export to Russia in exchange for industrial goods and weapons. The result was starvation across the country, mixed with open rebellion which was put down with maximum violence.
  • 1953-55 – Peasant mutual aid teams are transformed into fully fledged communes which share all tool, animals and labour. In effect, country workers become serfs in bondage to local communist leaders.
  • 1954 – Senior communist leaders are purged for treachery and splittism. More than 770,000 people are arrested in a campaign against counter-revolutionaries.
  • June 1955 – For the third spring in a row famine struck the collectivised countryside and millions of starving peasants flocked to the cities as beggars. So Premier Zhou Enlai announced the extension of the urban system of ‘household registration’ to the countryside, to tie rural workers to their villages.
  • 1955-56 – The ‘Socialist High Tide’ campaign accelerates collectivisation in the countryside and nationalisation of industry in towns. In July 1955 about 14% of China’s 120 million rural families were members of a co-operative; by May 1956, more than 90% were members. Dikötter sees this as the final step in the systematic reduction of China’s rural population to landless serfs tied to the state. It is accompanied by widespread violence, terror and intimidation. In the cities 800,000 owners of businesses, large or small, were deprived of their property and overnight became dependent on the whim of local party officials.
  • February 1956 – Soviet leader Nikita Khrushchev gives his famous speech denouncing Stalin and the ‘cult of the leader’. This bolsters Mao’s critics in the Chinese communist leadership. The ‘Socialist High Tide’ campaign is abandoned.
  • October 1956 – Encouraged by Kruschev’s speech and resulting deStalinisation, the people of Hungary revolt against the communist government. After some hesitation, the Soviets invade, crush all opposition, and impose a new, tougher regime, sending hundreds of thousands of Hungarians to labour camps.
  • Winter 1956-spring 1957 – In a response to Kruschev’s speech and deStalinisation, Mao institutes the ‘Hundred Flowers’ campaign, a more open political climate designed to avoid the overflow of protest seen in Hungary. But it goes too far, leading to a wave of student protest and strikes across the country, at which point, in the summer of 1957, Mao reverses the policy and puts Deng Xiaoping in charge of an anti-rightist campaign. This reaction persecutes up to half a million students and intellectuals, many of them packed off to gulags in the countryside to do hard labour for the rest of their lives.
  • 1957 – The communist party re-establishes its authority and rallies around the Great Leader. He prepares to declare the ‘Great Leap Forward’, which will lead to four years of famine and the greatest man-made disaster in human history, and which is the subject of the second book in the trilogy.
A peasant 'landlord' confesses all before a People's Tribunal moments before being shot (July 1952)

A peasant ‘landlord’ confesses before a People’s Tribunal moments before being executed (July 1952)

How to run a Maoist hate campaign

The first step is to declare that there is a ‘struggle’ or ‘war’ in society between the virtuous and the wicked. We must all be vigilant and watch each other and report anti-social actions or words, or even funny looks. Children must report their parents. Culprits must be ‘called out’ on their anti-social activity and brought before a mass meeting where they must confess their crimes and beg for mercy. They must reflect on their past behaviour and pledge to become a ‘New Person’, promising to dress, think and talk like everyone else, and be unstinting in their praise of the New World and the Wise Leader. The correct climate of fear has been established when everyone is nervous of being ‘named and shamed’ for the slightest slip or error. And anyone speaking up for a bourgeois deviant and enemy of the people will, of course, themselves immediately be proved guilty by association: why else would they defend the guilty?

Thus is a society atomised, making everyone fearful of everyone else, restricting conversation to the blandest generalities. It is important to have a large vocabulary of hate but to be vague about definitions, so that the maximum number of people can be caught by one term of abuse or another.

Thus the Chinese communists castigated ‘the enemy’ as, among other terms, a:

  • backward element
  • bourgeois
  • bourgeois idealist
  • bourgeois sentimentalist
  • capitalist roader
  • Chiang Kai-shek roader
  • counter-revolutionary
  • degenerate
  • decadent
  • deviant element
  • exploiter
  • go-it-aloner
  • hoarder
  • hooligan
  • humanist
  • hypocrite
  • individualist
  • kulak
  • lackey
  • landlord
  • middle-of-the-roader
  • reactionary
  • rightist
  • right deviationist
  • running dog of imperialism
  • saboteur
  • schemer
  • servant of imperialism
  • speculator
  • spy
  • swindler

Dikötter’s conclusion

‘The first decade of Maoism was one of the worst tyrannies in the history of the twentieth century, sending to an early grave at least 5 million civilians and bringing misery to countless more.’ (p.xv)

Credit

The Tragedy of Liberation by Frank Dikötter was published by Bloomsbury Books in 2013. All quotes and references are to the 2014 paperback edition.


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