Orientalism by Edward Said (1978) part 2

Orientalism is the generic term that I have been employing to describe the Western approach to the Orient; Orientalism is the discipline by which the Orient was (and is) approached systematically, as a topic of learning, discovery and practice.
(Orientalism, page 73)

Said’s fundamental premise is that knowledge is power – and so the entire discipline of Orientalism, along with all related types of scholarship such as the sociology and anthropology of the East, the study of Oriental languages, culture, religions, history, customs, economies, geography, ethnic groups and so on, all of them contribute to a vast interlocking system of self-reinforcing ideas about the ineradicable difference between the West and the East, and the ineradicable inferiority of the latter:

The essence of Orientalism is the ineradicable distinction between Western superiority and Oriental inferiority (p.42)

Ideas which, obviously enough, were designed to bolster, justify and explain the inevitability of imperial rule. It all circles back to the fundamental premise that Knowledge is power:

To have knowledge of a thing is to dominate it, to have authority over it. (p.32)

Knowledge of subject races or Orientals is what makes their management easy and profitable; knowledge gives power, more power requires more knowledge, and so on in an increasingly profitable dialectic of information and control. (p.36)

Straightaway you can see how Said’s thesis is premised on a basically Marxist interpretation of the compromised, parti pris nature of bourgeois culture. The naive bourgeois thinks that their culture and their scholarship is objective and truthful, beacons of rationality and self-evident truths. Whereas Marxists from the 1850s onwards developed the idea that bourgeois culture was no such thing, but in every aspect a justification for the political control of their class.

Antonio Gramsci in the 1930s extended the idea that the bourgeoisie held power by extending their values through every aspect of capitalist culture to achieve what he termed hegemony.

Michel Foucault, in a series of studies in the 1960s and 70s, gave really practical examples of how this power or hegemony extended into the furthest recesses of hospitals, lunatic asylums, prisons and other state institutions.

And Said took these ideas, very current and fashionable in the mid-1970s when he was writing, and applied them to the subject closest to his heart, to imperial rule in the Middle East or Arab world.

But the idea that so-called scholarship and academic knowledge is never pure but always tainted by the power structures of the society it is generated by, is a straight Marxist idea.

Chapter 1. The Scope of Orientalism

[Chapter 1] draws a large circle around all the dimensions of the subject, both in terms of historical time and experiences and in terms of philosophical and political themes.

1. Knowing the Oriental

In western discourse the Oriental is an object to be studied, recorded, measured and ruled. He is always in a subordinate position vis-avis the Westerner. All this scholarship doesn’t depict the Oriental as they actually are: it creates an avatar of the Oriental as inferior in every way to the Westerner, and places this image within numerous ‘frameworks of power’. So study of the Orient produces a kind of ‘intellectual power’ (p.41).

Given its enormous impact and reputation it’s a surprise to discover that Orientalism is poorly conceived and poorly written. Said really struggles to develop an argument or present evidence. Instead he asserts the same core idea over and over again. In this section he opens with a speech by Arthur Balfour to the House of Commons in 1910, then goes onto some passages from the writings of Lord Cromer, consul-general in Egypt from 1883 to 1907.

Despite his repeated lists of big categories and ideas Said is decidedly poor at placing either speech in its historical context or at performing even basic practical criticism on them. He says both demonstrate the assumption of Western superiority over the East, but I thought that was the thing he was going to analyse, and whose history and development he was going to explain. Instead he just redescribes it in much the same terms he used in the Introduction. Repetition is going to be a central tactic of the book.

It’s surprising and disappointing that, having not got very far with what ought on the face of it to be two exemplars of the heyday of Orientalising imperialism he then, abruptly, jumps to an essay by Henry Kissinger (!?), ‘Domestic Structure and Foreign Policy’, published in 1966. Said says that when Kissinger, in this essay, discusses foreign policy he divides the nations of the world into the developed world and the developing world and then claims this is the same kind of binary opposition which he, Said, sees as the basis of Orientalism (West superior, East inferior). Kissinger adds the idea that the West is superior because it went through the Newtonian scientific revolution whereas the rest of the world is inferior (less developed politically and economically) because it didn’t. I see what he’s doing but it feels like a thin and predictable interpretation.

Moreover, at this early stage, it confirms the suspicion you have from the Introduction that, in one sense, Said’s deep aim in researching and writing the book is simply to attack American foreign policy, in particular US policy regarding Israel and Palestine. He doesn’t artfully combine his personal situation and history in a subtle way with objective history and scholarship, rather the reverse; his supposed scholarship keeps collapsing to reveal the pretty straightforward political agenda lurking underneath.

Lastly he comes to another contemporary essay, ‘The Arab World’ by one Harold W. Glidden published in the American Journal of Psychiatry in 1972. By now we recognise that the title alone would be enough to get Said’s goat and, sure enough, he extracts from the article a whole load of clichés about ‘the Arab world’ (based on its patriarchy, its ‘shame culture’, the way it’s structured through patron-client relationships,  the importance given to personal honour and revenge) which, predictably enough, set Said’s teeth on edge.

We’re only at part one of the first chapter and the book is in danger of turning into little more than ‘grumpy middle aged Palestinian reads the news and is outraged by anti-Arab stereotypes’.

2. Imaginative Geography and its Representations: Orientalising the Oriental [in fact this section is about historic Western attitudes to Islam]

The academic discipline of Orientalism dates its origin to the decision of the Church Council of Vienne in 1312 to establish a series of university chairs in Arabic, Greek, Hebrew and Syriac (p.50). Until the 18th century Orientalism meant chiefly study of the Biblical languages. Then in the later 18th century the field exploded and by the mid-19th century was vast.

Modern Orientalism can be said to have started with Napoleon’s expedition to Egypt, 1798 to 1801. He took scores of scholars who explored, excavated, measured, sketched and recorded every scrap of ancient Egyptian relics they could find. The result was the vast Description de l’Égypte (‘that great collective appropriation of one country by another’, p.84), the work of 160 scholars and scientists, requiring some 2,000 artists and technicians including 400 engravers. Published in 37 volumes from 1809 to 1829, at the time of its publication it was the largest known published work in the world.

In a way the sudden fashion for all things Oriental was a transposition further East of the great awakening of interest in ancient Greece and Rome which we call the Renaissance (p.51). In 1820 Victor Huge wrote: ‘In the time of Louis XIV one was a Hellenist; now one is an Orientalist.’ There was an explosion of Asiatic and Oriental and Eastern Societies devoted to studying ‘the Orient’.

But whereas the Renaissance was based on plastic relics i.e. buildings and statues, Orientalism, indicating its origins in Bible scholarship, was overwhelmingly textual. It concerned languages and belief systems. Orientalists went to the area looking to bolster and confirm what they had in ancient texts from the region.

Said’s structuring of the material is poor. In one paragraph he says there was an Oriental school of writers i.e. Western writers who were captured by its mystique, from Goethe to Flaubert. This is an interesting idea to explore, but in the very next paragraph he is discussing whether it’s valuable for university departments which study this region to retain the name ‘Oriental’. These feel like completely different topics, each would merit a page or two of thorough investigation. Instead he plonks them haphazardly side by side and doesn’t explore either of them properly. Frustrating.

He cites the anthropologist Claude Lévi-Strauss on the fundamental human tendency to give ‘poetic’ or emotional meaning to our immediate surroundings and the people who inhabit them, and define them by contrast with the land beyond our ‘borders’ and the strange people who live there. Good. But in my opinion this has always seemed a weak point in Said’s argument, because he admits that ‘othering’ ‘the Other’, far from being some wicked Western vice, is in fact a universal trait and all peoples and cultures do it.

He says he wants to investigate the geographical basis of Orientalism but, characteristically, kicks this off by summarising two classic Greek plays, The Persians by Aeschylus and The Bacchae by Euripides. It’s sort of relevant as the first one is one of the earliest Greek dramas to survive and depicts ‘the East’ as a military threat in the form of the Persian Empire. The second is one of the final ancient Greek plays which has come down to us and is also about ‘the East’ which it associates with frenzied religious cults – but discussing history via literature (and therefore ignoring the evidence of archaeology and history) is always a shaky procedure.

Next thing we know Said is talking about the rise of Islam. His account is inferior to every other account I’ve ever read, lacking detail, interest or insight. Compare it, for example, with the final illuminating chapter of Peter Brown’s wonderful book, ‘The World of Late Antiquity’ (1971).

Said is blinkered by his need to twist every aspect of history to suit his thesis, to make out the West to always be blinkered, limiting, constraining, ignorant, creating the East in its own negative image. Hence he underplays the completely real threat which militant Islam actually posed to Christendom for nearly a thousand years. He refers to the West’s ‘anxiety’ as if it is an over-nervous neurotic, whereas Islamic armies captured and colonised half of Christendom, seizing all of North Africa, Spain and the entire Middle East from what had been Christian rule, then capturing the great Christian city of Constantinople and then pressing on through the Balkans into central Europe until Ottoman conquest was only finally halted just outside Vienna. See the quote from Edward Gibbon, below. Of course the West was terrified of these unstoppably conquering armies. Of course we were scared shitless of these plundering hordes. He himself admits this in a sentence thrown away while he’s discussing something else:

During its political and military heyday from the eighth to the sixteenth century, Islam dominated both East and West. (p.205)

Only someone with a poor grasp of deep history can dismiss eight centuries of Islam’s military, cultural and economic domination as if it’s nothing, a speck, a detail which we can quickly hurry past in order to get to the juicy part, the West’s wicked wicked domination of the Muslim world for, what, all of 300 years.

Having broached the topic of Islam, Said goes on to describe the way medieval authors vilified Mohammed as a kind of failed impersonator of Christ. He emphasises the West’s ‘ignorance’ and ‘narcissism’. On the next page he is claiming that this kind of ignorance created the Orient as a kind of theatre attached to Europe on whose stage were presented a whole series of Oriental types and stereotypes, from Cleopatra onwards. His text moves fast and deals with a confusing variety of topics, all of them very superficially. The only constant is his relentless criticism of every aspect of ‘the West’.

He introduces us to the Bibliothegue oriental of Barthelemy d’Herbelot (1697), which was to remain the standard reference work on the subject for over a hundred years, before going on to explain how this kind of encyclopedic work narrows and constrains its subject matter until readers could only approach this knowledge of the Orient via ‘the learned grids and codes’ provided by the Orientalist.

Said makes this sound like some awful conspiracy, as if the worst thing anybody could ever do would be to write a book on a factual subject, because that would involve imposing ‘grids and codes’ on it and so preventing any reader ever struggling through to a ‘true’ understanding of it.

In fact Said frequently uses these scare tactics, as if he’s letting you in on the shocking truth! The text as a whole has the obsessively repetitive feel of a conspiracy theorist letting you in on a secret which is even worse than the fake moon landings, who killed JFK and what really happened at Roswell, yes, this previously covered-up, hush-hush secret is that…a lot of Western literature and culture stereotypes the so-called ‘Orient’ and ‘the Arab world’ and ‘Islam’.

Next Said has a couple of pages revealing that Dante, in his great masterpiece The Divine Comedy, put Mohamed right in the lowermost pit of hell, next to Satan, for the sin of being a sensualist and religious impostor. He takes this as an epitome of the West’s fundamental Islamophobia.

Said broadens his critique out to describe how conquering Islam came to be seen in Christendom as the vital ‘Other’ against which European Christendom defined itself. Far from being some kind of revelation, this just strikes me as being obvious, really bleeding obvious, particularly to anyone who’s ever read any medieval history. Of course European Christendom defined the Islamic Arab world as ‘the Other’ because it was the Other. India let alone China were just rumours. Nobody had ever been to sub-Saharan Africa. Nobody knew North or South America or Australia existed. To anyone living in medieval Europe, in a society drenched at every single level at every single moment in Christian belief and practice, all there was was Christendom and facing it the enemy at the gates who threatened to overthrow and destroy everything they knew and cared for. Of course the Orient was depicted as alien, because it was alien. Of course it was depicted as threatening, because it had overrun and conquered half of Christendom. Even Said at one point admits this:

From the end of the seventh century until the battle of Lepanto in 1571, Islam in either its Arab, Ottoman or North African and Spanish form dominated or effectively threatened European Christianity. (p.74)

Said goes on to quote Edward Gibbon’s Decline and Fall of the Roman Empire without, apparently, realising the full implications of what he’s citing:

In the ten years of the administration of Omar, the Saracens reduced to his obedience thirty-six thousand cities or castles, destroyed four thousand churches or temples of the unbelievers, and edified fourteen hundred mosques for the exercise of the religion of Mahomet. One hundred years after his flight from Mecca, the arms and the reign of his successors extended from India to the Atlantic Ocean.

‘Destroyed four thousand churches.’ How do you think that struck a society completely dominated by Christian belief? With horror and terror.

3. Projects [turns into a list of French Orientalists]

Starts with more stuff about the rivalry between Christianity and Islam. Yawn. By page 75 I was remembering my impression on first reading this book 40 years ago, that Said just doesn’t have the intellectual chops to manage such a huge subject, with all its vast conceptual ramifications, that he is trying to address. He’s bitten off far more than he can chew and the symptoms of this are his repetitiveness, his superficial analyses, his raising complex issue only to move swiftly on. And his superficial and often wrong versions of history.

The Ottoman Empire had long since settled into a (for Europe) comfortable senescence, to be inscribed in the nineteenth century as the ‘Eastern Question’. (p.76)

1) The Ottoman Empire did not settle into a ‘comfortable senescence’ in the later 18th and 19th centuries. There was a good deal of upheaval and violence in the palace of the Sultan, not to mention endless uprisings and rebellions by national groups around the empire.

2) Said’s tone is unpleasantly patronising, condescending to the both the contemporary politicians who had to deal with and the modern historians who write about the Eastern Question. The use of the modish, pretentious, would-be Parisian intellectual verb ‘inscribed’ tries to hide the fact that Said doesn’t know what he’s talking about. The ‘Eastern Question’ is the term given to the series of geopolitical tensions and international crises brought about by the obvious decline and fall of the Ottoman Empire, crises which included, for example, the Crimean War and a stream of military and diplomatic crises in the Balkans in the 1870s and 1880s which threatened to drag all Europe into war. See my review of Andrew Roberts’s life of Lord SalisburyThat book was extremely well researched, intelligently analytical and beautifully written. Next to Roberts, Said looks like a blustering frog puffing up his throat to try and persuade everyone how important he is.

The next orientalist book of note after Barthelemy d’Herbelot‘s Bibliothegue oriental, was Simon Ockley‘s History of the Saracens (1708). Ockley shocked contemporaries by recording how much of the ancient world only survived because the Muslims saved it.

Next major Orientalist was Abraham Hyacinthe Anquetil-Duperron (1731 to 1805), the first professional French Indologist, whose work on Avestan texts prompted him, unlike previous scholars, to actually go to India. (The Avesta is the primary collection of religious texts of Zoroastrianism, composed in the Avestan language.) Anquetil’s publications (including a translation of the Upanishads), opened up huge new vistas of Indian literature to European readers.

Next major Orientalist was Sir William Jones (1746 to 1794), British philologist, orientalist and scholar of ancient India. It was Jones who first suggested the relationship between European and Indo-Aryan languages which is now widely accepted. Said doesn’t like him. Jones was a polymath who embarked on a deep immersion in the languages and texts of India. He founded the Asiatic Society of Bengal in 1784. According to some he was ‘the undisputed founder of Orientalism’ (p.78).

As Said went on about Jones, and the other Brits who gathered round him, studying and translating Sanskrit texts (e.g. Charles Wilkins, first translator of the Bhagavad-Gita, in 1785), I suddenly realised we had made a huge leap away from Islam, Mohammed and the Arab world to India, a completely different civilisation.

That is the primary problem with Said’s use of the word and concept ‘Oriental’, that it can refer to the Near East, Middle East, Far East, India, China, Japan you name it – and Said doesn’t help. He offers no conceptual or lexical clarification, no way of making the term more geographically or conceptually precise. In fact you realise that it suits his political agenda to keep it as open and slippery as possible. This allows him to jump from one criticism to another of ‘the West’ and its awful Oriental scholars all the more easily, to shift his ground, to continually move the goalposts.

His narrative moves on to Napoleon’s invasion of Egypt which, you will remember, was described just 40 pages ago. He repeats some of the key facts from the earlier passage, but adds new details. This, you feel, is how Said’s mind works, going round in circles, covering the same ground albeit with new wrinkles, making the same points again and again – Western Orientalism was (and is) an artificial construct, a self-referential system, built on self-serving stereotypes of Oriental backwardness, laziness, corruption and sensuality, which paved the way for and justified Western (French and British) imperialism.

The most interesting new bit is a (typically brief) account of Constantin François de Chassebœuf, comte de Volney (1757 to 1820) who wrote an extremely practical record, Voyage en Egypte et en Syrie (1787), which detailed the obstacles an invader would face in conquering Egypt, and was consulted and used by Napoleon. Many of Napoleon’s Orientalist scholars had trained under de Sacy and Said tells us his pupils dominated the field of Orientalism for the next 75 years.

de Sacy was the first Frenchman to attempt to read the Rosetta stone (discovered by some of Napoleon’s soldiers in 1799) and he was a teacher of Jean-François Champollion who went on to play a key role in deciphering it and Egyptian hieroglyphics.

The introduction to the vast Description of Egypt was written by Jean-Baptiste Joseph Fourier (1768 to 1830) known to history as a mathematician but who accompanied Napoleon’s expedition as scientific adviser. Fourier was appointed secretary of the Institut d’Égypte and contributed papers to the Egyptian Institute (also called the Cairo Institute) which Napoleon founded with the aim of weakening British influence in the East.

Said, characteristically, sees these institutes devoted to study of the Orient (and the others founded around Europe at the same time) as ‘agencies of domination and dissemination’ (alliteration is an important element of critical theory; sounds impressive) (p.87).

Said gives a handy half-page list (God, he loves lists) of the aims of Napoleon’s project, as summarised by Fourier himself, which amounts to a shopping list of Orientalism, namely:

  • to restore Egypt from its present fallen state to its former glory
  • to instruct the Orient in the ways of the modern West
  • to promote ‘knowledge’ of the East
  • to define ‘the East’ in such a way as to make it seem a natural appendage or annex of the West
  • to situate European scholars as on control of Oriental history, texts, geography
  • to establish new disciplines with which to control even more ‘knowledge’ about the Orient
  • to convert every observation into a ‘law’ about the eternal unchanging essence of ‘the Orient’
  • to bring ‘the obscurity’ of the Orient into the light and clarity of Western science

Above all, to convert the 3D ‘reality’ of the multivariant Orient into texts, the fundamental sources of power and control in Western ideology, sources written by Westerners, edited by Westerners, updated by Westerners, for the minds and imaginations of Western politicians and public. Fourier goes on to confirm all Said’s ideas when he writes that Egypt will provide ‘a theatre’ for Napoleon’s ‘gloire’ (p.86).

The Orient as stage for Western glory. Out of this matrix of dominating discourses come classics of Orientalising literature such as:

  • François-René de Chateaubriand’s Itinéraire de Paris à Jérusalem (1811)
  • Alphonse de Lamartine’s Voyage en Orient (1835)
  • E.W. Lane’s Manners and Customs of the Modern Egyptians (1836)
  • Richard Burton’s Personal Narrative of a Pilgrimage to El-Medinah and Meccah (1856)
  • Gustave Flaubert’s Salammbô (1862)

In the world of scholarship the next milestone was Ernest Renan’s Histoire générale et système comparé des langues sémitiques (1855).

Said’s text progresses not logically and chronologically, but crabwise, digressively, one thing leading to another. It’s fairly well known that the Suez Canal was conceived, designed and supervised by Ferdinand de Lesseps. Less well known that his father Mathieu de Lesseps went to Egypt as part of Napoleon’s huge expedition and stayed on after the Napoleonic forces withdrew in 1801.

It’s a mental tic of Said’s that he often writes a sentence or paragraph or topic about a subject, then shoehorns in a sentence in parentheses because it’s in his notes and it’s relevant but he can’t think of a way of including it in a logical exposition. An example is the way he ends his discussion of the Suez Canal’s symbolic significance (uniting East and West, ‘opening’ Egypt to the modern world etc) with a really throwaway reference to the Suez Crisis of 1956. He should either have given the Suez Crisis a paragraph of its own, where its significance could have been properly developed, or not mentioned it all. A brief throwaway reference is the worst of all worlds, but very typical of his scatter-gun, repetitive and badly structured approach.

For Said the Suez Canal finally dispelled the notion of the Orient as somehow remote and barely reachable. The Suez Canal dragged ‘the Orient’ into the fast-growing global imagination, made it imaginatively reachable (he doesn’t mention the establishment of the first Cook’s tours to Egypt at around the time of the canal’s opening, the 1860s). At the same time made it more of an annex and dependency.

4. Crisis

He repeats one his basic ideas which is that Orientalism amounted to the transformation of messy reality into tidied-up texts.

It seems a common human failing to prefer the schematic authority of a text to the disorientations of direct encounters with the human. (p.93)

He calls this the textual attitude. Travel books are an epitome of this attitude, assuring readers of a kind of Platonic ideal of a place which all-too-often fails to live up to the book’s idealised portrait.

Suddenly he’s giving a page-long quote from Egyptian social scientist Anwar Abdel Malek (1924 to 2012), from his 1963 essay ‘Orientalism in crisis’.

This is a not particularly relevant preliminary to ‘a history of Orientalism’. Said says all the pioneering Orientalists were philologists. Almost all the great discoveries in philology of the nineteenth century were based on study of texts brought back from the Orient. The central idea was that European languages were descended from two great families of Oriental languages, Indo-European and Semitic. Said gives a political interpretation of this, saying it proves 1) the linguistic importance of the Orient (its languages and scripts) to the achievements of Western research/knowledge, and 2) the Western tendency to divide and categorise Oriental materials to suit its own interests.

Orientalism is inextricably bound up with the study of language and texts; and therefore had a huge tendency to look far back into the past, to a golden age when Orientals lived the idealised lives depicted in the Upanishads or the Koran. In other words, a field of study entirely based on romantic images of an ideal past was always going to regard the messy realities of modern life in India or the Middle East as ‘degraded’ and fallen. Orientalists travelled to the East with their heads full of Romantic ideals and were horrified by the poverty and backwardness of what they saw, leading to a universal agreement that inhabitants of the modern Orient were degraded, debased and vulgarised – ‘an upsetting demystification of images culled from texts’ (p.101).

He’s barely told us he’s going to do a history of Orientalism before he tells us he’s not, and instead going to rattle off lists of eminent Orientalists ‘to mention a few famous names almost at random’ (p.99). Scholars, philosophers, imaginative writers, novelists, poets, travel writers, and explorers and archaeologists, they all contributed to the vast hegemony of Orientalism.

Suddenly it’s 1955, the year of the Bandung Conference, by which date all the nations of the former Orient were independent, presenting Orientalists with conceptual problems. This undermined (destroyed) one whole trope about Oriental peoples, of them being passive and fatalistic.

(This itself is obviously a gross simplification since movements for independence began to stir as early as the 1880s [the Indian National Congress was founded in 1885)], were loud and powerful enough to worry Kipling in the 1890s, and gained new momentum after the Great War. I.e. it’s plain wrong to say the trope of passive Orientals was overthrown by 1955, the contrary evidence was highly visible 50 years earlier.)

Suddenly Said is quoting from the first of a series of lectures given by the ‘great’ Oriental scholar H.A.R. Gibb in 1945, ‘Modern Trends in Islam’, a passage which beautifully illustrates the kind of tropes Said is on about, in that Gibb pontificates about ‘the Arab mind’ being utterly different from the Western mind, specifically in its inability to generalise from individual instances out to general laws and so their inability to have the rationalist thought and utilitarian practices which characterise the West.

This slips somehow into critiquing modern-day Orientalists such as Bernard Lewis (1916 to 2018) who set themselves up as experts on ‘Islam’, ‘the Arab mind’ and so on but just repeat the same old slanders about the Orient’s ineradicable backwardness but also – and suddenly the political Said steps forward into the limelight – uses all these tropes and prejudices to defend Israeli policy in Palestine.

And this turns quickly into polemic as he accuses Orientalists of ignoring ‘the revolutionary turmoil’ gripping the Islamic Orient, the ‘anticolonialism’ sweeping the Orient, as the world faces various disasters (nuclear, environmental) Said accuses politicians of ‘exploiting popular caricatures’ of the Orient.

These contemporary Orientalist attitudes flood the press and the popular mind. (p.108)

And his anger at white people:

A white middle-class Westerner believes it is his human prerogative not only to manage the nonwhite world but also to own it. (p,108)

Who’s making sweeping generalisations now? Who’s invoking racial stereotypes now?

You can’t help thinking that the tiger of passionate political polemic is constantly straining at the leash just below the surface of Said’s text, ready at any moment to break free and unleash a torrent of righteous indignation, genuine anger not only at Western Orientalists but the greedy white societies which host them. Pages 105 to 110 display his real anger at the way academic, cultural and political Orientalists deploy a whole armoury of demeaning tropes and stereotypes to maintain the lie of the Oriental as a passive, backward degenerate, even up to the time of writing (1976 to 1977).

It might also explain why the book is so poor as scholarly exposition, why he promises some kind of history of Orientalism on page 96 but a few pages later apologises for giving us only a very superficial sketch, skipping over names and dates, citing essays and speeches almost at random. It’s because what is really motivating him is to get to the Polemical Outburst.

(I got to the end of this section without really understanding why it was titled ‘crisis’.)

Chapter 2. Orientalist Structures and Restructures

[Chapter 2] attempts to trace the development of modern Orientalism by a broadly chronological description, and also by the description of a set of devices common to the work of important poets, artists and scholars.

In this chapter my concern is to show how in the nineteenth century a modern professional terminology and practice were created whose existence dominated discourse about the Orient, whether by Orientalists or non-Orientalists. (p.156)

1. Redrawn Frontiers, Redefined Issues, Secularised Religion

Like the literary critic he started out as, Said opens with a 2-page summary of the plot of Flaubert’s last novel, Bouvard and Pecuchet, two clerks who come into an inheritance, resign, buy a house in the country and proceed to systematically study every subject then known to modern man, with a view to mastering all the arts and crafts. Inevitably, the turn out to bodge every single one. Said’s quoting the novel because in Flaubert’s notes for the ending (he died before completing it) the pair talk about the future and hope for a great regeneration of the West by the East.

Said takes this as his theme and shows how it derived from the Enlightenment achievement of rejecting Christianity but incorporating many of its mental structures, such as a millennial transformation of society, and how, in a central thread of the Romantic tradition, this transformation and redemption was expected to come from the East, or from the reintegration of Eastern and Western thought.

Modern Orientalism derives from secularising elements in eighteenth century European culture (p.120)

This triggers a rash of name-dropping – Schlegel, Novalis, Wordsworth, Chateaubriand, Comte, Schopenhauer.

Said is, of course, sharply critical of this whole way of thinking, saying it’s yet another example of Western intellectuals thinking they own the world and that ‘Asia’ or ‘the Orient’ will be happy to play this redemptive role for the benefit of the West.

During the eighteenth century the way for modern Orientalist structures was laid down in four major developments:

  1. Expansion The East was opened up far beyond the Islamic lands, by a range of explorers he lists
  2. Historical confrontation History benefited from an anthropology which conceived of cultures as self-contained systems and began to think more sympathetically about them e.g. George Sales’s translation of the Koran which also translated Muslim commentators
  3. Sympathy Leading to ‘sympathetic identification’ by which some writers, artists, and Mozart (his opera, ‘The Abduction from the Seraglio’) imaginatively identified with the East, he briefly sketches the rise of the Gothic and exotic in writers like Beckford, Byron, Thomas Moore et al
  4. Classification The Western impulse to categorise everything into types, Linnaeus, Buffon, Kant, Diderot, Johnson, Montesqieu, Blumenbach, Soemmerring, Vico, Rousseau, it’s difficult to make out the scanty ideas through the blizzard of impressive names

In this chapter:

My thesis is that the essential aspects of modern Orientalist theory and praxis (from which present-day Orientalism derives) can be understood, not as a sudden access of objective knowledge about the Orient, but as a set of structures inherited from the past, secularised, redisposed, and reformed by such disciplines as philology, which in turn were naturalised, modernised and laicised substitutes for (or versions of) Christian supernaturalism. (p.122)

2. Silvestre de Sacy and Ernest Renan: Rational Anthropology and Philological Laboratory

An extended discussion of the lives and works of these two founding Orientalists or, as he puts it, Orientalism’s:

inaugural heroes, builders of the field, creators of a tradition, progenitors of the orientalist brotherhood (p.122)

In Said’s usual manner this starts out reasonably clearly but soon gets bogged down in his characteristically elliptical, digressive, list-heavy and oddly expressed style. It is a struggle to read. Sacy was interested in fragments of texts and knowledge (a mindset very typical of the Romantic generation).

Renan is tougher-minded. Said’s passage on Renan brings out the importance of philology, considered as a leading discipline. He brings in Nietzsche, who was also a philologist, to describe how the discipline means bringing to light the meanings latent in words and language. Renan wrote in 1848: ‘the founders of the modern mind are philologists.’ The ‘new’ philology of the start of the nineteenth century was to score major successes:

  • the creation of comparative grammar
  • the reclassification of languages into families
  • the final rejection of the divine origins of language

Prior to this scholars thought that God gave Adam the first language in the Garden of Eden. The systematic discoveries of philologists in Semitic then Sanskrit languages, along with the texts newly discovered and translated from India, was to make the story of one divine origin for language untenable, and also to call into question the previously accepted timelines of the Book of Genesis.

Thus it was his philological studies which led Renan to lose his Christian faith and then to go on to write the secular Life of Jesus, published in 1863, the first account to portray Jesus as a purely human figure, which had a dramatic impact on intellectual life all across Europe.

In my opinion, Said misses a big point here, a massive point, which is that European Christendom (and latterly American Christian churches) have a weird, strange, distorted interest in the Middle East because that is where their religion comes from.

Islam has a kind of geographical integrity, because the key locations of the religion are in the ongoing heartlands of Islamic territory i.e. Saudi Arabia and to a lesser extent Jerusalem. By contrast the faith and ideology on which ‘the West’ based itself until very recently, along with all its holy texts, derive from a geographical location outside itself, completely detached from itself by the Muslim conquests of the 7th and 8th centuries.

This accident of history and geography explains why ‘the West’ has had such an intrusive, interfering interest in the Middle East, from the Crusades to Russia claiming control of the Holy Places which triggered the Crimean War, the mandates over Palestine and Syria between the wars – and always will have, for the region is the ground zero of its religious and ideological underpinnings.

The Orientalists Said describes were so obsessed with the Middle East because they sought, through their philological enquiries, to get closer to the heart of and seek out deeper secrets, of their faith and religion. Hence the recovery of all the texts they could get their hands on, the immense effort put into the archaeology of the region, setting up umpteen Institutes and learned societies.

Said mentions the minuscule number of ‘Orientals’ who came to Europe during the nineteenth century compared to the tidal wave of Europeans who went to the Orient and this is a major reason. Not many Arabs or Indians are interested in visiting, for example, Stonehenge, which has a purely tourist interest for them. But potentially every Christian had a profound vested interest in the stream of archaeological and philological discoveries which poured out the Middle East and Egypt throughout the nineteenth and on into the early twentieth century (for example, the discovery of the tomb of Tutankhamen) because each new discovery shed light on their faith, and the sum total of the discoveries tended to undermine Christian faith altogether, as it did in the high profile case of Renan.

Said brings out how Renan came to prefer the Sanskrit family of languages origin of the idea of an Indo-European language i.e. ancestors of European languages, over the Semitic family, which is the parent of Hebrew and Arabic. His dislike of the latter hardened into an antisemitic attitude which he expressed with growing virulence and became part of the anti-Arab, anti-Islamic discourse of Orientalism.

Said very briefly refers to the post-Prussian haste among the imperial powers to draw up maps, to mark boundaries of power and control over the colonial possessions. Hence (he doesn’t say this) the notorious Berlin Conference of 1885, called to allow all the European powers to peacefully agree who controlled which parts of Africa, through to the post-Great War division of the Middle East between Britain and France and the equally notorious maps of new states drawn up by Mark Sykes and Georges Picot.

The aim of all this map making activity was never the interest of the native inhabitants, but solely the need to avert conflict arising between the powers, above all between France and Britain.

3. Oriental Residence and Scholarship: The Requirements of Lexicography and Imagination

The profession of Orientalist is based on multiple inequalities, of wealth and power and intellectual control (of the West over the East).

This section carries on from the previous section, dwelling on Renan’s contempt for Semitic languages and peoples and asserting that philology, by reducing a language to its roots, has a similar reductive effect on views about its speakers and peoples. He comments on the tendency of Orientalists of the Romantic generation to project grand romantic feelings onto the Orient, then experience an adverse reaction when they learned more about the reality of the actual contemporary Orient, accusing it of being ‘backward’ and ‘barbaric’.

So many Orientalists ended up hating their subject, not just Renan but William Muir, Reinhart Dozy, Alfred Lyall, Caussin de Perceval. Each of these pieced together and constructed versions of ‘the Orient’ from fragments, creating imaginary models for other Orientalists to debate.

Popular stereotypes about the Orient were perpetrated by mainstream authors such as Thomas Carlyle and Lord Macaulay. Orientalist tropes were used by eminent men in unrelated fields as diverse as Cardinal Newman or French naturalist and zoologist Georges Cuvier.

Marx and abstraction

Even Karl Marx, usually friend of the poor and downtrodden, gives in to Orientalist tropes in his 1850s writings about India, where he says that although British rule is harsh and stupid, it may be historically necessary to waken India from its backward, barbaric stupor.

Said quotes a bit of Marx on India where the latter himself quotes Goethe, and this, for Said, shows the origins of Marx’s Orientalism in classic Romantic worldview, wherein peoples and races need redemption from suffering through pain.

The idea of regenerating a fundamentally lifeless Asia is a piece of pure Romantic Orientalism. (p.154)

Said says these are all examples of Western knowledge’s tendency to group everything into high-level categories and groups and ignore the multiplicity, diversity and specificity of individual lives on the ground. He makes the fairly crude accusation that:

Orientalists are neither interested in nor capable of discussing individuals. (p.154)

 I have a big problem with this whole angle of Said’s attack, because the tendency to categorise and group entities under abstract terms is, of course, fundamental to the management of all knowledge and of all modern societies. The field of medicine I work in is only possible by virtue of general categories, starting with the notion of ‘patients’ or ‘cases’. Take epidemiology, ‘the study of the determinants, occurrence, and distribution of health and disease in a defined population’, which played a central role in the management of COVID-19 around the world – this is only possible by converting individual cases into numbers and groups and categories.

Accusing just the one academic discipline of Orientalism of doing this – turning the specificity of individual people into abstract categories and numbers – seems to me 1) factually incorrect; almost all academic or professional specialisms do just this; and 2) this approach is the basis of our entire civilisation, the entirety of Western science, medicine, public health provision and so on rests on this approach.

I take the point that, in his opinion, the conversion of teeming cities full of all kinds of races, religious groups, ethnicities, sexualities and so on into one big dumb category, the Orient, is a kind of abuse of the procedure, and was designed to justify imperial conquest and rule. Yes yes. But to attack the intellectual approach of gathering large numbers of people together under particular headings or categories as somehow inherently wicked and abusive seems to me plain wrong.

Anyway Said spends a page guessing that what happened is Marx’s initial sympathy for suffering individuals in the East met, in his mind, the censorship and ‘the lexicographical police action of Orientalist science’, of the accumulated playbook of orientalist metaphors prevalent in his Romantic sources, and shut down his human sympathies in favour of Orientalist stereotypes.

What Said’s devoting a couple of pages to Marx really indicates is how important Marx still was to his audience in the academy back in 1978, that he has to perform such mental gymnastics to reconcile what he wrote about India with what he takes for granted was ‘Marx’s humanity, his sympathy for the misery of people’ (p.154).

As so often Said is blinkered or partial because the whole point of Marx is that he was a kind of acme of converting individual people into vast historical abstractions; his whole deal was about mentally converting the teeming masses of capitalist countries into vast abstracts named the proletariat and the bourgeoisie. In doing so he notoriously dismissed vast numbers of people who would be trodden on and be victims of the historical process, namely the industrial bourgeoisie which would have to be eliminated in a violent revolution. And all of this needed to be carried out in the cause of the biggest Romantic redemptive project every conceived i.e. the creation of the utopian classless society.

But Said ignores the fact that Marx’s central procedure was to apply huge dehumanising categories to all Western societies, and instead somehow wants imply that he only did it to India; that this was somehow unique to his thought, a uniquely dehumanising and uniquely Orientalising manoeuvre to make, whereas, as I’ve just shown, the very same procedure was of course fundamental to Marx’s entire approach.

Travelling to the Orient

Moving on, Said says you can draw a distinction between Orientalists who stayed in Europe and worked from texts, and those who actually went to the Orient, some of them settling and living there. Here they had the exciting experience of living like kings, the life of the privileged imperial conqueror, waited on hand and foot, free to travel anywhere.

Goes on to say that an interesting process can be observed, which is they start off writing about specific experiences but sooner or later come up against Orientalist tropes, rather like the buffers in a railway station. Some Western writing became official while other texts remained personal, such as tourist and travel writing (Flaubert, Kinglake, Mark Twain). He attempts a little categorisation of motives for travelling to the Orient at this period (mid-nineteenth century):

  1. The writer aiming to gather information for scientific purposes
  2. The writer intending to gain evidence but happy to mix this with personal observation and style – e.g. Richard Burton’s Personal Narrative of a Pilgrimage to Al-Madinah and Mecca (1857)
  3. The writer who travels to fulfil a personal (often literary) project – e.g. Gérard de Nerval’s Voyage en Orient (1851)

He calls the intentions of the different writers, their ‘author-function’ (p.159). I looked this up and a) it’s a term coined by Foucault who, as we’ve seen, Said is very indebted to throughout; and b) Foucault uses the term author-function as: ‘a concept that replaces the idea of the author as a person, and instead refers to the ‘discourse’ that surrounds an author or body of work’ (Open University)

He cashes this out with an extended discussion of the career of Orientalist Edward Lane (1801 to 1876), showing how the quirky personal asides he included in his monumental 1836 work, ‘Manners and Customs of the Modern Egyptians’, were expunged in his subsequent works – an entirely functional Arabic-English Lexicon and an ‘uninspired’ translation of the Arabian Nights (p.164).

4. Pilgrims and Pilgrimages, British and French

Pursuing the same line, Said categorises the many writers who went on journeys to the Orient as ‘pilgrims’.

(In my opinion the chapter title and concept just highlight the huge holes in his account, which include a proper discussion of actual Christian pilgrimage, a proper consideration of medieval literature, which would include a proper account of the Crusades and, indeed the vast and generally unread libraries of devotional Christian literature. Seen in this wider perspective, Said’s account pretty much solely focuses on the nineteenth century, taking its start from writers he would have taught in his comparative literature course, such as Victor Hugo, Gérard de Nerval, Flaubert and going a bit beyond them into the actual literature of Orientalists such as Sacy, Renan, Burton, Lane and so on. But of the vast hinterland of medieval and Christian accounts of the Orient, almost nothing [excepting the passage about Dante]. Not his specialism, not his area.)

He compares and contrasts British and French visitors to the region and makes the simple point that the British had strong or defining presence on the ground and the French didn’t: the British beat the French to seize India during the eighteenth century and slowly ramped up their presence in the Middle East till they established an unofficial protectorate over Egypt in 1882.

The Mediterranean echoed with the sounds of French defeats, from the Crusades to Napoleon. What was to become known as ‘la mission civilisatrice’ began in the nineteenth century as a political second-best to Britain’s presence. (p.169)

The (partly) explains why (some) British writing feels practical and administrative while some much French writing is more imaginative, projective, wistful, dwelling in ruins and lost hopes etc.

He spends some time summarising François-René, vicomte de Chateaubriand’s ‘Itinerary from Paris to Jerusalem of 1811’. Said shows how, besides Chateaubriand’s obsessive narcissism the book reeks of Orientalist tropes, despising Islam, regarding the Arab as degraded, saying the whole region needs to be redeemed by the West. Said talks about his ‘Christian vindictiveness’ (p.174).

He moves on to discuss Alphonse de Lamartine’s ‘Voyage en Orient’ of a generation later, 1835. He, too, ends up disliking the reality of the terrain and people (thinking it was painted better by Poussin, p.178) and saying it is ripe for conquest and development by the West.

Then on to Nerval (visited 1842-3) and Flaubert (1849-50). Nerval writes of an eerily empty Orient, disappointing the Romantic fantasies he had learned from (earlier Orientalist) books. He copies large blocs from Edward Lane’s account and passes them off as his own.

Flaubert, much the greater writer, vividly describes what he sees before him in notes and his wonderful letters. The Orient was to bulk large in two of his six novels, Salammbô (1862) and The Temptation of Saint Anthony (1874). Said takes an excerpt from Flaubert’s notes on visiting a hospital to highlight the way morality and revulsion are completely excise; all that matters is the correct rendering of exact detail (p.186).

The most famous episode in Flaubert’s journey to the Orient was the time he spent with Kuchuk Hanem, an Egyptian sex worker. This is a peg for Said to talk a little about the sexual stereotypes of the East and to make the fairly obvious point that not only for nineteenth century writers but for many readers ‘the Orient’ became associated with sensuality, guilt free and available sex, much more available than back in Victorian strictly regimented Europe.

But the main impact this had on me was to realise how little he talks about sex, desire, gender, feminism, themes which massively saturate modern academic studies. In fact he raises the issue, why the Orient then (and now) suggests ‘not only fecundity but sexual promise (and threat), untiring sensuality, unlimited desire, deep generative energies’, before going on to say (in his typically not quite correct English) ‘it is not the province of my analysis here.’ A little later (p.208) he refers to the use of Orientalist stereotypes of ‘exotic’ sex in semi-pornographic novels but, by and large, it’s not his thing, his aim, his subject.

Then he returns to his main theme, ‘the sense of layer upon layer of interests, official learning, institutional pressure, that covered the Orient as a subject matter and as a territory during the second half of the nineteenth century’ (p.192).

British visitors and writers had a harder more realistic sense of what pilgrimages to the Orient entailed. The French didn’t own any territory and so were, in a sense, more imaginatively free. The British were always anchored in the reality by the vast responsibility of India, later on of Egypt, both of which meant that tough questions about administration and Realpolitik lurked behind even the most carefree travelogue. In a word, they are less imaginative. He has harsh words for Alexander Kinglake (1809 to 1891, Eton and Cambridge), English travel writer and historian, whose ‘Eothen’ or Traces of travel brought home from the East’ (1844) was wildly popular. Kinglake didn’t let his ignorance of any Oriental language and poor grasp of its culture stop him from making sweeping xenophobic, antisemitic and racist generalisations about the culture, mentality and society of ‘the Orient’.

This contrasts with the splendid achievements of Richard Burton, always an imperialist at heart, but a rebel against the establishment who took great delight in pointing out to the Orientalists that he knew more languages, had travelled more, seen more and understood more of the Arab mind than they ever would. Of all the writers of the classic Orientalist period Burton is the one who knew most about the actual specificities of Arab and Muslim life which Said values. He is maybe the last compromised of all these writers. And yet throughout his work is the assumption that the Orient is there to be taken, to be ruled by the West, by Britain, leading Said to another restatement of his core theme, that in Burton’s writings:

Orientalism, which is the system of European or Western knowledge about the Orient, thus becomes synonymous with European domination of the Orient… (p.199)

Chapter 3. Orientalism Now

Begins where its predecessor left off at around 1870. This is the period of greatest colonial expansion into the Orient…the very last section characterises the shift from British and French to American hegemony. I attempt to sketch the present intellectual and social realities of Orientalism in the United States.

1. Latent and Manifest Orientalism

The phrase is obviously derived from Freud’s notion, first expressed in The Interpretation of Dreams, that dreams have both a manifest or obvious content, and then a latent or secret meaning (also latent in the sense that it required work by patient and therapist to bring it out). Said applies Freud’s metaphor to his topic of study.

The idea is simple: the details or surface or manifest Orientalism have changed and varied over the past 250 years but the latent or bedrock attitudes behind it remain as fixed as ever, namely that the Orient is backward, poor, lazy, undisciplined and passive, in need of endless help (p.206).

Actually his argument is not helped by the way that he continually shuffles the attributes he claims that Orientalism attributes to the Orient. In the space of a few pages he says there are the Orient’s:

  • sensuality, tendency to despotism, aberrant mentality, habits of inaccuracy, backwardness (p.205)
  • eccentricity, backwardness, silent indifference, female penetrability, supine malleability (p.206)
  • backward, degenerate, uncivilised, retarded (p.207)

I take the point that each list shuffles from a pack of negative stereotypes, but, like his repeated attempts to give a precise definition of Orientalism, none of which really nail it, there’s a constant sense of blurriness and slippage.

Helplessness

I read his criticism of this idea of Oriental ‘helplessness’ on a day (23 September 2023) when, on the radio, I heard that Morocco needs Western help because of the massive earthquake which just struck it, that Libya needs Western help because of the unprecedented floods which have devastated it, that Lebanon still needs help rebuilding itself three years on from the devastating explosion of 4 August 2020, and saw a charity appeal to help the victims of the civil war in Yemen.

It’s all very well to read Said’s repeated claim that seeing the Orient as helplessly needing Western intervention is an Orientalist trope, a demeaning stereotype entirely created by the institutions he describes, and yet…it also appears to be a real-world fact.

SOAS

Anyway, Said continues to describe (yet again) the process whereby a set of intellectual interests and disciplines based in study of the Biblical languages slowly transformed into a series of postulates which justified and enabled the colonial occupation of ‘the Orient’. He quotes Lord Cromer’s paternalistic speeches, specifically the one calling for the establishment of an institute to study the region, which was a trigger point for the establishment of the University of London’s School of Oriental and African Studies.

The importance of geography

If the section about Renan dwelled on the importance of the discipline of philology, this section dwells on the academic discipline of geography for the colonial enterprise. As Said puts it in his foggy, unclear prose:

Geography was essentially the material underpinning for knowledge about the Orient. All the latent and unchanging characteristics of the Orient stood upon, were rooted in, its geography. (p.216)

France bounced back from its humiliating defeat in the Franco-Prussian War (1870 to 71) with a renewed determination to expand its empire and this led, among other things, to ‘a tremendous efflorescence of geographical societies’ (p.217). There was even a thing called the geographical movement.

Scientific geography gave rise to commercial geography and an explosion of utopian schemes to interfere and alter geography. The opening of the Suez Canal had changed the world of commerce and profoundly affected geopolitics. Dreamers dreamed of similar huge projects, including flooding the Sahara to make the desert bloom, and tying together France’s scattered African colonies by ambitious railway networks.

Some French commentators blamed their defeat by Prussia on lack of imperial ambition; falling behind British imperial aggrandisement was blamed for France’s economic woes. The solution to every problem was to more aggressively conquer and control. This lay behind France’s drive to conquer the territories of what became French Indochina (Laos, Cambodia, Vietnam), clinched in a series of battles in 1885.

But the French throughout the period continually lamented coming second best to the British who had secured all the plum territories (India, Egypt). French envy and resentment knew no bounds. Said ties this to the way the British produced remarkable characters who flourished in the Oriental purview, such as Gertrude Bell and TE Lawrence.

2. Style, Expertise, Vision: Orientalism’s Wordliness

Starts with a discussion of the concept of The White Man, the controller at the centre of Orientalism who defined unwhites, blacks, coloureds and Orientals as ‘others’, lacking the attributes of whiteness, who therefore had to be schooled and trained up to ‘our’ standard. To demonstrate he gives (more) quotes from Gertrude Bell and T.E. Lawrence.

In the late nineteenth century bastardised theories of evolution, the survival of the fittest and race theories lent malevolent force to pre-existing Orientalist discourse.

Said introduces us to William Robertson Smith (1846 to 1894) a Scottish orientalist, Old Testament scholar and minister of the Free Church of Scotland, best known for his book ‘Religion of the Semites’ which became a foundational text in the comparative study of religion.

Said moves on to his most extended consideration of T.E. Lawrence who he sees following a recognisable career arc, from Romantic adventurer, to imperial agent (in the Arab Uprising), to disillusioned failure. He quotes passages from the Seven Pillars of Wisdom to show how Lawrence not only identified himself totally with the Arab Uprising but, more typically, identified the Arab Uprising with himself, another white man assuming the natives couldn’t have done it on their own.

I like his idea (maybe pretty obvious) that the mid and late nineteenth century figure of the adventurer-eccentric was replaced around the time of the Great War by the Orientalist-imperial agent, citing Lawrence, Gertrude Bell, St John Philby (a small checklist which he refers to countless times). This marked a shift from an academic to an instrumentalist mode.

Between the wars

Between the wars imperial rule throughout the Orient became problematic for the simple reason that the natives formed more and more strident nationalist movements, flanked by increasing acts of violence, while a growing minority in Western countries began to question or turn against colonialism and in favour of home independence.

Said quotes French Orientalists (Sylvain Lévi) who (like all academics) insist the answer is more study, more research, better understanding etc. He quotes the poet Paul Valéry whose contribution amounts (with comic French intellectualism) to analysing the problem away (p.250). And goes on to cite Valentine Chirol, Elie Faure, Fernand Baldensperger, all of whom reiterated the now crystallised Orientalist lines: ‘they’ are unlike us, lack the ability for rational knowledge, are economically and culturally backward, Islam is an imprisoning limiting religion, all the usual slurs.

At the end of this section he gives yet another summary of what he’s trying to do, to investigate:

the metamorphosis of a relatively innocuous philological subspeciality into a capacity for managing political movements, administering colonies, and making apocalyptic statements about the White Man’s difficult civilising mission (p.254)

3. Modern Anglo-French Orientalism in Fullest Flower

During the 1930s and 40s Orientalism had hardened into an extensive field of knowledge in which, like a spider’s web, reference to the most trivial fact tended to jangle the entire system and immediately invoke a whole gang of presuppositions, biases and bigotries.

There’s a long passage on the development, between the wars, of ‘types’ in the social sciences, which I think he contrasts with the cosmopolitan pluralism of the philological (in the wide sense) approach taken by one of his heroes, Auerbach. Narrowing versus widening.

So this section invokes the profound collapse of European economy and political consensus and in an obscure, round the back kind of way, describes how this impacted on national Orientalisms. For example, Snouck Hutgonje, Dutch scholar of Oriental cultures and languages and advisor on native affairs to the colonial government of the Dutch East Indies.

Then 20 pages contrasting the work of the most eminent Orientalists of their generations in France and Britain, Louis Massignon (1883 to 1962), French Catholic scholar of Islam and a pioneer of Catholic-Muslim mutual understanding, and Sir Hamilton Gibb (1895 to 1971), Scottish historian and Orientalist.

Massignon is depicted as an outsider of great genius and insight who devoted a lot of time to the biography of a Muslim Sufi saint, al-Hallaj. Gibb was the opposite, an insider, an institution man.

Inevitably Said depicts both of them, in subtle and sometimes impenetrable style, while citing Foucault and Barthes, as nonetheless continuers and purveyors of fundamental Orientalist stereotypes. His detailed look at the careers, professional subjects and styles of these two giants takes us from after the Great War up to the early 1960s.

4. The Latest Phase

To date the book has amounted to a brief consideration of the origin of Orientalist tropes and prejudices among the ancient Greeks, a brief sketch of the Middle Ages in the form of Dante, skipping past the Renaissance altogether and then settling down to a detailed examination of Orientalism from the late eighteenth and through the long nineteenth century.

In this last section he finally brings all his findings on home to the colossus which dominated the post-war settlement, culturally, economically and militarily, the US of A. It is completely unlike the rest of the book in that it is clear, accessible, magazine style rage against the unchecked proliferation of anti-Arab and Islamophobic caricatures across American culture.

The traditional Orientalism he has chronicled was broken up in 1960s America into a proliferation of academic subspecies. The European focus on philology, itself deriving from study of the Biblical languages, disappeared and was replaced by an American focus on the social sciences. American academics didn’t study the languages of the Middle East, they studied their ‘societies’ and on this basis set themselves up as experts and advisers.

Part of this was the abandonment of the study of literature. The long philological and literary approach he’s been praising and enjoying came to a grinding halt. In American hands it was all about preparing oil executives for their stints in the Arab world and advising the State Department.

He categorises ways in which ‘the Arab’ or ‘the Arab Muslim’ appear in ‘modern’ (i.e. 1960s and 70s) culture:

  1. Popular images and social science representations
  2. Cultural relations policy
  3. Merely Islam
  4. Orientals Orientals Orientals

Said becomes more and more angry, outraged at the barrage of anti-Arab and Islamophobic imagery to be found all across American culture. Images of humiliatingly defeated Arabs after the 1967 war. Images of hook-nosed Arab sheikhs at petrol pumps after the 1973 war and the oil price hike. These latter have all the Nazi antisemitic stereotypes born again.

He is appalled at the new tone of American Orientalism. He mounts a sustained attack on the 1970 Cambridge History of Islam, spotting stereotypes everywhere and accusing it of being bereft of ‘ideas and methodological intelligence’ (p.302).

He quotes from magazine articles, from Commentary magazine, from scholarly papers, interviews in which academics, politicians, commentators, repeat ad nauseam the same anti-Arab tropes he has enumerated throughout the book, the backwardness of Arabs, the stupidity of Arabs, the bombastic nature of Arabic which prevents Arabs from having rational thought, and so on.

He attacks 3 or 4 essays before alighting on a 1972 volume called ‘Revolution in the Middle East and other case studies’. He attacks the introductory essay by the volume’s editor P.J. Vatikiotis, before making a sustained attack on the essay by notable modern Orientalist, Bernard Lewis, giving numerous quotations in a vitriolic attack on what he takes to be Lewis at the same time setting himself up as an oracle on all things Arab while at the same time comprehensively despising and belittling his subject matter. Sounds weird, sounds counter-intuitive, unless you’ve read Said’s book in which he identifies it as a recurring characteristic of all Orientalists.

It’s in the Lewis passage that Said finally opens up about the Zionist movement and the foundation of the state of Israel, pointing out that Lewis nowhere (apparently) mentions Zionism or the Jewish appropriation of Palestinian land and, at last you feel, the cat is out of the bag. it feels as if the previous 300 pages have been a long, slow, laboursome foreplay leading up to this, the money shot.

What particularly gets his is Lewis’s pride in being an objective historian when Said claims to have shown he is in fact a ludicrously biased, anti-Arab, anti-Islamic bigot.

This is the culmination of Orientalism as a dogma that not only degrades its subject matter but also blinds its practitioners. (p.319)

The final pages describe the way Orientalism has infected the Orient in the sense that students and lecturers from the region come to the United States to train, are inculcated with Orientalism biases against their own people and culture and return to propagate these biases. There were, at the time of writing, hardly any institutes of higher education devoted to studying the Orient in the Orient. Academically, it is backward.

Worse, America has made the entire Middle East, economically, into a client region. America consumes a select number of products from it (mostly oil) but in return exports a huge number of goods, from blue jeans to Coca Cola. And TV and Hollywood movies, which often feature Arabs as the bad guys.

The modern Orient, in short, participates in its own Orientalising. (p.325)

Finally he hopes that his work has made a small contribution to encouraging scholars to critically scrutinise the premises of their disciplines, to be attentive to the realities on the ground and try to avoid the artificial and cramping conventions which constrict so many fields of study in the humanities. And, writing at a time of increasing nationalism in the developing world, he hopes it will help those peoples and movements get free of the mind-forg’d manacles (a quote from William Blake) which their oppressors created to judge, demean and control them.

Critique

Mind opening

Books like this are mostly for students because, if you hadn’t yet come across the notion that academic disciplines are not the clean objective collections of facts you were led to believe at school, then Said’s full frontal demolition of an entire area of academic study, and his association of it with one of modern woke ideology’s great bogeymen, Western imperialism, is liable to have a dynamite impact, opening your mind to whole new ways of thinking about scholarship, the academy, the humanities, history, geography, languages, religion, all of it.

And, given the extent to which Said ties his history of nineteenth century Orientalism directly to the perennial hot button issue of the Arab-Israeli conflict, the impressionable student is likely to have not only their intellectual interests, but their sense of justice fired up. When I used to visit my son at Bristol University I was struck by the number of posters around the town burning with indignation for the cause of oppressed Palestine.

But, unfortunately, it’s nearly 40 years since I read Orientalism, so none of this is new to me although rereading it made me realise I’d forgotten almost all the detail.

Repetitive

And forgotten how bad it is. It really doesn’t read very well. Reread in the cold light of day it feels extremely repetitive and confused. Too often Said asserts his case rather than proving it, in particular repeating the fundamental ideas like the created nature of Orientalist discourse, the premise of an unchangingly inferior Orient and so on, scores and scores of times till I felt like screaming.

Weak definitions

A surprisingly central problem is his failure to really define what his central term i.e. the Orient, actually means. When I began to explain the book to a friend she expected it to be about the Far East, China and Japan, which are the places she associates with the word ‘Orient’. She was very surprised when I told her it focuses almost entirely on the Middle East and Egypt, with some digressions about India. China and Japan are mentioned once or twice in passing, but not part of his hard core message. Here’s one of his not particularly useful definitions of the great subject, Orientalism:

What I shall be calling Orientalism, a way of coming to terms with the Orient that is based on the Orient’s special place in European Western experience. (p.1)

Or:

Orientalism is the habit for dealing with questions, objects, qualities, and regions deemed Oriental. (p.72)

You can see the air of tautology hanging over a sentence like this, as there are so many of his other formulations.

The Orient that appears in Orientalism is a system of representations framed by a whole set of forces that brought the Orient into Western learning, Western consciousness and, later, Western empire. (p.203)

Or this one, that Orientalism:

is an attempt to describe a whole region of the world as an accompaniment to that region’s colonial conquest. (p.343)

It’s peculiar that every time he mentions the concept, he feels the need to redefine it, and every time it comes out slightly different. This adds to the general difficulty of reading the book.

Relation to the contemporary world

The second point is one I made in part 1, which is that so much has happened in the world since it was published – chiefly the collapse of communism, the end of the Cold War, the rise of Islamic terrorism, the Western invasions of Middle Eastern countries, the Arab Spring and its failures – that, to anyone keeping up with events, the book doesn’t feel like a guide to the modern world but a dated dead end.

No doubt Western academics, commentators, ‘experts’ and journalists continue to use Orientalising stereotypes, and for much the same motives Said describes, to define, control and contain the complex realities of this troubled part of the world, to assert Western superiority over ‘barbaric’ Arabs. But this is, in the end, a very easy concept to understand and what would be useful would be a guide to the contemporary forms of Orientalising stereotyping which we in the West, no doubt, still labour under.

Ending the binary

Quite a few times Said says he laments the simplistic binary opposition between East and West which he says is at the heart of Orientalism. Does he? No. In my opinion he reinforces the binary on every page of the book, in fact he deepens and entrenches it by repeating its binary terms – the Orient and the West – on every page.

By not including a single Oriental, Arab or Muslim voice, while featuring scores and scores of European writers, I thought the book has the effect of making ‘the Orient’ even more invisible, disappearing it, while filling the mind to overflowing with Western European ideas. He angrily rejects those ideas. but those are the ideas I’ve just spent a week reading a 350-page book about, and so those are the ideas I remember.

Epistemology

Said’s thesis is based on the idea that knowledge is power, and that the way ‘knowledge’ about ‘the Orient’ was created and curated was always biased, bigoted, negative, critical and disempowering. Fine. But what this boils down to is an argument about epistemology, which is defined as ‘the theory of knowledge, especially with regard to its methods, validity, and scope, and the distinction between justified belief and opinion.’ This is the heart of his book and his thesis. It is an argument about the production of knowledge. And yet Said nowhere explains his own theory of epistemology. Just as he is slippery about what ‘the orient’ actually means, and gives ten or so differing definitions of ‘Orientalism’, in the same way he never gives an adequate definition of the central concept he’s arguing about.

In my opinion it’s this lack of really deep, thought-through clarity and consistency about his key concepts which explains why, instead, he lumps lots of disparate topics together, rarely explores them in any depth, and continually resorts to asserting his thesis instead of proving it.

Fake urgency

Said writes that, when Orientalists codified their knowledge into encyclopedias under alphabetical entries, they modelled and shaped knowledge, created constraints so that readers could only approach this knowledge of the Orient via ‘the learned grids and codes’ provided by the Orientalist, and this is made to sound like some wicked conspiracy. And yet the same is true of any other subject whatsoever. Take woodwork. You want to learn a bit about woodwork so you Google or buy a book on the subject, written by experts.

But in Said’s eyes, this knowledge about woodwork has been modelled and shaped knowledge by so-called ‘woodwork experts’ who have created constraints so that readers can only approach this knowledge of woodwork via ‘the learned grids and codes’ provided by the woodwork expert! Scary, eh? Or utterly banal.

Reading these kinds of scare tactics on every single page gets boring. Again and again and again he makes the same simple point which is a critique of the way knowledge is produced and curated by academics with, he claims, an anti-Eastern, anti-Arab, anti-Muslim prejudice – all so that he can lead the reader, in the Introduction and then in the third section, right back to the modern world and to the iniquity of US policy in the Middle East.

It’s this, Said’s obsession with the Arab-Israeli policy, which really gives the book its energy. The rise of ‘Orientalism’ as an academic discipline would be of solely academic interest, a very niche concern, if it weren’t for the fact that the same kind of anti-Eastern, anti-Arab and anti-Muslim tropes are at work, in the world, today, guiding American’s slavishly pro-Israeli and ruinously anti-Arab policy.

Last word

When we were students a friend of mine, who went on to become a professor of poetry, described it as ‘a bad book in a good cause’.

Practical criticism

See if you can identify the kind of essentialising Orientalist stereotypes about the Middle East, Arabs and Islam which Said describes, in Western (British) coverage of the recent Hamas attack on Israel (I’m just giving the BBC as a starting point):


Credit

Orientalism by Edward Said was first published by Routledge and Kegan Paul in 1978. References are to the 2003 Penguin paperback edition (with new Afterword and Preface).

Related reviews

King Leopold’s Ghost by Adam Hochschild (1998) – part three

‘To gather rubber in the district… one must cut off hands, noses and ears.’
(Charles Lemaire, Belgian commissioner of the Equator District of the Congo Free State)

William Sheppard

Following his coverage of the black American Baptist minister George Washington Williams, who was appalled by what he witnessed in the Congo in 1890 and wrote an open letter of protest to the Belgian king, Leopold II, Hochschild goes on to describes the career of another black pioneer.

This is William Sheppard, a Baptist minister born in Virginia in 1865, who was sent by the Southern Baptists to the Free State, thus becoming the first black American missionary to the Congo. Hochschild emphasises that the church hierarchy ensured he was supervised every step of the way by a white superior, how it was the white man who actually met Leopold in Belgium while Shepherd was excluded, but how it was Shepherd who built up the mission on the river Kasai. Here he won the respect of the local BaKuba tribe whose language he was the only missionary to bother to learn, by his hard work and sympathetic understanding of their lives. They nicknamed him Mundéle Ndom, meaning ‘the black white man’.

Sheppard was the first Westerner to reach the Kuba capital, Ifuca, whose king usually ordered any outsider to be beheaded. But because he was black and spoke some BaKuba Sheppard was allowed to keep his head and stayed for four months, making detailed ethnographical records of their culture, art and religion (‘The Kuba are among Africa’s greatest artists,’ p.156). When he presented his findings to the Royal Geographic Society in London he was made a fellow, and back in the states presented the President with Kuba artefacts.

(Hochschild also mentions the spangling fact that Shepherd’s arrival at the mouth of the Congo coincided exactly with that of Joseph Conrad who was taking up the position of steamboat captain, and that Shepherd’s diary contains numerous references to the gentlemanly bearing of the exiled Pole who he spent some weeks with (p.154).)

Leopold’s grand plans

Leopold had impractically megalomaniac ambitions. He dreamed of linking his Congo possessions with the upper Nile and leasing Uganda from the British, both ideas gently rejected by Prime Minister Gladstone. He suggested raising a Congolese army to protect the Armenians who were being massacred by the Turks. When there was disturbance in Crete he offered Congolese troops as peacekeepers. His cousin, Queen Victoria’ thought Leopold was becoming delusional (p.168). But about one thing he was never deluded: maximising profit from his personal fiefdom in the Congo.

The rubber terror

‘Botofé bo le iwa!’, meaning ‘Rubber is Death!’ — Congo Proverb

Initially Leopold wanted to colonise the Congo because of ivory. As Frank McLynn makes clear in his chapter on the subject in Hearts of Darkness, ivory was the most valuable product of central Africa next to slaves, and the two trades were inextricably intertwined. Arab slavers destroyed native villages not only to enslave their women (killing most of the men) but also to loot the reserves of ivory many villages held, and use the newly acquired slaves to carry the plundered ivory the hundreds of miles to the coast.

It was the invention of the pneumatic tyre by John Dunlop, who set up the company of the same name in 1890, which made bicycling significantly more comfortable than before, which led to the outbreak of the ‘bicycling craze’ and which then led to a sudden spike in demand for rubber, that Leopold realised he was sitting on a goldmine, and that the farming of rubber from the huge rubber vines which twined up trees in the tropical rainforest almost overnight became a very profitable business (p.158). The West’s appetite for rubber grew for use not only in pneumatic tyres for bicycles and then cars, but for a myriad other uses, for example as insulation on electrical cabling which was undergoing an explosion of use around the world.

It is about this point, exactly half way through the book, and after a fair amount of relatively ‘ordinary’ historical and biographical stuff about Leopold and Stanley and so on, that the text takes a very dark turn and the reader is now plunged into the world of disgusting terror, massacre and mutilation created by the authorities who ran Leopold’s Congo Free State.

Force Publique officials were ordered to fulfil rubber quotas. They did this by kidnapping wives or children of villagers and threatening to mutilate or kill their hostages unless villagers handed in the correct and very onerous quotas of rubber. Natives who resisted were beaten, tortured, mutilated and murdered, had their families held hostage, their wives and daughters raped, or their houses and villages burned. If villages failed to fulfil the quota or showed any resistance, they were burned to the ground. The British traveller Ewart S. Grogan, crossing northeastern Congo, wrote: ‘Every village has been burned to the ground, and as I fled from the country I saw skeletons, skeletons everywhere’ (p.230). The Belgians turned Congo into a charnel house.

Most of the food the locals grew was confiscated by European officials leading to poor diet or starvation in many areas. State official Léon Féviez explained to a visiting official that when the local village didn’t supply enough fish and manioc to feed his troops he had a hundred of them beheaded. After that the villagers supplied sufficient food alright, even at the cost of themselves starving (p.166).

The incursions of black troops from one area into another spread diseases many had never previously been exposed to. Smallpox was carried from the coast where it was endemic, inland to populations who had no resistance to it. Worse was sleeping sickness, which is estimated to have killed half a million Congolese in 1901 alone (p.231).

The net effect of all these factors was a collapse in population. Missionaries and travellers through the Congo spoke again and again of entire regions laid waste and depopulated.

Hochschild singles out four factors and then gives copious evidence for each of them, being:

  • Murder
  • Starvation, exhaustion and exposure
  • Disease
  • Plummeting birth rate

The Reverend A.E. Scrivener was just one of many eye witnesses:

Lying about in the grass within a few yards of the house I was occupying were a number of human bones, in some cases complete skeletons. I counted 36 skulls, and saw many sets of bones from which the skull was missing. I called some of the men and asked the meaning of it. ‘When the rubber palaver began,’ said one, ‘the soldiers shot so many we grew tired of burying, and very often we were not allowed to bury and so just dragged the bodies out into the grass and left them.’

There was no census before Leopold’s murderous regime began but the best estimate is that 10 million Congolese lost their lives. This is based on the fact that in areas where population was known, it fell by a half between 1890 and 1910. Since the first detailed population estimate, in 1924, estimated the current population at around ten million, and most experts estimated that it was half the original number, that gives you some 10 million victims of Leopold’s regime, directly murdered or killed by overwork, famine or disease. (In fact at the end of the book, Hochschild devotes a passage to the estimates of modern demographers, who also agree with the 10 million figure.) More, in other words, than the Nazi Holocaust.

Chopping off Africans’ hands

Hands were used as proof that villages had been punished for failing to fulfil their quotas or rebelling. Force Publique soldiers had to prove that every bullet they were issued with was used to kill a villager (and not going off on hunting expeditions) by bringing in a hand for every bullet fired. Hands became a form of proof of discipline. Many soldiers couldn’t be bothered to wait for all the rubber to be counted and just hacked off a few hands at random to impress their superiors with how zealous they were.

But cutting off hands was also a form of punishment and incentive. Hostages – women and children –had their hands cut off unless their menfolk brought in the required quota of rubber. Some villagers, in desperation, instead of slicing a rubber vine and patiently waiting for the drops of sap to ooze out of it, were so panic-stricken that they cut down the entire vine and squeezed every drop of rubber out of it. This killed the vine rendering it unavailable for future use and so in turn was punished by the authorities, in the form which was now becoming universal – the men or their womenfolk or children having their hands cut off. Hochschild quotes scores of officials and soldiers who boasted about how many hands they collected per day.

‘Many fled and some were mutilated. I myself saw a man at Likange who had had both his hands cut off. Sometimes they cut them at the wrist, sometimes farther up . . . with a machete.’

In some military units there was a job, ‘keeper of the hands’ (p.165). Some units smoked severed hands over fires in order to keep them as decorations to hang on poles or over doors as a constant reminder to the locals of what even the slightest infringement would trigger.

Bestand:MutilatedChildrenFromCongo.jpg - Wikipedia

Mutilated Congolese children and adults. Photos taken between 1900 and 1905 by the English missionary Alice Seeley Harris

Hochschild brings out how atrocity acquires a momentum of its own. As in the Nazi genocide or the Soviet labour camps, cruelty and sadism, once permitted, become endemic. Thus René de Permentier, a Force Publique officer in the Equator district, had all the trees and bushes around his house cut down so he could use passing Africans as target practice for his rifle. If he found so much as a stray leaf in the courtyard swept by women prisoners he had one of them beheaded. If he found a forest path poorly maintained, he ordered a child in a local village executed. That kind of megalomaniac momentum.

Two Force Publique officers ordered a man hung by his feet and a fire lit underneath so he was cooked to death. Morel quoted a message from district commissioner Jules Jacques telling his underlings to warn the locals that if they cut down another vine he will exterminate them to the last man (quoted page 229). As the Reverend Scrivener testified:

A man bringing rather under the proper amount [of rubber to a collecting post], the white-man flies into a rage and seizing a rifle from one of the guards shoots him dead on the spot. Very rarely did rubber come but one or more were shot in that way at the door of the store.

There are hundreds of examples of this kind of psychopathic behaviour. Late in the book Hochschild says speakers of the Mongo language refer to the period as lokeli, the overwhelming (p.300).

Edmund Dene Morel

We know so much about the evil practices of Leopold’s state because of the obsessive work of one man, Edmund Dene Morel, who became a one-man international human rights dynamo.

In the late 1890s Morel was a relatively lowly clerk working for the Liverpool-based trading company Elder Dempster (p.177). He began travelling back and forth across the Channel as his company’s liaison with officials of the Congo Free State. Slowly he began to realise something was wrong. Hochschild attributes his revelation to three elements which he saw or, as a clerk handling the official paperwork for the cargoes, was able to calculate for himself while spending time at the State’s docks in Antwerp:

  1. He learned that huge amounts of arms and ammunition were being shipped to the Congo along with surprising amounts of chains and shackles. Why?
  2. The amount of ivory and rubber brought back by the ships greatly exceeded the amount stated on the manifests and paperwork. Someone was creaming off millions in profit. Who?
  3. Over 80% of the goods being shipped to the Congo were remote from trade purposes. In other words, a huge amount of goods were being brought out but very little was going in to pay for them. So how was this wealth of ivory and rubber being generated. Dene realised there could be only one explanation: slave labour.

‘These figures told their own story…Forced labour of a terrible and continuous kind could alone explain such unheard-of profits…forced labour in which the Congo government was the immediate beneficiary; forced labour directed by the closest associates of the king.’ (Morel, quoted page 180)

He called it: ‘the most gigantic fraud and wickedness that our generation has known’ (p.206).

Morel made his fears known to his superiors who told him to keep quiet. The Free State was a major client of Elder Dempster’s. They tried to coerce him into keeping silent. The company offered him a pay rise, then the role of highly paid consultant. Free State officials in Brussels stopped talking to him. He refused all bribes and insisted on speaking out.

Eventually, in 1901, Morel quit Elder Dempster and, after pondering what to do, set up a newspaper, the West Africa Mail in 1903, backed by philanthropic sponsors. It consisted of Morel’s articles, letters from missionaries, maps, cartoons, and pictures. Morel didn’t hold back:

‘Blood is smeared all over the Congo State, its history is blood-stained, its deeds are bloody, the edifice it has reared is cemented in blood—the blood of unfortunate negroes, spilled freely with the most sordid of all motives, monetary gain.’

Morel intended the West Africa Mail to publish everything he knew about the Congo and encouraged all-comers to send him their reports about ‘the shootings, shackles, beheadings, mutilations and kidnappings of a slave labour system’ they witnessed – and they did, in increasing numbers (p.270).

Morel tapped into the resources of existing anti-slavery organisations, namely the Anti-Slavery Society and the Aborigenes Protection Society, as well as roping in influential figures such as the politician Sir Charles Dilke and the author Mary Kingsley. He became a writing phenomenon, working 16 or even 18 hours a day to produce books, speeches, articles and pamphlets about the Congo (p.209). In the first six months of 1906 alone, he wrote 3,700 letters (p.214).

Morel requested information from all and any sources, and developed a remarkable knack for getting inside information from all kinds of people, not only missionaries and travellers in the region, but dissident military officers such as Raymond de Grez, who secretly fed him reports and statistics for many years, as well as people involved in the various shipping companies and testimony from their agents in-country, such as the American business agent Edgar Canisius (p.192).

The more Morel’s reputation grew as the doughty opponent of the evil being perpetrated in the Congo, the more people knew he was the man to slip confidential information (p.188).

It snowballed into a vast publicity campaign, featuring hundreds of public meetings, thousands of letters, he received thousands of letters full of facts and figures which Morel was then able to use in his articles or feed to sympathetic journalists and politicians.

With the aid of the charities and sympathetic politicians Morel secured a debate in the House of Commons which was held on 20 May 1903. At its conclusion the British Parliament passed a resolution to allow the British government to negotiate with the other Great Powers over the matter, avowing that the native Congolese ‘should be governed with humanity’ and, incidentally, noting that ‘great gratitude was due’ to Morel for creating public awareness (p.194). It was a truly impressive achievement. As Hochschild summarises:

Almost never has one man, possessed of no wealth, title of government post, caused so much trouble for the governments of several major countries. (p.209)

Pamphlets were followed by excoriating books, namely:

  • Affairs of West Africa (1902)
  • The British Case in French Congo (1903)
  • King Leopold’s Rule in Africa (1904)
  • Red Rubber – The story of the rubber slave trade that flourished in Congo in the year of grace 1906 (1906)
  • Great Britain and the Congo: the Pillage of the Congo Basin

When I read the title of Red Rubber I immediately saw the link with the campaign against ‘blood diamonds’ originating in Africa under war-torn or oppressive conditions from much the same region of Africa, in our own time.

Roger Casement

The Parliamentary debate directly affected another major figure. Parliament set up a commission to investigate the accusations and ordered the British consul to the Congo, Roger Casement, to go in-country to find out more.

Casement evaded the beady eye of Leopold’s officials, paid his own way and independently interviewed missionaries, natives, riverboat captains, and railroad workers. He then wrote up and submitted to Parliament a report containing 39 pages of testimony and a 23-page index of facts, what has been called ‘the most damning exposure ever of exploitation in Africa’. Morel published the ‘Casement Report’ in full in the West Africa Mail and it was picked up and syndicated around the world.

Hochschild devotes a chapter to Casement who is a fascinating figure in his own right, not least because of his principled but ill-fated support for Irish independence a decade later. (Unfortunately, no modern biographer can abstain from prying into the sex lives of their subject, and so we learn quite a lot about the fact that Casement was gay and kept a detailed log of his sexual encounters wherever he went, with Europeans or Africans. Great – and utterly beside the point.)

When they met they instantly clicked. Both respected each other’s fierce integrity and utter devotion to exposing the evil of Leopold’s regime. Casement was a government employee and so had to go where his superiors sent him, but they kept in touch and he offered Morel important confirmation and moral support, becoming a vital colleague and sounding board for Morel’s campaigns. Morel nicknamed him the Tiger; Casement called Morel the Bulldog (p.207). Chaps.

Congo Reform Association (CRA)

Casement and Morel met again, in Dublin, and agreed that it needed more than a newspaper to bring about the change needed. Casement convinced Morel they needed to set up an organisation and so in November 1903 Dene announced the establishment of the Congo Reform Association (CRA) with a founding manifesto filled with names of the great and good and calling for ‘just and humane treatment of the inhabitants of the Congo State, and restoration of the rights to the land and of their individual freedom’.

An American branch was quickly set up which garnered support from such notables as Mark Twain, Booker T. Washington and W. E. B. Du Bois. Twain was motivated to write a pamphlet, King Leopold’s Soliloquy: A defence of his Congo rule, in 1905, a satirical portrayal of Leopold as a self-pitying old man rambling on, making feeble excuses for the blood on his hands:

‘They burst out and call me “the king with ten million murders on his soul”.’

(It’s interesting that, even at this early point, the figure of 10 million dead was widely accepted. It’s a suspiciously round figure, isn’t it, but one Hochschild backs up with expert testimony at the end of his book)

Illustration from King Leopold’s Soliloquy by Mark Twain (1905)

Arthur Conan Doyle was inspired by his indignation to write The Crime of the Congo in 1908, while Joseph Conrad, in addition to the world famous novella about Leopold’s Congo, Heart of Darkness, co-wrote a novel with Ford Madox Ford, The Inheritors, which contains a devastating parody of Leopold’s greed and mendaciousness and personal oddities (p.257).

In 1904 Morel visited America, meeting with the President and members of Congress, before addressing large audiences around the nation. It took a while for the American campaign to gain traction, but in 1906 public pressure forced Congress to take a stand against Leopold and demand an end to the Congo Free State.

Alice Seeley Harris

Wife of the Reverend John Harris and a Baptist missionary in her own right, it was Alice Seeley Harris who took most of the photos of mutilated Africans which Morel distributed so widely and had such a devastating effect.

The couple had witnessed at first hand numerous atrocities, joined the Congo Reform Association and threw themselves into public activity. One or other of them made over 600 speeches in their first two years with the CRA, displaying implements like the shackles used to chain Congolese and the feared chicotte or whip made of hippopotamus hide, which was used to punish Africans who failed to meet their quotas and sometimes whip them to death (pages 120 and 216). Eventually John and Alice’s activism led to them running the newly combined Anti-Slavery and Aborigenes Protection Society (p.273).

Herbert Strang

The impact of the campaign spread far and wide. Hochschild mentions a British boys’ adventure writer, Herbert Strang, who wrote an adventure story set in the beastly Congo where a stout-hearted English teenager saves the day, titled Samba: A Story of the Rubber Slaves of the Congo. The preface he wrote to his novel is long but gives a fascinating insight into how the issue was seen at the time (1908).

Nearly a generation has passed since King Leopold was entrusted by the great Powers with the sovereignty of the Congo Free State. The conscience of Christendom had been shocked by the stories, brought back by Stanley and other travellers, of Arab slave raids on the Upper Congo; King Leopold, coming forward with the strongest assurances of philanthropic motive, was welcomed as the champion of the negro, who should bring peace and the highest blessings of civilization to the vast territory thus placed under his sway. For many succeeding years it was supposed that this work of deliverance, of regeneration, was being prosecuted with all diligence; the power of the slave traders was broken, towns were built, roads made, railways opened—none of the outward signs of material progress were wanting.

But of late the civilized world has been horrified to find that this imposing structure has been cemented with the life blood of the Congo races; that the material improvements to which the administrators of Congoland can point, have been purchased by an appalling amount of suffering inflicted upon the hapless negroes. The collection of rubber, on which the whole fabric of Congo finance rests, involves a disregard of liberty, an indifference to suffering, a destruction of human life, almost inconceivable. Those who best know the country estimate that the population is annually reduced, under King Leopold’s rule, by at least a hundred thousand. No great war, no famine, no pestilence in the world’s history has been so merciless a scourge as civilization in Congoland.

Yet owing to mutual jealousies, the Powers are slow to take action, and while they hesitate to intervene, the population of this great region, nearly as large as Europe, is fast disappearing.

It has been my aim in this book to show, within necessary limitations, what the effect of the white man’s rule has been.

If any reader should be tempted to imagine that the picture here drawn is overcoloured, I would commend him to the publications issued by Mr E. D. Morel and his co-workers of the Congo Reform Association, with every confidence that the cause of the Congo native will thereby gain a new adherent.

I must express my very great thanks to the Rev. J. H. Harris and Mrs. Harris, who have spent several years on the Upper Congo, for their kindness in reading the manuscript and revising the proofs of this book, and for many most helpful suggestions and criticisms.

By this point the atrocities were so widely known that Leopold had become associated with severed hands and blood in large parts of the press. Countless caricatures in European and American magazines satirised him as a mass murderer, his hands or beard dripping with blood while he hugged his sacks full of blood money (p.222).

Leopold II's Heart of Darkness, by David White | Open History Society

When Leopold’s second wife bore his second child, it was born with a withered hand and Punch magazine published a cartoon with the caption Vengeance from on high. Harsh but an indication of how universally he was despised.

What did Leopold spend his blood money on?

And how did Leopold spend the huge personal wealth he accrued from all this forced labour, slavery, murder and extortion? On grandiose building schemes and his teenage mistress.

1. Buildings

Leopold invested a huge amount of his blood money on buying, building or renovating grand properties. Wikipedia gives a handy summary of a subject which is spread across numerous passages in Hochschild’s book:

The public buildings were mainly in Brussels, Ostend and Antwerp, and include the Hippodrome Wellington racetrack, the Royal Galleries and Maria Hendrikapark in Ostend; the Royal Museum for Central Africa and its surrounding park in Tervuren; the Cinquantenaire park, triumphal arch and complex, and the Duden Park in Brussels, and the 1895–1905 Antwerpen-Centraal railway station.

In addition to his public works, Leopold acquired and built numerous private properties for himself inside and outside Belgium. He expanded the grounds of the Royal Castle of Laeken [one of Europe’s most luxurious royal homes] and built the Royal Greenhouses, the Japanese Tower and the Chinese Pavilion near the palace. In the Ardennes his domains consisted of 6,700 hectares (17,000 acres) of forests and agricultural lands and the châteaux of Ardenne, Ciergnon, Fenffe, Villers-sur-Lesse and Ferage. He also built important country estates on the French Riviera, including the Villa des Cèdres and its botanical garden and the Villa Leopolda.

(In a picquant footnote, Hochschild tells us that one of Leopold’s many villas on the Cote d’Azur was  subsequently bought by the English writer, Somerset Maugham, p.276.)

Hochschild contrasts these extravagant building projects with the many, many, many African homes and villages and entire regions which his officers laid waste and burned to the ground.

2. Caroline Lacroix

Leopold had married Marie Henriette of Austria, a cousin of Emperor Franz Joseph I of Austria and grand-daughter of the Holy Roman Emperor Leopold II, on 22 August 1853 in Brussels. She was popular with the Belgians, was an artist and accomplished horsewoman, and the marriage produced four children. However, the couple became estranged and ended up living apart, Marie settling in the town of Spa where she lived till her death in 1902.

Meanwhile, Hochschild tells us, Leopold became a regular customer at high class brothels which specialised in young and very young girls, preferably virgins. Still, it comes as a bit of a surprise when Hochschild tells us that in 1899, in his 65th year, Leopold took as a mistress Caroline Lacroix, a 16-year-old French prostitute, and that they were to stay together for the next decade until his death.

It was on Caroline that a lot of the blood money from the Congo was lavished, in the form of cash, bonds raised against the Congo Free State government, castles and villas and dresses and makeup and holidays. Throughout this period they were unmarried, so Caroline was in effect his teenage mistress and became unpopular with the Belgian public and made Leopold even more of a figure of fun and contempt among international critics and cartoonists.

File:Your Majesty! at your age....jpg - Wikipedia

The priest is saying: ‘O sire! At your age!’ to which Leopold replies: ‘You should try it yourself!’

Leopold finally married Caroline in a Catholic ceremony just five days before his death, on 17 December 1909, aged 74. He left her a huge fortune but their failure to perform a civil ceremony rendered the marriage invalid under Belgian law and the Belgian government tried its best to seize all the king’s assets and fortune, giving rise to a jamboree for lawyers. Despite legal wrangles it is likely that she managed to spirit away $7 million, maybe more.

The Vatican recognised their wedding though, and Catholic priests were with him till the end. It is nauseating to read how the Catholic church stayed staunchly loyal to Leopold despite the most disgusting revelations, whereas a large number of the truth-tellers and reports were Protestant missionaries. A classic example of the stark contrast between the generally servile subservience of Catholic officials and the outspoken truth-telling of Protestant clerics, especially of non-conformists such as Baptists and the ever-principled Quakers. (You should read Hochschild’s wonderful account of the campaign to abolish slavery to be moved to tears by the hard work of the non-conformists and especially the Quakers in devoting their entire lives to ending slavery.)

When Leopold first heard about her, Caroline had been the mistress and sometime prostitute of Antoine-Emmanuel Durrieux, a former officer in the French army. It is somehow pleasing to learn that she tried to keep up a surreptitious relationship with Durrieux throughout her time with Leopold and that, seven months after the old monster died, she married Durrieux. Ah. True love.

In 1937 she published her memoirs, A Commoner Married a King: As Told by Baroness De Vaughan to Paul Faure. It is a classic example of the logocentrism of the West, in the sense that the doctored and sentimental memoirs of a royal prostitute are preserved for all time for scholars to pore over, analyse and re-analyse, while the lives and experiences of the ten million or so Congolese murdered, mutilated and starved to death – apart from a handful of testimonies recorded in the Casement Report and a few other public enquiries – are nowhere, nothing, vanished as if they had never been.

Leopold’s death and the end of the Congo Free State

The real question, reading all this horror, is why, despite widespread knowledge of the appalling atrocities, little or no steps were taken against him and nothing changed for so long. Leopold’s personal rule over his Congo Free State lasted 23 years, from 1885 to 1908.

The decisive step was getting the US government to switch its policy from indifference to Congo to active hostility, and this coincided with a massive newspaper revelation about the extent of Leopold’s behind-the-scenes bribery and manipulation of US government ministers, agencies and media.

The American change of heart crystallised with the hostility of the British government and, indeed, of a decisive majority in the Belgian government itself, and in Belgian popular opinion, to make Leopold realise the game was up and he agreed to hand over the running of the Congo Free State to the Belgian government so that it could become a ‘proper’ colony, subject to scrutiny in the press and by third parties.

Still, the canny old miser and manipulator insisted on selling the Congo to the Belgian government and drove a very hard bargain, emerging tens of millions of francs better off. In the end a compromise was reached whereby Leopold was paid $10 million and a further $9 million was assigned to his various grandiose vanity projects across Belgium as ‘compensation’ for losses which in reality he had never incurred.

And so, after months of wrangling, in November 1908 the Congo was handed over from Leopold’s personal control to the Belgian state (p.259). In August 1908 his closest officials spent a week non-stop burning all the official records of the Congo Free State, destroying all the evidence of malfeasance committed during his rule. Nonetheless, because of Morel and his many contributors, a sizeable amount of documentary evidence remained in the public domain.

As you might expect, conditions improved somewhat but most of the Belgian officials running the place stayed in post, the Force Publique didn’t even bother to change its name (p.271) and the basic economic imperatives – to maximise revenue from rubber – meant that, in practice, the living conditions of most Congolese continued to be wretched and brutalised. Thirteen months after handing over the Congo to the Belgian government, Leopold was dead, surely one of the most infamous brutes in recorded history.

Reluctantly, knowing that many abuses would continue to take place, Morel had to concede that, with the arch villain dead, many supporters of the CRA at home and abroad thought the job had been done and the fire had gone out of the campaign. In 1913 he held a last meeting of the Congo Reform Association then dissolved it. It had lasted from 1904 to 1913 and was, in Hochschild’s view, ‘the most important and sustained crusade of its sort between the Abolitionism of the early and middle nineteenth century and the worldwide boycott and embargo against apartheid-era South Africa in the 1970s and 1980s’ (p.277).

Arthur Conan Doyle, a late convert who became a very enthusiastic supporter of the cause, described the management of the Congo in his pamphlet The Crime of the Congo as ‘the greatest crime which has ever been committed in the history of the world’ (quoted on page 271).

The fact that there are statues and plaques in Belgium to this day commemorating Leopold for his humanitarian deeds and philanthropy is beyond grotesque.

The documentary

In 2006 a documentary was released, based on this book and with the same title, King Leopold’s Ghost, directed by Pippa Scott and narrated by Don Cheadle.

Credit

King Leopold’s Ghost: A Story of Greed, Terror and Heroism in Colonial Africa by Adam Hochschild was published by Mariner Books in 1998. All references are to the 2012 Pan paperback edition.


Africa-related reviews

History

Fictions set wholly or partly in Africa

Exhibitions about Africa

A Universal History of Infamy by Jorge Luis Borges (1935, revd. 1954)

The book is no more than appearance, than a surface of images; for that very reason, it may prove enjoyable.
(Borges’s 1954 preface to A Universal History of Infamy)

Long ago

One thinks of Borges as a modern classic so it comes as a bit of a surprise to learn just how long ago he was writing. Born in 1899, Borges published his first book in 1923 and wrote steadily for the next 60 years (he died in 1986). In his long life he published an enormous number of volumes (‘In addition to short stories for which he is most noted, Borges also wrote poetry, essays, screenplays, literary criticism, and edited numerous anthologies’) and the Wikipedia bibliography lists 66 volumes of prose, poetry and essays, in total.

Which makes it all the more odd or unfair that he is still best known in the English-speaking world for more or less one volume, Labyrinths, and a handful of lesser works. Borges had published the following before we get to the book under review:

  • Fervor de Buenos Aires (1923) poetry
  • Inquisiciones (1925) essays
  • Luna de Enfrente (1925) poetry
  • El tamaño de mi esperanza (1925) essays
  • El idioma de los argentinos (1928) essays
  • Cuaderno San Martín (1929) poetry
  • Evaristo Carriego (1930) essays
  • Discusión (1932) essays

You’d expect poetry from a starter author, but it’s notable that so many of these early volumes contain essays, in other words short prose explorations of ideas – about other authors, historical events or topics etc. It was for his short essays on imaginary or fantastical subjects that he was to become famous and A Universal History of Infamy, more or less the earliest work by Borges you can read in English translation, gives an indication why.

A Universal History of Infamy

A Universal History of Infamy is not, in fact, a universal history of infamy or anything like that ambitious. In reality it is much smaller in scope, and consists of:

  • seven ‘biographical essays’ – witty, ironic accounts of legendary bad guys and women from history whose stories Borges has cherry picked from his highly eclectic reading
  • one relatively straightforward short piece of fiction
  • eight summaries of stories or anecdotes he had come across in arcane sources and which attracted Borges for their fantastical or humorous aspects

Most of the essays had been published individually in the Argentine newspaper Crítica between 1933 and 1934. The 1934 collection was revised and three new stories added in the 1954 edition. There are two English translations of the book. The one I own dates from 1972 and was translated by Borges’s long-standing English translator, Norman Thomas di Giovanni. The 2004 English edition gives the stories slightly different titles.

The title A Universal History of Infamy derives from the fact that the seven biographical essays are fictionalised accounts of real-life criminals. The textual sources for each biography are listed at the end of the book: for example, the essay about the Widow Ching cites a 1932 History of Piracy as its source,  the essay on Monk Eastman cites Herbert Asbury’s 1928 history of The Gangs of New York, the essay about Lazarus Morell cites Mark Twain’s Life on the Mississippi, the one about Tom Castro cites the Encyclopedia Britannica as its source, and so on.

So the sources are a) not particularly recondite and b) they were often fairly recent to Borges’s time of writing, in some cases published only a year or so before Borges wrote his potted summaries.

That said, Borges treats his sources very freely, changing dates, incidents and even names as he fancied to make his fantasy biographies deliberately fanciful and untrustworthy.

Part 1. Seven infamy stories

So these are stories Borges found in other books during his wide and eclectic reading and which attracted him for their elements of the macabre or gruesome, and which he chose to retell, dropping or adding details as he saw fit.

The Dread Redeemer

Lazarus Morell is poor white trash who grew up on the banks of the Mississippi and as an adult comes to be a leader of crooks who devise the following scam: they persuade gullible black slaves to run away from their owners and allow themselves to be sold on by the Morell gang who promise to liberate them and share the proceeds of this sale. But they don’t. They have ‘liberated’ some 70 slaves in this manner until the gang is joined by Virgil Stewart, famous for his cruelty, who promptly betrays them to the authorities. Morell goes into hiding in a boarding house, then, after 5 days, shaves off his beard and makes an escape to round up what remains of his gang and try to create a mass uprising of the southern slaves and lead a takeover of the city of New Orleans. Instead he dies of a lung ailment in Natchez hospital in January 1835 under an assumed name.

This story is quite florid enough to satisfy anyone’s taste for the lurid and melodramatic. What tames and raises it from being a shilling shocker is Borges’s dry wit and irony.

Morell leading rebellions of blacks who dreamed of lynching him; Morell lynched by armies of blacks he dreamed of leading – it hurts me to confess that Mississippi history took advantage of neither of these splendid opportunities. Nor, contrary to all poetic justice (or poetic symmetry), did the river of his crimes become his grave.

We expected a grand finale? Sorry folks.

If Borges’s narrative ends playfully, it opens even more so, with Borges referencing Spanish missionary Bartolomé de las Casas. Why? Because it was de las Casas who (apparently) had the bright idea of importing African slaves to work the silver mines of the newly discovered New World. Borges phrases this with characteristic irony (or is it facetiousness?)

In 1517, the Spanish missionary Bartolomé de las Casas, taking great pity on the Indians who were languishing in the hellish workpits of Antillean gold mines, suggested to Charles V, king of Spain, a scheme for importing blacks, so that they might languish in the hellish workpits of Antillean gold mines.

That is an example of what you could call literal facetiousness, the repetition of the initial heartless description being so unexpected as to be funny. But it then expands into a more grandiose type of joke as Borges goes on to deliver an unexpected perspective on the results of de las Casas’ brainwave i.e. the vast and numerous consequences of the invention of African slavery, and proceeds to a mock encyclopedic list of some of its untold consequences, namely:

W. C. Handy’s blues; the Parisian success of the Uruguayan lawyer and painter of Negro genre, don Pedro Figari; the solid native prose of another Uruguayan, don Vicente Rossi, who traced the origin of the tango to Negroes; the mythological dimensions of Abraham Lincoln; the five hundred thousand dead of the Civil War and its three thousand three hundred millions spent in military pensions; the entrance of the verb ‘to lynch’ into the thirteenth edition of the dictionary of the Spanish Academy; King Vidor’s impetuous film Hallelujah; the lusty bayonet charge led by the Argentine captain Miguel Soler, at the head of his famous regiment of ‘Mulattoes and Blacks’, in the Uruguayan battle of Cerrito; the Negro killed by Martín Fierro; the deplorable Cuban rumba ‘The Peanut Vender’; the arrested, dungeon-ridden Napoleonism of Toussaint L’Ouverture; the cross and the snake of Haitian voodoo rites and the blood of goats whose throats were slit by the papaloi’s machete; the habanera, mother of the tango; another old Negro dance, of Buenos Aires and Montevideo, the candombe.

The intellectual pleasure derives from the combination of mock scholarliness with the pleasing randomness of the examples selected. And not only surreal but – and this is an important part of Borges’s appeal – conveying an enormous sense of spaciousness; the sense of an enormously well-read mind, overflowing with wonderful facts and references, from the obvious to the fantastically recondite and abstruse. And that by reading along with Borges, we too, become as fantastically learned and knowledgeable as him.

If you like this kind of subject matter, and the dry ironical tone, then the world of unexpected and outré references is like a door opening in your mind, hundreds of doors, revealing all kinds of wonderful, mind and spirit enhancing vistas and possibilities.

Tom Castro, the Implausible Imposter

Arthur Orton was born in Wapping in 1834. He ran away to sea and resurfaced decades later in Sydney Australia where he had taken the name Tom Castro. Here he became friendly with a stately, clever black man, Ebenezer Bogle and the two set up as con-men. In 1854 a British steamer sank in the Atlantic and one of the passengers lost was slender, elegant Roger Charles Tichborne, heir to one of the greatest Roman Catholic families in England. His mother, Lady Tichborne, refused to believe he was dead and advertised widely throughout the colonies for his return. With wild and hilarious improbability Orton and Bogle decide to reply to her and claim that obese illiterate Tom Castro is in fact her slender, elegant aristocratic son…after some years of living in Australia!

Most of this is comic but Borges milks it for further comic ideas, such as the notion that it was the very outrageousness of the entire idea which gave Bogle and Orton confidence; the more ridiculous it seemed, the more emboldened they were to tough it out in the light of lawyers and Lady Tichborne’s heirs who violently rejected their claim. Very funny is the notion that so mad is Lady Tichborne to have her son restored that she will accept anything Orton says and so when he completely invents some tender childhood memories, Lady T immediately accepts them and makes them her own.

Finally, the relatives bring a trial where all is going well until Bogle meets his death at the hands of a passing hansom cab and Orton loses all his confidence. He is sentenced to 14 years in prison but, here again Borges emphasises the humour, pointing out that Orton so charmed his imprisoners that he was let off for good behaviour and then took to touring theatres giving a one-man show retelling his story.

It is typically Borgesian that, at each venue, Orton is described as starting out maintaining his innocence but often ends up pleading guilty depending on the mood of the audience.

A story, any story, about anything, is infinitely malleable.

The Widow Ching, Lady Pirate

China at the turn of the 18th century and the story of a redoubtable woman pirate who, when her husband Ching is killed in battle, takes over his pirate crew and leads them in 13 years of ‘systematic adventure’. The emperor sends one admiral against her, Admiral Kwo-lang, who she comprehensively defeats, and before leading her ‘six hundred war junks and forty thousand victorious pirates’ on devastating attacks on China’s seaboards. A second expedition is sent under one Ting-kwei. This one defeats Madame Ching who, on the night after a huge and bloody battle, has herself rowed over to the admiral’s ship, boards it and presents herself with the appropriately flowery oriental rhetoric: ‘the fox seeks the dragon’s wing.’ She was allowed to live and devoted her later years to the opium trade.

There is something immensely satisfying in the way Borges creates a scene, a historical period, its key characters and conveys a series of big events in just nine pages. More than that, the first page is devoted to two women pirates of the Western tradition, Mary Read and Anne Bonney, before we even get round to China.

Their speed and brevity, their exotic setting and subject matter, the tremendous confidence with which Borges cuts from scene to scene, zeroing in on key moments and drilling down to one line of dialogue, and all told in a wonderfully humorous, often tongue-in-cheek style, make these bonne bouches immensely appetising and pleasurable.

Monk Eastman, Purveyor of Iniquities

Borges freely acknowledges his source for this narrative as Herbert Asbury’s 1928 volume The Gangs of New York, and gives a 2-page summary of some of the most notable hoodlums from New York’s Victorian underworld described in that book, before arriving at his potted biography of ‘Monk’ Eastman who is the particular subject of this narrative.

Born Edward Osterman, Eastman he was Jewish but grew into a ‘colossal’ and violent killer who lorded it over the whole goy underworld. He hired himself out as a hitman and led a violent gang. They were involved in a shootout so epic it became known as The Battle of Rivington Street, then a two-hour fistfight with the leader of the main rival gang, Paul Kelly, watched by a shouting crowd. He was repeatedly arrested and, after the final time, in 1917, decided to enlist in the US Army which had joined the war in Europe. This, like everything else in the story, is told with detached facetiousness:

We know that he violently disapproved of taking prisoners and that he once (with just his rifle butt) interfered with that deplorable practice…

On his return Monk quipped that ‘a number of little dance halls around the Bowery were a lot tougher than the war in Europe.’ He was found dead in an alley with five bullets in him. These throwaway endings, without any Victorian moralising, give them a Modernist, ‘so what’ aspect, a throwaway bluntness which contrasts vividly with the extreme scholarly punctiliousness about the sources.

The Disinterested Killer Bill Harrigan

Scenes from the life of William Harrigan aka Billy the Kid. For a start, it’s factually interesting to learn that Billy was a street hoodlum born in the very tough slums of New York before he headed out West. Borges amuses himself by assigning Billy’s life to different stages, namely:

  • The larval stage
  • Go West!
  • The Demolition of a Mexican
  • Deaths for Deaths’ Sake

He killed his first man aged 14. There’s a running joke that whenever Billy boasted about the number of men he killed he always added ‘not counting Mexicans’ who he held in utter contempt.

Borges’s wonderful fantasy-mindedness, the way he can introduce a mind-teasing idea into even the most obviously material occurs when he casually mentions that, despite his best efforts to turn himself into a hard-riding cowboy, Billy:

never completely matched his legend, but he kept getting closer and closer to it.

This implication that the legend of Billy the Kid existed before he began enacting it, and that he was fated to aspire to match his own legend… there is something wonderfully dizzying about this metaphysical-magical perspective, a dizzying magic metaphysical worldview which was to emerge more powerfully in his famous mid-career stories and excerpts.

The Insulting Master of Etiquette Kôtsuké no Suké

To be honest I didn’t understand this one, even after reading it twice. It’s set in Japan in 1702. An imperial envoy comes to stay with Asano Takumi no Kami who has been ‘trained’ by a rude and dismissive master of etiquette, Kira Kôtsuké no Suké. Asano was rude to the imperial envoy who, as a result, had him executed. Asano’s other retainers came to Kira Kôtsuké no Suké and told him, that since the error stemmed from his poor training of Asano, he should commit hara-kiri, but he refused and ran away and barricaded himself into a palace. Asano’s 47 retainers laid siege to the palace, broke in, discovered he had hidden, found him and killed him. That is why the story is sometimes called ‘The Learned History of the Forty-seven Retainers.

The Masked Dyer, Hakim of Merv

The story of Hakim, born in 736, who grows up to assume the identity of the Prophet of the Veil and establish a religion to rival Mohammed’s, by telling the impressionable that a messenger from God had come down from heaven, cut off his head and carried it up to heaven to receive a divine mission from Allah. He crystallises his position when, amid a crowded caravan, someone releases a leopard which Hakim appears to quell with the power of his eyes alone. He becomes the Veiled Prophet or Masked One and leads his followers to military victory, taking cities. He keeps a harem of one hundred and fourteen blind women.

He promulgated a belief system derived from the Christian Gnostics, namely that the world is a parody of Divine Reality, created by nine emanations from the original.

The world we live in is a mistake, a clumsy parody. Mirrors and fatherhood, because they multiply and confirm the parody, are abominations.

Five years into his rule, Hakim and his followers are besieged by the army of the Caliph when a rumour goes round from one of the women of his harem that his body has various imperfections. He is praying at a high altar when two of his captains tear away his permanent veil to reveal that Hakim bears the revolting disfigurements of the leper, and they promptly run him through with spears.

Part 2. A short story

Man on Pink Corner

This is a surprisingly poor short story and a good explanation of why Borges focused on writing his metaphysical-brainteasing essays rather than trying any attempt at conventional fiction. It’s the account of a street hoodlum, a junior member of a gang in the unfashionable poor north side of Buenos Aires, and a supposedly fateful night when he and his gang are at a dance hall when in crashes a massive hard man, Francisco Real, who muscles his way through the crowd to confront the head of the local gang, Rosendo Juárez, at which point, inexplicably, Rosendo backs down and Real takes his place as head honcho and steals his woman, La Lujanera.

I found a lot of this inconsequential, silly and hard to follow because nobody seemed to be obeying any rules of human nature I’m familiar with. Rosendo disappears, and Real takes La Lujanera outside, presumably to copulate with her in a ‘ditch’:

By then they were probably going at it in some ditch.

Our narrator wanders out to take the air then returns to the dance where old gang members and new gang members seem to be dancing happily. Then there’s a banging on the door, and in stumbles the huge bruiser Real with a big gash in his chest. He collapses on the floor and bleeds to death. The hoodlums of both gangs strip him of his clothes, appear to rip open his guts and pull out his intestines, cut off his finger to steal his ring, then chuck him out the window into the river Maldonado which flows just outside the building.

In the final paragraph, the narrator mentions Borges’s own name as if he is recounting this story directly to him:

Then, Borges, I put my hand inside my vest – here by the left armpit, where I always carry it – and took my knife out again…

And in the last sentence implies that it was he, the narrator who, when he slipped out, managed to fatally stab Real – in which case why wasn’t there a description of this presumably fairly melodramatic scene, how did he manage to do it if Real was shagging La Lujanera in a ditch? How come La Lunajera didn’t point out our narrator to everyone in the hall as the murderer?

It seemed to me a collection of 1930s noir crime, lowlife clichés thrown together with no plausibility and no account of human psychology. Borges himself seemed bemused by the story’s popularity. Thank God he abandoned this mode of altogether in favour of the ‘baroque’ and mind-bending essays gathered in Labyrinths.

Part 3. Etcetera Etcetera

Being short 2 or 3-page excerpts from scholarly books which presumably struck Borges because of the surrealism or bizarreness or humour of their content. The excerpts are interesting or amusing or ghoulish in their own right, but what really impresses is the arcane nature of their sources, and the range of reading and learning they imply.

A Theologian in Death

From the Arcana Coelestis by Emanuel Swedenborg (1749 to 1756).

The Protestant theologian Philip Melancthon (1497 to 1560) dies and goes to heaven but doesn’t realise this is what has happened because the angels recreate his worldly house and study. However, as a great and learned man, they pester him to write about charity. But Melancthon obstinately persists in writing that charity is unnecessary because, like a zealous Protestant, he believes we are justified by faith alone. The result is that the angels , as warning and punishment, slowly degrade his house and then his own body. Day by day ghost Melancthon awakes in a further degenerated condition, till the last that’s heard of him he is ‘a kind of servant to demons.’

The Chamber of Statues

From The Thousand and One Nights numbers 271 and 272.

In the Andalucian city of Ceuta was a citadel with a door to which each successive king by tradition added a lock. Then a wicked man usurped the throne and, against the advice of holy men, insisted on ripping out the locks and opening the door to find what was inside. He discovered a series of rooms containing wonders, the last of which contained an inscription saying whoever opened the door would be overthrown. And, indeed, within a twelvemonth, the Arab leader Tariq ibn-Ziyad overthrew the usurper and sold his women and children into slavery.

Tale of the Two Dreamers

From The Thousand and One Nights number 351.

A merchant in Cairo falls asleep in his garden with a fountain and a fig tree and has a dream in which angels tell him to seek his fortune in Isfahan in Persia. So he packs up and off he sets.

After a gruelling journey, overcoming numerous threats and natural disasters, he finally arrives in Isfahan and falls asleep by a mosque.

But that night a house next to the mosque is robbed, the owners raise the alarm, the stranger is apprehended, thrown into prison and tortured. He is brought before the captain who asks who he is and why he’s here.

The merchant tells the story of his dream, and the captain laughs and says he also has a dream of a garden of a house in Cairo with a fig tree and a fountain which has treasure buried under it, but he knows it’s just a dream and has never acted on it.

He lets the whipped merchant go, who returns all the way back to his house in Cairo, digs under the fountain, and discovers a vast treasure. So the dream came true, just not at all in the way expected.

The Wizard Postponed

From the Libro delos enxiemplos del Conde Lucanor at de Patronio (1335) by Juan Manuel.

A beguiling story in which a Dean from Santiago, wanting to learn about magic, visits the noted magician Don Illán of Toledo and promises him anything if he will teach him magic.

So the Don takes him down into a cellar deep underground and submits him to a test, namely telescoping the next thirty years of their lives together. In this quick journey through the future the Dean is blessed with a series of promotions within the Catholic church, ending up being elected Pope.

At each step of the way the Don asks for some grace or favour but the newly promoted Dean puts him off, until he finally gets fed up of him and tells the Don to stop bothering him or he’ll have him thrown in prison.

At which point the entire future they’ve lived through disappears in a puff of smoke and the Dean finds himself back in the deep cellar with Don Illán who says ‘I told you so’, escorts him to the door and wishes him a pleasant journey home.

The Mirror of Ink

From The Lake Regions of Central Africa (1860) by Richard Burton.

How the wizard Abd-er-Rahman al-Masmudi threw himself on the mercy of the tyrant of Sudan Yaqub the Ailing, who orders him every morning to show him visions and wonders, until one day al-Masmudi shows him a figure being dragged for execution. When Yaqub demands that the figure’s veil be taken off, it reveals his own face and he watches the executioner raise his great sword and, when it falls and severs the neck of the man in the vision, Yaqub the Ailing himself falls dead.

A Double for Mohammed

From Vera Cristiana Religio (1771) by Emmanuel Swedenborg.

Since the idea of Mohammed is so closely linked to religion in the minds of Muslims, Allah ensures that heaven is overseen by a kind of deputy or second Mohammed, whose identity actually varies. A community of Muslims was once incited by evil spirits to acclaim Mohammed as their God, so Allah brought the spirit of the actual Mohammed up from under the earth to instruct them.

The Generous Enemy

From the Anhang zur Heimskringla (1893) by H. Gering

In 1102 Magnus Barfod undertook to conquer Ireland. Muirchertach, King of Dublin, sends him a nine-line curse which, by roundabout means, ends up coming true.

On Exactitude in Science

From Travels of Praiseworthy Men (1658) by J.A. Suárez Miranda.

A fragment which tells of a magical empire where the geographers at first essayed maps so huge that the map of a single province covered the space of an entire city, and the map of the Empire itself an entire Province. These were eventually replaced by the ultimate map of the empire which was the same size as the Empire itself, and coincided with it point for point. Over the years it fell into neglect and now only a few tattered fragments survive in the Western Deserts, sheltering an occasional beast or beggar.


Borges’ approach

Bookish

The content of the seven infamy tales is lurid and melodramatic, with plenty of murders, assassinations, beheadings, shootouts and suicides. But they are all refracted through a highly bookish, ironic sensibility which does at least two things: 1. It is very careful to cite the sources of the story, in a parody of a learned or scholarly article, and 2. it mocks the content of his own story with irony and knowing humour.

The first quality (a showy, pseudo-academic concern with indicating sources) is most evident in the opening of The Masked Dyer, Hakim of Merv:

If I am not mistaken the chief sources of information concerning Mokanna, the Veiled (or, literally, Masked) Prophet of Khurasan, are only four in number: a) those passages from The History of the Caliphs culled by Baladhuri; b) The Giant’s Handbook, or Book of Precision and Revision, by the official historian of the Abbasids, Ibn abi Tahir Taifur; c) the Arabic codex entitled The Annihilation of the Rose, wherein we find a refutation of the abominable heresies of the Dark Rose, or Hidden Rose, which was the Prophet’s Holy Book; and d) some barely legible coins unearthed by the engineer Andrusov during excavations for the Trans-Caspian railway. (p.77)

‘If I am not mistaken’, that’s a nice touch. The effect of these kinds of learnèd references is to give the very pleasurable sense that you are entering the magical realm of books and stories. Not the everyday books we encounter in our lives or local bookshops, glossy gardening books or biographies of celebrity chefs or tedious accounts of adulteries in North London – but that we have been transported to the realm of old-fashioned stories, stories of extreme actions and derring-do and marvellous deeds in exotic settings.

Stories from our remembered childhood which fired our imaginations before we were forced to grow up and become sensible. It is a very old-fashioned tone and it’s no surprise that Borges, throughout his career, said his earliest and most enduring inspiration derived from the yarns of Robert Louis Stevenson and Arthur Conan Doyle.

Exotic

This old-fashioned, bookish tone overlaps with the wonderfully exotic settings of many of the narratives: slave plantations of the Deep South; Australia; the China seas; 18th century Japan; the Wild West; 12th century Ireland; medieval Spain; medieval Persia.

In the first preface he mentions Robert Louis Stevenson as a source and you can feel Stevenson’s restless quest for exotic locations shared by Borges.

Intellectual themes

One of the most obvious recurring tropes of the stories is (the currently very modish theme of) ‘identity’. The seven historical characters freely change their names or have names assigned them by contemporaries or historians. Writing of Monk Eastman, he says:

These shifts of identity (as distressing as a masquerade, in which one is not quite certain who is who) omit his real name – presuming there is such a thing as a real name.

The most flagrant example is Tom Castro who has already changed his name once before he embarks on the criminal project of impersonating Roger Charles Tichborne, which leads to the sensational trial in which the nature of ‘identity’ is central. A great deal could be said on the subject of fiction and identity but I’m going to pass.

Two prefaces

After the fact, Borges commented on his own stories in two prefaces, one written for the 1934 edition, one for 1954.

1934 preface

The 1934 preface is only one page long and Borges admits that the stories stem, in part, from:

my rereadings of Stevenson and Chesterton, and also from Sternberg’s early films, and perhaps from a certain biography of Evaristo Carriego

combined with the over-use of certain tricks:

random enumerations, sudden shifts of continuity, and the paring down of a man’s whole life to two or three scenes

I found it very interesting indeed that he casually says:

They are not, they do not try to be, psychological.

Traditional literature, and many short stories, focus on a psychological crux, a decisive moment in someone’s life, and investigate the ‘moral’ and psychological aspects of it. Borges consciously turns his back on that tradition and exploits his sources to create pen portraits which are not at all concerned with anyone’s inner life, but use the content as 1. entertainment, creating striking scenarios and tableaux, as if in paintings or – as he frequently remarks – like scenes from movies. In the 1954 preface he elaborates that:

The book is no more than appearance, than a surface of images; for that very reason, it may prove enjoyable

They are intended to be all surface. That partly explains why they end so abruptly and with no moralising whatsoever: to emphasise their shiny metallic surfaceness.

2. What Borges doesn’t mention is that the stories are also quite clearly used as starting points for ironic and amused meditations on ideas, the more metaphysical and paradoxical the better. And that this was a harbinger of the work which was to come later.

1954 preface

The 1954 preface is twice as long as the 1934 one, being an extravagant 2 pages in length. Borges immediately launches into a consideration of ‘the baroque’, claiming it is a style:

which deliberately exhausts (or tries to exhaust) all its possibilities and which borders on its own parody… [that] only too obviously exhibits or overdoes its own tricks.

He goes on to link this to a fundamentally comic worldview:

The baroque is intellectual, and Bernard Shaw has stated that all intellectual labour is essentially humorous.

I disagree. Having attended a big London exhibition about The Baroque I came away with the strong conviction that ‘the Baroque’ is above all about Power, the Complete Power wielded by monarchs who believed in their Divine Right to rule and the Total Power over all believers claimed by the Counter-Reformation Catholic Church.

Apart from anything else, Baroque works of art and churches are massive and imposing whereas Borges, if he is anything, is a precise miniaturist. He is more like a Swiss watchmaker than a Baroque architect.

But we are not reading Borges for accurate scholarship, in fact the precise opposite, we are reading him for his whimsical playing fast and loose with facts and figures and ideas for our amusement, an attitude he makes explicit when he writes that the stories are:

the irresponsible sport of a shy sort of man who could not bring himself to write short stories, and so amused himself by changing and distorting (sometimes without aesthetic justification) the stories of others.

Borges may be correct in using the term ‘Baroque’ to indicate an interest in following every detail or narrative possibility to its logical conclusion, in the compulsive inclusion of every finial and architectural flourish possible. But his work is at the opposite end of the scale from The Baroque style in art and architecture.

And the Baroque is, above all, deadly serious, whereas Borges’s work is informed throughout by a dry, metaphysical humour, that comes from somewhere else. This bookish humour is entirely Borges’s invention, filtered through the gentlemanly, ironic tone of the late Victorian British authors he loved so much.

Literary influence

Apparently (or, as Borges might write, ‘If I am not mistaken’) the Puerto Rican critic Angel Flores (1900 to 1994) was the first person to use the term ‘magical realism’ and dated the start of the Magical Realist movement from this book.

This is echoed by the blurb on the back of the Penguin edition which claims that Borges intended the stories simply to be light entertainments, newspaper squibs:

‘yet after its appearance in 1935 its influence on the fiction of Latin America was so profound that its publication date became a landmark in the history of Latin American literature.’


Related links

Borges reviews

The Anarchist by Hermann Broch (1931)

Introduction to Hermann Broch

Here’s a brief biographical sketch from a New York Times review of the paperback reprint of The Sleepwalkers

Born in 1886, Broch was a product of that fin-de-siecle Vienna that he analysed devastatingly in his brilliant study Hugo von Hofmannsthal and His Time‘ (recently available in English). The dutiful son of a Jewish textile manufacturer, he attended the local technical institute, took his engineering degree at a textile school in Alsace-Lorraine, traveled to the United States to observe milling procedures and in 1907 patented a cotton-milling device. When his father retired in 1915, Broch took over the business and in the next 10 years became what he cynically termed a captain of industry.

At the same time, he nurtured ambitions for an intellectual career. For years he sporadically attended courses in mathematics and philosophy at the University of Vienna and wrote essays and reviews for various liberal journals. In 1927 he dismayed his family by selling the plant and declaring his intention to pursue a doctorate. But within a year, disenchanted by the disdain for ethical questions displayed by the Vienna Circle of logical positivists, he gave up his academic plans and turned to fiction. As he wrote in a ‘Methodological prospectus‘ for his publisher, he had become convinced that those realms of experience rejected by contemporary philosophy can best be dealt with in literature.

The Sleepwalkers (1931 to 1932) is a thesis novel with a vengeance. According to Broch, sleepwalkers are people living between vanishing and emerging ethical systems, just as the somnambulist exists in a state between sleeping and walking. The trilogy portrays three representative cases of ‘the loneliness of the I’ stemming from the collapse of any sustaining system of values. (In Search of the Absolute Novel by Theodore Ziolkowski)

The Anarchist is the second in the trilogy of novels which Broch published simultaneously under the umbrella title The Sleepwalkers in 1931. An English translation by Willa and Edwin Muir was published in 1932 which, as far as I can tell, remains the only English version. Some English editions have an introduction; mine doesn’t. What the book is really crying out for is notes of some kind but I suspect that sales of it are so minuscule that any annotation project would never be viable.

The Anarchist

It is March 1903 and Broch throws us straight into the fray. 30-year-old clerk August Esch (‘lean and robust’, p.208, ‘a strong fellow and not in the least afflicted by nerves’, p.219; with ‘short stiff hair, dark head and tanned ruddy skin’, p.231) lives in Cologne.

He has just been fired from his job as a clerk at Stemberg and Company, wholesale wine merchants, due, he believes, to the machinations of the hypocritical head clerk (p.201) Nentwig, who he will spend the rest of the book doggedly hating. Esch was caught out in some minor error of the accounts while he believes Nentwig to be guilty of much larger scale frauds, though he can’t prove it. This grudge will fester through the entire novel and form the core of Esch’s slowly mounting sense of global injustice…

Esch walks along the canal to the low-rent bar-cum-restaurant run by Mother Hentjen, a fat 36-year-old woman once married to Herr Hentjen whose portrait hangs on the wall. Sometimes the rowdy boozy male customers take the serving girls Hede or Thusnelda home and sleep with them, it’s that kind of place.

Angry Esch shares a beer and a bratwurst with Martin Geyring, the cheerful crippled socialist agitator and member of the Social Democratic Party, who walks with crutches. Geyring tips him off about a vacancy for a clerk in the Central Rhine Shipping Company in Mannheim. Esch goes back to Stemberg and blackmails a good reference out of the vile Nentwig. He applies for the Mannheim job and gets it and a few day later sets off by train.

He arrives at the premises down on the docks and is shown to his unglamorous offices, a glass-partitioned box at the end of a long row of sheds (p.173). He is informed that the proprietor, a Mr Bertrand, a ‘renegade officer’, is a decent sort (p.187). Now, anyone who’s read the first book in the trilogy knows this must refer to Eduard von Bertrand, who was a major character in it, and a successful businessman back when that book was set, in 1888.

Anyway, August finds accommodation with a brother and sister who rent rooms, a customs inspector from the docks named Balthasar Korn and his ‘elderly virgin’ sister, Erna (in fact she’s not a virgin, p.210, but is much later described as ‘that skinny sallow little thing’, p.329). Erna is looking for a husband so she loses no opportunity to flirt with Esch, to hint at her fine collection of lingerie, to press her thigh against him when the trio go to bars or restaurants.

One day, down at the docks, Esch comes across a gentleman complaining that the stevedores are unloading his luggage in a clumsy way which might damage it. Esch steps in to reprimand them and the gentleman introduces himself as Herr Gernerth, new lessee of the Thalia Variety Theatre (p.177).

Gernerth gives Esch free tickets and Esch takes along Korn and Erna. Among the other acts is a gripping performance by a knife thrower and his beautiful assistant who adopts a crucifixion pose against a back backcloth while he sends razor sharp daggers whistling past her body.

Entranced and haunted by the deep feelings this sight awakens, Esch returns repeatedly and eventually is introduced to the couple, Herr Teltscher, whose stage name is Teltini, and Ilona, both of them Hungarian by birth (p.184). He is also, apparently, Jewish (p.206), Jewishness and anti-Semitism forming a small but persistent hum in the background.

They all go for a meal together. It becomes clear Korn is hitting on Ilona big time, putting his arm round her shoulder, while Esch is irritated by the old ‘virgin’ Erna continuing to press up against him.

A new character is introduced – Fritz Lohberg, a prim and innocent young tobacconist who Esch buys his cigarettes from. Lohberg’s shop is light and pleasant and the smell of tobacco gives it a lovely manly feeling of good fellowship. That said, Lohberg is a bit of a milksop: he is a member of the Salvation Army and keeps pamphlets on his counter promoting vegetarianism and against alcohol.

Korn follows Esch and also becomes a fellow of Lohberg’s shop, though Esch resents his big bearish vulgarity and Lohberg is terrified of him.

Korn finds out that Lohberg is going to an evening rally of the Salvation Army and insists they go along. To his surprise, Esch finds the Army’s singing and the religious sincerity very moving and comes within an ace of singing along himself. He realises how lonely he is. He has darker, brooding thoughts, about life and death and our essential loneliness, which remind the reader of some of the darker thoughts of the protagonist of the previous novel, The Romantic.

Esch has presentiments and feelings which he can’t bring into focus or define but which are mixed up with smells of the city at dusk, of fresh air out under the trees, or the dense cigar smoke of beer-cellars.

That night, driven by something like spiritual yearning, he finds himself loitering outside Fräulein Korn’s bedroom, making a bit of a noise, and hearing responding noises inside, until he is emboldened to go in. She is not naked but not wearing much and happy to flirt and encourage him. However, as things become serious, she suddenly calls a halt and utters those philistine, bourgeois, narrow, provincial words: ‘When we’re man and wife’ – and Esch recoils, not only as an homme moyen sensual who has been balked of the physical pleasure he was psyched up to enjoy, but also because he was in the midst of a kind of spiritual transport, and hardly anything in the world could have disgusted him more than the bathetic and banal linkage of coitus with the legal forms demanding by petty-minded and the conventional.

From that moment he hates Erna with a passion, and Erna returns the scorn with knobs on. She takes great delight in confirming Esch’s growing suspicions that someone else is padding around the house late at night, and that it is none other than Ilona, who has started to sleep with her crude, bearish brother.

Martin the trade union activist had popped in to see Esch every time his work took him through Mannheim, and now tells him he’ll be addressing a political meeting and invites him. Esch goes along to the meeting in the public room of a small tavern, although he recognises one of the policemen on the door who warns him to keep away.

In the event there is a lot of barracking from the floor when Martin utters unpatriotic sentiments, at which point a load of police enter the premises, go onstage to announce that it is shut down and they must all disperse, and arrest Martin for sedition (p.204). In sympathy with the arrest of their trade union representative the transport and dockers union goes on strike, meaning loading and unloading on the docks where Esch works comes to a standstill and he is increasingly at a loose end.

One night Esch is sitting in Gernerth’s seedy office at the theatre when Teltscher enters, sweating and beaming after his act. But when he demands payment, Generth goes into a familiar obstructive routine about overheads, rent, expenses and so on, and the pair of them wish that if only they could come up with an act which had next to no overheads but would really pack the punters in.

Out of the blue Generth suggests women wrestlers!

Korn makes his entrance into the office to meet Ilona, who is by now hopelessly infatuated with him, then they go off for the night. Gernerth, Teltscher and Esch discuss the women wrestler idea some more and Esch volunteers to pay a call on the theatrical agent, Oppenheimer, on the scheduled trip back home to Cologne he was due to make in a few days (p.206).

It’s a deal. If Esch can drum up some women wrestlers and, even better, some financing, then he can buy into the business and take a share of the profits. Suits Esch. Since the dockers strike started, there’s been nothing to do except hang round the docks, bored.

There’s a comedy of manners scene where Esch invites the weedy religious Lohberg to tea with Erna, the man-eater, who decides that, to spite Esch, she will match Lohberg’s investment in the women wrestling scheme i.e. invest 1,000 Marks. During the rather stiff and formal tea, Erna wonders if Lohberg is a virgin. She wonders if he cries during sex. Esch watches her and is disgusted.

Driven by his obscure yearning for purity or atonement, aroused by attending the Salvation Army meeting, Esch makes the irrational decision that he will serve the new women wrestling scheme. He has no money to invest, but he will devote time to making it happen, in fact he decides to quit his job at the wine importers. In some obscure way, he feels that serving like this will pay his debt. It’s something to do with being a book-keeper and wanting to keep tidy accounts where debts match credits, something to do with Martin being in prison while he is still a free man…

So returning from Mannheim back to Cologne, Esch visits Mother Hentjen, bringing her a nice present of a model of the Schiller Memorial outside that Mannheim theatre, but she inadvertently lets slip some remarks about her mysterious past, and disappears in a huff.

Esch goes to the office of the legendary theatrical agent, Oppenheimer, only to discover it is a messy shambles and that Herr O keeps irregular hours, according to the scornful neighbours.

(America In case I haven’t mentioned it before, Esch is obsessed with the idea of emigrating to America, something he discusses with both Lohberg and Korn. It reminds me that Kafka’s first attempt at a novel, begun in 1912, describes a young man emigrating to America in search of a better life. It reminds me of Bertolt Brecht’s obsession with America, its gangsters and its place names, none of which he had visited in the 1930s. It reminds me of the descriptions in George Grosz’s autobiography of his boyhood obsession with America. Was it a widespread movement at the turn of the century, this German romantic ideal of emigrating to the New World?)

The women wrestler idea progresses: Oppenheimer rustles up a variety of women from the music halls of Cologne and gives them exotic performers names. Esch attends an ‘audition’ where they try to persuade them to put on tights and wrestle, although some of the women flatly refuse and walk out.

Meanwhile, in a different part of his mind, Esch grows steadily more obsessed with the injustice of his friend Martin Geyring the trade union activist being locked up in prison. He discovers that Martin was locked up as a result of a deal done between Bertrand, owner of the major import-export firm in the area, and the police. Hmmm, so not such a decent guy after all.

After some thought, Esch writes an article or letter decrying the injustice of Martin being in gaol and delivers it in person to the Social Democrat paper, The People’s Guardian. Here he is humiliated by the editor’s blasé and patronising attitude, politely pointing out that they wrote all the articles about Martin that they needed to at the time he was arrested, not weeks later (p.228 ff).

The editor lets slip that Bertrand is a sodomite, although only ‘down in Italy’ (p.230). To the reader of the previous novel, The Romantic, this is a dynamite revelation because it sheds a new light not only on Bertrand’s dandyish personality, wit and irony, but on the odd, teasing relationship he had with The Romantic‘s lead female character, Elisabeth.

Anyway, in this novel Bertrand slowly comes to symbolise to Esch all the wickedness and corruption in the world, which he feels oppressed by but is too thick and uneducated to analyse coherently.

Thus, by half way through the novel, Esch is describing Bertrand as ‘the Antichrist’ (p.237). This seemed such an excessive thought that I wondered whether the novel might be leading up to Esch assassinating Bertrand. This is typical of hundreds of sentences describing Esch’s thoughts:

It was a matter of striking a blow at the whole thing, or at least at the head of the offence. (p.243)

In fact a constellation of feelings begins to coalesce in his mind: Esch felt a powerful sense of yearning for something higher when he attended the Salvation Army meeting; he is disgusted by Korn and Ilona’s affair; he sublimates or vents this in mounting antagonism to the fact that Teltscher and Oppenheimer are Jewish. When he sees Teltscher and Oppenheimer walking towards him chatting about the wrestling project, Esch bursts out in anti-Jewish insults and Oppenheimer is prompted to say ‘he’s an anti-Semite’ (p.238), although, a little puzzlingly, they continue on pretty good terms.

All this combines with the powerful but incoherent sense Esch has that things are in chaos, that the whole world is ruled by the corrupt (the sodomite Bertrand), that there is injustice everywhere (his friend Martin in gaol). In particular this offends his book-keeper’s ‘upright soul’ and sense that there must be order – every debit must be balanced by a credit. (p.242)

So by this stage, half way through the novel, I wondered whether the novel is meant to be the portrait of a nascent fascist, a proto Nazi…

More plot

Since many summaries of the novel I’ve read describe it as a rollicking account of Esch and his troupe of women wrestlers, I was struck by how little description of them the book contains. There’s a page or so on the process of hiring the women wrestlers, training them and organising them. There’s a bit about sending out posters and publicity, a paragraph describing Teltscher supervising the unloading of the state sets at the Cologne docks, but then – in a glaring omission – no description of the Grand Opening Night. And only the briefest paragraph cursorily describing one fight. You might have expected at least a page about the actual art of wrestling, the different holds and manoeuvres, the rules maybe, explaining how they were staged and arranged, who the best ones were, and so on.

None of that is here. Instead Broch takes it as read that they become a regular nightly attraction at the Alhambra theatre, and gives us one description of Esch proudly walking among the packed tables at the cabaret theatre, and beginning to enjoy the profits he is sharing.

In other words, Broch is more interested in the ongoing evolution of Esch’s character than in external events, per se, and certainly than the women’s wrestling which is all but ignored. Shame. Could have been interesting, in its way, and possibly very funny. But Broch isn’t that kind of writer.

Esch is at Mother Hentjen’s looking at the wine list when it dawns on him that he should use his expertise to improve it or to get her better deals. Looking through a newspaper he reads about wine auctions held at a place called Saint-Gaor up the Rhine.

So he persuades a reluctant Frau Hentjen to accompany him, and Broch describes at length a day trip down the Rhine wherein the interest is, as usual, in the changing moods of the two characters, closely connected with the time of day and the setting (on the ferry up the Rhine), walking through the shadowy streets, climbing the dusty path up the Lorelei. By the end of the trek, Mother Hentjen is so exhausted that, plumped back in her seat on the train home she makes no complaint when Esch brushes her cheek then kisses her – because she is too exhausted to notice.

Back at her restaurant in Cologne she livens up a bit, but bids him her usual brisk goodnight, treating him the same as all the other punters, but Esch loiters, then goes up to her room, inflamed with conviction that the kiss was a promise and also overcome with the same kind of overblown semi-religious, world-saving fervour we’ve seen mounting in his character throughout the story.

Thus he overcomes Mother Hentjen and rapes her, not in her bedroom but in an out-of-the-way alcove which contains two spare beds, although she keeps on shaking her head, No, till the end.

Esch settles in to be Mother Hentjen’s lover but in a very peculiar way, and Broch devotes a couple of pages of characteristically long, impressionistic sentences describing the strange trance Hentjen goes into whenever Esch approaches. He comes to her in her afternoon siesta or at night after closing time and how she submits to his embrace from a great distance, from a place where she doesn’t even acknowledge herself any more, so that the more furiously Esch labours in vain to prompt an animal grunt of lust from her, the more determined she becomes to stay silent.

Nonetheless, Mother Hentjen accepts his animal lusts on her body, and they become an item – for this reader, at any rate, an odd and disturbing item.

Esch continues his obsession with emigrating to America. He goes into a bookshop (something he has rarely done in his life – an indication of his low level of education and intelligence) and buys a book about America, poring over the sepia photos and memorising facts and figures about this marvellous country. In his simplicity he imagines it as a place of justice and honour where innocent trade union organisers aren’t locked up (like Martin) at the behest of perverted company owners (like Bertrand).

Gernerth comes up with the idea of hiring a negro woman wrestler. Already the wrestling women have been given (entirely fake) names and are claimed to be from different countries. In each bout care is taken that the German girl ends up triumphant.

Esch repeats his suggestions of emigrating to America. Teltscher says he’ll stand no chance in America where they already have women’s wrestling, but in Mexico or South America there’s a shortage of women, so if the wrestling doesn’t turn a profit, the women can always go back on the game. But blondes, they must be blondes. Latinos like blondes.

So Esch, naively in this as in all his other endeavours, returns to scouring the bars and brothels of Cologne, this time looking for blondes. In an obscure wish to avoid Mother Hentjen’s reproaches, and to show that he isn’t using the services of prostitutes on his investigations, Esch goes out of his way to also visit the homosexual brothels.

This is a rather cack-handed plot device which allows Broch to take us into gay brothels circa 1903. Here Esch quickly discovers that Bertrand is a legendary sodomite, possessed of vast riches, a luxurious house and a steam yacht crewed by handsome young men, and that he enjoys picking up rent boys, for a while.

Esch discovers one such boy, Harry Köhler who, he discovers, had a brief relationship with Bertrand. Over drinks in a bar Esch hears Harry repeat Bertrand’s notions about love being based on detachment, which the reader of the first novel remembers Bertrand elaborately explaining to the sceptical Elisabeth 15 years earlier. Clearly it is his established spiel.

Anyway, it is Mother Hentjen’s birthday and we are surprised to be reminded, from the way she is described as fat and old and dried-up, that she is just 37.

She has gotten used to Esch turning up towards closing time, and taking her to the alcove (not her private bedroom) where on the spare bed he spears her stiff, unyielding and silent body. On the night of her birthday she is, for once, slightly responsive, but Esch realises she is consumed with jealousy over his involvement with the women wrestlers, and suspects he has a woman in every town he travels to. With indeterminate seriousness, she threatens to ‘do him in’ if she finds him being unfaithful to her. By this stage I was finding the petty-minded, stupid behaviour of a lot of these characters rather tiresome.

Esch, driven by increasingly obscure but powerful urges to ‘do the right thing’, whatever that is, decides it is time to extract from the wrestling business the initial investment and profits due to Fräulein Erna and Lohberg back in Cologne. He goes to see Gernerth who protests like fury, not least because the women wrestling attraction is losing popularity and struggling to make a profit. He gives Esch half what’s owed to his friends.

Esch take the train back to Mannheim and looks up Fräulein Erna, has tea with her and the milksop Lohberg. When Esch reports that he’s only brought only half the money owed to her, Erna flies into a fury. Despite this, a little later Esch is standing over her as she writes a receipt and finds himself stroking her cheek and then they kiss and then they go up to her bedroom and make love.

Immersed in the flow of the text, I accepted this development as many others, which I didn’t really understand or believe, but which flowed with the same lack of logic as him raping Mother Hentjen. I’d have preferred Erna to have remained an entertainingly vicious enemy and felt simply disappointed that they ended up sleeping together. Aren’t people boring, at least in novels. In novels, in fiction, in literature, it is so often about love love love or sex sex sex.

Anyway, Erna consents to have sex with Esch every night of his stay in Mannheim, despite the fact that they both know she is engaged to the weedy tobacconist, Lohberg. Which is so wildly beyond the psychology of any woman I’ve ever met or heard about that, by this stage, I seemed to be reading a novel from a parallel dimension. Or a different time. Or a different culture.

Esch dutifully visits Martin in prison and is infuriated that he seems to be taking his incarceration so calmly. Martin was, in fact, only sentenced to three months, for sedition, but Esch has worked himself up into a vast confused state of anger at the entire order of things, based on confused grievances at: poor Ilona having to stand by the board and have daggers thrown at her, at Martin being arrested simply for calling for the brotherhood of man, and at the corruption of Bertrand the unnatural sodomite who seems to be able to get away with it all.

This is all muddled in with his Salvation Army experience of yearning for a better world and, on the other hand, his narrow-minded, book-keeper’s obsession with balancing accounts, making everything just so and imposing order, an order which, in his feverish hallucinations, seems to include sacrifice, his own acts of sacrifice plus some obscure sense that someone must die or be murdered.

For some reason, murder and death and sacrifice have, by this stage, become the keywords of the text.

This delirious brew detaches itself from reality in an extended sequence where Esch takes the train from Mannheim to Badenweiler on the edge of the Black Forest. For it is here – according to one of the rent boy, Harry Köhler’s, friends in the gay bar, a fat musician named Alfons (his wobbling folds of fat are repeatedly described) – that Bertrand has his big estate.

As in a dream, Esch walks through town to the gates of the estate, walks unopposed through the gates, enters the house, mounts the stairs and finds himself meeting Bertrand, shaking his hand, welcomed into his study and talking to him. There follow pages of heady, pseudo-philosophical conversation which sound fine but didn’t mean anything to me. Here’s Bertrand:

‘No one can see another in the darkness, Esch, and that cloudless clarity of yours is only a dream. You know that I cannot keep you beside me, much as you fear your loneliness. We are a lost generation. I too can only go about my business.’
It was only natural that Esch should feel deeply stricken, and he said:
‘Nailed to the cross.’

This means nothing to me and apart from the fact that a dream sequence appears to have strayed into an otherwise fairly realistic novel, I just couldn’t process or compute this sequence.

According to the Wikipedia summary of the novel, Esch had visited with the intention of murdering Bertrand. But I found Esch’s consciousness so confused that I found the Bertrand visit a series of inconsequential and dreamlike sentences which conveyed no hard facts or events. It didn’t help that the visit is immediately preceded by a long digression describing a kind of dream voyage by ship to America. Taken together the entire thing seemed like a strange, dreamlike fantasy.

Certainly at no point did I feel it was ever Esch’s intention to hurt Bertrand and the scene contains no sense of threat or danger, and no dramatic reversal as of Bertrand talking him out if it, at all.

Esch goes to see Martin a second time in prison and slips him a packet of cigarettes while the easy-going warden turns a blind eye. Martin casually suggests Esch will never see him alive again, which just exacerbates Esch’s confused sense that some kind of sacrifice is required for him to be free of the past.

Esch returns to Cologne after his six-day excursion and returns to Mother Hentjen’s restaurant. His thought processes are really confused by now. He gets angry that MJ is once again cool to him in front of all her customers and storms out. But then he returns after the restaurant has closed, insists on being taken up to her bed, and assaults her almost at once.

Afterwards she is quiet as he goes off into one of his complex, contradictory long fantastical thought processes which winds him up into such a fury that he slaps her round the face and immediately proposes that they get married, to which she meekly replies yes. The reader is by this stage in the twilight zone of a completely alien psychology.

Next morning, the sight of the portrait of the original Herr Hentjen hanging on the wall of the restaurant drives Esch to (yet another) paroxysm of fury. He calls for paper and pen, and there and then writes a letter to the Chief of Police denouncing Bertrand as a homosexual and a pervert, folds it in his pocket.

He posts it next day on  hi way to see Gernerth who, he discovers, is away from his office. Then Teltscher the knife thrower arrives and tells him just how weak the women wrestling business has become (there were only fifty customers in the audience the night before), and they discuss how they can recoup their investment from the mysteriously absent Gernerth.

Esch is still nudging Teltscher to come to America with him where Esch – like an idiot – thinks they’ll all be able to live in castles and Ilona will live in a deer park like a princess.

Later, Esch swings by the gay bar again and is surprised when Alfons the fat musician comes in looking dishevelled and distraught and tells him that Harry is dead, killed himself with an overdose. Why? asks Esch, and Alfons points to the newspapers.

They are edged with black and the entire city is mourning the abrupt death of the eminent businessman Eduard von Bertrand. Reading the small print, Esch sees that Bertrand shot himself. Because he is by now quite deranged with narcissistic self-absorption, Esch doesn’t in the slightest blame himself for giving the letter to the police which must have prompted an initial visit to Bertrand who must have realised he would be outed and imprisoned etc, and so decided to kill himself. None of this terrible agony is described or even hinted at. Instead we simply see it from Esch’s blunt, stupid point of view and his only reaction is to think – utterly irrationally – that this means Martin the cripple will no longer follow and menace him with his crutches (?).

Esch pushes off, leaving Alfons to have an extended reflection on his own life and how, as a fat gay musician, he is in touch with sensations and feelings which straight men with their incessant tragic pursuit of women, will never know. Men chase women because they think the intensity of their possession will protect them from their fear of death. Then when it doesn’t protect them, they rage against the women for failing them, and beat them. Alfons feels well out of the whole farce.

Cut to Ilona getting out of the bed she shares with Korn who is fast asleep and snoring. She also reflects on her life, on the man who committed suicide for her sake and the other man who she was unfaithful to and who nearly killed her, and to the venereal disease she was given as a girl which made her infertile. Then she sneaks down the hall and slips into bed beside skinny Fräulein Erna.

Back with Esch in Cologne, Oppenheimer and Teltscher are both keen to track down Gernerth who has disappeared on family business to Munich, apparently. The theatre’s rent and wages for the staff and performers all fall due at the end of the month, in a few days’ time. But Gernerth doesn’t appear and when they call in the police, the latter ascertain that Gernerth had withdrawn his entire company’s funds from his bank and done a bunk.

He’s disappeared with all their money, leaving them liable for all the company’s debts.

To my surprise this isn’t as ruinous for Esch as I’d expected. Oppenheim and Teltcher concoct a new plan to use the theatre properties which the Hungarian appears to own, and to rent out a new theatre and put on the knife throwing act among others. They persuade Esch to take out a mortgage on Mother Hentjen’s restaurant in order to finance the new business, Oppenheimer pocketing a 1% fee.

I wasn’t clear just how much Esch was being fleeced by this, but just like Joachim von Paselow in The Romantic it is clear that he is unworldly and impractical and easily duped. Not least because his head is continually occupied with obsessions about making ‘sacrifices’ in order to ‘redeem Time’ and bring about ‘a new world’, and so on.

While Esch’s head is full of this nonsense, Mother Hentjen gets on with repainting her restaurant and the others set up their theatre company and Esch has the claustrophobic feeling that all his best efforts to escape – to make some kind of grand sacrifice, to restore order to the world or, most ambitiously, to take everyone off to America where they would be reborn and live like kings – have failed, and that the banal world of the everyday is everywhere rising up to stifle him.

It was a vicious circle from which there was no escape. (p.336)

And so Esch slowly resigns himself to his place in the actual world, sometimes taking out his frustration at not being able, by some dramatic sacrifice to rise to a higher sphere of perfection, by beating the crap out of Mother Hentjen, and in due course they are married.

In a super-brief, one-paragraph coda right at the end of the text, the narrator tells us that when the theatre Teltscher and Ilona had set up in Duisburg goes bankrupt, Esch and Hentjen invest in their next venture, which also fails, and so lose all their money.

But then Esch unexpectedly gets a job as head book-keeper in a large industrial concern and so they live relatively well, Mother Hentjen grows to genuinely admire him, and he hardly ever beats her any more.

And that is that.


Social history

I’m not sure these are novels anyone would read for pleasure, exactly. The ‘drawing’ of the characters is detailed but feels alien, in fact doubly alien, because

  1. The language the novels are translated into is not idiomatic English, it’s like an English no-one ever spoke or wrote, strongly betraying its Germanic roots.
  2. The behaviour and attitudes of the characters is so alien to English traditions, in all kinds of ways.

Sex

In English literature until some time in the 1970s sex was avoided or buried in euphemisms. The German attitude is strikingly more blunt and crude.

  • Esch is experienced in ‘drinking dens, brothels and girls’ (p.226)
  • When Esch is half way through seducing Erna and she rebuffs him, he just goes off and spends the night with a more accommodating woman. Simple as that.
  • Esch is upset that Ilona is spending the night with Korn, not because of any outraged morality, but simply because he thinks Korn is a crude bear who doesn’t deserve her.
  • When Erna first meets Lohberg the naive tobacconist, she frankly wonders whether he’s ever had a woman and whether, during the heat of sex, he would be moved to tears (p.211). That’s not the kind of speculation you get in Virginia Woolf or Aldous Huxley, is it?
  • We are told that Esch fairly regularly ends the evenings at Mother Hentjen’s by taking Hede home and sleeping with her. Hede is never introduced as a character, we never hear her speak or feature in anyone’s consideration.
  • In a passage which is striking because the author and character take it for granted, Esch – at a loose end because of the strike – conceives a way to pass the time which is to make a list of all the women he’s ever had, and send them postcards. There’s no subtlety and no qualms or hesitation or periphrasis about the idea – he’s shagged a certain number of women and now he gets a pen and paper and racks his brains to make a list, after a while adding in the dates and locations so far as he can remember.

Compare and contrast with the Anglo-Saxon tradition, where sex is hedged around with the barbed wire of Puritanism and prudishness. To understand English literature you have to understand that the English have been terrified of open, honest descriptions of sex and sexual attraction until relatively recently.

I suppose a possible upside of the Anglo approach is that you could argue that sexual euphemism has taken its place alongside other English euphemisms and circumlocutions – for example around class, one’s place in society, and socially appropriate behaviour – to create what amounts, in England, to an entire culture or irony and misdirection.

As far as I can tell, throughout the 19th century the Continentals (especially the French) thought the English were disgusting hypocrites about sex, preserving a Victorian chasteness in our literature and public discourse (politics, religion), while the streets of London were heaving with prostitutes who accosted almost everyone every evening in the most brazen way; that we went to great lengths to preserve our self-image of gentlemanliness and stiff upper lip and imperial attitudes etc, while casually nipping over to Paris for scenes of gross debauchery. Whereas the French prided themselves on integrating sex and sexuality more honestly into their culture and literature.

So I suppose that the hypocrisy – of double standards – which the French so despised in the English might be related to all the other types of our multiple levels of irony, double entendre, misdirection and circumlocution about sex. In other words, that the English sense of humour which the Continentals remarked on, was closely connected to the English inability to discuss or describe sex honestly, which they also remarked on.

Anyway, the point of this excursion is simply to point out that this vast apparatus of irony, euphemism, and long-winded circumlocution about sex which characterises so much English literature is simply absent from this book. It doesn’t exist and nobody seems to miss it. They think about sex a lot, they have sex, sometimes they feel a bit jealous – that’s about it.

Therefore, although they contain a) extended nature descriptions, of parks and gardens and twilit skies and b) go into extended detail about the mental states of their central protagonists and the difficulty they have pinning down evanescent thoughts and ideas – these novels nonetheless completely lack the subtlety or understatement about social relationships and sex which a reader of English novels is used to.

There’s a strange kind of haunting absence about them.

Class

English literature, like English society, is absolutely drenched in class distinctions, the most fundamental of which is the gap between those who went to posh private schools – and dress and talk and exude confidence accordingly – and the rest of us, who didn’t.

Obviously, other 19th century European nations also had class hierarchies, sometimes more rigid than ours when it came to the top layers of aristocracy, court formalities etc.

But below that level, it’s harder to make out class distinctions in foreign literature. Thus in The Anarchist Esch is educated enough to be a clerk but doesn’t know what the ‘premiere’ of a play means (p.221), and I think Mother Hentjen’s is meant to be a pretty rough establishment, full of pipe-smoking working class types, who routinely take one or other of the ‘waitresses’ home to sleep with them, but there are none of the class markers I’d be used to in an English novel.

For example, none of them seem to have an accent. No distinction is made about the way they talk. They all appear to talk the same dialect, language and register. The interplay of accents and class distinction through vocabulary or turn of phrase which make up a huge amount of the dialogue in English novels (whether characters say ‘Hello, old boy’ or ‘Alright, mate’) is utterly absent from these books.

When rough Esch meets urbane Bertrand they speak the same language, use the same phrases, there is no way of distinguishing between the crude wife-beater and the suave gay company chairman by anything they say.

The only bit of linguistic distinction, the only place where Broch indicates that different people have different registers, idiolects and so on, relates to Ilona who is Hungarian and so doesn’t speak German very well. That’s it. All the other Germans appear to speak pure German without inflection or distinction.

Could it be that there is a lot of variation and distinctiveness in the characters’ speech in the original German and that all this has been lost in translation?

What is entirely missing from the novel is any sense of the self-consciousness and social awareness of class which so dominates English literature, snobbery in other words.

Snobbery plays a huge role in the English novel, from Jane Austen through Dickens and Thackeray and on to the incredibly upper-class characters in late George Eliot or Henry James, characters who skilfully navigate the complex social etiquette surrounding class (and region and education) in England.

All that social subtlety, all those velleities, all those implications through the careful selection of the mot juste in description or dialogue, are completely absent from these works.

Esch thinks the company chairman, Bertrand, must be a pretty decent sort. He thinks Martin the trade union activist is an honest bloke. He dislikes Korn because he’s so bearishly unthinking. That’s it. There is none of the social subtlety of the English tradition.

Comedy

A German joke is no laughing matter. (Mark Twain)

As a result of its blunt straightforwardness regarding a) sex and b) society and class, there is little or no comedy in the novel. Maybe I’m being obtuse, but you’ve read my summary of the plot and there aren’t many comic scenes, are there?

The only scene with a tincture of comedy is the tea party held by Fräulein Erna for Esch and Lohberg, where we see the three of them jostling and competing. Or Erna and Esch competing over the weedy tobacconist. But the humour mostly comes from Lohberg’s incomprehension of why the other two are bickering i.e. their thwarted lust for each other. And that is, at bottom, a fairly crude situation.

As I read about Martin the cripple or Bertrand the dandy company owner, and crop-haired Esch stumping around the cobbled streets of Cologne on his way to the dockers’ dive run by Mother Hentjen, I kept thinking of the stark German Expressionism of the 1900s, and then of the deliberate cripples and grotesques of Weimar art.

Stark and ugly is the German style. For example, nothing that Oppenheimer says is remotely funny or even interesting, but the way he is a tubby, little man with a disorderly office paints a picture which is sort of humorous in the Germanic way, in the way of laughing at crude stereotypes.

Philosophy

So what does the book have to offer if it lacks these mainstays of the English tradition? The answer is what I called in my review of The Anarchist, Broch’s phenomenology – his interest in the feeling of thought, his fascination with the way his central characters struggle to formulate and fully experience their own feelings and intuitions and ideas.

Yet there was an obscure miscalculation somewhere that he couldn’t quite put his finger on… (p.215)

This, it seems to me, is the strong point and main feature of the novels – the way Broch captures the fleeting quality of thought itself. Up to a point.

The big downside to the novels, in my opinion, is that these thoughts all too often turn out to be those of psychotics and religious hysterics.

Thus Joachim von Paselow, from the first novel, becomes steadily more deranged with paranoia, his thoughts eventually swamping the text in a goo of half-baked religio-philosophical ramblings.

In just the same way, the book-keeper August Esch, who starts the novel as a reasonably sensible character, by the end is consumed with absurdly over-the-top, overblown hyper-emotions.

Here’s a small example. The crude, blunt character Balthasar Korn arrives home to find a little drinks party going on in his front room, and rudely shoos the milksop tobacconist Lohberg off his sofa in order to plonk himself down on it. A pretty trivial moment. Here it is described from Esch’s point of view:

The noise which the man Korn raised while doing this was extraordinary, his body and voice filled the room more and more, filled it from wall to wall; all that was earthly and fleshly in Korn’s ravenously hungry being swelled beyond the confines of the room, threatening mightily to fill the whole world, and with it the unalterable past swelled up, crushing everything else out and stifling all hope; the uplifted and luminous stage darkened, and perhaps indeed it no longer existed. ‘Well, Lohberg, where’s your kingdom of redemption now?’ shouted Esch, as though he were seeking to deafen his own terrors, shouted it in fury, because neither Lohberg nor anybody else was capable of giving an answer to the question: why must Ilona descend into contact with the earthly and the dead?

Much of the later parts of the novel are like this, with way over-the-top hysteria prompted by apparently trivial, everyday occurrences.

By the end of the novel I had come to feel all the passages like this – and some go on for pages and pages – amounted to pretentious, adolescent bombast.

How I longed for one witty turn of phrase which would defuse this universal Weltschmerz, for the acid wit of an Evelyn Waugh, the levity of a P.G. Wodehouse, God for just a little English irony and self-deprecation.

But right to the end Broch appears to take everything as tragically as his pathetic, lowlife characters.

Credit

The English translation by Willa and Edwin Muir of The Sleepwalkers by Hermann Broch was first published in 1932. All references are to the Vintage International paperback edition of all three novels in one portmanteau volume which was first published in 1996.


20th century German literature

The Weimar Republic

The Dissolution of the Austro-Hungarian Empire 1867-1918 by John W. Mason (1985)

This is another very short book, one of the popular Seminar Studies in History series. These all follow the same layout: 100 or so pages of text divided up into brisk, logical chapters, followed by a short Assessment section, and then a small selection of original source documents from the period.  It’s a very useful format for school or college students to give you a quick, punchy overview of a historical issue.

This one opens by summarising the central challenge faced by the Austro-Hungarian Empire as it entered the twentieth century: how to take forward a fragmented, multi-cultural empire based on traditional dynastic and semi-feudal personal ties into the age of nationalism and democracy where every individual was, in theory at least, a citizen, equal before the law.

On page one Mason locates four key failures of late imperial governance:

  1. the failure to solve the Czech-German conflict in the 1880s and 1890s
  2. the failure to develop a genuine parliamentary government in the late 1890s
  3. failure to solve the Austro-Hungarian conflict in the early 1900s
  4. failure to solve the South Slav conflict in the decade before World War One

PART ONE The background

1. The Hapsburg Monarchy in European History

The Hapsburg monarchy lasted 640 years from 1278 to 1918. It was a dynastic creation, never attached to a specific country. In 1867 (following Hungary’s defeat to Prussia in the war of 1866) the state was organised into the so-called Dual Monarchy, with the Hapsburg ruler titled the Emperor of Austria and the King of Hungary. This gave Hungary more autonomy and respect than it had previously had.

The name ‘Hapsburg’ derives from Habichtsburg meaning ‘Castle of the Hawks’, located in what is now the Swiss canton of Aargau. During the eleventh century the knights from this castle extended their power to build up a position of growing influence in south Germany.

Meanwhile, the eastern March – the Oster Reich – of Charlemagne’s massive empire was granted to the Babenberg family in the tenth century and they held it for the next 300 years.

In 1273 the electors of the Holy Roman Empire elected Rudolf of Hapsburg to the office of Holy Roman Emperor. In the 14th century the Hapsburgs acquired Carinthia, Carniola, Tyrol, Istria and Trieste to their domain. In the 15th another Hapsburg was elected emperor and from 1438 till the Holy Roman Empire was dissolved by Napoleon in 1806 the Crown remained almost continuously in their house.

When King Louis II of Bohemia and Hungary died without issue in 1526, both his crowns passed to the Hapsburgs. This marked a turning point because up till then all Hapsburg land had been German-speaking. Now the Hapsburg administration had to take account of various non-German nations with their own independent histories.

This leads to a Big Historical Idea: just as the countries of the West were beginning to develop the idea of the nation state, central Europe was going down a different path, towards a multi-national empire.

Even more decisive was the role the Hapsburgs played in defending Europe from the Turks. Twice, in 1529 and 1683, the Turks laid siege to Vienna, a very under-reported and under-appreciated part of European history.

The Turkish threat had effectively been repulsed by the start of the 18th century and the Hapsburgs embarked on their new role in Europe which was to act as a counterweight to ambitious France, starting with the War of Spanish Succession (1702-14).

The long rule of the Empress Maria Theresa (1740-80) saw her undertake reform and centralisation of the administration. But her power in central Europe was challenged by Hohenzollern Prussia under Frederick the Great (1740-86). During this period, Poland was partitioned and Austria was given from it the southern province of Galicia, which she retained right up till the end of the Great War.

The French Revolution and Napoleonic Wars (1789-1815) unleashed the ideas of nationalism and democracy across Europe, both of which struck at the heart of the multi-ethnic and hierarchical structure of the Empire.

Under Maria Theresa and her son Joseph II, Austria had arguably been part of the continent-wide movement of reform associated with the Enlightenment, take for example their legislation to remove many of the restrictions placed on the Jewish population.

But the twin forces of nationalism and democracy were such a threat to a multinational polity that from this point onwards the Hapsburgs and the empire they led, became a reactionary force, embodied in the machinations of their legendary Foreign Minister, Klemens von Metternich (foreign minister from 1809 to 1848).

In 1848 revolutions took place all across Europe, with no fewer than five in capitals controlled by the dynasty – in Vienna, Prague, Budapest, Croatia and in northern Italy (territory which the Hapsburgs had seized after the defeat of Napoleon). Hapsburg forces put down the revolutions in four of the locations, but it required the intervention of the Russian army to defeat the revolutionary Hungarian forces. The Magyars never forgot this bitter defeat.

In the Crimean War (1853-6) Austria kept neutral from both sides (Britain & France versus Russia) which weakened her role in Europe. In 1859 France supported the desire for independence of Piedmont, the north Italian state ruled by the Hapsburgs since the defeat of Napoleon, and hammered the Austrians at the Battles of Magenta and Solferino. In response the Hapsburgs introduced some administrative reforms, but in 1866 lost another war, this time against Prussia under Bismarck, decided at the Battle of Sadowa.

Seriously weakened, and now definitely deprived of all influence in a Germany unified under Prussian rule, the Emperor’s politicians were compelled to bolster the Empire’s authority be devising a new agreement with the large Kingdom of Hungary to the East.

2. The Austro-Hungarian Compromise

Hence the Compromise or Ausgleich of 1867 which recognised the sovereign equality of two states, Austria and Hungary, bringing them under the rule of one man, Franz Joseph, Emperor of Austria and King of Hungary. The dual monarchy wasn’t the same as a federation, constitutionally it was unique. But it bolstered the Hapsburgs a) territory b) manpower. Crucially it provided a bulwark against the Slavs in the Balkans, quelling pan-Slavic sentiment.

The drawback of the Compromise was that it was essentially a personal agreement between the Emperor Franz Josef and the Magyar ruling class. Even liberal and progressive German-speaking Austrians felt left out, and that’s before you consider the numerous other nationalities contained within the empire.

PART TWO Domestic affairs

3. The Nationality Questions

The Treaty of Versailles entrenched the idea of national self-determination preached by American President Woodrow Wilson, and resulted in the break-up of the empire into a host of new nation states based on ethnicity. Viewed from this angle, it looks as though the Austro-Hungarian Empire was foredoomed to collapse. But all the histories I’ve read there was no such inevitability. This one wants to scotch two assumptions –

  1. that all the nationalities thought they’d be better off outside the empire (many realised they wouldn’t)
  2. that all the nationalities were ‘at war’ with imperial authorities; many weren’t, they were in much sharper conflict with each other

In the West the state and the nation were closely aligned; but in the East you can see how they are in fact distinct ideas. The state is an administrative unit and in Central and Eastern Europe was based on ancient rights and privileges of rulers, often going back to medieval origins.

From the mid-nineteenth century these traditional ideas were challenged by a concept of ‘nation’ based on ethnicity, culture and language. Otto Bauer the Austrian Marxist made a famous categorisation of the peoples of the empire into ‘historic’ nations, those which had an aristocracy and bourgeoisie and an independent national history;

  • Germans
  • Magyars
  • Poles
  • Italians
  • Croats

and those who don’t:

  • Czechs
  • Serbs
  • Slovaks
  • Slovenes
  • Ruthenians
  • Romanians

Most modern commentators include the Czechs in the list of ‘historic’ nations.

The Germans

In the western half of the empire the Germans made up 10 million or 35% of the population of 28 million. Nonetheless the administration was thoroughly German in character. The official language of the empire was German. The great majority of the civil servants were German, 78% of the officers in the army were German. The cultural life of Vienna, the capitalist class and the press were overwhelmingly German. Three political parties dominated from 1880 onwards, which adopted the three logical policies:

  1. The Pan-Germans looked beyond Austria to a nationalist union of all German peoples under Bismarcks Prussia
  2. The Christian Socialist Party under Karl Lueger aimed to unite all the nationalities under the dynasty
  3. The left-wing Social Democrats aimed to unite the working class of all the nationalities, thus dissolving the nationalities problem

The Czechs

Third largest ethnic group (after the Germans and Hungarians) with 6.5 million or 12% of the population. In Bohemia roughly two fifths of the people were German, three fifths Czech.The Czechs were the only one of the minorities which lived entirely within the borders of the empire, and some they were bitterly disappointed by the Compromise of 1867, which they thought should have recognised their identity and importance. Czech nationalists thought the deal left them at the mercy of German Austrians in the West and Hungarians in the East.

From the 1880s the struggle between Czech and German expressed itself in the issue of the official language taught in schools and used in the bureaucracy. The Czech population increased dramatically: Prague was an overwhelmingly German city in 1850 but 90% Czech by 1910. Germans found it harder to dismiss the Czechs as peasants Slavs, as Bohemia rapidly industrialised and became the economic powerhouse of the empire.

The Poles

The Poles were the fourth largest group, in 1910 4.9 million or 17.8% of the western part of the empire, most of them living in Galicia. Galicia was a) a province of Poland which had been obliterated from the map when it was divided between Russia, Prussia and Austria in the 18th century b) at the north-east fringe of the empire, beyond the Carpathian mountain range.

The Austrians needed the support of the Poles to make up a majority in the parliament in Vienna, and so made so many concessions to the Polish Conservative Party in Galicia that it enjoyed almost complete autonomy, with Polish recognised as the official  language, Polish universities and so on.

The Ruthenians

Only three fifths of the population of Galicia was Polish; the other two-fifths were Ruthenians. The Ruthenians belonged to the same ethnic group as the Ukrainians but were distinguished by adherence to the Latin/Greek Uniat church. The Ruthenians were the most socially backward group in the empire and very much under the thumb of the politically advanced Poles, responding by setting up a peasants’ party.

Conservative ‘Old Ruthenians’ gave way to ‘Young Ruthenians’ in the 1880s, who sought union with the 30 million Ukrainians living to their East. The more concessions the central government made to the Poles, the more it alienated the Ruthenians. After 1900 Ruthenians and Poles clashed over electoral or educational issues, sometimes violently.

The Slovenes

1.25 million or 4.4 per cent of the population of the Austrian half of the empire, the Slovenes were scattered over half a dozen Crownlands, and lacked even a written literature in their own land. Even mild efforts at nationalism, such as setting up a Slovene-speaking school, were fiercely opposed by the German majorities in their regions.

The Italians

770,000, the smallest national group in the empire, with Italian-speaking areas in the Tyrol and along the Adriatic coast, which had quite different concerns. In the Tyrol the Italians fought against the dominance of the Germans. Along the Adriatic they were a privileged minority among a Slav majority.

In May 1915 Italy betrayed its treaty promises to Germany and Austria-Hungary and joined the Allies because Britain and France promised Italy possession of the Tyrol and the Adriatic Littoral (and money).

The Magyars

10 million Magyars formed 48% of the population of Hungary. The Magyars dominated the country, owning, for example 97% of joint stock companies. It was dominated by ‘Magyarisation’ meaning fierce determination of the magyar ruling class to impose uniformity of language across the territory. If minorities like Romanians or Slovenes agreed to teach their children Hungarian and support Magyar rule, they could become citizens; otherwise they were subject to fierce discrimination. The Magyars didn’t want to exterminate the minorities, but assimilate them into oblivion.

Budapest was three quarters German in 1848 and three quarters German in 1910. Mason tells us that all attempts to reform the Dual Monarchy ultimately foundered on Hungary’s refusal to abandon its unbending policy of Magyarisation.

The Romanians

The largest non-Magyar group in Hungary, about 3 million, their aspirations were ignored in the 1867 Compromise, and the Hungarians’ intransigent policy of Magyarisation drove more and more to think about joining the independent Kingdom of Romania, just across the border from Hungarian Transylvania, and the forming of a National Party in 1881, which slowly poisoned Austria’s relations with Romania.

The Slovaks

The Slovaks were the weakest and least privileged group in the Hapsburg Monarchy, 9% of the population, a peasant people who had lived under Magyar domination for a thousand years. The 1867 Compromise made the Czechs and Croats second class citizens but condemned the Slovaks to cultural eradication. From the 1890s they started co-operating with the Czechs and slowly the idea of a combined Czech and Slovak nation evolved.

The Croats

9% of the population of Hungary. They had a national history and a strong aristocracy and considered themselves in direct touch with the Hapsburg monarchy. By an 1868 compromise Croatia received autonomy within the Hungarian state, but the head of the Croat state was imposed by the Hungarian government and the rule of Count Khuen-Héderváry was so repressive that Croatia became the seat of a movement to unite all the empire’s South Slavs.

The Serbs

About 2 million Serbs lived in the empire, divided between Dalmatia, Hungary, Croatia and Bosnia-Herzegovina. They didn’t have an independent national history until 1878 when the Congress of Berlin created a small state of Serbia independent of the Ottoman Empire, from which point every perceived injustice against the Serbs prompted calls for a pan-Slave movement, and/or for a Greater Serbia. The biggest incident on the road to collapse was the Austrian annexation of Bosnia-Herzegovina in 1908, the majority of whose population were Serbs.

The Jews

The Jews made up about 5% of the population in both Austria and Hungary. From 1850 Jews moved in large numbers into Lower Austria, overwhelmingly from poor rural Galicia (Poland), a large number of them migrating to Vienna, where they came to dominate cultural activity out of proportion to their numbers.

The Jews became so prominent in the Hungarian capital that some called it Judapest. The Jewish journalist Karl Kraus joked that ‘the Jews control the press, they control the stock market, and now [with the advent of Freud’s theory of psychoanalysis] they control the unconscious’.

The success of Jews in business and the stock market and banking created an association between ‘Jew’ and ‘capitalist’ which complicated class conflict and led to an easy demonisation of the Jews as responsible for much of the exploitation, low wages and fat profits of capitalism.

4. The economy

The Hapsburg Empire was behind Germany, France and Britain in industrialisation. It didn’t have large stocks of coal, it had no large ports, parts of it (like Galicia) were split off from the empire by high mountains; the great Hungarian Plain was designed for agriculture not industry.

It was a predominantly agricultural economy: in 1910 agriculture made up 50% of the Austrian economy, two-thirds of the Hungarian. Most of the trade was between Hapsburg regions and nations; the 1867 Compromise established a free trade area throughout the empire.  Only a small percentage of GDP came from exports.

In Hungary serfdom was only abolished in 1848. For most of the period, Hungary was characterised by Magyar landlords, sometimes with very extensive holdings, lording it over illiterate peasants of the various nationalities. That’s one reason why nationalist grievances became mixed up in economic ones. Only in the decade before the war did Hungary begin to industrialise.

Industrialisation was funded by banks which remained firmly in German and Hungarian hands. The industrial heartland of the empire was the Czech Crownlands (Bohemia and Moravia) which developed a strong textiles industry and then iron and steel, metallurgy and engineering. This became another source of tension between Czechs and Germans, because many of the industries remained in the hands of German managers, backed by German hands.

(Remember the passage in Ernst Pawel’s biography describing the end of the Great War, the declaration of independence, and the way the new Czech government immediately a) renamed all its businesses and industries in Czech and b) undertook a wholesale replacement of all German bureaucrats and business men with Czech replacements.)

The late 1860s saw a mounting fever of speculation which led to a stock market crash in 1873 and a prolonged depression afterwards. This led to low growth, and poverty among the urban proletariat and among rural peasants, which led to the rise of nationalist and populist parties.

5. The politics of Dualism

The Austrian (i.e. German-speaking) Liberal Party ruled after the 1867 Compromise. But that compromise had alienated the Czechs whose MPs didn’t even attend the parliament. But it was the massive financial crash of 1873 which ruined the Liberal Party, associated as it was with business and the banks.

In 1871 there was an attempt by the conservative aristocrat Count Hohenwart to reform the monarchy and turn it into a federation, who drafted some ‘Fundamental Articles’ which were intended to give the Czechs parity with the Hungarians, but this was fiercely opposed by the Hungarian prime minister, Count Andrássy. The Czechs never trusted the dynasty after that, and boycotted the Vienna parliament.

In 1879 Franz Joseph asked his boyhood friend Count Taaffe to form a new government and Taaffe went on to govern till 1893, passing a series of reforms which echoed those of Bismarck in Germany, such as extending the franchise, workers health and accident insurance, limiting the working day to 11 hours etc.

But when he tried to tackle the German-Czech issue by breaking up Czech provinces into smaller units based along ethnic lines, his plans were scuppered by the Poles, the Clericals and the Feudals, and the German Liberals and he was forced to resign. Over the next twenty years three parties emerged:

The Social Democrats

This left-wing party emerged from the trade union movement in 1889 and its soft Marxist outlook focused on economic and social reform cut across ethnic lines and so was a force for keeping the empire together. At the Brünner Conference of 1899 they called for the transformation of the empire into a democratic federation of nationalities.

The Christian Socials

Founded in 1890 by the phenomenally popular Karl Lueger who became mayor of Vienna 1897-1910, based around a devout Catholicism which linked democratic concern for ‘the small man’, responsible social reform, anti-semitism and loyalty to the dynasty. Turning artisans and small shopkeepers into a strong anti-socialist, anti-capitalist, pro-Hapsburg bloc.

The Pan-Germans

The extreme anti-semitic Pan-German Party founded by Georg von Schönerer. Starting as a liberal he grew disenchanted and wanted a) to separate out the German-speaking areas from their Slav populations and b) unite with the Reich. In 1884 he led a battle to nationalise the Nordbahm railway which had been financed by the Rothschilds. He failed, but gained wide support for presenting the plan as a battle of the Jews versus the people. Although small in numbers, the Pan-Germans spread vicious racist ideas and their supporters were prone to violence.

The end of parliamentary governance

The next government of Alfred III, Prince of Windisch-Grätz, was brought down after two years because it agreed to allow a German secondary school in southern Styria to have parallel lessons in Slovene at which point the German National Party rejected it, voted against it, and brought down the government.

The next government was led by a Pole, Count Kasimir Felix Badeni. In 1897 he tried to settle the perpetual conflict between Czechs and Germans by moving a law that said that from 1901 no official should be employed in Bohemia or Moravia who wasn’t fluent in German and Czech. Since most Czechs spoke German, this was no problem for them, but hardly any Germans spoke Czech and there was uproar in parliament, with all kinds of tactics used to stall the passage of the bill, riots broke out on the streets of Vienna and then Prague. Franz Joseph was forced to accept Badeni’s resignation, and the Vienna parliament never had the same prestige or power again.

It couldn’t function properly and legislation was from 1897 passed only by emergency decree via Article 14 of the constitution. Government was no longer carried out by politicians and ministers but by civil servants. The Germans and the Czechs continued to obstruct parliament

Several more ministries tried and failed to solve the nationalities problem, while the emperor accepted advice that extending the franchise to the working class might help create a mood of social solidarity. So a bill was passed in 1907 giving the vote to all men over 24. But it was irrelevant. By this stage parliament didn’t govern the empire, bureaucrats did. Extending the franchise brought in a new wave of socialist parties, which combined with the nationality parties, to make governing impossible. During the parliament of 1911 no fewer than 30 parties blocked the passage of all constructive measures in parliament.

6. Vienna – Cultural centre of the Empire

Traditional liberal culture was based on the premise of rational man existing within as stable, civic social order. By the 1890s this society was beginning to disintegrate…

The political crisis in late nineteenth-century Austria-Hungary was caused by the bankruptcy of liberalism. The result was the sudden growth of a number of anti-liberal mass movements. In the cultural sphere the consequence of the breakdown of liberalism were no less dramatic…

Mason distinguishes three phases or artistic eras in this period:

1. The 1870s

In the 1870s students formed the Pernerstorfer Circle, seeking an alternative to liberalism, which they rejected and found inspiration in early Nietzsche, his writings about the imagination and the Dionysian spirit, leading to veneration of the music dramas of Wagner. The most famous member was the composer Gustav Mahler.

2. The 1890s – Young Vienna

Aestheticism and impressionism, focus on the fleeting moment, in-depth analysis of subjective psychology. A moment’s reflection shows how this is a rejection of rational citizens living in a stable social order, and instead prioritises the non-stop swirl of sense impressions. The leading writers of the Young Vienna literary movement were Hugo von Hofmannstahl and Arthur Schnitzler, with his frank depictions of the sex lives and moral hypocrisy of the Viennese bourgeoisie.

3. After 1900 – Kraus, Loos and Schoenberg

The Jewish journalist Karl Kraus published a fortnightly magazine, Die Fackel, in which he flayed all political parties and most of the writers of the day. He carried out a one-man crusade against loose writing, sentimentality and pomposity. Mason doesn’t mention something Ernst Pawl emphasises in his biography of Kafka, which is that plenty of Kraus’s journalism railed against the Jewish influence on German prose, criticising its importation of Yiddishisms and other impurities. It was this attitude which led Pawl to diagnose Kraus as a leading example of the ‘Jewish self-hatred’ of the period.

Adolf Loos was a radical architect who despised any ornament whatsoever. He designed a starkly modernist house which was built in 1910 opposite the imperial palace and was a harsh modernist critique of the wedding cake baroque style of the empire.

Arnold Schoenberg thought Western music had reached the end of the road, and devised an entirely new way of composing music based on giving each note in the scale an equal value i.e. leaving behind traditional notions of a home key or key tones, i.e. 500 years of tradition that a piece of music is composed in a certain key and will develop through a fairly predictable set of chords and other keys closely related to it. Schoenberg demolished all that. In his system all notes are equal and their deployment is based on mathematical principles. Hence his theory came to be known as ‘atonality’ or the ‘twelve tone’ system.

And looming behind these three was one of the most influential minds of the 20th century, Sigmund Freud, the conservative and urbane Jew who did more than almost anyone else to undermine the idea of the rational, citizen or the rational human being. In Freud’s theory most of the activity of the human mind is unconscious and consists of a seething mass of primitive drives and urges. For the early period, from his first formulation of psychoanalysis in 1895 through to the outbreak of the First World War, Freud concentrated on the sexual nature of many or most of these urges, and the psychic mechanisms by which human beings try to repress or control them (via psychological techniques such as displacement or repression).

But the experience of the Great War made Freud change his theory in recognition of the vast role he now thought was played by violence and a Death Drive, which matched and sometimes overcame the sex urge.

Whatever the changing details, Freud’s theory can be seen as just the most radical and drastic attack on the notion of the sensible, rational citizen which were widespread in this time, and at this place.

Leading not only Mason but countless other critics and commentators to speculate that there was something about the complexity of the Austro-Hungarian Empire, and something about the thoroughness with which it collapsed, which led to the creation of so many anti-liberal and radical ideologies.

All the art exhibitions I’ve ever been to tend to praise and adulate 1900s Vienna as a breeding ground of amazing experiments in the arts and sciences. Many of them praise the artistic radicalism of a Loos or Schoenberg or Egon Schiele as a slap in the face to boring old bourgeois morality and aesthetics.

Not so many dwell on the really big picture which is that all these artistic innovations were the result of a massive collapse of the idea of a liberal society inhabited by rational citizens and that, in the political sphere, this collapse gave rise to new types of political movement, anti-liberal movements of the extreme left and extreme right, to the Communism and Fascism which were to tear Europe apart, lead to tens of millions of deaths and murder and torture, and the partition of Europe for most of the twentieth century.

PART THREE Foreign affairs

7. The Dual Alliance

In international affairs the thirty-six years between the Congress of Berlin in 1878 and the start of the Great War in 1914 were dominated by the Balkan Problem or the South Slav Question.

In the 1600s the Muslim Ottoman Empire had extended its reach right up to the walls of Vienna. The Ottomans were held off and pushed back so the border between Christendom and Islam hovered around south Hungary and Bulgaria. But the Balkans contained many ethnic groups and nationalities. Slowly, during the 19th century, Ottoman rule decayed causing two things to happen:

  1. individual ethnic groups or nations tried to assert their independence from the Ottoman Empire
  2. each time they did so tension flared up between Russia, who saw herself as protector of all the Slavs in the Balkans, and Austria-Hungary, who feared that the creation of a gaggle of independent states in the Balkans under Russian control would inflame her own minorities and undermine the empire

The Congress of Berlin was held in 1878 to try and adjudicate between the conflicting claims of Russia and Austria-Hungary, and the host of little countries who wanted independence from the Ottomans.

This section details the long history of the complex diplomatic policies adopted by successive foreign ministers of the empire, which all had more or less the same goal – to preserve the integrity and security of the empire – but changed in the light of changing events, such as the Franco-Prussian War of 1870, the Russo-Turkish War of 1877–78, and so on through to the Russo-Japanese War of 1905, the Young Turk revolution of 1908 which led to the Bosnian Crisis of the same year, and the Balkan Wars of 1912-13.

What’s striking or piquant is that the three autocracies – Prussia, Austria-Hungary and Russia – had a really profound interest in maintaining their semi-feudal reactionary regimes, and this was highlighted by the fact that they periodically signed variations on a Three Emperors Alliance (1881) – but that they kept allowing this fundamental interest to be decoyed by the festering sore of countless little conflicts and eruptions in the Balkans.

So that by 1907 Germany came to see its interests as tied to a strong Austria-Hungary which would prevent Russian expansion southwards; while Russia came to see itself as faced by a Germanic bloc and so sought alliance with France to counterweight the German threat. And so Europe was divided into two armed camps, an impression cemented when Italy joined a pact with Germany and Austria-Hungary, despite historic antagonism to Austria, with whom she had had to fight wars to regain territory in the north.

8. The Drift to war

One way of thinking about the First World War was that the assassination of the Archduke Franz Ferdinand, heir apparent to the crown, was without doubt a scandalous event but that it gave the Austro-Hungarian Empire a golden opportunity to smack down cocky little Serbia and thus re-establish the empire’s authority in the Balkans, which had been steadily slipping for a generation as a) more Balkan states became independent or b) fell under the influence of Russia.

After all, the empire had intervened in 1908 to annex Bosnia-Herzegovina with a view to creating a South Slav bloc of nations under her protection. Seen from her angle, this was one more step of the same type. Although, admittedly, a risky one. Her annexation of Bosnia-Herzegovina in 1908 led to a six-month-long diplomatic crisis which nearly sparked a European war, and there had been further, limited, Balkan Wars in 1912 and 1913. Most people thought this was more of the same.

So Austria issued a fierce ultimatum which was impossible to fulfil and prepared for a quick brutal suppression of Serbia. But she hadn’t anticipated that Russia would mobilise in favour of what was, after all, a small nation, with the result that the German military weighed in giving Austria-Hungary a promise of unconditional support; and when both of them saw Russia proceeding with its war mobilisation, the Germans mechanically and unthinkingly adopted the dusty old plan which had been perfected decades earlier, a plan to knock France out of any coming conflict with a quick surgical strike, just as they had back in 1870, before turning to the East to deal with a Russia they were sure was enfeebled after its humiliating defeat against Japan in 1905.

But the quick surgical strike against France failed because a) the French were supported by just enough of a British Expeditionary Force to stall the German advance and b) the Russians mobilised, attacked and advanced into East Prussia quicker than the Germans anticipated so that c) the German Chief of Staff Moltke made one of the most fateful decisions of the 20th century and decided to transfer some infantry corps from the Belgian wing of the German attack across Germany to staunch the Russian advance. Thus contributing to the German sweep across northern France coming to a grinding halt, to the failure of the Schlieffen Plan, and to four years of grinding stalemate.

All the parties to the war miscalculated, but it was arguably the Germans – with their bright idea of a quick strike to knock France out of the war – who did most to amplify it from yet another in a long line of Balkan Wars to an international conflagration.

What comes over from this section is the hopeless inability of historians to come to a clear decision. Some historians, apparently, think Austria-Hungary’s foreign policy in the decade leading up to war was aggressive; others think it was impeccably defensive.

There is no doubt that the emperor was devoted to peace. Franz Joseph ruled the empire from 1848, when he was 18, to 1916, when he was 86, and if there was one thing he’d learned it was that whenever Austria went to war, she lost. And he was proved right.

9. War Guilt and the South Slav Question

On one level the problem was simple: about twice as many Slavs lived inside the empire (7.3 million) as outside (3.3 million). In the age of nationalism it was unlikely that the ultimate unification of these Slavs could be prevented. The question was: would this unification take place within the empire’s border i.e. at Serbia’s expense; or outside the empire’s borders, under Serbian leadership a) at the cost of the empire losing land (including most of its coastline in Dalmatia) and Slav population to Serbia b) the new Serbian state itself coming under the strong influence of Russia.

Mason discusses how this threat could possibly have been averted if the empire had made any sort of overtures to the Serbs, had courted the South Slavs. All Serbia wanted was better terms of trade and access to the sea. Refusal to countenance even this much resulted from the Austria-Hungarian Monarchy’s internal tensions, above all from the entrenched but anxious rule of the Germans and Magyars, nearly but not quite majorities in their own domains. Their inflexibility brought those domains crashing down around their ears.

10. World War One and the Collapse of the Empire

The book goes on to emphasise that, just because the empire collapsed suddenly at the end of the Great War, doesn’t mean it was doomed to. In fact for most of the four year war onlookers expected it to last, and spent their time speculating about the territorial gains or losses it would have made, but not that it would disappear.

He gives a military account of the war which emphasises the simple fact that the much-vaunted Austro-Hungarian army was simply not up to the task its politicians had set it. Chief of the General Staff Franz Conrad von Hötzendorf intended at the outbreak to take out Serbia with a lightning strike, then move his corps north to Galicia to face the Russians who it was expected would mobilise slowly. But the Austro-Hungarians were repelled by ‘plucky Serbia’ and Conrad moved his forces north too slowly to prevent disastrous defeats to the Russians, who seized Galicia and Bukovina before Christmas.

In the first few months the empire lost 750,000 fighting men and a high percentage of their best officers. It’s a miracle they were able to carry on which they did, but at the cost of taking injections of better trained, better-armed German troops (remember the proud, tall, well dressed, well-fed Reich German soldiers lording it over their starving Austrian allies in the final chapters of The Good Soldier Svejk) and coming more or less under German military command.

Amazingly, in spring the following year, 1915, combined Austrian-Germany forces drove the Russians out of Galicia and seized most of Poland, defeated the numerically stronger Italian army along the Isonzo River. By 1916 the Alliance powers controlled a substantial slice of foreign territory (Poland, Russia, parts of the Balkans) and seemed to be sitting pretty.

The Austrian Social Democrat Otto Bauer wrote a book about the collapse of the empire, The Austrian Revolution, in 1925 which argued that the empire defined itself by its opposition to Tsarist Russia and dependency on Hohenzollern Germany. Certainly when the Bolsheviks seized power in St Petersburg and sued for peace, half the reason for fighting – and even be scared of the Slav menace – disappeared at a stroke.

Internal collapse

As we’ve seen, the Austrian parliament ceased to function properly before 1910 and government was run by civil servants and made by decree (the background to the novels of Franz Kafka with their infinitely complex and incomprehensible bureaucracies). Parliament was suspended from March 1914 to May 1917 because the ruling classes feared it would simply become a forum for criticism of the Crown. In 1916 the prime minister Count Stürgkh was assassinated. On November 1916 the Emperor Franz Joseph died and the crown passed to his great-nephew Archduke Charles, aged 29. The change in leadership gave an opportunity for the central powers to approach the Entente with suggestions for peace in December 1916, which, however, foundered on Germany’s refusal to cede territory back to France.

When Charles was crowned in Hungary he missed the opportunity to force the Hungarian prime minister to consider reforms, to extend the franchise, to give more rights to the non-Magyar minorities, and generally to compromise. On one level, the failure to effect any reform at all in the basic structure of the Dual Monarchy, led to its collapse.

But the most important event was the overthrow of the Romanov dynasty. If the Romanovs, why not the Hapsburgs? When Charles allowed parliament to sit again in summer 1917 initially the calls weren’t for dissolution, but for reform which gave the nationalities autonomy and rights. But during the summer Czech radicals published a manifesto calling for an independent Czech-Slovak state.

The winter of 1917-18 was harsh with widespread food shortages. There were widespread strikes. In the spring Czech prisoners of war began returning from Russian camps bearing revolutionary ideas. But the Hapsburgs were not overthrown. Mason suggests this is because what in Russia were clear, class-based animosities and movements, in Austria-Hungary were diverted into nationalist channels.

Even when America joined the war in April 1917, the Allies still didn’t call for the overthrow of the empire but its reform to give the nationalities more say. According to Mason what finally changed the Allies mind was the German offensive in Spring 1918. It became clear Austria-Hungary wouldn’t or couldn’t detach itself from Germany, and so the Allies now threw themselves behind plans to undermine the empire from within i.e. supporting Czech, Polish and Slav politicians in their calls for the abolition of the monarchy. In the summer they supported the Czechs. In September 1918 they recognised a Czech-Slovak state. Unlike the other minorities the Czechs existed entirely inside the empire, to recognising their independent state was effectively recognising the dismemberment of the empire.

The failure of the German spring offensive in the West, and the Austrian summer offensive against Italy spelled the end. In September Bulgaria sued for peace. In October Austria and Germany asked President Wilson to intervene. At the end of October the Czechs and Yugoslavs proclaimed their independence, followed by the Magyars and the Poles. On 11 November 1918 Emperor Charles abdicated. The Hapsburg Monarchy ceased to exist.

PART FOUR Assessments

Mason recaps some of the arguments about the fate of the Austro-Hungarian Empire which, by now, I feel I have heard hundreds of times. For example, that right up to the end most commentators did not expect the empire to collapse but for the strongest minorities, such as the Czechs, to successfully argue for parity with the Magyars, for more rights and privileges. Karl Marx thought the nations without history needed to be tutored and guided by the more advanced ones i.e. the Germans.

One school sees the collapse as due to the internal contradictions i.e failure to address the nationality question i.e. failure for any serious politician at the top, even Franz Ferdinand, even Charles, to do anything to palliate the nationalities demands which would have meant diluting the stranglehold of the German-Magyar ruling elites. The elites never accepted the nationalities question as a fundamental issue, but always as a problem which could be temporarily dealt with by clever tactics.

A completely opposite view holds that it was the First World War and the First World War alone which led to the collapse of the empire. Supporting this view is the fact that even radical critics and keen slavophiles like the Englishmen Seton-Watson and Wickham Steed as late as 1913 thought the empire was growing, and simply needed to be converted into a federal arrangement of more autonomous states, maybe like Switzerland.

PART FIVE Documents

Nineteen documents kicking off with hardcore economic tables showing, for example, populations of the various nationalities, index of Austrian industrial production, Austria’s share of world trade, steel production, harvest yields.

More interesting to the average reader are:

  • Mark Twain’s eye witness account of the army marching into parliament to suspend the sitting discussing  the 1897 legislation to make Czech equal with German in Bohemia and Moravia, which spilled out into riots in Vienna and Prague
  • Leon Trotsky’s impressions of the Austrian socialist leaders i.e they are smug and self satisfied and the extreme opposite of revolutionary
  • an extract from the memoir of George Clare who was a Jew raised in Vienna and gives a vivid sense of the frailty of Jewish identity, the assimiliated Jews’ shame about his caftaned, ringleted Yiddish cousin but also his sneaking envy for their authenticity – this is exactly the sentiment expressed by Kafka in his reflections on the Jews
  • the impact of Vienna on the young Adolf Hitler, who lived in Vienna from 1908 to 1913 and a) hugely respected the anti-semitic mayor Karl Lueger and b) loathed the multi-ethnic culture and especially the ubiquity of Jews
  • memoirs of the Jewish socialist leader Julius Braunthal, who emphasises the peculiarly powerful fermenting role played by Jews in all aspects of Austrian life, society and culture
  • a society hostess describing the meeting in 1902 between Rodin and Gustav Klimt

And then excerpts from more official documents, being a letter from the leader of the 1848 revolution, the key articles from the Dual Alliance of 1879, prime minister Aehrenthal’s proposed solution to the South Slav problem, census figures about Slavs inside the empire, a report on relations between Serbia and Austria-Hungary,


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